[Advisor] Submitting Deliverable Evidence

AdvicePay helps you and your Enterprise firm remain compliant, giving you all the compliance tools necessary in one place -- including submitting deliverable evidence! 

Our easy-to-use Deliverables feature helps firms avoid the risk of regulatory fines and provide validation to regulators that the plan was delivered to your client for the fees that were charged. 

How to Submit Evidence

If your Enterprise Home Office creates and assigns a Deliverable to you, you'll find it under Deliverables in your left-hand sidebar! Deliverables with the Open or Past Due status can accept deliverable evidence.

1. To submit your deliverable for a client, click the drop down menu and select Submit deliverable:

2. Depending on the deliverable requirements, you may be asked to provide a  PDFWord Document (.docx), Screenshot (.png or .jpg), URLAdvisor attestation, and/or eSign Document.

If multiple options are available, you can select which type you wish to provide or just choose one. (Unless eSign Document is included, in which case it is always required.) If you are uploading files/images, you can can add multiple files if desired after attaching the first one by clicking +Add Another File!

If uploading a document or image, please note that the file size per individual file is limited to 10 MB.
When eSign Document is required as an evidence type, the pre-determined eSign document selected by your Enterprise home office will be created after you enter a Deliverable Title and click Save.  

From here you will proceed to filling out the signer details:

Click Send Document to email the document out for signature. 

Once all parties have signed, the Deliverable will be automatically marked as Complete! If you included any additional evidence types in the form of files, images, etc., they will also be available to your Enterprise home office at this time.

3. Enter a Deliverable Title. You also have the ability to enter a Description (optional).

4. Click Save

Your deliverable is now submitted and marked as Complete! Your Enterprise home office will be able to view/download your deliverable evidence through their account.

Searching, Filtering, and Exporting Deliverables

On the Deliverables page you can view all deliverables that have been created for you. We'll display the Status (Open, Past Due, or Complete), Due Date, Client, and Deliverable Type.

You can use the Search area to search your created Deliverables by any of the information displayed (e.g. status, client name, etc.) -- or you can use the Filters button for more advanced sorting!

Filter options include:

  • Status
    • Open
    • Upcoming
    • Pending Signatures
    • Complete
    • Overdue
  • Due Date (timeframe)
  • Submit Date (timeframe)
  • Advisor
  • Client

To export a Deliverable report to an Excel file, select Actions > Export to .XLSX:

Items on the report include:

  • Status (upcoming, open, pending_signatures, past_due, complete)
  • Due Date (blank if status = upcoming)
  • Advisor Name
  • Client Name
  • Deliverable Type
  • Submitted Date (blank if not submitted or status = upcoming)

Frequently Asked Questions

How do I get notified about Open or Past Due deliverables?

Email notification settings for Deliverables are controlled by your Enterprise firm, so we recommend reaching out to your home office for verification of their settings and their preferred notification workflow. 

If they do have Deliverable email notifications active for their advisors and you don't see anything in your inbox, our emails may be getting caught up in Spam/Promo folders! To make sure emails come through to your main inbox without a hitch, we recommend adding info@advicepay.com as a Contact in your email program/app. 🙂

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