Expand

title	Change Log

Date	Change
January 2024	Updated tips for using the REP, ACL, and CLT files.
October 2022	Inital Initial 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	product_rep.csv

View file

name	productria_cltacl.csv

View file

name	product_aclclt.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 rep. The information from this data file will populate three different domain tables in DocupaceRep.

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

The information from the REP data file will populate three different domain tables in Docupace.

Advisor Table

The majority of the information resides here.

Note: There should only be one record per Advisor.

Image Removed The Advisor Table record example.

Image Added

Rep Table

This is where the Rep code(s) are listed. An The Rep domain lists the Rep codes assigned to Advisors. An Advisor may have multiple Rep codes they are associated with them. Each Rep code will show appear in the rep Rep table. The system then associates an Advisor Advisor will then be associated with that repRep. There There are situations where multiple Advisors may be linked to the same Rep code, called a Split Rep code.

Email

RecipientThe system will create an email recipient record for each Advisor. It will also link

Recipients Table

For each Advisor, an Email Recipient record is created, and the Advisor's email with is linked to 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)

What Does Each Column

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

Mean?

To fill out the template correctly, see the description of each column below:

Column	Field/ Header	Max (min)

Char

A
Characters	Details

*

	rep_number	30

Unique Financial Advisor

The Rep code - a unique Broker-Dealer Rep Number
Will be used for hierarchical access from the User File (.

acl

C*

rep_

ACL)
B	clearing1 (nfs)	30

NFS Rep Code

D
Clearinghouse Rep Number (if applicable) Not required In many cases, it is the same as the rep number Can be left blank. Not used for routing/hierarchical purposes. Labeled “NFS” by default.
C	rep_first_name	100	Advisor's First Name

*

F
	rep_last_name	100	Advisor's Last Name
E	rep_full_name	30	Advisor's full name

*

	rep_bd_number

7

Set

Any number value

In most cases, you should set this field to 7

for each row

G

RESERVED1 (do not

.
All rows should have this number unless there are multiple BDs in the network.
(Consult Docupace for additional values).

G

RESERVED1 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

H

*

	rep_business_phone	15 (10)

Advisor’s

I
Rep’s Business phone number

*

	rep_email_address	100

Advisor’s

Reps’ email address
J	rep_fax_number	15 (10)

Advisor’s RESERVED3

Rep’s Business fax number

K

RESERVED2 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

L

rep_field_osj_first_name

30

OSJ First Name

Note
Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to `T`).

M

rep_field_osj_last_name

30

OSJ Last Name

N

Note
Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to `T`).

N

RESERVED3 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

O

rep_osj_office_branch_number

30

Rep’s OSJ Office Branch Number

P

rep_ssn

9 (9)

Advisor’s SSN xxxxxxxxx

without dashes. Only numbers

Note
Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to `T`).

P

rep_ssn

9 (9)

Rep’s Social Security Number
Without dashes. Only nine digits.

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

Rep Address Line 1
U	address_line2	254

Advisor

Rep Address Line 2
V	city	30

Advisor

Rep City
W	state	2 (2)

Advisor

Rep State
X	zip_code	10 (5)

Advisor

Rep Zip Code
Y	clearing2 (pershing)	30	Clearinghouse Rep Number (

If

if applicable)
Not required.
In many cases, it is the same as the Rep number

.

Can be left blank. Not used for routing/hierarchical purposes.
Labeled “Pershing” by default.

Z

RESERVED4 (do not fill)

0

Leave blank.

Warning
Attention: Do NOT remove this column.

AA

split_rep (T/F)

Y

T or

N

`F`	Is the Rep

Code

code shared with one or more

advisors

Advisors for commission purposes?

AB

rep_dob

MM/DD/YYYY

The Date of Birth of the Registered Advisor

AC

pershing_rep_number

3

Pershing IP Number

Note: used only for Pershing NAO API

Note
Important: If the split_rep column (AA) is set to `T`, then values in columns L, M and O (rep_field_osj_first_name, rep_field_osj_last_name, rep_osj_office_branch_number) are ignored and not imported.

AB

rep_dob

MM/DD/YYYY

The Date of Birth of the Registered Rep

AC

pershing_rep_number

Populates

			attribute 100016 in the Rep domain (Pershing #)
AD	adv_order	`1`, `2` or `3`	Sets

if

whether the

Advisor

Rep is Advisor 1, Advisor 2, or Advisor 3 for a split

rep codes.

Rep code
AE	create_adv_folders	`Y` or `N`	Determines whether Advisors

office

Office folders should be created 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 create, update, and/or terminates users. user access to the Docupace site in bulk. In this file, each line item is equivalent to one Docupace user with a specific data role. 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.

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 remove terminated users . There are two exceptions:

You should create Admin users manually.
Manually remove users whose access to the system must be terminated immediately.

