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: Each advisor should only have one record.

Rep Table

The Rep domain lists the Rep codes assigned users. The system can associate an advisor to more than one Rep code. The system can also associate multiple advisors with the same 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 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. often the same as the Rep Number Not required 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`	It sets the Advisor as Advisor 1, Advisor 2, Advisor 3 for split Rep codes.
AE	create_adv_folders	`Y`	Determines if the system should create Advisor Office folders for this Rep code

User Access File (`.ACL`)

The .ACL file provides the mechanism to add/disable users into the system. 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. This allows you to create, update, and/or terminate users in bulk.

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 immediately remove terminated users manually.

Important features of the .ACL File:

Control the documents a user can access via client and sub-folder access
Set up users in bulk
Update or set a user’s data role

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 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 information below provides the fields/columns included in the .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`	Sets the Rep code as the Advisor’s Primary Rep Code. 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. 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`	`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	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 to allow those individuals 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	Associates the user with a billable user ID. If an admin supports an Advisor, the Advisor's user ID would show here. 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. 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

Each filled row in your spreadsheet will create a Client Subfolder.

To create a specific subfolder, you must 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 folder under the Client folder.

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: 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 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. You can also find this in the Rep record if the Rep already exists. Important Note: To associate more than one rep code to the same account, create a separate row for each of those rep codes. 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	The system requires this column for each subfolder/account you want to create. The available values can vary based on your site setup. 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	The available values can vary based on your site setup. Important Note: Contact 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 Note: Contact 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 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. 3rd party integrations often use this field.
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?

User Access File (`.ACL`)

Client File (`.CLT`)