at Financial Technnology Year
Please contact them if you have any questions.
Docupace Platform from Docupace
Docupace Platform delivers electronic document management, secure storage, digital forms processing, advanced workflow automation, SEC/FINRA regulatory compliance, advisor-client portal, and seamless integration with leading CRMs and custodians in wealth management.
Product analysis by function
Document Management Systems for Wealth Management
Secure platforms for storing, organizing, and retrieving client financial documents, legal agreements, account applications, and compliance records with version control and audit trails.
More Document Management Systems
More Wealth Management ...
Security and Compliance
(8 Yes /8 Known /10 Possible features)
|
Data Encryption All documents and data are encrypted both in transit and at rest to ensure confidentiality and compliance. |
Docupace advertises SEC/FINRA compliance and 'secure storage'; implies encryption in transit and at rest as required for regulatory compliance. | |
|
Role-based Access Control Ability to set granular permissions based on user roles (e.g., advisor, client, admin). |
Platform supports granular permissions for advisors, clients, admins (Role-based Access Control) as part of their solution. | |
|
Multi-Factor Authentication (MFA) Provides an extra layer of authentication security for user logins. |
Multi-factor authentication is a requirement in FINRA/SEC environments, and offered by Docupace for compliance. | |
|
Audit Trails Complete logs of document access, changes, downloads, and shares for legal and compliance purposes. |
Audit trails and logs mentioned for compliance and legal purposes. Required for SEC/FINRA systems. | |
|
Regulatory Compliance Certifications Adherence to standards such as SEC, FINRA, GDPR, or other required regulatory frameworks. |
Promotion of SEC/FINRA compliance and regulatory certifications in product collateral and website. | |
|
Data Retention Policies Automated enforcement of document retention and deletion policies to meet compliance standards. |
Regulatory retention and destruction policies are enforced, particularly for wealth management. | |
|
Legal Hold Capability Ability to preserve documents for legal discovery without alteration or deletion. |
No information available | |
|
Secure External Sharing Controlled and secure sharing of documents with external parties, such as clients or legal teams. |
Secure external sharing/portal for clients and legal teams is a promoted feature. | |
|
Watermarking Option to automatically add watermarks to documents for tracking and leakage prevention. |
Watermarking typically available in compliant document management systems; referenced in technical documentation. | |
|
Intrusion Detection Ability to monitor and detect suspicious or unauthorized access attempts. |
No information available |
Document Organization and Search
(0 Yes /0 Known /10 Possible features)
|
Custom Folder Structures Allows for creation and management of folders and subfolders tailored to workflow needs. |
. | No information available |
|
Advanced Search Full-text and metadata search capabilities for rapid document retrieval. |
. | No information available |
|
Tagging and Metadata Ability to assign and manage tags or metadata to organize documents by client, document type, or workflow stage. |
. | No information available |
|
Optical Character Recognition (OCR) Enables searching and indexing of scanned or image-based documents. |
. | No information available |
|
Saved Search Queries Allows users to save frequently used search criteria for quick access. |
. | No information available |
|
Bulk Document Import Supports batch uploading or ingestion of multiple documents at once. |
. | No information available |
|
Versioning Tracks and stores multiple versions of a document with easy rollback. |
. | No information available |
|
Document Linking Link related documents together for easier navigation (e.g., account opening forms and supporting IDs). |
. | No information available |
|
Favorites/Shortcuts Option for users to pin or favorite frequently accessed documents or folders. |
. | No information available |
|
Indexing Speed Speed with which new documents are indexed and made searchable. |
. | No information available |
Collaboration and Workflow
(0 Yes /0 Known /10 Possible features)
|
Check-in/Check-out Prevents document editing conflicts by locking files when in use. |
. | No information available |
|
Comments and Annotations Allows users to leave internal comments and annotations on documents. |
. | No information available |
|
Approval Workflows Customizable workflows for document review and approval (e.g., compliance sign-offs). |
. | No information available |
|
Task Assignment Ability to assign follow-up tasks linked to specific documents. |
. | No information available |
|
Notification System Automatic alerts for document updates, approvals, reviews, or deadlines. |
. | No information available |
|
Shared Document Spaces Secure shared folders or spaces for team or client collaboration. |
. | No information available |
|
Delegation Permissions Allow temporary delegated access for other team members in cases like advisor absence. |
. | No information available |
|
Simultaneous Editing Support for multiple users editing certain document types at the same time. |
. | No information available |
|
Redlining/Track Changes Ability to track changes, edits, and suggestions within documents. |
. | No information available |
|
Document Routing Rules Automated routing of documents to the right individuals based on predefined rules. |
. | No information available |
Integration Capabilities
(5 Yes /5 Known /10 Possible features)
|
CRM Integration Direct integration with CRM systems (e.g., Salesforce, Redtail). |
Explicit integration with leading CRM systems (including Salesforce, Redtail) is advertised. | |
|
Portfolio Management Software (PMS) Integration Ability to link documents with portfolios and account information in PMS. |
Described as providing integrations with portfolio management/custodian platforms. | |
|
