DocumentDelivery Document Delivery Made Simple

Manage recordkeeping transactions and document delivery from a secure, cloud-based platform. Boost operational efficiencies, reduce costs and stay compliant.

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DocumentDelivery product animation: client info, documents from the library, email, then the delivery record in Compliance Reporting

Turn Compliance Burden Into Client Trust - Instantly

Financial advisors and compliance teams spend countless hours manually sending, tracking, and storing disclosures and compliance documents. These outdated processes introduce unnecessary risk, slow down advisors, and erode client confidence.

DocumentDelivery solves this

It provides a secure, streamlined, and fully trackable way to manage all your critical compliance documents – in just a few clicks.

Include documents such as:

Form CRS (Customer Relationship Summary)
Reg BI Disclosure (Conflict Disclosure)
ADV Part 2A and 2B
Privacy Notice
Investment Advisor Agreement
Client Profile Worksheet
Privacy Policy
Conflicts of Interest
Policies and Procedures

Why It Matters

Strengthen Compliance
Ensure every disclosure is delivered securely, confirmed, and archived automatically — meeting the strictest regulatory requirements with ease.
Empower Advisors
Give your advisors back their time. No more manual emails, paper trails, or uncertainty. They can focus on what matters most: serving clients.
Build Client Trust
Clients expect transparency and seamless digital experiences. Provide proof that you act in their best interest, and reinforce confidence in every interaction.

DocumentDelivery, Investor Management: client info, delivery method and notes

DocumentDelivery, Add Documents: documents chosen from the document library, or a PDF added manually

How It Works

1. Upload
Easily upload important disclosures and compliance documents, including custom forms like
2. Send & Track
Send documents securely to clients. Instantly track when they are delivered, opened, and read — all in real time.
3. Archive
Automatically archive all documents and interaction history in a secure, audit-ready repository. Easily access records when you need them.

What You Get

Digital Delivery & Confirmation: Send disclosures digitally and verify receipt with audit-ready tracking.
Automated Archiving: Reduce manual storage headaches with secure, automated records.
Version Control: Always share the latest version while keeping historical copies for audit purposes.
Compliance Oversight: Supervisors and CCOs can monitor delivery and receipt across the entire advisor network.
Enhanced Client Experience: Deliver a modern, transparent, and frictionless client journey.

Compliance Reporting: a DocumentDelivery record with its documents, and the email sent and delivered

Account openingA new account is opened in your firm’s workflow.
DocumentDelivery APITriggers delivery of the required disclosures.
E-delivery to the clientForm CRS, Reg BI Disclosure and other compliance documents.
Disclosure recordDelivery tracked and archived in Compliance Reporting.

DocumentDelivery API

Trigger e-delivery of the required disclosures automatically at account opening through the DocumentDelivery API.

InvestorCOM’s experience and open architecture empower clients to maximize value and eliminate re-entering data between systems.

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Transform Compliance into a Strategic Advantage

When compliance is easy, advisors spend more time with clients, firms reduce risk, and clients gain confidence in every recommendation.

“Meeting Reg BI compliance with a remote workforce of advisors is only possible by using a technology like this. We are impressed by InvestorCOM’s comprehensive solution.”