Digital Processing for your Advisor's Business
Take advantage of automated form processing for financial services. We have developed a set of workflows and custodial form standards common for RIA, Broker/Dealers, and Financial Advisors, that are easily integrated into your everyday processing.
2023 Most Promising Workflow Solution
Operational Efficiency
Streamlined processing
Managed & Simplified
Organized and Accessible
Secure & Compliant
Paperless & Electronic
Revolutionizing the way organizations manage Data &
paperwork
Forms Logic has pioneered the cloud-based technology that transforms your experience managing paperwork. With the ability to save and retrieve tens of thousands of forms, to remember information and to apply even the most raw data, Forms Logic’s technology allows you to do in minutes what used to take hours – and to make the process more thorough and accurate than ever before.
2015
Founded
450,000
Forms
120
Product Providers
30
Years Expertise
use Technology to your advantage
Our Platform is preferred by RIAs, Broker/Dealers, Alternative Providers and other Financial Firms. Choose standard or customized workflows. Easily access internal, product and custodial forms. Integrate into your CRM. Connect to e-Signature platforms. Automate onboarding. Transition new advisors or acquisitions. Create efficient processes. Own your data.
Reduce Cost and Improve efficiency
Deliver an efficient and affordable solution.
save time and achieve greater accuracy
Configure the integrated platform you always envisioned.
Challenges for Financial Firms
Compliance and regulatory demands have increasingly paralyzed the financial services industry. In addition, the inefficient, expensive paper-based procedures cut into profits and unnecessarily complicate workflow, making business more complicated for financial advisors trying to increase profits and remain competitive.
Accurate client information
Poor client onboarding process, handwritten information with difficult to read or illegible scanned documents make for a sub optimal client experience.
Multiple review stages
Long and multiple stage reviews are common and create dependencies for compliance approvals.
Not In good order (Nigo)
Missing or inaccurate information hinder workflows and can be very disruptive. Any delay can result in lost sales opportunities, and negative client experiences.
Multiple custodians and Wet Signatures
Every custodian manages paperwork differently. Also, chasing down physical signatures or ensuring the proper e-signature process presents additional challenges.
Business Benefits
Eliminate Manual Entry
Save hours of time by eliminating manual and duplicate entry of data with pre-population through integrations or by entering it in only once.
Achieve Greater Accuracy
Data is persistent and stored along the way which avoids mistakes and lowers your Not-In-Good-Order rate.
Updated Library of Forms
We maintain most traditional and self-directed custodians' forms database through API connectivity to ensure up-to-date forms. We also allow you to upload your own forms which provides a seamless experience for your clients.
Simple User Interface
Our platform interface is easy to use with a visual design to keep you on task with a workflow interface to get business done.
Standard Workflows
We pre-populate the platform with standard workflows you use everyday. New account opening, new business processing, or any transaction you want to move from point A to Z.
Custom Workflows
Built your own workflows unique to your firm to integrate your process with your custodian.
Premier New Client Experience
Easily onboard new clients with a simplified paperwork process that integrates wet or e-signatures, avoids confusion and optimizes your clients first-time experience.
Reporting
Gain the visibility you need into your business through our reporting which helps to expose problems and delays.
Compliance Benefits
Books and Records 17-a3 and 17-a4 Compliant
Our application allows you to create, and preserve in an easily accessible manner, a comprehensive record of each securities transaction of your securities business.
Cloud-Based
Our network security measures are among the industry’s highest-performing deep packet inspection systems for cloud-based services.
256-bit Encryption
Each document deposited into our platform is individually encrypted using the highest standard of encryption algorithms. These are the same algorithms used by the world’s largest banks.
E-Signature
We capture all aspects of the e-signature process. With each e-signing, our audit trail includes email, IP addresses, and the exact time of signing.
Unique and Secure User Roles
We’ve built a configurable hierarchal security model. This enables us to set security parameters around filing cabinets, indexing fields, document types, and even notes, so only those who need access are given access.
FINRA Compliance Vendor Directory
Our platform is listed on the FINRA Compliance Vendor Directory where we've responded to a comprehensive set of questions about our compliance offerings.
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