We’re on a mission to eliminate paperwork.
Paper-based processes cause costly errors and delays. With powerful paperless workflows, Docupace streamlines business for home offices, advisors, and investors. Docupace is the only digital operations platform designed specifically for wealth management firms — that’s why our clients trust us to keep them efficient, productive, and compliant. Digital Operations for Wealth Management
Foundations of the Platform
Our flexible and turnkey platform can be configured to leverage solutions specific to your firm’s goals and needs.
Data and Forms Processing
Pull the correct forms for every transaction, watch them populate automatically with client data, synchronize fields across multiple forms, and process esignatures effortlessly through best-in-breed partners like DocuSign and SIGNiX.
- Standard and Custom Forms Library
- Intelligent Forms Bundling
- Data Validations
- Forms Pre-population and Data Synchronization
- Embedded eSignature
Digital Operations for Wealth Management
Our sophisticated workflow engine makes it easy to automate your compliance and business process rules. Take advantage of easy-to-use pre-built workflows. Then, design your own workflows to increase productivity and compliance.
- Standardization and Data Synchronization Engine
- Intelligent Routing
- Alerts and Notifications
- Business Rules
Digital Operations for Wealth Management
Security & Compliance
Maintain SEC/FINRA compliance easily throughout many parts of your organization. Devices, Data, and Documents are secured through encryption. PII & SPI are protected from security threats.
- PII and SPI Encryption
- Monitoring and Reporting
- Audit Assistance with FINRA/SEC (D3P)
- Role Based Hierarchical Access
customizable Digital Operations for Wealth Management
APIs & Integrations
Move seamlessly through your software ecosystem and the investment lifecycle via integrations with leading CRMs, financial planning software, data managers, e-signature platforms, clearing houses, custodians, and more.
- REST APIs
- CRM Integrations
- Portfolio Management Integrations
- Clearing and Custodian Integrations
Consolidate all of your firm’s forms and records into one organized, secure, online database that meets the demands of SEC Regulations 17a-3 and 17a-4. Access what you need, when you need it, and always be ready for an audit.
- Secure Storage and Collaboration
- SEC and FINRA Books and Records Compliant
- Indexing, Search and Retrieve
- Centralized and Decentralized Scanning
- Event Based Retention
Your Platform, Your Rules
Choose the solutions that suit your needs, leave the ones that don’t.
With pre-populated forms, automatic data synchronization, built-in compliance checks, and advanced integrations, Docupace makes new account opening and maintenance processes surprisingly simple.
correctly the first time.
Work at the speed of
Make more time for
Store and access your firm’s records with a secure, cloud-based document management solution. With Docupace, you can access what you need when you need it, and always be prepared for an audit.
Untether yourself from your
filing cabinets or local servers.
Be your auditor’s favorite firm.
Manage books and records
at minimal cost.
What if you could give incoming advisors the ability to transition their book of business digitally in as little as 30 days? Docupace’s automated workflows, compliance knowledge, and hands-on service make it possible.
Attract great advisors.
Reduce paper costs.
Onboard new advisors quickly and ensure the accuracy of onboarding forms.
Quickly review your ads for SEC and FINRA compliance and speed up marketing efforts.
Take advantage of the new wave of investments fearlessly with compliant alternative investment processing.
Docupace Has Helped Hundreds of Broker-Dealers and RIAs Grow their Productivity and Profitability
“The biggest thing with Docupace is the strength of partnership. We’re in an industry where change is constant and to be able to have a partner that we can work through challenge and opportunities with is very important. Docupace is as good as it gets. We truly value what they bring to the table.”
Comprehensive & Configurable
Docupace does everything you need and only what you need.
We want to deliver a platform that integrates seamlessly into your existing operations and technology stack. When you work with us, a Docupace Account Manager will meet with you to develop a platform configuration tailored for your business.
Comprehensive and Configurable Digital Operations for Wealth Management