Overview

This document describes how to exploit the benefits of Docupace and Envestnet using the integration between them. The power of the Envestnet money management platform tied together with the versatility of the Docupace account opening and client onboarding experience gives a fully automated, fully integrated new account creation and supervision solution that meets all FINRA and SEC requirements.

How to

Three possible cases are available:

1. We have a client in Docupace and the same client in Envestnet.

2. We have a client in Docupace, but not in Envestnet yet.

3. We have a client in Envestnet, but not in Docupace.

Opening the existing Envestnet client

1	Click Retrieve > Client in Docupace.
2	Search for the Envestnet client.
3	Open Client in Envestnet.
4	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. Log in to Envestnet: Enter username (or email) Enter the password Click Login. Note: This is a temporary solution until the fully automated solution will be provided.
5	The System opens the Envestnet’s Client screen.
6	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.

Opening the new client

1	Click Retrieve > Client in Docupace.
2	Search for the Envestnet client.
3	Open Client in Envestnet.
4	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. Log in to Envestnet: Enter username (or email) Enter the password Click Login. Note: This is a temporary solution until the fully automated solution will be provided.
5	Select the Advisor from the list.
6	Enter the Family Name for a new client and click Continue.
7	The System opens the Envestnet’s Client screen.

Creating a New Proposal

1	Click Retrieve > Client in Docupace.
2	Search for the client.
3	Open Client’s proposal in Envestnet.
4	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. Log in to Envestnet: Enter username (or email) Enter the password Click Login. Note: This is a temporary solution until the fully automated solution will be provided.
5	Enter the Proposal Title and Amount.
6	The System creates a new proposal for this client and opens the Risk Assessment screen.
7	Fill out all required fields and click Save + Next on all defined screens. Note: Depending on the company, these fields can be different.	…
8	In the Paperwork screen click Generate (to create the documentation).
9	Select Send Proposal Info from the Actions menu to send this proposal to Docupace.
10	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. Note: This step is not implemented yet.

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Create a New Proposal (from Docupace to Envestnet)

1. Open client folder

2. Click Initiate Proposal

3. Enter Proposal Title and Amount

4. A) If the client is found, the system creates a new proposal in Envestnet for this client. The system SAML SSO into Envestnet and opens the Proposal screen.

5. B) If the client is not found, the system searches for the advisors in the Envestnet. If one advisor is found, the system searches for the client in Envestnet by primary owner). (If multiple advisors are found, the system displays Initiate Proposal Widget (Select Advisor page) and the user must select an advisor from the list, and then the system searches for the client in Envestnet by primary owner). Aa) If one client is found, the system creates a new proposal in Envestnet for this client. The system SAML SSO into Envestnet and opens the Proposal screen. Bb) If multiple clients are found, the system displays Initiate Proposal Widget (Select Client page) and the user must select a client from the list, and the system creates a new proposal in Envestnet for this client. The system SAML SSO into Envestnet and opens the Proposal screen. Cc) If a client is not found, the system displays Initiate Proposal Widget (Enter Family Name page) and the user must enter the Family Name. The system creates a new client in the Envestnet, then the system creates a new proposal in Envestnet for this client. The system SAML SSO into Envestnet and opens the Proposal screen

Launch into ENV Client (from Docupace to Envestnet)

1. Open client folder

2. Click Open Client in Envestnet

3. The system launches the Open Envestnet Client Widget (Please Wait page)

4. A) If the client is found, the system SAML SSO into Envestnet and opens the Client screen.

5. The following is the same as above.