A comprehensive SEC/FINRA compliant cybersecurity solution for the wealth management industry.

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cybersecurity checklist

Increase Speed-to-Value for Broker-Dealers and RIAs with Docupace’s “Fast Start” solution – leading to a considerably quicker implementation of Digital Operations for Wealth Management.

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digital operations

More Control, Less Worry

Are you struggling to keep pace with a growing firm and increased demand for timely advertising review? Is your process scalable and cost-effective? Are you presented with these challenges?

Download The Advertising Review

Your value is your expertise and your ability to provide custom tailored recommendations to your clients, but what about your process? Is it easy to do business? Do you struggle with these “part-paperless” and “part-through processing” challenges?

Innovation is Here.

You provide a line of investment products to a network of trusted financial professionals. Your firm enables advisors to tailor recommendations for their clients’ unique financial goals and circumstances, but what about your process?

What is the Docupace Straight-Through Processing (STP) Network? A SEC/FINRA compliant, paperless office strategy comprised of an interconnected network enabling Broker/Dealers, RIAs, investment providers and advisors to process all their business documents and back-office workflows securely and electronically.

The future for all financial services business is Straight-Through Processing.

Download the Straight-Through Processing Network FAQ and learn about Docupace’s Paperless Office Strategy.


So, How Does the
Docupace STP Network “Work”?

1) The advisor meets with the client, gathers data and enters into a CRM or directly into Docupace’s ePACS application.

2) Advisor launches Starting Point (Docupace’s e-forms wizard) which selects the appropriate forms and pulls data from the CRM tool to populate all required forms. Since all of the forms have edits and validations, you’re ensured your forms will be “in good order.”

3) If the client has a check to process, the advisor can scan the check using Remit Pro. Remit Pro captures the checking data, automatically processing the funds.

4) The Advisor sends the forms electronically to the client for e-signatures or has the client e-sign the form in the advisor’s office (wet signatures are optional).

5) The signed forms are processed by Docupace’s ePACS solution. ePACS validates the data and e-signatures for compliance and routes to the supervisor for approval.

6) The supervisor e-signs approval as required and approves documents online (providing the BD/RIA approval). The BD/RIA now has all forms and data captured in their books and records system.

7) After BD/RIA approval, the forms, data, e-signatures and funding data are routed electronically to the RIA Custodian.

8) The RIA Custodian electronically confirms back to the BD/RIA and advisor that the account has been opened, with a new account number where applicable…Learn More Here

Alternative investments are the fastest growing asset class among retail investors. However, some advisors still avoid them due to complexity, greater regulatory risk and time, labor and paper intensive processing demands.

ePACS© AI Solution, brought to you by Docupace, is the answer advisors and Broker-Dealers have been looking for. AI Solution is the only tool that helps ensure compliance with all state, product and firm rules, while eliminating processing errors and risk. AI Solution makes it faster and easier than ever to invest in alternatives.

Every successful transition is the result of good planning, preparation and team work. The result is the foundation of well planned, smooth transition process with a minimal disruption of your clients and your staff.

The Docupace Transition Assistant Program is designed to help transitioning advisors “re-paper” all client accounts, at one time, as they are transitioning from one Broker-Dealer (BD) to another. Due to SEC/FINRA regulations, the acquiring BD cannot have access to the advisor’s client information until the advisor has moved his/ her U4 to the new BD. In order to move the accounts to the new BD, the advisor will need to fill out new account “paperwork” — a very labor-intensive process. Docupace has created the Transition Assistant (TA) Program to help transitioning advisors efficiently create the new account paperwork required by his/her new BD.

Docupace has worked closely with the new BD to ensure the advisor has the required forms to successfully move accounts.

We understand the challenges advisors face when transitioning to a New Broker-Dealer. So we created our Transition Assistant solution to remove the hassle during the on-boarding process. It enables new advisors to store all their previous records, plus new transition records, in a secure, temporary repository. And there’s no need to manually fill out the transfer paperwork.

When the transition of the advisor is complete, the records are immediately transferred to the new Broker-Dealers Docupace site. No business interruption. No security risk. No problem. It’s as easy as flipping a switch.