When advisors are ready to transition to a new custodian or broker-dealer, how do they transfer and seamlessly integrate client records (at least the ones they are allowed to take with them) into the new firm’s system?

Advisors and industry technology experts say it is a headache, but a new service from Docupace, a provider of SEC and FINRA compliant paperless document management services, is trying to change that.

Register or login for access to this item and much more

All Financial Planning content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access