Info

Important features of the ACL File:

For a given user, controls the documents that a

Controls which documents each user can access (via

client and sub-folder

Client Folder and Subfolder access)
Provides automatic initial user setup

Provide the ability

Allows to update the user’s data role if

a changed data role is required

the user’s role has changed.

Associating Assistants with Advisors

Each association requires three rows. It's important that the rows The rows must 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 ACL Filefollowing table describes the columns in an ACL file. Identify what each row should be. It can be a unique user or the same user entered multiple times to add extra data roles or additional user aliases for integrated CRM systems.

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

value determines ongoing

access – a required field for gaining or terminating access

system access. To terminate the user's access, set this field to T.

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

must 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

must create a separate 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

must enter a value for each row with RC in column G. If you do not select a primary code, the system will randomly set one

at random

.

Note: The system

will

automatically

mark

marks this as Y if the Advisor only has one Rep code.

J

assoc_user

K

user_role

50

Docupace User Data Role examples:

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

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.

This will determine whether a Work Item created by the user will be automatically assigned to that same user for processing or placed in a Pool of Work Items available to other users.

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

Other systems, such as CRMs that are integrated with Docupace and are authorized to send data through Single Sing-On (SSO).

Examples:

Salesforce
Redtail

Connect

Practifi

Enter the CRM your firm uses in addition

Wealthbox

Note: By default, this field is set to Connect.

Note

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

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

Tip

Tip

Best Practice: If you

need to

use several integrations, add multiple

entries, use semi-column with no spaces to separate values: Salesforce;Connect

lines per user - one for each connected system and its corresponding alias_user_name (V).

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

ID from column B.
R	allowed_proc	125 per value

Enter one or more other user ids. IDs you enter here will be able to process work items on behalf of the user.

Grants other users access to the Work Items created by this user. Shows the Assign to Me button in the Work Item.

Specific user IDs separated by a comma or a semicolon 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

Typically, CRMs such as Redtail or Salesforce

, etc. These columns could also be used for SSO functionality.

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 clientIn this file, each line item is equivalent to an Account (Subfolder) for a Client. If you plan to add only add the Client Folder information (and not no account information), you only need to add fill out only the columns with the client-level detaildetails.

Note: Client type 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 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 subfolder, 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 the 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
Type column, the system will create a `General` Subfolder under the Client Folder.

Adding Multiple Rep Codes to the Same Client

When two or more reps work with the same Client, you will have the same Client Type, same Company, and same TIN with two different Rep codes. Include the Rep code as the unique key field to handle this situation.

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

-

Used for a Person
B	first_name	100

-

	Used for a Person
C	group_name	100	A Group can represent a Household unit

.

D

entity_name

100

Used for a 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,

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

is replaced with the BD’s name

.

Note
Important

Note

: Contact Docupace 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

: Add a separate row if multiple Reps are associated with a Client/Account combination.

Info
Example: If an account is shared by two unique Rep codes (not a split Rep code)

., you need to make a separate row for each one.

:

Copy the row with the first

rep

Rep code to a blank row.
Update

Column

the I column (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

Subfolder (

account

Account) you want to

add

create.

These

The available values

are

can vary based on

a system dropdown

your site setup.

Warning
Warning:

If

The record will fail to load if you don’t select a value

for this field, the record will fail on the load.

in this column

Note
Important

Note

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

O

other_desc

254

-

Additional description
P	state	2	A 2-digit state code
Q	short_name	100

Enter the

A short name

of

for the account
R	open_date	`yyyy-mm-dd` or `mm/dd/yyyy`

MM/DD/YYYY format

Open Date for the Account
S	close_date	`yyyy-mm-dd` or `mm/dd/yyyy`

MM/DD/YYYY format

Close Date for the Account

-T

external_id

50

Subfolder External ID. This field is frequently used for 3rd-party integrations.

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

Used for a Person
X	suffix	30

Client’s suffix

Used for a Person
Y	gender	30	`Male`, `Female`
Z	dob	`yyyy-mm-dd` or `mm/dd/yyyy`

MM/DD/YYYY format

Date of Birth for a Person
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

Driver’s License issue date
-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

Client ID used by 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

-

Used by 3rd-party integrations

BG

crm_external_id

-

Used by 3rd-party integrations

Version	Old Version 11	New Version Current
Changes made by	Gints Vaskums	Inese Auzina
Saved on	Dec 05, 2022	Jan 15, 2025

Versions Compared

Key

Sample Files

Rep File (.REP)

Advisor Table

Rep Table

Email

Recipients Table

Required Fields/Columns:

What Does Each Column

Mean?

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Adding Multiple Rep Codes to the Same Client

Required Fields for Client File

What Does Each Column Mean?

Content Comparison

Versions Compared

Key

Sample Files

Rep File (.REP)

Advisor Table

Rep Table

Email

Recipients Table

Required Fields/Columns:

What Does Each Column

Mean?

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Adding Multiple Rep Codes to the Same Client

Required Fields for Client File

What Does Each Column Mean?