The Idea

Other solutions don’t stack up.

Financial services document management is challenging. Going paperless is a must, but most cloud-based solutions don’t integrate with financial services software and could leave you open to SEC and FINRA compliance issues.

End filing and retrieving frustration.

Docupace uses government-grade encryption and tools to help you maintain security and compliance. With Docupace, you can consolidate all of your firm’s books and records — physical and digital — in order to manage files quickly and confidently.

 

  • Automatically organize and store all documents in a secure digital vault
  • Comply with rules 17a-3 and 17a-4
  • Leverage true cloud-based WORM storage
  • Assign roles and permissions to manage who has access to which records
  • Track user actions to identify suspicious activity
Download Datasheet

How does it work?

1

Docupace works with the Broker-Dealer or RIA to custom-build a Transition Assistant site according to the firm’s specific instructions and complete with all necessary forms.

2

Docupace contracts directly with the advisor and walks them through the re-papering process. Hands-on concierge service is available from the Transition Assistant team throughout the process.

3

The advisor completes a final review, signs the completed forms, and all necessary data is transferred to the broker-dealer or RIA for processing.

4

The advisor is ready to continue serving their clients and work with their new firm, having experienced minimal business interruption.

There’s power  in paperless.

Untether yourself from your filing cabinets or local servers.

Work from anywhere with an internet connection and be confident that you’ll have access to the documents you need.

Be your auditor’s favorite firm.

Give SEC, FINRA, and state auditors access to all the records they need without delay, so you can satisfy their requirements and get back to business.

Manage books and records at minimal cost.

Reduce expenses associated with filing, records maintenance, data entry, and fines.

Transition Assistant Has Helped Hundreds of Advisors Change Firms Fast

Ready to streamline your work?