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 Change Log

Date

Change

October 2022

Inital Version

Warning: You must upload files in the following order:

  1. REP

  2. ACL

  3. CLT

Sample Files

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

Audience: Back Office Users

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

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Rep File (.REP)

The Rep file contains all 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 Docupace.

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

Advisor Table

The majority of the information resides here. 

Note: There should only be one record per Advisor.

The Advisor Table record example.

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 Rep code.

The Rep Code Table example

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.

Email Recipient table

Required Fields/Columns:

  1. Rep Number (A)

  2. Rep First Name (C)

  3. Rep Last Name (D)

  4. BD Number (F)

  5. Phone Number (H)

  6. 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_number

30

  • Unique Financial Advisor Number

  • Will be used for hierarchical access from the User File (.acl)

B

clearing1 (nfs)

30

NFS Rep Code

C*

rep_first_name

100

Advisor's First Name

D*

rep_last_name

100

Advisor's Last Name

E

rep_full_name

30

Advisor's full name

F*

rep_bd_number

7

  • Set this field to 7 for each row

G

RESERVED1 (do not fill)

0

Leave blank.

Attention: Do NOT remove this column.

H*

rep_business_phone

15 (10)

Advisor’s Business phone number

I*

rep_email_address

100

Advisor’s email address

J

rep_fax_number 

15 (10)

Advisor’s Business fax number

K

RESERVED2 (do not fill)

0

Leave blank.

Attention: Do NOT remove this column.

L

rep_field_osj_first_name

30

OSJ First Name

M

rep_field_osj_last_name

30

OSJ Last Name

N

RESERVED3 (do not fill)

0

Leave blank.

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.

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 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.

Attention: Do NOT remove this column.

AA

split_rep (T/F)

Y or N

Is the Rep Code shared with one or more 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

AD

adv_order

1 2 or 3

Sets if the Advisor is Advisor 1, Advisor 2, Advisor 3 for split rep codes.

AE

create_adv_folders

Y

Determines whether Advisors 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.

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 immediately .

Important features of the ACL File:

  1. For a given user, controls the documents that a user can access (via client and sub-folder access)

  2. Provides automatic initial user setup

  3. Provide the ability to update the user’s data role if a changed data role is required

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 it is necessary if you want to correct the name/email of the assistant after making the association.

  1. Defines Rep

  2. Creates and associates Assistant

  3. Updates Assistant’s name and email

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

  1. Processor SA (assistant) must match on First and Last Name, SSN, or Email, AND Primary Flag or Split Rep = Y

  2. The owned_rep column (Col J) must contain the advisor’s rep code.

  3. 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 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 code from the .REP file.

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

Tip: If the user has more than one rep code, you need to enter row for each code.

I

primary_flag

 Y or N

Determines if the associated Rep code is the Advisor's primary if the Advisor has more than one.

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

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.

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

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

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

P

trusted_sso

50

Examples:

  • Salesforce

  • Redtail

  • Connect

  • 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: 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 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 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.

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

Note: If left blank, it will default to the user id from column B.

S

user_type

30

  • Advisor

  • Back Office User

Provides details for billing reports. 

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

T

billable_user

125

Select the billable user id that the user should be associated with. If an admin supports an Advisor, the Advisor's user id would show here.

Note: This field is only relevant for 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 with one file load. 

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. 

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

A. If this field is blank, 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: Each filled line (or row) in the spreadsheet will create a new 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)

  • 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. 

Tip: If you create a single Client Folder record, ONE Subfolder will also be created (automatically) with a Subfolder type of General.

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 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: Different fields are required 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 BD/RIA and Non-BD/RIA. Typically, BD/RIA is replaced with the BD’s name.

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

H

client_status

30

Active or Inactive

I

rep#

30 per value

Rep code. You can find this in Column G of the .REP file, or in the Rep record if the Rep already exists.

Important Note: 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.

  1. Copy the row with the first rep code to a blank row.

  2. Update Column I (rep#)

J

account#

30 per value

The account number

K

Subfolder_type

30

This column is required for each subfolder (account) you want to add. These values are based on a system dropdown.

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

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

L

registration

50

These values are based on a system dropdown.

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

M

sponsor

254

These values are based on a system dropdown.

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

N

product_type

50

These values are based on a system dropdown.

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.

U

RESERVED

0

Leave blank

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

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

Attention: Do NOT remove this column.

BC

RESERVED4

0

Leave blank

Attention: Do NOT remove this column.

BD

RESERVED5

0

Leave blank

Attention: Do NOT remove this column.

BE

subregistration

50

Account Sub-registration type

Attention: Must match with Registration Type

BF

 crm_source      

-

-

BG

 crm_external_id

-

-

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