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Axos

Axos Advisor Services is an RIA custodian that delivers individualized attention, intuitive technology, and knowledgeable consulting support you need to take your business to the next level and beyond. Axos Advisor Services is a tradename of Axos Clearing LLC. Axos Clearing LLC provides back-office services for registered investment advisers. Axos Clearing LLC does not provide investment advice or make investment recommendations through Axos Advisor Services or in any other capacity. For more information, visit axosadvisorservices.com.

New Account Opening

Axos (formerly e*Trade Securities, LLC) offers financial advisors a comprehensive mix of FDIC-insured, award-winning banking products and custom-tailored services. Docupace has integrated with AXOS APIs to provide a universal account opening solution.

Integration Benefits:

  • API integration for New Account Opening and maintenance which:
    • Reduces duplicate data entry
    • Reduces time to open new accounts
    • Increases consistency in account opening processes
    • Improves advisor experience
  • Increases advisor and back office efficiency by:
    • Providing pre-bundled forms for all available registrations
    • Reducing NIGO rates through automated data validations
    • Automating account number pre-populations on forms prior to client signing
    • Automating transmission of signed Axos forms and metadata to Axos following broker dealer/RIA suitability and compliance reviews
    • Supporting both Docusign and Signix electronic signatures
    • Supporting some maintenance processes through the Axos Create Account API

Data Services

Docupace has integrated with AXOS Advisor Services and AXOS Clearing to provide advisors and their firm with daily or monthly transaction detail on:

  • AXOS Advisor Services – TCOA (Daily ONLY)
    • Positions
    • Products
    • Security Master
    • Account & Customer
    • Trades
  • AXOS Clearing—COR (Daily or Monthly)
    • Accounts
    • Suitability
    • Account Balances
    • Trade Activity
    • Positions
    • Product
    • Trails
    • Advisory Fees

These standard files are imported automatically into Docupace’s Compensation Management or Surveillance and Compliance products for a streamlined reporting and monitoring experience.

Integration Benefits for Docupace Compensation Management:

Our easily customized and rules-based compensation product takes away compensation frustration and allows your firm to grow by:

  • Eliminating manual compensation calculations
  • Creating up-to-the-minute, accurate financial reports
  • Handling the most complex compensation payout plans

Integration Benefits for Docupace Surveillance and Compliance:

Our rules-based, alert-driven auditing and compliance solution gives your risk & compliance management team confidence by:

  • Consistently applying rules across your enterprise that scales as you do
  • Improving efficiency by utilizing our exception-based processes
  • Allowing your team to focus on high-risk transactions for higher-quality outcomes

Transitions don’t have to create chaos.

With the right processes, support systems and digital tools in place, firms can simplify onboarding, reduce paperwork and keep clients confident throughout the move.

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