Docupace Terminology

Account Wizard — A simple questionnaire you use when launching Starting Point to create a bundle of applicable forms for a new work item

Administration — The area within the Docupace Platform where you can perform account management tasks such as resetting your password, access available reports, download important tools, and more

Client Document — Forms or documents stored within your subfolders for each client

Client Folder — Main folder within the filing cabinet for your client, containing their personal information (SSNs, addresses, employers, etc.)

Client Subfolder — Folders representing different accounts or other topics within your main client folder

Dashboard — The front page of the Docupace Platform, where users can see all active work items and unindexed documents separated into queues

Direct File Upload — A no-installation tool that allows users to search for files to upload directly into the Docupace Platform

ePACS — The former name of the Docupace Platform

Filing Cabinet — The entire hierarchy of folders and forms. A filing cabinet includes, for example, a main client folder, subfolders for accounts within that client folder, and documents within each subfolder.

Mailroom — Unassigned queue for work items and unindexed documents. These items require the user to index and provide additional information for routing

Monitor — The area within the Docupace Platform that shows all open work items, including those that are currently assigned to you and those that have moved on for processing to your home office

My Tasks — All items assigned to a Docupace user that are not yet in the workflow for processing

Retrieve — The area within the Docupace Platform where you can search for any item within the system, existing clients, previously created work items, previously uploaded documents, etc.

Standard File Uploader — Software you can download from the “Admin” tab that will allow you to automatically move scanned images/files from a specific folder on your PC into the Docupace Platform

Unindexed Document — A document a user has scanned into Docupace that needs to be indexed and assigned a request type before it can be routed to the correct location

Work Items — An “electronic envelope” of documents or forms to be routed through the Docupace Platform that are uniquely identified with an assigned number

Commonly Used Initials and Acronyms

ACAT – Automated customer account transfer

AI – Alternative investments

BD – Broker-dealer

BDC – Business development company

CRM – Client relationship management (Salesforce, Red Tail, Smart Office, Outlook, Advisors Assistant, Pareto, Junxure, etc.)

FA – Financial advisor

FINRA – Financial Industry Regulatory Authority

IGO – In good order

NAO – New account opening

NASU – New account setup

NIGO – Not in good order

OSJ – Office of Supervisory Jurisdiction

REIT – Real estate investment trust

RIA – Registered investment advisor

RR – Registered representative

SEC – U.S. Securities and Exchange Commission

TA – Transition Assistant, transfer agent