“Docupace was truly a partner with us in term of the development we needed.”
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
with all necessary forms
been completed correctly
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.
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.
who might be interested in alternatives
Docupace Has Helped Hundreds of Broker-Dealers and RIAs Grow their Productivity and Profitability
“Docupace Transition Assistant was invaluable to our transition to a new brokerage firm.”
“We choose Docupace because of their ability to deliver an enterprise-wide web-based solution to reduce costs and helping relieve our infrastructural dependencies while improving customer service, supporting our compliance requirements and meeting other organizational goals.”