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titleVersion History

Date

Change

October 2023

Workflow information.

July 2022

Initial Version

Using the App
Info

Overview: The New Account Opening App allows you to quickly create a new account for a specific client.

Further steps: Once you add initial information for a new account to Docupace, a Work Item with relevant forms is created. Depending on the workflow used in your firm, the Work Item then travels through a review cycle, signing steps and arrives at the Back Office for final processing.

How to Open a New Account

Rw ui steps macro
Rw step

To create a new account, click Quick Start.

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Rw step

Click theIn Quick Start, click New Account Opening tile.

Rw step

Complete all fields on the Account Setup tab (A)and click NEXT.

  1. Firm

  2. Rep

  3. Vendor

  4. Product Type

  5. Registration Type

  6. Account Options

Click Next (B).

Note: Once you make a selection in a field, the next field will display.

Tip

Tip: You can view your selections at on the bottom right side of the screen(C).You can also restart at any time by clicking the Start Over button (D).

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Rw step
Tip

Tip: Skip this step if you started from a CRM - Redtail or Wealthbox. The client name will be visible in the Overview section.

Image RemovedEnter the First Name, Last Name, or SSN and click Search.

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Rw step

The system displays a list of results. You can:

A. Select a Client from the results list

B. Search Again

C. Create a New Client

Rw step

On the Final Review tab:

  1. Click and drag the Lines icon (1) to reorder the primary and additional account holders.

  2. Click the Trash icon (2) to delete the primary or additional account holder.

  3. Review your selections (3).

  4. Click Create Work Item (4).

Rw step

The system creates the Work Item and displays this confirmation screen. The Work Item is sent to the next step in the workflow, which is usually Pending Forms Review.

From here you can:

A. Open the Work Item

B. Start a New Work Item

Tip

Tip: You can write down the Work Item number for later reference.

Creating a New Client

Rw ui steps macro
Rw step

On the Client Type subtab, select:

  1. Entity, Person, Prospect, or Trust.

  2. Client Status (Active, Inactive, or Prospect).

  3. Business Type (Non-RIAor RIA).

Click Next NEXT.

Rw step

On the Main Info subtab, fill out the required fields.

  • First Name

  • Last Name

  • Social Security #

Click NextNEXT.

Note: SSN is not required for Prospects.

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On the Government Issued ID subtab :

Fill

fill out the fields (optional)

.Click Next

and click NEXT.

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On the Legal Address subtab :

Fill

fill out the fields (optional)

.Click Next

and click NEXT.

Tip

Tip: Selecting Yes under Use the legal address for mailing address will autopoulate autofill the Mailing Address fields.

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The fields on the Employer Info subtab are optional. Click Next NEXT to move on to the Final Review tab as described in .

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Audience: Users of the RIA Productivity Suite, Service Associates, Financial Professionals

Functionality: The RIA Productivity Suite is a toolkit for Advisory firms to digitize, streamline, and automate operations Quick Start is a page in Docupace that allows you to access many convenient apps. The New Account Opening App allows you to quickly create a new account for a specific client.

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