Successfully Transition Client Data

ePACS Transition Assistant

ePACS Transition Assistant is designed ePACS Transition Assistant is designed specifically for transitioning advisors. It allows them to efficiently process every line of business through an innovative cloud-based system that is customizable and scalable for any size office. ePACS Transition Assistant helps transitioning advisors to “re-paper” all client accounts, at one time, as they are transitioning from one Broker-Dealer or RIA to another.

Currently, due to SEC/FINRA regulations, the acquiring Broker-Dealer or RIA cannot have access to the advisor’s client information until the advisor has moved his/her U4 to the new Broker-Dealer or RIA and the client has provided their data to the new Broker-Dealer or RIA on a signed new account form. Without Transition Assistant, the advisor will need to complete new account “paperwork,” a very labor-intensive process. Docupace has created Transition Assistant to help transitioning advisors to efficiently create the new account paperwork required by his/her new Broker-Dealer or RIA.

ePACS Transition Assistant allows advisors to capture all lines of business and manage form generation and population through one system. With institution-level security, ePACS Transitions Assistant provides a secure cloud-based file cabinet for client information, eliminating the need for paper.

How It Works
Docupace caters to the needs of transitioning advisors and has developed a solution so they can store all their data and new transition records in a secure temporary repository. With an agreed upon process, records can be immediately transferred to the advisor’s new Broker-Dealer or RIA site and routed to the appropriate home office resources for processing with minimal business interruption for the advisor.


  • Maintain advisor files electronically
  • Enhance recruiting
  • Eliminate NIGOs
  • Enjoy faster and smoother client transition
  • Streamline and manage the process, eliminating extra paperwork
  • Centralize all client-related documents and data in a SEC/FINRA compliant manner
  • Accelerate deployment with pre-built workflow
  • Get expert assistance with system setup and execution
  • Cut labor and work hours
  • Eliminate risk of unauthorized access to sensitive client information
  • Experience a hassle-free process

Single-Vendor Complete Workflow Processing

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What You Get With ePACS Productivity Suite

✔ Turn-Key Compliance

✔ Eliminate Bottle-Necks and Errors

✔ Reduce Risk Exposure

✔ Increase Workflow Efficiency


✔ Process All Lines of Business

✔ Fees & Commissions Paid Faster

✔ Correct Paperwork the First Time

✔ Paperless and Regulatory Compliant


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