Advisor Transitions

Transform the Transition Process with Automated Workflows and Hands-on Service

Visit website
Write a Review
Unclaimed Profile
Docupace’s financial advisor transitions process is designed to assist with adherence to the relevant FINRA rules and SEC regulations surrounding the incoming advisor. Maintaining segregation of information until the date of registration is paramount, along with other controls, enables the intaking firm and the incoming financial advisor a well-documented, faster transition. Docupace carefully silos all information during the transition process to maintain privacy for the financial advisor and their clients, and to ensure the intaking broker-dealer does not have access to client data until the financial advisor signs the new account forms. We work with broker-dealers to develop their financial advisor transitions site, then work with transitioning financial advisors to complete the process, ensuring there is no overlap until the financial advisor registers, via Form U4, with the intaking broker-dealer.
Docupace

Screenshot & Video

1/1

LICENSING & DEPLOYMENT

  • Cloud Hosted
  • Web-based

SUPPORT

  • Phone

Knowledge Base

  • Help Guides
  • Video Guides
  • Blogs
  • Webinars

Advisor Transitions Core Features

Virtual Data Room

  • Access Controls/Permissions
  • Collaboration
  • Data Security
  • Data Storage Management
  • Document Indexing
  • Due Diligence Management

Advisor Transitions Pricing

Pricing Type

  • Contact Vendor

Free Version

  • No

Payment Frequency

  • Quote Based

Advisor Transitions Reviews

No Review
No reviews submitted yet.
Be the first one to review
This profile is not claimed

Do you own or represent this business? Enter your business email to claim your GoodFirms profile.