Date	Change
January 2024	Updated tips for using the REP, ACL, and CLT files.
October 2022	Initial Version

Warning: You must upload files in the following order:

REP
ACL
CLT

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.

Attention: Each line in this file is equivalent to a Rep code. For example, if Rep A has three Rep codes, you must add three separate rows.

The information from the REP data file will populate three different domain tables in Docupace.

Advisor Table

The majority of the information resides here.

note

Note: There should only be one record per Advisor.

Rep Table

The Rep domain lists the Rep codes assigned to Advisors. An Advisor may have multiple Rep codes associated with them. Each Rep code will appear in the Rep table. The Advisor will then be associated with that Rep. There are situations where multiple Advisors may be linked to the same Rep code, called a Split Rep code.

Email Recipients Table

For each Advisor, an Email Recipient record is created, and the Advisor's email is linked to all associated Rep codes.

Required Fields/Columns:

Rep Number (A)
Rep First Name (C)
Rep Last Name (D)
BD Number (F)
Phone Number (H)
Email Address (I)

What Does Each Column Mean?

To fill out the template correctly, see the description of each column below:

Column

Field/ Header

Max (min) Characters

Details

A

rep_number

30

The Rep code - a unique Broker-Dealer Rep Number
Will be used for hierarchical access from the User File (.ACL)

B

clearing1 (nfs)

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 “NFS” by default.

C

rep_first_name

50

Advisor's First Name

D

rep_last_name

50

Advisor's Last Name

E

rep_full_name

100

Advisor's full name

F

rep_bd_number

Any number value

In most cases, you should set this field to 7.
All rows should have this number unless there are multiple BDs in the network.
(Consult Docupace for additional values).

G

RESERVED1 (do not fill)

0

Leave blank.

Attention: Do NOT remove this column.

H

rep_business_phone

15 (10)

Rep’s Business phone number

I

rep_email_address

100

Reps’ email address

J

rep_fax_number

15 (10)

Rep’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

Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to T).

M

rep_field_osj_last_name

30

OSJ Last Name

Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to T).

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

Important: OSJ First Name, OSJ Last Name, and OSJ Office Branch Number are ignored for split Rep codes (if the split_rep column (AA) is set to T).

P

rep_ssn

9 (9)

Rep’s Social Security Number
Without dashes. Only nine digits.

Q

region_code

30

Region Code

R

osj_code

30

OSJ Code

S

sales_office_code

30

Sales Office Code

T

address_line1

254

Rep Address Line 1

U

address_line2

254

Rep Address Line 2

V

city

30

Rep City

W

state

2 (2)

Rep State

X

zip_code

10 (5)

Rep 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)

T or F

Is the Rep code shared with one or more Advisors for commission purposes?

Important: If the split_rep column (AA) is set to T, then values in columns L, M and O (rep_field_osj_first_name, rep_field_osj_last_name, rep_osj_office_branch_number) are ignored and not imported.

AB

rep_dob

MM/DD/YYYY

The Date of Birth of the Registered Rep

AC

pershing_rep_number

Populates

			attribute 100016 in the Rep domain (Pershing #)
AD	adv_order	`1`, `2` or `3`	Sets whether the Rep is Advisor 1, Advisor 2, or Advisor 3 for a split Rep code
AE	create_adv_folders	`Y` or `N`	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 user access to the Docupace site in bulk. In this file, each line item is equivalent to one Docupace user with a specific data role. The information in this file updates the User Access domain and the user field in the Rep domain. It also updates the corresponding settings in Security Realm.

Best Practice: We recommend that you ALWAYS use the ACL file when adding or making changes to Docupace users for consistency and ease of user management. There are two exceptions:

You should create Admin users manually.
Manually remove users whose access to the system must be terminated immediately.

Important features of the ACL File:

Controls which documents each user can access (via Client Folder and Subfolder access)
Provides automatic initial user setup
Allows to update the user’s data role if the user’s role has changed.

Associating Assistants with Advisors

Each association requires three rows. The rows must get loaded in this order. The third row isn't required for the association, but you need to include it if you want to correct the name/email of the assistant after making the association.

Defines Rep
Creates and associates Assistant
Updates Assistant’s name and email

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

Processor SA (assistant) must match on First and Last Name, SSN, or Email, AND Primary Flag or Split Rep = Y
The owned_Rep column (Col J) must contain the advisor’s Rep code.
The allowed_proc column (Col R) must contain the advisor’s user name.

What Does Each Column Mean?

The following table describes the columns in an ACL file. Identify what each row should be. It can be a unique user or the same user entered multiple times to add extra data roles or additional user aliases for integrated CRM systems.

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 value determines ongoing system access. To terminate the user's access, set this field to T.

