Compliance Solutions and Cyber Security Services for SEC Regulated Firms

RIAs rely on Docupace to keep them compliant, secure and competitive.

Increase Operating Efficiency

Decrease your processing time from days to minutes and at a reduced cost. Easily integrates with other systems, CRMs, and popular RIA tools.

Meet Changing Regulatory Demands

Easily satisfy the requirements for 204–2 and 206 (4)-7 of the Investment Advisors Act of 1940, the Dodd-Frank Wall Street Reform and Consumer Protection Act, and additional regulatory requirements that are enacted.

Increase Advisor Satisfaction

Increase the processing transparency among all parties and minimize errors and overall advisor frustration.

Attract Leading Advisors           

Recruit the best advisors, grow your AUM, and stay competitive in an ever-evolving industry.

Time-tested and Trusted

Drive SEC Compliance


ePACS Productivity Suite

Each SEC approved, and cyber secure ePACS solution addresses a specific processing need of RIAs. Package them together, and the ePACS Productivity Suite streamlines processing for RIAs with additional security, authentication, tracking, reporting, and instantaneous confirmation.

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With Docupace I’m able to easily convert a document to a digital file, create a work item, index it and submit it for review. I can track the entire process.

– Elizabeth Ross, Asset Management Specialist with
Integrated Financial Resources, a Registered Investment Advisory firm

Cyber Security Services

Docupace’s cyber security best practices, infrastructure configurations, and policies and controls are unique in the industry and recognized for setting a new standard for cyber security. We help RIAs assess their vulnerabilities, correct potential gaps, and provide ongoing monitoring with custom-tailored Cyber Security Packages.

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