Envestnet

Also, you may need to synchronize client information between the two systems, because for existing clients, there are three possible scenarios:

1. The client has a Client Folder in Docupace, and the same client exists in Envestnet.

2. The client has a Client Folder in Docupace, but not in Envestnet.

3. The client exists in Envestnet, but not in Docupace.

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 or several ownersowner

• Create a new Envestnet proposal using the Proposal-New App in Quick Start

• Update or review an existing Envestnet proposal using the Proposal-Existing App in Quick Start

Client Exists in Docupace and in Envestnet

Rw ui steps macro

Rw step Log in to the IDP (Identity Provider) first, which logs you into Docupace, and subsequently should have seamless SSO to Envestnet. Enter your username (or email). Enter your password. Click SIGN IN. Image Removed Rw step Click Retrieve > Client in Docupace. Image Removed Rw step Search for the client. Image Removed Rw step Click Open Client in Envestnet. Image Removed Rw step If the Client is found, the System opens the Envestnet Client screen. Image Removed Rw step Click the Proposals tab to see the proposals for this client. Image Removed

Client Exists in Docupace but not in Envestnet

Rw ui steps macro

Rw step Log into the IDP (Identity Provider) first. This logs you into Docupace and sets up an SSO connection with Envestnet. Enter your username (or email). Enter your password. Click SIGN IN. Image Removed Rw step Click Retrieve > Client in Docupace. Image Removed Rw step Search for the client. Image Removed Rw step 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. Image Removed Rw step 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. Tip Tip: The system skips this screen if you only have access to one advisor. Image Removed Rw step Enter the Family Name for a new client and click Continue. Image Removed Rw step The System opens the Envestnet Client screen. Image Removed

Creating a New Proposal

• for several owners

• 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):

1. Enter your username (or email).

2. Enter your password.

3. Click SIGN IN.

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Click Retrieve > Client in Docupace.

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Search for the client.

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Click Initiate Proposal.

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The system opens the Initiate a New Envestnet Proposal screen. Enter the Proposal Title and Amount. Then click Create 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.

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You can add multiple investments when creating a proposal. To add investment, click Add Investment and select Add Proposed Investment.

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On the Paperwork screen click Generate to create the documentation.

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Select Send Proposal Info from the Actions menu to send this proposal to Docupace.

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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.

Click Add Owners and select Add Family Member.

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Fill out the fields in the Family Member screen.

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Select the Joint Owner for the Variable Annuities program (see the example to the right).

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When a new client is created in Envestnet, they are not present in Docupace. When sending a proposal to Docupace, it recognizes that the client is new to the system. Click on this client.

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Click New Client to add this client to Docupace.

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In the New Client Details screen, fill out the missing fields (TIN/SSN, Date of Birth, etc.) and click Save.

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Click Complete when a new client is linked to the existing client folder.

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Docupace creates two Work Items – one for each owner and opens the first one.

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Click eSign. Docupace creates a draft eSign transaction.

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Fill out the missing fields for the primary (1) and secondary recipients. Next, click eSign (2).

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Both owners receive the DocuSign envelopes.

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Open the email and click Review Documents.

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The envelope contains in one place the documents for both owners.

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Both owners must sign the documents. Click Finish when done.

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This logs you into Docupace, and subsequently, you should have seamless SSO to Envestnet.