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DocuSign Agreement Cloud for Wealth Management from Docusign
End-to-end digital document management platform with electronic signatures, centralized agreement storage, workflow automation, and compliance tools designed for wealth management advisory processes including account opening and financial planning.
Product analysis by function
Document Management Systems for Wealth Management
Secure platforms for storing, organizing, and retrieving client financial documents, legal agreements, account applications, and compliance records with version control and audit trails.
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Security and Compliance
(9 Yes /9 Known /10 Possible features)
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Data Encryption All documents and data are encrypted both in transit and at rest to ensure confidentiality and compliance. |
DocuSign provides encryption for data in transit and at rest as part of its security standards and compliance documentation. | |
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Role-based Access Control Ability to set granular permissions based on user roles (e.g., advisor, client, admin). |
Role-based permissions and access control are available as part of DocuSign Agreement Cloud administration tools. | |
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Multi-Factor Authentication (MFA) Provides an extra layer of authentication security for user logins. |
Multi-factor authentication (MFA) is offered for user logins and approval steps, as per DocuSign's security documentation. | |
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Audit Trails Complete logs of document access, changes, downloads, and shares for legal and compliance purposes. |
Audit trails for document access, changes, downloads, and signatures are a core DocuSign functionality. | |
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Regulatory Compliance Certifications Adherence to standards such as SEC, FINRA, GDPR, or other required regulatory frameworks. |
DocuSign adheres to SEC, FINRA, eIDAS, ESIGN Act, UETA, and GDPR; certifications and regulatory compliance are documented on DocuSign Trust Center. | |
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Data Retention Policies Automated enforcement of document retention and deletion policies to meet compliance standards. |
Supports configurable data/document retention and deletion policies for compliance. | |
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Legal Hold Capability Ability to preserve documents for legal discovery without alteration or deletion. |
No information available | |
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Secure External Sharing Controlled and secure sharing of documents with external parties, such as clients or legal teams. |
Enables secure, permission-based sharing of documents with external parties. | |
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Watermarking Option to automatically add watermarks to documents for tracking and leakage prevention. |
Watermarking is available to help track and identify document copies. | |
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Intrusion Detection Ability to monitor and detect suspicious or unauthorized access attempts. |
DocuSign includes security monitoring including intrusion detection as described in their security documentation. |
Document Organization and Search
(7 Yes /7 Known /10 Possible features)
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Custom Folder Structures Allows for creation and management of folders and subfolders tailored to workflow needs. |
Enables flexible folder creation and management for document organization. | |
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Advanced Search Full-text and metadata search capabilities for rapid document retrieval. |
Advanced full-text and metadata search are supported features. | |
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Tagging and Metadata Ability to assign and manage tags or metadata to organize documents by client, document type, or workflow stage. |
Tagging and metadata assignment supported for organization and search. | |
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Optical Character Recognition (OCR) Enables searching and indexing of scanned or image-based documents. |
OCR is available for scanned and image-based documents. | |
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Saved Search Queries Allows users to save frequently used search criteria for quick access. |
No information available | |
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Bulk Document Import Supports batch uploading or ingestion of multiple documents at once. |
Bulk document import (uploading multiple documents) is supported through web and some integrations. | |
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Versioning Tracks and stores multiple versions of a document with easy rollback. |
Versioning is available; multiple versions and change history are tracked on documents. | |
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Document Linking Link related documents together for easier navigation (e.g., account opening forms and supporting IDs). |
Allows documents to be linked or referenced within workflows, such as tying IDs to onboarding forms. | |
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Favorites/Shortcuts Option for users to pin or favorite frequently accessed documents or folders. |
No information available | |
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Indexing Speed Speed with which new documents are indexed and made searchable. |
No information available |
Collaboration and Workflow
(10 Yes /10 Known /10 Possible features)
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Check-in/Check-out Prevents document editing conflicts by locking files when in use. |
Check-in/check-out features for document concurrency are included to prevent conflicting edits. | |