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 must enter a value for each row with RC in column G.

Tip: If the user has more than one Rep code, you must create a separate row for each code.

I

primary_flag

Y or N

Sets the Rep code as the Advisor’s Primary Rep Code.

Attention: You must enter a value for each row with RC in column G. If you do not select a primary code, the system will randomly set one.

note

Note: The system automatically marks this as Y if the Advisor only has one Rep code.

J

assoc_user

K

user_role

50

Docupace User Data Role examples:

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. Most sites associate users to a single entity.

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

N

RESERVED

0

Leave blank

Attention: Do NOT remove this column.

O

auto_assign_creator

Y or N

This will determine whether a Work Item created by the user will be automatically assigned to that same user for processing or placed in a Pool of Work Items available to other users.

Y for Field Users.
N for Back Office users

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

P

trusted_sso

50

Other systems, such as CRMs that are integrated with Docupace and are authorized to send data through Single Sing-On (SSO).

Examples:

Salesforce
Redtail
Wealthbox

note

Note: By default, this field is set to Connect.

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

Best Practice: If you use several integrations, add multiple lines per user - one for each connected system and its corresponding alias_user_name (V).

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

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

R

allowed_proc

125 per value

Grants other users access to the Work Items created by this user. Shows the Assign to Me button in the Work Item.

Specific user IDs separated by a comma or a semicolon with no spaces:

dbuckley,jfriedman,

note

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

Associates the user with a billable user ID. If an admin supports an Advisor, the Advisor's user ID would show here.

note

Note: Only use this field when setting up 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. Typically, CRMs such as Redtail or Salesforce use columns U and V. Alternatively, you can use them as part of SSO.

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

A. If this field does not contain data, 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. In this file, each line item is equivalent to an Account (Subfolder) for a Client. If you plan to add only the Client Folder information (and no account information), fill out only the columns with the client-level details.

note

Note: Client Type dictates whether you use First/Last names or Company Name.

Client Field CSV Example

Generating a Subfolder

Each filled row in the spreadsheet will create a new Client Subfolder.

To create a subfolder, enter a value in the Subfolder Type column.
To create multiple subfolders for the same client, create duplicate rows and edit the data in the Subfolder Type column.
If you do not populate the Subfolder Type column, the system will create a General Subfolder under the Client Folder.

Adding Multiple Rep Codes to the Same Client

When two or more reps work with the same Client, you will have the same Client Type, same Company, and same TIN with two different Rep codes. Include the Rep code as the unique key field to handle this situation.

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

Used for a Person

B

first_name

100

Used for a Person

C

group_name

100

A Group can represent a Household unit

D

entity_name

100

Used for a Company or a Trust

E

client_type

30

Person
Trust
Business/Entity
Vendor
Beneficiary
Other
Prospect

Warning: The system requires different fields 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

The available values can vary based on your site setup. A typical site includes BD/RIA and Non-BD/RIA. Many sites use the BD’s name in place of BD/RIA.

Important: Contact Docupace 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. You can also find this in the Rep record if the Rep already exists.

Important: Add a separate row if multiple Reps are associated with a Client/Account combination.

Example: If an account is shared by two unique Rep codes (not a split Rep code):

Copy the row with the first Rep code to a blank row.
Update the I column (rep#)

J

account#

30 per value

The account number

K

Subfolder_type

30

The system requires this column for each Subfolder (Account) you want to create. The available values can vary based on your site setup.

Warning: The record will fail to load if you don’t select a value in this column

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

L

registration

50

The available values can vary based on your site setup.

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

M

sponsor

254

The available values can vary based on your site setup.

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

N

product_type

50

The available values can vary based on your site setup.

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

O

other_desc

254

Additional description

P

state

2

A 2-digit state code

Q

short_name

100

A short name for the account

R

open_date

yyyy-mm-dd or
mm/dd/yyyy

Open Date for the Account

S

close_date

yyyy-mm-dd or
mm/dd/yyyy

Close Date for the Account

-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

Used for a Person

X

suffix

30

Used for a Person

Y

gender

30

Male, Female

Z

dob

yyyy-mm-dd or
mm/dd/yyyy

Date of Birth for a Person

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

Driver’s License issue date

-AR

dl_exp_date

yyyy-mm-dd or
mm/dd/yyyy

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

Client ID used by 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

-

Used by 3rd-party integrations

BG

crm_external_id

-

Used by 3rd-party integrations

Sample Files

Rep File (.REP)

Advisor Table

Rep Table

Email Recipients Table

Required Fields/Columns:

What Does Each Column Mean?

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Adding Multiple Rep Codes to the Same Client

Required Fields for Client File

What Does Each Column Mean?