Change Log

Date	Change
October 2022	Inital 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. 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.

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.

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.

Required Fields/Columns:

Rep Number (A)
Rep First Name (C)
Rep Last Name (D)
BD Number (F)
Phone Number (H)
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:

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

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

Sample Files

Filter by label

Rep File (.REP)

Advisor Table

Rep Table

Email Recipient

Required Fields/Columns:

Column Definitions

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Required Fields for Client File

What Does Each Column Mean?

Filling Out Each Data File

Sample Files

Filter by label

Rep File (.REP)

Advisor Table

Rep Table

Email Recipient

Required Fields/Columns:

Column Definitions

User Access File (.ACL)

Associating Assistants with Advisors

What Does Each Column Mean?

Client File (.CLT)

Generating a Subfolder

Required Fields for Client File

What Does Each Column Mean?