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Overview
This document describes how to use the Docupace-Envestnet integration.
There are three possible scenarios for client information.
We have a client in Docupace and the same client in Envestnet.
We have a client in Docupace, but not in Envestnet.
We have a client in Envestnet, but not in Docupace.
Client Exists in Docupace and Envestnet
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Log in to the IDP (Identity Provider) first, which logs you into Docupace, and subsequently should have seamless SSO to Envestnet.
Click Retrieve > Client in Docupace.
Search for the client.
Click Open Client in Envestnet.
If the Client is found, the System opens the Envestnet Client screen.
Click the Proposals tab to see the proposals for this client.
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Client Exists in Docupace But Not In Envestnet
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Log into the IDP (Identity Provider) first. This logs you into Docupace and sets up an SSO connection with Envestnet.
Click Retrieve > Client in Docupace.
Search for the client.
Click Open Client in Envestnet. If the system does not find a matching client in Envestnet, it will start a wizard to create a new Envestnet client.
Conditional: If you have access to more than one Envestnet Advisor, then the system will display the Select Advisor screen. Select the Advisor from the list.
Conditional: If client with the same first and last name is found in Envestnet, the system displays Select Client screen. Select the Client from the list.
Enter the Family Name for a new client and click Continue.
The System opens the Envestnet Client screen.
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Creating a New Proposal
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Log into the IDP (Identity Provider) first. This logs you into Docupace and sets up an SSO connection with Envestnet.
Click Retrieve > Client in Docupace.
Search for the client.
Click Initiate Proposal.
The system opens the Initiate a New Envestnet Proposal screen. Enter the Proposal Title and Amount. Then click Create Proposal. Note: If a client for this proposal is not found in Envestnet then a new client creation scenario is initiated first.
The System creates a new proposal for this client and opens the Risk Assessment screen. Fill out all required fields and click Save + Next on all defined screens.
Note: The fields displayed on each screen can vary by organization, so your view may differ from the images in this guide.
You can add multiple investments when creating a proposal. To add investment, click Add Investment and select Add Proposed Investment.
On the Paperwork screen click Generate to create the documentation.
Select Send Proposal Info from the Actions menu to send this proposal to Docupace.
In Docupace creates the Work Item and the process continues as the standard Workflow. Once your organization finishes creating the account, Docupace sends the signed documents to Envestnet. |
Creating a Proposal for Several Owners
When creating a proposal, you can create an additional owner.
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Click Add Owners and select Add Family Member.
Fill out the fields in the Family Member screen.
Select the Joint Owner for the Variable Annuities program (see the example to the right).
If the new client is created in the Envestnet, he/she is not present in Docupace. When sending a proposal to the Docupace, it recognizes the new client. Click on this client.
Click New Client to add this client to the Docupace.
In the New Client Details screen, fill out the missing fields (TIN/SSN, Date of Birth, etc.) and click Save.
Click Complete when a new client is linked to the existing client folder.
Docupace creates two Work Items – one for each owner and opens the first one.
Click eSign. Docupace creates a draft eSign transaction.
Fill out the missing fields for the primary (1) and secondary recipients. Next, click eSign (2).
Both owners receive the DocuSign envelopes.
Open the email and click Review Documents.
The envelope contains all documents together for both owners. Note: Docusign displays identical documents once for both owners.
Both owners must sign the documents. Click Finish when done.
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Audience: End-users of Docupace and Envestnet
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Functionality: The Envestnet integration combines the power of the Envestnet money management platform with the versatility of the Docupace account opening and customer reception experience. This results in a fully automated, fully integrated new account creation and monitoring solution that meets all FINRA and SEC requirements. |
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