Case Study: Securities America achieves faster, smoother advisor transitions with Docupace Advisor Transitions

Securities America Uses Advisor Transitions to Streamline Account Repapering

Securities America, a leading independent advisory and brokerage firm, needed a better way to help incoming advisors repaper accounts during transitions without losing clients or creating compliance headaches. In this case, the firm faced a traditionally time-consuming, manual process that could drag on for months and lead to significant client churn and not-in-good-order (NIGO) paperwork.

Using Docupace Technologies’ Advisor Transitions solution, Securities America created a custom third-party portal to streamline document preparation, delivery, e-signatures, and status tracking while staying compliant. The results were strong: repapering was completed in two months instead of up to six, 90% of the transition was finished within 30 days, client retention reached 98%, and NIGO rates fell significantly.

Securities America

Steve Hill

CPA Financial Advisor