Advisor Onboarding

Advisor Onboarding

When a new advisor joins a firm, they should be able to hit the ground running, meet clients, process transactions, and get a feel for their new role. Unfortunately, onboarding paperwork usually consumes the first weeks of an advisor’s new job.

The Docupace Platform includes streamlined advisor onboarding workflows that enable a secure, compliant, and quick onboarding process, eliminating the need for ink-signed forms and minimizing the risk of errors.

Additional Wealth Management Firm Solutions

Leverage pre-built electronic workflows
with all necessary forms
eSign with DocuSign and
SiGNIX integrations
Instantly verify whether forms have
been completed correctly
Advertising Review

Advertising Review

Advertising — like everything else in the financial industry — is highly regulated. Failure to comply with SEC and FINRA advertising rules & regulations can result in huge penalties.

Docupace leverages a powerful workflow engine to enable fast, consistent, and simple compliance reviews of advertising materials. From creation to submission to storage and indexing, Docupace takes the hassle out of checking public communications for SEC and FINRA compliance.

Streamline review, submission, and
storage processes
Leave comments on secure
cloud-based documents
Access a complete version history for
each document
Alternative Investments

Alternative Investments

Clients are demanding access to investment options that go beyond stocks and bonds. Unfortunately, alternatives are subject to a different set of regulations than traditional investments, and that means a lot more work for broker-dealers and RIAs.

Docupace enables financial services firms to meet the demands of investors without increasing overhead.

Streamline alternative transactions with
pre-loaded paperwork
Ensure SEC and FINRA
Scan your book of business for clients
who might be interested in alternatives

Docupace Has Helped Hundreds of Broker-Dealers and RIAs Grow their Productivity and Profitability

What can the Docupace Platform do for your firm?

Get in touch with our expert team to learn how to get started.