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Comments and Annotations Allows users to leave internal comments and annotations on documents. |
Comments and annotations are present in collaboration workflows. | |
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Approval Workflows Customizable workflows for document review and approval (e.g., compliance sign-offs). |
Approval workflows are central to DocuSign's process automation tools. | |
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Task Assignment Ability to assign follow-up tasks linked to specific documents. |
Task assignment and delegation to users is possible with envelopes/workflows. | |
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Notification System Automatic alerts for document updates, approvals, reviews, or deadlines. |
Notification system is built in for document changes, approvals, and deadlines. | |
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Shared Document Spaces Secure shared folders or spaces for team or client collaboration. |
Provides secure shared folders and collaborative spaces for team/client interaction. | |
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Delegation Permissions Allow temporary delegated access for other team members in cases like advisor absence. |
Delegation features are available for workflow continuity (e.g. in the event of advisor absence). | |
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Simultaneous Editing Support for multiple users editing certain document types at the same time. |
Supports simultaneous editing/parallel progress on documents by multiple users subject to workflow design. | |
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Redlining/Track Changes Ability to track changes, edits, and suggestions within documents. |
Redlining/Track Changes function is available particularly for agreement review stages. | |
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Document Routing Rules Automated routing of documents to the right individuals based on predefined rules. |
Automated document routing based on rules is an integral feature for workflow automation. |
Integration Capabilities
(9 Yes /9 Known /10 Possible features)
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CRM Integration Direct integration with CRM systems (e.g., Salesforce, Redtail). |
DocuSign integrates with Salesforce and other wealth management CRM systems. | |
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Portfolio Management Software (PMS) Integration Ability to link documents with portfolios and account information in PMS. |
Portfolio/account management system integrations are supported through APIs and documented partners. | |
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eSignature Providers Built-in integration with electronic signature platforms (e.g., DocuSign, Adobe Sign). |
Native and partner integrations with major eSignature providers, as the platform's core function. | |
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Document Export/Import APIs Availability of APIs for importing and exporting documents across platforms. |
APIs are offered for document import/export as part of the DocuSign Agreement Cloud developer resources. | |
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Calendar and Email Integration Ability to link document workflows to email/calendar events (e.g., compliance review reminders). |
Integration with Microsoft Outlook, Gmail, and calendar tools is available for workflow triggers and notifications. | |
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Secure File Transfer Protocols Support for SFTP, FTPS, or similar protocols for automated file exchanges. |
SFTP and secure protocols for file transfer are documented in DocuSign support materials for bulk document exchange. | |
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Custom Integration Capability Support for custom integrations with proprietary or less-common platforms through APIs or middleware. |
Custom integration support is available through DocuSign's open APIs and integration partners. | |
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Data Sync Frequency How often the system synchronizes data with connected platforms. |
No information available | |
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Single Sign-On (SSO) Supports identity management via SSO providers like Okta or Microsoft Active Directory. |
Single sign-on (SSO) is available via Okta, ADFS, SAML 2.0 and similar enterprise identity providers. | |
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Mobile App Integration Seamless document access and management through companion mobile applications. |
A mobile app for document access, approvals, and workflows is available for iOS and Android. |
Client Portal and Access
(8 Yes /8 Known /10 Possible features)
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Customizable Client Portal White-labeled, branded portal for client document interactions. |
Branded, white-labeled client portals can be configured as part of DocuSign's solutions. | |
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Self-Service Upload Clients can securely upload required documents directly to their advisor. |
Clients can securely upload documents directly to their advisor using client portal features. | |
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Real-Time Document Notifications Clients receive alerts when new documents are shared or action is required. |
Real-time notifications are possible for clients about document status and action requirements. | |
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Document Expiration and Removal Auto-expire or remove documents from client view after a set period. |
No information available | |
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Client-Specific Access Rights Granular control over which documents each client can view or download. |
