Date	Change

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

Sample Files

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

Product: RIA Productivity Suite

Audience: Back Office Users

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

Advisor Table

The majority of the information resides here.

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	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	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.
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.
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.
O	rep_osj_office_branch_number	30	Rep’s OSJ Office Branch Number
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.
AA	split_rep (T/F)	`T` or `F`	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 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.

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.
I	primary_flag	`Y` or `N`	Sets the Rep code as the Advisor’s Primary 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`
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.
N	RESERVED	0	Leave blank
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
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`
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,`
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,`
S	user_type	30	`Advisor` `Back Office User` Provides details for billing Reports.
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.
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.
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.

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.

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`
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`.
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.
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.
L	registration	50	The available values can vary based on your site setup.
M	sponsor	254	The available values can vary based on your site setup.
N	product_type	50	The available values can vary based on your site setup.
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
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
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
BC	RESERVED4	0	Leave blank
BD	RESERVED5	0	Leave blank
BE	subregistration	50	Account Sub-registration type
BF	crm_source	-	Used by 3rd-party integrations
BG	crm_external_id	-	Used by 3rd-party integrations

Docupace Platform User Guides

Filling Out Each Data File (RIA)

Sample Files

Filter by label

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?