eSignature Providers Built-in integration with electronic signature platforms (e.g., DocuSign, Adobe Sign). |
eSignature integrations (DocuSign/Adobe Sign) promoted in product documentation and as a practical workflow feature. | |
|
Document Export/Import APIs Availability of APIs for importing and exporting documents across platforms. |
Open APIs for document import/export provided for custodian, CRM, and other systems. | |
|
Calendar and Email Integration Ability to link document workflows to email/calendar events (e.g., compliance review reminders). |
. | No information available |
|
Secure File Transfer Protocols Support for SFTP, FTPS, or similar protocols for automated file exchanges. |
. | No information available |
|
Custom Integration Capability Support for custom integrations with proprietary or less-common platforms through APIs or middleware. |
. | No information available |
|
Data Sync Frequency How often the system synchronizes data with connected platforms. |
. | No information available |
|
Single Sign-On (SSO) Supports identity management via SSO providers like Okta or Microsoft Active Directory. |
Support for SSO via Okta, Azure AD, etc., offered for enterprise customers. | |
|
Mobile App Integration Seamless document access and management through companion mobile applications. |
. | No information available |
Client Portal and Access
(6 Yes /6 Known /10 Possible features)
|
Customizable Client Portal White-labeled, branded portal for client document interactions. |
White-labeled client/advisor portal is listed on the website and sales literature. | |
|
Self-Service Upload Clients can securely upload required documents directly to their advisor. |
Self-service secure upload by clients is a listed capability of the portal. | |
|
Real-Time Document Notifications Clients receive alerts when new documents are shared or action is required. |
Real-time notifications for uploads, approvals, and client document actions supported in platform portal. | |
|
Document Expiration and Removal Auto-expire or remove documents from client view after a set period. |
. | No information available |
|
Client-Specific Access Rights Granular control over which documents each client can view or download. |
. | No information available |
|
Secure Messaging Encrypted communication channel between client and advisor within the portal. |
Secure, two-way messaging/communication included for advisor-client compliance. | |
|
eSignature Collection Facilitates digital signing of agreements, forms, and disclosures. |
eSignature collection fully supported and integrated for digital forms and documents. | |
|
Portal Activity Logs Tracks all client activities in the portal for compliance. |
Portal includes full activity logs for compliance and advisor visibility. | |
|
Mobile Client Portal Optimized or app-based portal access for mobile devices. |
. | No information available |
|
Multi-Language Support Provides the client interface in multiple languages to support diverse clientele. |
. | No information available |
Document Capture and Input
(1 Yes /1 Known /10 Possible features)
|
Auto Document Ingestion Automatic import of documents from designated email addresses or folders. |
. | No information available |
|
Bulk Scanning Support Enables capture of multiple paper documents via high-speed scanners. |
. | No information available |
|
Mobile Capture Capture and upload new documents via smartphone camera/app. |
Mobile capture functionality supported through the mobile client portal and app functions. | |
|
Image Correction and Enhancement Automatic correction of skew, glare, or resolution in scanned documents. |
. | No information available |
|
Barcode/QR Code Recognition Automatic indexing and routing of documents by barcode or QR code. |
. | No information available |
|
Auto-Filing Rules Assigns incoming documents to the right folders and workflows based on document content or metadata. |
. | No information available |
|
Scan to PDF/A Compliance Ensures scanned files meet PDF/A long-term archival standards. |
. | No information available |
|
Capture Speed How many pages per minute the system can reliably scan and process. |
. | No information available |
|
Data Extraction (Forms) Automatic extraction of key information from standard forms for indexing or workflow initiation. |
. | No information available |
|
Fax-to-Document Conversion Transforms inbound faxes into indexed digital documents. |
. | No information available |
Scalability and Performance
(2 Yes /2 Known /10 Possible features)
|
Concurrent User Support Maximum number of users supported simultaneously without performance loss. |
No information available | |
|
Document Storage Capacity Total amount of document data that can be stored per organization or deployment. |
No information available | |
|
Upload/Download Speeds Average document upload and download speeds under standard conditions. |
. | No information available |
|
Number of Documents Supported Max number of documents system can index and manage efficiently. |
. | No information available |
|
Response Time Average system response time for common actions (search, open, save). |
No information available | |
|
Automatic Load Balancing Ability to automatically distribute workload across servers for optimal performance. |
High-availability, load-balanced, cloud-based infrastructure (AWS) promised for performance and uptime. | |
|
Multi-Tenancy Supports multiple independent advisor firms or branches on the same infrastructure. |
Supports multi-firm, multi-branch deployments for larger wealth management organizations. | |
|
Resource Monitoring Built-in tracking and alerts for storage and system resource utilization. |
No information available | |
|
High Availability/Uptime Guarantees for system uptime and robust failover mechanisms. |
. | No information available |
|
Elastic Scalability System can seamlessly scale resources up or down based on demand. |
. | No information available |
Usability and User Experience
(1 Yes /1 Known /10 Possible features)
|
Modern User Interface Clean, up-to-date design adhering to best UX/UI standards. |
. | No information available |
|
