A disclosure document that investment advisors must file with the U.S. Securities and Exchange Commission and state securities authorities. This form describes the investment style, assets under management, and key officers of an advisory firm.

Sheets that identify individual documents or work items within a single scanned document. The system reads the barcodes and splits up the documents during indexing.

A group of documents scanned together. A batch contains one or more documents, each with any number of pages.

A record of trades or other client interactions made over a period of time (usually one trading day). The blotter also contains the details of these interactions.

A person or entity that works with a Broker-Dealer or financial advisor. The Docupace system stores client information and records.

A digital operations platform designed for wealth management companies. It allows firms to digitize their work, creating an almost paperless office.

Stands for the Depository Trust and Clearing Corporation.

A group or individual that is legally defined as a singular being.

Stands for the Electronic Processing of Applications and Checks Service. It is the core framework of all Docupace solutions.

Stands for End-User License Agreement.

Field Marketing Organization (FMO) (also called an Insurance Marketing Organization (IMO), or Medicare FMO) i is a company that connects independent insurance agents with insurance carriers of all sizes.

Multi-factor Authentication (MFA) is an authentication method that requires the user to provide two or more verification factors to gain access to a resource such as an application, online account, or a VPN. MFA is a core component of a strong identity and access management (IAM) policy. Rather than just asking for a username and password, MFA requires one or more additional verification factors, which decreases the likelihood of a successful cyber attack.

Stands for Office of Supervisory Jurisdiction. Used to identify the hierarchy and supervision structure within an organization.

Industry term that refers to a person/entity that is not yet a client. This type of record is not required to have an SSN or TIN associated with it.

Duration of time spent within a site.

Stands for service-level agreement.

The code used by integrations (usually CRMS) to connect with Docupace. This is usually entered during setup.

Stands for User Interface. Connect is the main user interface for Docupace.

Stands for Uniform Resource Locator. It is more commonly known as a web address.

A person with access to the Docupace system who uses it for document processing or for configuring the Docupace system.

An electronic envelope containing documents related to a specific transaction. These envelopes move documents between the field and back office as part of a workflow. Each Work Item has a unique ID number to make it easy to retrieve later.

A space for a user to work in within Docupace.

Event-Based Retention (EBR) allows you to create a set of rules based on system events. These rules determine how long specific documents must be retained before they can be digitally shredded.

JIFFY.ai is a 3rd party artificial Intelligence (AI) product, which uses bots to automate repetitive tasks and schedules the tasks to run at a specific time with minimum or no human intervention. It is an advanced robotic process automation (RPA) web-based solution with integration of Artificial Intelligence (AI), Machine Learning (ML), Natural Language Processing (NLP), Analytics, and cognitive automation capabilities with Human-in-the-loop (HITL).

A button in a workflow that triggers a process. For example, it could send a work item to the next queue in the workflow.

A button in a workflow that will send a work item to an end state.

A piece of self-contained content. A document can consist of a single page or a series of pages. Each document within the Docupace system has a unique ID number. Users must associate a document with a work item before the system can process it in the workflow.

The Docupace functionality that allows clients to electronically sign forms and authenticate their identity.

Also, e-Sign is an abbreviation of the Electronic Signatures in Global and National Commerce Act (E-Sign Act) established in 2000 by the Federal Deposit Insurance Corporation (FDIC) of US.

The process that allows advisors to auto-fax approved document(s) to a Vendor electronically.

Acronym for "In Good Order". It refers to a Work Item that has been approved to continue through the workflow.

Stands for Knowledge-Based Authentication. Users must answer secret questions to confirm their identities. This is part of the eSigning process.

The process of making changes to an existing account or client record.

Stands for New Account Opening. It is a type of transaction that users can begin through Starting Point.

Acronym for "Not In Good Order". Work items (WIs) with documents that have errors (such as missing a signature or data). The system sends these WIs back to the user responsible for fixing these issues.

A standard, token-based protocol that grants user-access to a system. For example, the Saleforce integration with Docupace uses an OAuth method.

A holding place for unassigned Work Items. Work items enter a pool of similar work items after stopping at a Queue. The system associates each pool with a specific site role. This prevents unauthorized users from disrupting the workflow. Users can pull items from these role-specific pools to being working on them.

A part of a workflow. The system stops a work item at a queue when the workflow requires users to take some kind of action. For example, when a work item enters the eSign queue, it requires one or more signatures.

Stands for Short Message Service. It is a method of identifying a signer during the eSigning ceremony. A code is sent to the signer's phone number.

A document added to the system without associating it with a specific client or work item. Once a user fills in the missing attribute information, the system can send the document to the correct queue in the workflow.

The process work items follow from start to finish in Docupace. Docupace customizes workflows based on individual firm needs. Different kinds of documents need users to take different actions. This is why workflows have different queues, such as Ad Review and Advisor Onboarding.

A check verification service and consumer credit reporting agency that integrates with Docupace.

Stands for Customer Identification Program. It relates to the Chexsystems integration.

Federal regulations require financial institutions to verify the identity of each client according to the Customer Identification Program (CIP).

A app with a custom interface for sending documentation into the workflow.

The newer user interface used by the Docupace Platform, compared to the old Core user interface.

The base functionality of the Docupace Platform without the newer Connect user interface layer.

Stands for Customer Relationship Management. Docupace has several CRM integration partners.

Typically the homepage of Docupace. Allows users to interact with active work items assigned to them or in a pool they have access.

A wizard that allows you to upload files into the system. The documents can be uploaded in PDF or JPG format.

A tool for building data input screens that change based on user choices. This results in a wizard with interactive step-by-step prompts. The Wizard can result in a completed PDF form or other kind of record.

Allows users to scan documents into the systems.

