The Idea

The Idea

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.

The Platform

The Platform

Our flexible and turnkey platform can be configured to leverage solutions specific to your firm’s goals and needs.

Document Management

Document Management

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.

Key Features:

  • Secure Storage and Collaboration
  • SEC and FINRA Books and Records Compliant
  • Indexing, Search and Retrieve
  • Centralized and Decentralized Scanning
  • Event Based Retention
 Forms Processing

Forms Processing

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.

Key Features:

  • Standard and Custom Forms Library
  • Intelligent Forms Bundling
  • Data Validations
  • Forms Pre-population and Data Synchronization
  • Embedded eSignature
 Workflow and Validations Engine

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.

Key Features:

  • Standardization and Data Synchronization Engine
  • Intelligent Routing
  • Alerts and Notifications
  • Business Rules
  • Configurable
Security and Compliance

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.

Key Features:

  • Cyber Security
  • PII and SPI Encryption
  • Monitoring and Reporting
  • Audit Assistance with FINRA/SEC (D3P)
  • Role Based Hierarchical Access
APIs and Integrations

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.

Key Features:

  • Widgets
  • 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.

Opening New Accounts through Docupace

Account Opening

Paperless Application Processing
Secure Centralized Vault for Data Docupace

Centralized Vault

Document Management
Smart Forms Workflow Process Docupace

Smart Forms

Forms Wizard and Automation
Advisor On-boarding through Docupace

Advisor Onboarding

Processing of New Advisors
Transition Assistant Docupace

Transition Assistant

Successfully Transition Client Data
Secure Data Room Docupace

Data Room

Document Collaboration
Mail Compliance Tool Docupace

Complaint Mail

SEC Mandated Mailings
Advertising Review Docupace

Advertising Review

Advertising Compliance Review
Alternate Investment Docupace

Alternative Investments

Processing for Alternative Investments