Convincing the best advisors 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 usually results in NIGOs and other compliance issues. During this process, advisors are faced with frustrating business disruptions and lost revenue.

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

• 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.

Attract top advisors with hassle-free, cloud-based transitions. Leveraging Docupace’s secure, cloud-based platform, automated workflows, compliance knowledge, and hands-on service, broker-dealers and RIAs can give incoming advisors the ability to transition their books of business digitally in as little as 30 days.

• 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