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title	Change Log

Date	Change
October 2022	Inital Version

Warning

Warning: You must upload files in the following order:

REP
ACL
CLT

Sample Files

These sample files contain test data. Please remove that data before importing the files into Docupace.

View file

name	productria_repacl.csv

View file

name	product_clt.csv

View file

name	product_aclrep.csv

Note
Product: RIA Productivity Suite

Audience: Back Office Users

Info
Functionality: Data files allow you to make changes to records in bulk.

Filter by label (Content by label)

cql	label = "ria-pro"

Rep File (.REP)

The Rep .REP file contains all rep Rep codes for an advisor. The .ACL file references the Rep number to determine team members and assistants who should have access to work items created by a particular repRep. The information from this data file will populate three different domain tables in Docupace.

Note
Attention: Each rep Rep code must have its own row in the excel Excel file. For example, if Rep A has three rep Rep codes, you would add 3 separate rows.

Advisor Table

The majority of the information resides here.

Note: There Each advisor should only be have one record per Advisor.

Rep Table

This is where the Rep code(s) are listed. An Advisor may have multiple Rep codes they are associated with. Each Rep code will show in the rep table. The system then associates an Advisor with that rep. There are situations where multiple Advisors may be linked to a The Rep domain lists the Rep codes assigned users. The system can associate an advisor to more than one Rep code. The system can also associate multiple advisors with the same Rep code.

Email Recipient

The system will create an email recipient record for each Advisor. It will also link the Advisor's email with all associated Rep codes.

Required Fields/Columns:

Rep Number (A)
Rep First Name (C)
Rep Last Name (D)
BD Number (F)
Phone Number (H)
Email Address (I)

Column Definitions

Review the table below for help completing each column in the .Rep File. Asterisks (*) identify which columns must contain information.

Column	Field/Header	Max (min) Char	Details
A*

rep

Rep_number

30

Unique Financial Advisor Number

Will be used

Used for hierarchical access from the User File (.

acl

C*
`ACL`)
B	clearing1 (nfs)	30	NFS Rep Code

rep

D*
Rep_first_name	100	Advisor's First Name

rep

E
Rep_last_name	100	Advisor's Last Name

rep

F*
Rep_full_name	30	Advisor's full name

rep

Rep_bd_number

7

Set this field to 7 for each row

G

RESERVED1 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

H*

rep

I*
Rep_business_phone	15 (10)	Advisor’s Business phone number

rep

J
Rep_email_address	100	Advisor’s email address

rep

Rep_fax_number

15 (10)

Advisor’s Business fax number

K

RESERVED2 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

L

rep

M
Rep_field_osj_first_name	30	OSJ First Name

rep

Rep_field_osj_last_name

30

OSJ Last Name

N

RESERVED3 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

O

rep

P
Rep_osj_office_branch_number	30	Rep’s OSJ Office Branch Number

rep

Rep_ssn	9 (9)	Advisor’s SSN `xxxxxxxxx` without dashes. Only numbers.
Q	region_code	30	Region Code
R	osj_code	30	OSJ Code
S	sales_office_code	30	Sales Office Code
T	address_line1	254	Advisor Address Line 1
U	address_line2	254	Advisor Address Line 2
V	city	30	Advisor City
W	state	2 (2)	Advisor State
X	zip_code	10 (5)	Advisor Zip Code
Y	clearing2 (pershing)	30	Clearinghouse Rep Number (If applicable) Not required.

In many cases, it is

often the same as the Rep

number. Can be left blank. Not used for routing/hierarchical purposes.

Number
Not required
Labeled “Pershing” by default.

