Docupace Technologies

10/16/2026

The first exam question is easy. Do you have a written supervisory procedure for this? Yes, here it is. Everyone passes that one.

The second is the one that decides how the exam goes. Show me it ran. Show me the trade you reviewed on the 14th, who reviewed it, and what they concluded. Now show me you did that all year: docupace.com/where-firms-fail-trade-surveillance/

10/15/2026

Big welcome to Keith Jones, our newest member of the Docupace team!

"I'm excited to sell Docupace solutions that will help my clients improve their productivity and their bottom lines."

We’re so glad you’re here! www.docupace.com

10/14/2026

Introducing Docupace Next.

The same platform you know, rebuilt around how you work. Docupace Next brings smarter client data, faster processing and more control over the work your team does every day.

“Docupace Next is a significant milestone for our platform and for our customers,” said Brian Filanowski, CEO of Docupace. “We have built a modern enterprise foundation with client data at its core, which brings together everything we have learned over nearly 25 years of serving wealth management firms. It improves how information moves through wealth operations today and gives us a strong foundation to build on. Customers keep the workflows and operational capabilities they rely on, and gain a more connected way to manage their data and serve their clients.”

This is a major step forward for the advisors, operations teams and firms that count on Docupace. See what’s next: https://www.docupace.com/news-events/docupace-launches-docupace-next/

10/13/2026

Every compliance leader knows roughly how much of the book gets reviewed. Very few can name the share they could actually evidence in an exam.

The Coverage Gap Calculator asks three things: your book, how you review it today, and who does the reviewing. It returns your documented coverage, the ceiling your headcount supports, and what sits unexamined right now.

Two minutes, your own numbers, and a PDF you can hand to a committee: docupace.com/compliance-calculator/

10/12/2026

Big welcome to Miranda Minor, our newest member of the Docupace team!

"I'm excited to get to know everyone on the team and contribute to the great work happening at Docupace!"

We’re so glad you’re here! www.docupace.com

10/09/2026

More alerts do not mean better supervision.

When most alerts are false positives, compliance teams spend their time clearing noise instead of investigating real risk. The result is alert fatigue, growing backlogs and a greater chance that the transaction that matters gets missed.

Our latest blog explains how sharper rules, risk-based thresholds and smarter automation can help firms cut through the noise.

Why more alerts make you less safe, and what risk-based supervision fixes. Discover ComplianceEdge today.

10/08/2026

Docupace is helping power the technology infrastructure behind Allworth Financial’s growth.

In a recent WealthManagement.com feature, Allworth highlighted Docupace as a key part of its document management technology. Our digital workflows support account opening, maintenance and document management while reducing manual handoffs, improving process visibility and strengthening operational control.

See how Docupace fits into Allworth’s AI-ready technology stack: https://www.wealthmanagement.com/financial-technology/allworth-a-tech-stack-built-to-leverage-ai-today

10/07/2026

Regulators do not grade intentions. They ask for evidence, and the questions are more predictable than most firms assume.

We put 21 of them into a free self-assessment mapped to the 2026 SEC exam priorities: program effectiveness, suitability monitoring, surveillance noise, data controls and scale.
If you hesitate on more than a few, that is your answer: docupace.com/exam-readiness-checklist/

10/06/2026

A compliance program can check every box and still fail.

In his latest Dear Ryan column for Wealth Solutions Report, Docupace Chief of Staff Ryan George explains why compliance failures are often rooted in culture, not technology. When employees view escalation as an admission of failure, warning signs can remain buried until they become regulatory problems.

Read Ryan’s advice for turning a regulatory finding into a productive leadership discussion: https://www.docupace.com/news-events/wealth-solutions-dear-ryan-column-examines-the-culture-behind-compliance-failures/

10/05/2026

If your ops team is spending 15+ hours a week on manual data tasks, your firm has an efficiency problem and a compliance vulnerability. See the full picture (and its fix) in our free whitepaper: https://www.docupace.com/ria-guide-how-to-drive-growth-with-ops-efficiency/