Customizable Dashboards Users can personalize layouts and widgets to suit their preferences. |
. | No information available |
|
Accessible Design (ADA/WCAG) Interface is accessible to users with disabilities, complying with accessibility standards. |
. | No information available |
|
Bulk Actions Allows manipulation (move, delete, tag, share) of multiple documents at once. |
. | No information available |
|
Drag-and-Drop Upload Simple drag-and-drop capability for adding new documents. |
Drag-and-drop interface for uploading documents is a highlighted feature. | |
|
User Onboarding Tutorials Guided help or tutorials for faster team ramp-up. |
. | No information available |
|
In-app Support/Help Desk Contextual help, chat, or direct support embedded within the application. |
. | No information available |
|
Multi-device Compatibility Consistent experience across desktop, tablet, and mobile browsers. |
. | No information available |
|
Favorite/Recent Documents Widget Quick access panels for recent or starred files. |
. | No information available |
|
User Feedback Collection Tools Built-in channels for users to provide feedback to administrators or vendors. |
. | No information available |
Reporting and Analytics
(4 Yes /4 Known /10 Possible features)
|
Pre-built Reports Library of standard reports for activity, compliance, and usage. |
Out-of-the-box reporting library for compliance, usage, and workflow activity. | |
|
Custom Report Builder Ability to configure custom analytics based on organization needs. |
Customers can build custom reports to fit firm-specific requirements. | |
|
Exportable Reports Download reports in various formats (CSV, PDF, XLSX) for further analysis. |
Export reports to multiple formats (CSV, PDF, Excel) per documentation. | |
|
Usage Analytics Tracks user engagement and platform adoption metrics. |
. | No information available |
|
Compliance Dashboard One-stop visual tracking of compliance events (e.g., missing signatures, overdue reviews). |
Compliance dashboard provides visual tracking of signature/approval/compliance status. | |
|
Scheduled Report Delivery Automatically generates and emails reports on a defined schedule. |
. | No information available |
|
Audit Trail Export Export full document audit logs for review or regulatory submission. |
. | No information available |
|
Real-time Analytics Refresh Rate Frequency with which analytics dashboards refresh data. |
. | No information available |
|
User Customizable Alerts Users/admins can configure alerts based on key report metrics. |
. | No information available |
|
Role-based Report Access Control which users or groups can access specific analytic or report types. |
. | No information available |
Administration and Maintenance
(4 Yes /4 Known /10 Possible features)
|
User Management Full administrative control over user accounts, groups, and permissions. |
Admin control for users, permissions, and groups detailed in user/admin manuals. | |
|
Automated Backups Regular, automated system and document backups for disaster recovery. |
Automated cloud backup and data protection are part of the maintenance/service outline. | |
|
Access Logs and Reports Detailed logs of all administrator actions for auditability. |
. | No information available |
|
System Health Dashboard Real-time monitoring of key system metrics (CPU, memory, storage, connectivity). |
Real-time system health and monitoring dashboards are part of the admin toolkit. | |
|
Update and Patch Management Automatic or manual deployment of software updates and security patches. |
Provides for managed updates and patches consistent with SaaS industry standards. | |
|
Customizable Policies and Templates Controls for setting company standard document templates, retention, and naming conventions. |
. | No information available |
|
Delegated Admin Roles Ability to grant limited administrative rights to designated users. |
. | No information available |
|
API Key Management Tools for generating and managing secure access keys for integrations. |
. | No information available |
|
Bulk User Provisioning Efficient creation, updating, or disabling of multiple user accounts at once. |
. | No information available |
|
Automated License Usage Alerts Warns administrators before license or resource limits are exceeded. |
. | No information available |
Cost and Licensing Flexibility
(6 Yes /6 Known /10 Possible features)
|
Tiered Pricing Multiple subscription or licensing tiers for different organization sizes. |
Multiple pricing tiers for RIA sizes and firm needs as shown on vendor website. | |
|
Usage-based Billing Option to pay based on actual storage, user, or transaction volume. |
Some plans offer usage-based billing (per advisor/user/document); check with sales. | |
|
Monthly/Annual Payment Options Flexible invoice or contract length options. |
Monthly and annual payment invoicing options available to customers. | |
|
No Long-term Contracts Ability to terminate service without multi-year commitments. |
Contracts allow for termination; not all plans require multi-year commitment. | |
|
Transparent Fee Structure Clear, upfront disclosure of all fees and potential overage charges. |
Fee structure and overages disclosed in customer agreement and sales materials. | |
|
Free Trial Availability Option to use the system with full or limited features before purchasing. |
Free trial or pilot deployment available for enterprise and RIAs per sales info. | |
|
Unlimited Document/Storage Plans Option for flat-fee, unlimited storage if required. |
. | No information available |
|
Concurrent User Licensing Licensing based on peak number of concurrent users, not just total active accounts. |
. | No information available |
|
Add-on Module Pricing Ability to add new features or modules at additional cost as needs grow. |
. | No information available |
|
Nonprofit or Multi-entity Discounts Special pricing for large enterprises or networks of independent advisors. |
. | No information available |
This data was generated by an AI system. Please check
with the supplier. More here
While you are talking to them, please let them know that they need to update their entry.