Advisor Transitions

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.