Document Management Software

Manage your documents more effectively by implementing Document Management Software. AdvisorTek provides a directory of software providers to help store electronic documents with financial services software.




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Advisor Profiles
“A visual, one page executive summary of the valuable services you provide to your clients.”

Advisor Profiles is a professionally created one page Value Profile statement in PDF format that summarizes the services and value you provides to your clients.

  • Customized with the Services you provide to your clients.
  • Branded with your logo, name, photo, biography and contact information.
  • Dead simple to create – simply fill out a 10 minute online form and let our graphics designer take care of the rest.
  • Click here to view a sample Profile.

AdvisorVault

AdvisorVault is the only remote backup provider specifically designed to help small broker-dealer firms achieve today’s stringent data compliance requirements. With our designated third party status (D3P) we help small broker-dealer firms achieve all the required data compliance rules defined in 17a-3, 17a-4, 3510 and 3010. Our fully managed solution includes all the hardware and software and instantly plugs into the office network to remotely protect emails and all documents relating to Books and Records. Remote, home and travelling employees are instantly added to the solution at no addition cost. The turn-key product is priced to fit the budget of small firms and provides remote backup, long-term archiving and disaster recovery in accordance with all current SEC and FINRA rules. Experience total data compliance – Out of the Box with AdvisorVault.


 

docStar

docSTAR’s document management solution for the financial services industry helps to streamline processes, increase customer service, ensure compliance and reduce costs. Financial Institutions like wealth management, investment services, mortgage and brokerage firms are paper intensive businesses. Reducing costs and increase service levels and operational efficiencies provides a competitive advantage vital to success. At the same time the need for compliance with regulatory laws as Graham-Leach-Bliley, SEC 17a-3 and 17a-4, The Patriot Act, Sarbanes-Oxley sections 302 and 404 for public companies, IRS Rev. Proc. 97-22 and NASD 3010 & NYSE 342 must be emphasized. This is why document management is so important for financial services companies.


eFile Cabinet

Being a financial advisor isn’t easy—but managing your files and information can be. eFileCabinet’s comprehensive Document Management System (DMS) can revolutionize and simplify your Financial Advisory business. The hassle of keeping necessary information in order and within specified time constraints can be eliminated by using an SEC compliant document management system. eFileCabinet offers the industry’s best financial services document management solution for those working to satisfy SEC rules and regulations.


Laser App

The Laser App form filling system for the independent financial advisor. Laser App uses your Broker Dealer, Rep, and Client data pulled directly from your contact management system and/or database and automatically fills out securities, annuity, and other various financial forms quickly and efficiently. Simply choose a client then select a form from the Laser App forms library of over 3000 financial forms to fill out. Laser App will take your Client, Rep, and Broker Dealer information and insert it into the appropriate fields of the form for you automatically. You can quickly edit the forms right from your computer screen! Your client data is maintained by you in your contact management system and/or database, while we do the ongoing work of providing you with the latest and most up to date forms.


NetDocuments

NetDocuments is a leading cloud document management service designed for financial advisors to store, organize, create, edit and manage all client and firm documents and have them accessible anywhere, anytime.  Fully SEC 17-A compliant and highly secure in transmission and at rest.  NetDocuments popular client-centric workspaces allow you to organize all client information on a single page view and  be auto-organized into folders and subfolders for your hundreds of clients in an easily accessible layout.  Eliminate the hassles of servers and hardware and sign up quickly and easily.  Access your documents from any device, including your iPad and Mac.  Sign up for a 30 day trial and speak with our document management experts. Follow us on twitter @netdocuments.


Sohodox

Manage your client’s portfolios efficiently with Sohodox. Tight Compliance Rules require financial planners to document transactions, advice given to clients and written disclosure statements. The best way to manage all documents is to make them digital and use an electronic document system (eDMS) like SOHODOX to organize them.


 

Trumpet Inc. 

Trumpet is a leading provider of comprehensive document management and automated report assembly for financial advisors. Designed around your unique workflow, Trumpet’s solutions easily integrate with contact management, web portals and other software applications. Leverage Trumpet’s expertise working with advisory firms, and experience the hand holding process we are known for.