Docupace
Investing
Los Angeles, California

Overall Rank: 79
Category: Investing
Category Rank: 6

Awards:

  • Top Fintech Company of 2022

Profile

Founded in 2002, Docupace is a technology company built for the financial services industry. The company is a leading digital operations technology provider that simplifies how wealth management firms process and digitize data while also increasing efficiency, productivity, and profits.


With the secure, cloud-based Docupace Platform, the company provides a suite of digital solutions that helps broker-dealers, RIAs, and their advisors streamline and automate client onboarding, document management, advisor transitions, Regulation BI, cybersecurity, and other critical workflows while maintaining SEC and FINRA compliance. The company is headquartered in Los Angeles and serves a variety of firms, including some of the largest in the financial services industry.


Visit www.docupace.com


Key Products

Docupace’s PreciseFP


Docupace’s PreciseFP solution accelerates the ability of firms to adopt the digital-first mindset clients demand.


Client Onboarding


With pre-populated forms, automatic data synchronization, built-in compliance checks, and advanced integrations, Docupace makes new account opening and maintenance processes surprisingly simple.


Document Management


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.


Advisor Transitions


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.


Compliance TRACKR


Simplify complex client disclosure requirements with automated delivery of Form CRS (Reg BI), Form ADV and DOL Rule disclosures.


Surveillance and Compliance


The Surveillance and Compliance solutions are the antidote to your challenges, pre- and post-trade.


Compensation Management


Create up-to-the-minute, accurate financial reports with financial summaries that can be created on an unlimited number of hierarchical levels.


Customer Insights

“Anytime we’d run into bumps in the road, Docupace has been reactive to whatever our needs were,” — Scott Jenkins, Director of Information Technology, Keel Point.


 


“When I discovered Docupace, I was looking for a straight-through processing method. Something electronic in form in order to go point to point — the Holy Grail.” — Steve Distante, Chief Entrepreneurial Officer, Vanderbilt


“Docupace allows advisors and staff to submit business in a simplified and secure way.” — John Barragan, Senior Vice President & Head of Strategic Operations, Cetera Financial Group


 


“For our offices that have completely implemented the Docupace Solution, we have seen an over 90% decrease in audit findings” — NettWorth Financial Group


 


“The biggest thing with Docupace is the strength of partnership for an industry where it changes constantly. To be able to have a partner we can work through challenges and opportunities with is very important. Docupace is as good as it gets.” — Bob Earle, National Life Group


 


“It’s very easy to fall back on what you know when you’re in a pinch, but we didn’t. We decided to only process straight-through for everything. The support from our home office was also key. They helped us figure out some specific processes which made our transition easier.” — Adam Pearce, Finance Planner, The Legend Group


 


“We choose Docupace because of their ability to deliver an enterprise-wide web-based solution to reduce costs and helping relieve our infrastructural dependencies while improving customer service, supporting our compliance requirements and meeting other organizational goals. They showed a willingness to work with us.” — Wallace Wealth Management