Client-specific access rights are granularly configurable by advisors/administrators. | |
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Secure Messaging Encrypted communication channel between client and advisor within the portal. |
DocuSign offers secure, encrypted messaging within the portal for client-advisor communication. | |
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eSignature Collection Facilitates digital signing of agreements, forms, and disclosures. |
eSignature collection is DocuSign's core capability, including wealth management agreement templates. | |
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Portal Activity Logs Tracks all client activities in the portal for compliance. |
Portal activity is logged for compliance and auditing. | |
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Mobile Client Portal Optimized or app-based portal access for mobile devices. |
Mobile-optimized client portal access and dedicated app are available. | |
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Multi-Language Support Provides the client interface in multiple languages to support diverse clientele. |
No information available |
Document Capture and Input
(4 Yes /4 Known /10 Possible features)
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Auto Document Ingestion Automatic import of documents from designated email addresses or folders. |
Auto-ingestion from designated sources (email, folders) can be automated with APIs and integrations. | |
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Bulk Scanning Support Enables capture of multiple paper documents via high-speed scanners. |
No information available | |
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Mobile Capture Capture and upload new documents via smartphone camera/app. |
Mobile capture and upload from smartphone app is supported. | |
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Image Correction and Enhancement Automatic correction of skew, glare, or resolution in scanned documents. |
No information available | |
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Barcode/QR Code Recognition Automatic indexing and routing of documents by barcode or QR code. |
No information available | |
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Auto-Filing Rules Assigns incoming documents to the right folders and workflows based on document content or metadata. |
Auto-filing assignment can be configured based on document templates and metadata extraction. | |
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Scan to PDF/A Compliance Ensures scanned files meet PDF/A long-term archival standards. |
No information available | |
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Capture Speed How many pages per minute the system can reliably scan and process. |
No information available | |
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Data Extraction (Forms) Automatic extraction of key information from standard forms for indexing or workflow initiation. |
Data extraction from forms is available using DocuSign Insight and related tools. | |
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Fax-to-Document Conversion Transforms inbound faxes into indexed digital documents. |
No information available |
Scalability and Performance
(4 Yes /4 Known /10 Possible features)
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Concurrent User Support Maximum number of users supported simultaneously without performance loss. |
No information available | |
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Document Storage Capacity Total amount of document data that can be stored per organization or deployment. |
No information available | |
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Upload/Download Speeds Average document upload and download speeds under standard conditions. |
No information available | |
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Number of Documents Supported Max number of documents system can index and manage efficiently. |
No information available | |
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Response Time Average system response time for common actions (search, open, save). |
No information available | |
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Automatic Load Balancing Ability to automatically distribute workload across servers for optimal performance. |
Automatic load balancing across DocuSign's cloud infrastructure is standard. | |
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Multi-Tenancy Supports multiple independent advisor firms or branches on the same infrastructure. |
Multi-tenancy is supported for advisor networks and large enterprise customers. | |
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Resource Monitoring Built-in tracking and alerts for storage and system resource utilization. |
Resource monitoring with admin dashboards is available to view storage and use. | |
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High Availability/Uptime Guarantees for system uptime and robust failover mechanisms. |
No information available | |
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Elastic Scalability System can seamlessly scale resources up or down based on demand. |
Elastic scalability in the cloud to grow with organizational needs. |
Usability and User Experience
(9 Yes /9 Known /10 Possible features)
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Modern User Interface Clean, up-to-date design adhering to best UX/UI standards. |
Modern, intuitive user interface is a selling point and demonstrated in product screenshots and demos. | |
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Customizable Dashboards Users can personalize layouts and widgets to suit their preferences. |
Customizable dashboards and user workspaces are available for enterprise users. | |
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Accessible Design (ADA/WCAG) Interface is accessible to users with disabilities, complying with accessibility standards. |
