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Financial Advisor Transitions

Transform the Transition Process with Automated Workflows and Hands-on Service

Transition an advisor’s entire book of business in as little as 30 days.

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Watch this video to see how Docupace makes advisor transitions easy.

Financial advisor transitions are difficult and risky.

Broker-dealers and RIAs need the best advisors to succeed, but convincing them to join your team requires overcoming a major hurdle: the transition process.

Transitioning a book of business to a new broker-dealer or RIA can take 3-6 months, involve thousands of forms, and, due to missing forms and data, usually results in NIGOs and other compliance issues. During this process, advisors are faced with frustrating business disruptions and lost revenue.

Attract advisors with hassle-free transitions.

Docupace enables broker-dealers, RIAs, and advisors to save time, money, and effort with a cloud-based advisor transitions solution. Docupace uses a digital process that quickly pre-populates all new account paperwork and significantly reduces NIGOs.

  • All new account forms are pre-filled and ready to sign before the U4 drop date
  • All lines of business are covered
  • All documents are stored in a secure and compliant cloud-based vault
  • Expert assistance is available to the advisor throughout the process
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Financial Advisor Transitions Solutions from Docupace

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 Advisor Transitions 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.

Benefits for RIAs and Broker-Dealers

Attract great advisors.

Recruit more advisors with the promise of a smooth, quick transition that exposes them to minimal risk.

Improve revenue.

Bring on better advisors with existing books of business, get them producing faster, and watch the impact on your bottom line.

Reduce paper costs.

Don’t bother printing, mailing, and faxing reams of new account paperwork during an advisor transition. Use Docupace and handle almost everything electronically.

Ready to bring on more advisors?

Is your back office holding you back?

See how top firms are cutting costs, reducing friction, and turning operations into a growth engine.

Docupace Acquires InvestEdge • Data & Analytics Veteran Brian Filanowski Appointed as CEO

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