We are on a mission to eliminate paperwork and its errors and delays from the ecosystem of home offices, advisors, and investors while streamlining your business workflows. From automating account opening and advisor onboarding to document management and beyond, Docupace keeps you efficient, productive, compliant, and ahead of schedule, 100% of the time.
Our flexible and turnkey platform can be configured to leverage solutions specific to your firm’s goals and needs.
- Document Management
- Forms Processing
- Workflow and Validations Engine
- Security and Compliance
- APIs and 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
Pull the correct forms for every transaction, watch them populate automatically with client data, synchronize fields across multiple forms, and process e-signatures 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
Workflow and Validations Engine
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
Security and 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.
- Cyber Security
- PII and SPI Encryption
- Monitoring and Reporting
- Audit Assistance with FINRA/SEC (D3P)
- Role Based Hierarchical Access
APIs and 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
Your Platform, Your Rules
Take the tools that suit your needs, leave the ones that don't.
Account OpeningPaperless Application Processing
Accelerate new account opening and updates – populate client data from your CRM or enter information on one form and we’ll automatically populate the information on all your other forms. Dramatically reduce pesky NIGOs with automatic rules that check your entries as you go, then use e-signature for a seamless, paperless process.
Centralized VaultDocument Management
Store your firm’s records into one secure, document management solution with robust search and workflow capabilities. When an auditor calls, easily bring up exactly what they need. Plus, you’ll know your documents are safe in our secure, cloud-based vault.
Smart FormsForms Wizard and Automation
Search tens of thousands of preloaded forms or upload your custom forms – then choose the ones you want or let our forms wizard guide you through the process and watch them automatically populate with client data. Make an update in one form, and it will sync across all relevant forms.
Advisor OnboardingProcessing of New Advisors
Painlessly onboard new advisors faster and ensure all forms are accurate with powerful digital workflows and e-signature enabled paperless process. Get the paperwork out of the way, so your new employees can get to work fast.
Transition AssistantSuccessfully Transition Client Data
Moving from one Broker-Dealer or RIA to another? Transition Assistant lets you re-paper all of your accounts easily and quickly, so you can keep more clients and minimize potential business interruptions.
Data RoomDocument Collaboration
Create a secure virtual office for shared document collaboration – perfect for multi-party transactions. Efficiently manage, access, and modify secure documents. Grant permissions and establish workflows with version control and date and time-stamped audit trails.
Complaint MailSEC Mandated Mailings
Keep up with SEC customer notification requirements automatically and cut mail-related costs. Track and audit all your required mailings while reducing regulatory risk with individual proof-of-receipt.
Advertising ReviewAdvertising Compliance Review
Quickly review your ads for SEC/FINRA compliance and speed up your marketing efforts. Leverage our powerful workflow engine to intelligently route reviews to the appropriate supervisor and respond to your advisors in minutes, not days.
Alternative InvestmentsProcessing for Alternative Investments
Navigate these complex products fearlessly with compliant alternative investment processing. Instantly manage your product shelf, confirm compliance with prospectus rules, and even overlay your own eligibility and concentration rules.