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Docupace is a leading digital operations technology provider that simplifies how wealth management firms process and digitize data, increasing efficiency, productivity, and profits. With the secure, cloud-based Docupace Platform, the Docupace team provides a suite of digital solutions that helps broker-dealers, RIAs, and their advisors streamline and automate client onboarding, document management, advisor transitions, regulation best interest, and other critical workflows while maintaining SEC and FINRA compliance. With headquarters in Los Angeles, California, Docupace is proud to serve a variety of firms, including some of the largest in the financial services industry, through a combination of proven technology and hands-on service.  For more information, please visit www.docupace.com.

Michael Pinsker

Founder and President, Docupace

Award Category
Technology Providers: Document Management
Initiative
Reg BI Integrated Tool (Tracker BI)
Customers of Docupace’s Document Management solution can leverage the integrated capabilities of Reg BI tool called Tracker BI per below.
  • Docupace’s Tracker BI allows financial advisors to simply and quickly send and track delivery of Form CRS and other regulatory disclosures to investors by mail, electronically, or in-person.
  • Tracker BI provides end-to-end processing, tracking, storage, and audit functionality to meet Regulation Best Interest (Reg BI) requirements.
  • With a centralized and secured cloud-based product for managing Reg BI compliance, broker-dealers, RIAs, and advisors can simplify Reg BI requirements with electronic delivery, workflow automation, compliant storage, digital experience, and acknowledgment capabilities.
Resources
ARTICLE
The Key to Simpler Reg BI Compliance

Discover the benefits of electronic Form CRS delivery and storage vs. paper processes.

ARTICLE
Wealth Management’s Digital Future

We asked 11 financial services leaders to weigh in on the biggest questions surrounding digitization.

VIDEO
Open Accounts & Onboard Clients Without Forms

Create a simple branded digital client onboarding experience for the advisors and clients.

About the Initiative

Guided Income Solutions℠ (GIS) is a turnkey, bucketed investment solution designed to deliver steady and tailored cash flows to clients planning for retirement. The bucketed investing framework provides an intuitive approach to converting clients’ nest eggs into an automatic income replacement based on their personal financial goals; the buckets automatically rebalance to systematically reduce risk and accommodate investors’ needs. GIS provides an alternative to annuities; delivering an investment approach that is flexible, liquid, and cost-effective.

GIS aims to transform and enhance current retirement income solutions, to:

Registration