The Challenges Faced

Independent broker-dealers, RIAs, banks, and credit unions are heavily regulated, paper-driven, and process-driven organizations. The stream of paperwork coming into and leaving your organization is never-ending, and all the information needed to process the paper is embedded in paper. As regulations change, staff needs to remember to process documents differently. CRM systems are great for managing relationships, but not for storing and processing documents. If your organization is growing, how do you keep up with all the transactions for new and existing clients without adding extra manpower to process those transactions? And, as you grow, how do you ensure you have the best client service in the industry?

Let ecoFILE Help

We have the knowledge and experience to implement a document management and business process management solution that will make your paper-driven processes faster, more consistent, and more accurate. Printed text on your standardized forms can be read and used by our solutions to index, name, and file documents automatically. Better yet, paper forms can be converted to electronic forms, allowing clients and staff to complete them online. Once completed the form and all the information entered is securely transmitted, sent into the system, and is routed to the first person or set of people for processing.

By automating the processing of transactions, approval processes, and delivery of documents to those who need them (such as your custodian, headquarters, home office) when they need them, our solutions help ensure compliance with regulations, while making sure that the processing is as quick as possible.


  • a system designed to work the way you want
  • secure infrastructure
  • flexibility over filing
  • automated, distributed document and data capture
  • secured access to a central repository
  • information is easy to find and use
  • automated workflows and business processes
  • integration with business-critical applications
  • enables compliance with FINRA, SEC, SOX and other regulations
  • better customer service
  • online/electronic forms
  • fast response to audit requests
  • fast, automated client onboarding
  • reduction of data entry errors
  • productivity and efficiency oversight
  • improved inter- and intra- department communication
  • DoD 5015.2-certified records management with automated record retention policies
  • Automated content naming, folder creating and filing
  • D3P services for FINRA-regulated organizations
  • Digital signatures
  • Online client portals with secure password-protected access

Financial services

To discuss your organization's needs, give us a call at 916-259-1847 (toll-free at 855-326-3453).