An integration partner for eSignature. DocuSign offers a way to sign electronically on different devices.

Allows users to deliver forms and disclosures to clients and prospects electronically.

A queue that holds unassigned work items and unindexed documents. A user must index such documents before they can enter the workflow. Files are indexed by adding missing information, such as client or an associated work item.

Displays work items assigned to the user. It is a panel found on the Dashboard that groups work items by Queue (or Task).

A Dashboard panel that displays work Items assigned to the user. It groups work items by Queue (or Task).

Stands for the Office of Foreign Assets Control. It relates to the Chexsystems integration.

Federal regulations require financial institutions to check each client against the Office of Foreign Assets Control (OFAC) Watch Lists.

A integration partner that maps forms for use in the Docupace system.

A page that allows a user to access and manage Client’s data in the Docupace system, for example:

• View Work Item Status

A CRM integration with Docupace.

An app that allows a user to compile a list of information on a specific topic from multiple records.

A place to search for and retrieve records from the system. Records include clients, work items, and documents, etc.

A Docupace solution tailored to registered investment advisors (RIAs). It is a customized version of the Docupace Platform.

Salesforce.com is a customer relationship management platform that gives all company departments (marketing, sales, commerce, and service) a single, shared view of every customer. Once Salesforce is integrated with Docupace, company employees are able to see from within the Salesforce interface those documents and work items, that are being processed in the Docupace system, as well as open Docupace to create new client records and client accounts for ongoing business.

Integration partner for eSign

A CRM integration with Docupace.

Stands for Small Business. It is a multi-tenant Docupace site.

A wizard that walks a user through creating work items for new accounts or account maintenance.

Docupace apps for tracking interactions with clients and for sending disclosures to those clients. TrackerBI sends Reg BI forms, while the TRACKER App, in addition, supports Form CRS and Form ADV disclosures.

A CRM integration with Docupace.

An uppercase or lowercase letter from A-Z.

A letter or number. It can be A-Z (upper or lowercase) or 0-9.

Stands for Application Programming Interface. Docupace uses API to communicate with its integration partners.

Stores information so that pages in Docupace load faster. If the information is not displaying correctly, a user may need to clear their cache.

Stands for Cascading Style Sheets. It allows admins to customize how Docupace looks.

The act of moving settings from a lower environment to a higher environment.

A page that lists the values allowed in any particular attribute for a table or feature class.

A full version of Docupace that has everything a user needs to use it. Typically sites have the following environments: Preprod, UAT, Staging, and Production.

The system name of a form field. It is used to apply validations to forms.

The name of a form in the system.

The Forms Matrix domain tells the system when to add one or more forms to work items, based on the user’s selections in Starting Point.

Stands for JavaScript Object Notation. It is a type of programming language

Used for matching a given string of characters for "find" or "find and replace" operations.

When one or more editable fields on a form is added, changed, or removed.

A UI object used for running a predefined action. For example, it may launch an interface that contains a specific app, or it may simply open a URL hyperlink.

The unique name for the data held within the field. The system uses this name to reference that data in code and the database.

A group of fields that define the source of field data. When a user creates data within Docupace, the Namespace= BASE. Data imported into Docupace have different Namespaces depending on the source. For example, data imported from Redtail has Namespace = REDTAIL.

A tool that allows users to view data changes in a Docupace site and compare them with the tables of a target site. It also has the ability to deploy these changes.

Used to map form fields to the correct client type.

Relates to Annuitynet and refers to the environment prior to Production.

The version of a user's site that is "live" and used to conduct work at a user's firm.

A Sandbox is a test environment with an integration partner.

Allows administrative users to customize interactive elements of the Docupace system. For example, such users can build custom Interfaces, Menus, Event Handlers, and apps.

An authentication process that allows a user to access multiple applications with one set of login credentials.

A version of the Docupace system that is deployed for a specific client.

Stands for Structured Query Language. It is a coding language.

A set of characters.

Conditions that a work item must meet before it can proceed to the next step in the workflow.

Stands for User Acceptance Testing. It is a Lower environment used to test settings and validations (etc.).

A SQL or Java statement that results in a true or false.  If true, the field name is considered IGO (In Good Order).  If false, the field name is marked NIGO and the Advisor must address the field name before proceeding with the form.

Groupings of single validations to make it easier to apply to transitions.

A character used to substitute one or more characters in a string, usually for searching purposes. For example, walk* could return walking, walks, walker, etc.

Stands for Extensible Markup Language. It is a type of programming language used to encode documents.

A link to other references/domains that the user can follow by clicking or tapping.

An interface object that performs an action when interacted with. Examples include opening another screen or performing actions on a selected item. Admins can display menu items almost anywhere in the system. This includes links, dropdown menu options, links in table columns, or buttons.

A window that appears over the system window. This type of popup window opens when a user performs certain actions in the Docupace system. Users must fill out the any fields in the popup before closing it and returning the main window.

The elements on a Web page, including text, graphics, URLs and scripts.

A single sheet of paper that is part of a document. This can also refer to the screen a user is viewing.

A space on a page that contains and displays objects to a user. The system can resize the space to fit the data it contains. For example, a pane may contain search fields.

Part of a screen that displays attributes of the object that is currently open. Some panels display data that is related to the open object.

A page displayed by a app or wizard. Screens display information about a specific topic and may ask users to make a decision. For example, the "Registration Type" screen in the Starting Point Wizard asks users to select a registration type.

A rectangular interface element that takes users somewhere else when clicked. They are larger than buttons and are aligned in a grid pattern. Tiles also have large icons and often some descriptive text.

An entire internet browser window that is used to view and work in the Docupace System.

A type of user-interface that walks users through complicated processes or steps in a way that is easy to follow.