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Introduction: This document describes how to |
Table of Contents
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Change Log:
Date
Changes
May 2022
Initial Version
Audience: End-users.
Overview
This document describes how to take advantage of Docupace and Envestnet through their integration. The power of the Envestnet money management platform, combined with the versatility of the Docupace account opening and customer reception experience, provides a fully automated, fully integrated new account creation and monitoring solution that meets all FINRA and SEC requirements.
How to
Three possible cases are available:
We have a client in Docupace and the same client in Envestnet.
We have a client in Docupace, but not in Envestnet yet.
We have a client in Envestnet, but not in Docupace.
Opening the existing Envestnet client
Login to the IDP (Identity Provider) first, which logs you into Docupace, and subsequently should have seamless SSO to Envestnet.
https://www.preprod.docupaceinc.com/riatemplate_ui/sso/saml/default
Enter username (or email)
Enter the password
Click Login.
Click Retrieve > Client in Docupace.
Search for the client.
Click Open Client in Envestnet.
If Client is found, the System opens the Envestnet’s Client screen.
Click the Proposals tab to see the proposals for this client.
Opening a new Envestnet client
To connect to the Envestnet, we use IDP (Identity Provider). When logging in the first time, you must enter the credentials, because there isn’t created the SSO between the Docupace and Envestnet. The session is created and the client view is opened.
Login to the IDP (Identity Provider) first, which logs you into Docupace, and subsequently should have seamless SSO to Envestnet.
https://www.preprod.docupaceinc.com/riatemplate_ui/sso/saml/default
Enter username (or email)
Enter the password
Click Login.
Click Retrieve > Client in Docupace.
Search for the client.
Click the Open Client in Envestnet.
If client is not found, and the user has access to multiple Envestnet Advisors, the system displays the Select Advisor screen. Select the Advisor from the list. If the user has access to only one Advisor, it is automatically selected in advance and this screen is skipped.
Enter the Family Name for a new client and click Continue.
The System opens the Envestnet’s Client screen.
Creating a New Proposal
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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.
Notes: Depending on the company, these fields can be different. Some sample screens are displayed on the right.
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In 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, create an account for this proposal.
In Docupace the Work Item is created and the process continues as the standard Workflow. The only difference is: that when the account is created, Docupace sends the signed document to Envestnet.
Envestnet Proposal Tasks
Using the Envestnet integration, a Financial Professional can perform a number of tasks:
View client's existing information and current proposals in Envestnet
Create a new Envestnet proposal for one owner
Create a new Envestnet proposal that includes several investments (for one or several owners)
Process each investment as a Docupace Work Item, including a combined eSign procedure for multiple Work Items
Open an account for each investment and synchronize the new account numbers to Envestnet
Create Strategy Modifications for an existing Proposal and process it as an Account Service Work Item in Docupace
Initial Configuration Steps
Before using the Envestnet integration, your Systems Administrator must configure your IDP (Identity Provider) settings and the Docupace system settings. This will allow for a smooth single sign-on (SSO) between the two systems.
To log in to the IDP (Identity Provider):
Enter your username (or email).
Enter your password.
Click SIGN IN.
This logs you into Docupace, and subsequently, you should have seamless SSO to Envestnet.
https://www.preprod.docupaceinc.com/riatemplate_ui/sso/saml/default
Enter username (or email)
Enter the password
Click Login.
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 client for this proposal is not found in Envestnet then a new client creation scenario is initiated first.