Z

RESERVED4 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

AA

split_

rep

AB
Rep (T/F)	`Y` or `N`	Is the Rep Code shared with one or more advisors for commission purposes?

rep

Rep_dob	`MM/DD/YYYY`	The Date of Birth of the Registered Advisor
AC	pershing_

rep

Rep_number

3

Pershing IP Number

Note: used only for Pershing NAO API

AD

adv_order

1 2 or 3

Sets if

It sets the Advisor

is

as Advisor 1, Advisor 2, Advisor 3 for split

rep

Rep codes.
AE	create_adv_folders	`Y`	Determines

whether Advisors office folders should be created

if the system should create Advisor Office folders for this Rep code

User Access File (`.ACL`)

The .ACL file provides the mechanism to add/disable users into the system. This file provisions users in the system, systematically. The ACL file can The information in this file updates the User Access domain and the user field in the Rep domain. It also updates the corresponding settings in Security Realm. This allows you to create, update, and/or terminates terminate users in bulk.

Tip

Best Practice Tip: We recommend that you ALWAYS use the .ACL file when adding or making changes to Docupace users for consistency and ease of user management.

However, you should manually immediately remove terminated users immediately manually.

Info

Important features of the .ACL File:

For a given user, controls Control the documents that a user can access ( via client and sub-folder access)
Provides automatic initial user setup
Provide the ability to update the user’s data role if a changed data role is required
Set up users in bulk
Update or set a user’s data role

Associating Assistants with Advisors

Each association requires three rows. It's important that the rows get loaded in this order. The third row isn't required for the association, but you need to include it is necessary if you want to correct the name/email of the assistant after making the association.

Defines Rep
Creates and associates Assistant
Updates Assistant’s name and email

When adding row number two, the system uses the following logic to associate the rep Rep and assistant records.

Processor SA (assistant) must match on First and Last Name, SSN, or Email, AND Primary Flag or Split Rep = Y
The owned_rep Rep column (Col J) must contain the advisor’s rep Rep code.
The allowed_proc column (Col R) must contain the advisor’s user name.

What Does Each Column Mean?

The information below provides the fields that must be considered when using an /columns included in the .ACL File.

Column	Field/Header	Max (min) Characters	Details
A	bd	`7`	Firm number. You should enter `7` for each row.
B	user_name	125 (1)	Enter the user’s email address
C	user_first_name	50	User’s First Name
D	user_last_name	50	User’s Last Name
E	user_email	50	`xxxx@xxxx.com`
F	user_status	`A` or `T`	Active=`A` Inactive=`T` This will drive ongoing access – a required field for gaining or terminating access.
G	record_type	2 (1)	`B` – Back Office `RC` – Rep code This field determines which Advisor Records a user has access to.
H	acl	30	Enter the corresponding

rep

Rep code from the .REP file.

Warning
Attention: You need to enter a value for each row with `RC` in column G.

Tip
Tip: If the user has more than one

rep

Rep code, you need to enter row for each code.

I

primary_flag

Y or N

Determines if

Sets the

associated

Rep code

is the Advisor's primary if the Advisor has more than one

as the Advisor’s Primary Rep Code.

Warning
Attention: You need to enter a value for each row with `RC` in column G. If you do not select a primary, the system will set one at random.

Note: The system will automatically mark this as Y if the Advisor only has one Rep code.

J

assoc_user

K

user_role

50

Docupace User Data Role

Field Users:

Processor FP
Processor SA

Back Office Users:

RIA BO BILLING
RIA BO COMPLIANCE
RIA BO MAINTENANCE
RIA BO PROCESSOR
RIA BO QA

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

L

bill_status

Y

Always set this field to Y.

M

entity

100

Enter the firm name. You can find this in the Firm domain. Most sites associate users to a single entity.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field

. In most cases, users on a single site are associated with the same entity

.

N

RESERVED

0

Leave blank

Warning
Attention: Do NOT remove this column.

O

auto_assign_creator

Y or N

For field users, this should be set to Y. For Back Office users, it should be set to N.

Y for Field Users.
N for Back Office users

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

P

trusted_sso

50

Examples:

Salesforce
Redtail

Connect

Wealthbox

Practifi

Enter the CRM your firm uses in addition to Connect.

Note: If you do not enter a value into this column, the system will set it to Connect.

Tip
Tip: If you need to add multiple entries, use semi-column with no spaces to separate values: `Salesforce;Connect`.

Q

grant_access

125 per value

Enter one or more other user

ids

IDs.

Ids

IDs you enter into this field will have access to the user’s unindexed documents.

(list separated by comma or semi-colon with no spaces) dbuckley,jfriedman,

Note: If left blank, it will default to the user

id

ID from column B.
R	allowed_proc	125 per value	Enter one or more other user

ids. IDs you enter here will be able

IDs to allow those individuals to process work items on behalf of the user.

(list separated by comma or semi-colon with no spaces) dbuckley,jfriedman,

Note: If left blank, it will default to the user

id

ID from column B.

S

user_type

30

Advisor
Back Office User

Provides details for billing

reports

Reports.

Info
Note: Set all Field users to `Advisor` and all Home office users to `Back Office User`.

T

billable_user

125

Select

Associates the user with a billable user

id that the user should be associated with

ID. If an admin supports an Advisor, the Advisor's user

id

ID would show here.

Note:

This field is only relevant for

Only use this field when setting up Field users.

U

alias_user_name_clear

T or F

Clears out the alias in the User Access domain:

T clears out the current data in this field
F will leave the field as is

This column clears the alias_user_name field so that you can re-populate the alias field with the correct alias

id

ID with one file load.

Warning
Attention: You must set this column to`T` if you have data in column `V`.

V

alias_user_name

125

Populates the Alias field in the User Access domain.

These columns are typically used for CRM's like Redtail or Salesforce, etc. These columns could also be used for SSO functionality.

Typically, CRMs such as Redtail or Salesforce use columns U and V. Alternatively, you can use them as part of SSO.

Info

Example: A user launches Docupace from their company intranet. Normally, the user accesses Docupace via SSO.

A. If this field

is blank

does not contain data, the user will have to go through the SSO process again.

B: If this field contains the company login, then the user can seamlessly launch into Docupace from the company site.

Client File (`.CLT`)

You will only need to import the .CLT file during your initial site setup. It imports your client data into the Docupace system. Each row corresponds with an Account Folder or Subfolder for a client. If you plan to only add the Client information (and not account information), you only need to add the client-level detail.

Note: Client type dictates whether you use First/Last names or Company Name.

Client Field CSV Example

Generating a Subfolder

tip

Tip:
Each filled
line (or
row
)
in
the
your spreadsheet will create a
new
Client Subfolder.
Subfolder type is the ONLY required field to generate a Subfolder for a Client record
Record per Subfolder (if there are more than one everything is duplicated except the Subfolder type)To create a specific subfolder, you must enter a value in the Subfolder Type column.
To create multiple subfolders for the same client, create duplicate rows and edit the data in the Subfolder Type column.
If you do not populate Subfolder info, ONLY a general folder is created with the Client folder
The fields that contain Client Folder information are
the
only required fields. You are not required to add Client Subfolder (account) information if you do not have it available. TipTip: If you create a single Client Folder record, ONE Subfolder will also be created (automatically) with a Subfolder type of General
Subfolder Type column, the system will create a general folder under the Client folder.

Required Fields for Client File

SSN/TIN (F)
Rep ID (I)
Client Type
- If person: Last_name (A) and first_name (B)
- If entity: entity_name (D)
- Business Type (consult with your Docupace team about this value)
- Status

What Does Each Column Mean?

The following table describes the information you need for each column.

Column	Field/Header	Max length (Min length)	Field Details
A	last_name	100	-
B	first_name	100	-
C	group_name	100	Group can

represent

Represent a Household unit.

D

entity_name

100

Used for Company or a Trust

E

client_type

30

Person
Trust
Business/Entity
Vendor
Beneficiary
Other
Prospect

Warning
Warning:

Different fields are required

The system requires different fields based on the Client Type field (Column E). Incomplete records will result in file load errors.

Client Type Person: First Name, Last Name, SSN and Rep required
Client Type Entity: Company Name, SSN, and Rep required

F

ssn

9 (9)

Format the ssn without dashes.

123456789

G

business_type

30

Varies by site. Normally there are at least

The available values can vary based on your site setup. A typical site includes BD/RIA and Non-BD/RIA.

Typically, BD/RIA is replaced with the BD’s name

Many sites use the BD’s name in place of BD/RIA.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

H

client_status

30

Active or Inactive

I

rep#

Rep#

30 per value

Rep code. You can find this in Column G of the .REP file

, or

. You can also find this in the Rep record if the Rep already exists.

Note
Important Note:

If an account is shared by two unique Rep codes (not a split Rep code)., you need to make

To associate more than one rep code to the same account, create a separate row for each

one

of those rep codes.

Copy the row with the first

rep

Rep code to a blank row.
Update Column I (

rep#

Rep#)

J

account#

30 per value

The account number

K

Subfolder_type

30

This column is required

The system requires this column for each subfolder

(

/account

)

you want to

add

create.

These

The available values

are

can vary based on

a system dropdown

your site setup.

Warning
Warning: If you don’t select a value for this field, the record will fail on the load.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

L

registration

50

These

The available values

are

can vary based on

a system dropdown

your site setup.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

M

sponsor

254

These

The available values

are

can vary based on

a system dropdown

your site setup.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

N

product_type

50

These

The available values

are

can vary based on

a system dropdown

your site setup.

Note
Important Note: Contact Support or your onboarding team for assistance filling out this field.

O

other_desc

254

-

P

state

2

2 digit state code

Q

short_name

100

Enter the short name of the account

R

open_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

S

close_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

-T

external_id

50

Subfolder External ID.

This field is frequently used for

3rd party integrations often use this field.

U

RESERVED

0

Leave blank

Warning
Attention: Do NOT remove this column.

V

account_status

30

Active, Inactive

W

middle_name

100

Client’s middle name

X

suffix

30

Client’s suffix

Y

gender

30

Male, Female

Z

dob

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

AA

citizenship

30 per value

-

AB

mailing_addr

254

-

AC

mailing_city

30

-

AD

mailing_state

2

-

AE

mailing_zip

10 (5)

-

AF

legal_addr

254

-

AG

legal_city

30

-

AH

legal_state

2

-

AI

legal_zip

10 (5)

-

AJ

email

100

-

AK

home_phone

15 (10)

999-999-9999 format

AL

mobile_phone

15 (10)

999-999-9999 format

AM

work_phone

15 (10)

999-999-9999 format

AN

empl_company_name

100

-

AO

empl_company_addr

254

-

AP

drivers_license#

100

-

AQ

dl_issue_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format

-AR

dl_exp_date

yyyy-mm-dd or
mm/dd/yyyy

MM/DD/YYYY format
Driver’s License expiration date

AS

RESERVED2

Leave blank

Warning
Attention: Do NOT remove this column.

AT

bank_name

100

-

AU

bank_city

30

-

AV

bank_state

2

-

AW

bank_routing#

Any number value

-

AX

bank_account#

30

-

AY

client_marital_status

30

-

AZ

client_occupation

100

-

BA

client_id

50

For 3rd party integrations

BB

RESERVED3

0

Leave blank

Warning
Attention: Do NOT remove this column.

BC

RESERVED4

0

Leave blank

Warning
Attention: Do NOT remove this column.

BD

RESERVED5

0

Leave blank

Warning
Attention: Do NOT remove this column.

BE

subregistration

50

Account Sub-registration type

Warning
Attention: Must match with Registration Type

BF

crm_source

-

BG

crm_external_id

-

Versions Compared

Old Version 10

New Version Current

Key

Sample Files

Rep File (.REP)

Advisor Table

Rep Table

Email Recipient

Required Fields/Columns:

Column Definitions

User Access File (`.ACL`)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (`.CLT`)

Generating a Subfolder

Required Fields for Client File

What Does Each Column Mean?

Page Comparison

Versions Compared

Old Version 10

New Version Current

Key

Sample Files

Rep File (.REP)

Advisor Table

Rep Table

Email Recipient

Required Fields/Columns:

Column Definitions

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Required Fields for Client File

What Does Each Column Mean?

User Access File (`.ACL`)

Client File (`.CLT`)