ADA/WCAG accessibility design is stated as a DocuSign UI principle (see accessibility documentation). | |
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Bulk Actions Allows manipulation (move, delete, tag, share) of multiple documents at once. |
Bulk actions—move, delete, tag, etc.—are supported for document collections. | |
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Drag-and-Drop Upload Simple drag-and-drop capability for adding new documents. |
Drag-and-drop document upload is provided in the web client. | |
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User Onboarding Tutorials Guided help or tutorials for faster team ramp-up. |
Onboarding guidance and tutorials are embedded in the product. | |
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In-app Support/Help Desk Contextual help, chat, or direct support embedded within the application. |
In-app help, knowledge base, support chat and ticketing are provided. | |
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Multi-device Compatibility Consistent experience across desktop, tablet, and mobile browsers. |
Functionality and experience is consistent across major web browsers and mobile devices. | |
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Favorite/Recent Documents Widget Quick access panels for recent or starred files. |
No information available | |
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User Feedback Collection Tools Built-in channels for users to provide feedback to administrators or vendors. |
User feedback and feature request facilities are available for DocuSign users and admin. |
Reporting and Analytics
(9 Yes /9 Known /10 Possible features)
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Pre-built Reports Library of standard reports for activity, compliance, and usage. |
A library of pre-built compliance, usage, and activity reports is included. | |
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Custom Report Builder Ability to configure custom analytics based on organization needs. |
Custom report building supported for workflows and analytics. | |
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Exportable Reports Download reports in various formats (CSV, PDF, XLSX) for further analysis. |
Reports exportable in formats like CSV, PDF, XLSX. | |
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Usage Analytics Tracks user engagement and platform adoption metrics. |
Tracks user analytics and platform adoption at the organization level. | |
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Compliance Dashboard One-stop visual tracking of compliance events (e.g., missing signatures, overdue reviews). |
Compliance dashboard offers visual tracking of events for regulated industries. | |
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Scheduled Report Delivery Automatically generates and emails reports on a defined schedule. |
Scheduled report delivery is available for regular compliance and activity reports. | |
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Audit Trail Export Export full document audit logs for review or regulatory submission. |
Full audit log export functionality is present. | |
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Real-time Analytics Refresh Rate Frequency with which analytics dashboards refresh data. |
No information available | |
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User Customizable Alerts Users/admins can configure alerts based on key report metrics. |
User-customizable alerts are part of the notifications and reporting system. | |
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Role-based Report Access Control which users or groups can access specific analytic or report types. |
Role-based access to reports is supported for compliance and privacy. |
Administration and Maintenance
(9 Yes /9 Known /10 Possible features)
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User Management Full administrative control over user accounts, groups, and permissions. |
Administrators can manage users, groups, and permissions in a fine-grained manner. | |
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Automated Backups Regular, automated system and document backups for disaster recovery. |
Automated cloud backups are performed regularly by DocuSign. | |
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Access Logs and Reports Detailed logs of all administrator actions for auditability. |
Comprehensive administrator audit logs and reports are maintained. | |
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System Health Dashboard Real-time monitoring of key system metrics (CPU, memory, storage, connectivity). |
System health and metrics dashboards are provided for IT/admin monitoring. | |
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Update and Patch Management Automatic or manual deployment of software updates and security patches. |
DocuSign provides both scheduled and push update/patch deployment, documented for enterprise customers. | |
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Customizable Policies and Templates Controls for setting company standard document templates, retention, and naming conventions. |
Custom document templates, policies, and naming standards can be established. | |
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Delegated Admin Roles Ability to grant limited administrative rights to designated users. |
Delegated/layered admin roles supported in the administrator console. | |
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API Key Management Tools for generating and managing secure access keys for integrations. |
API key management tools are provided on the developer/admin portal. | |
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Bulk User Provisioning Efficient creation, updating, or disabling of multiple user accounts at once. |
Bulk user management (provision/disable) is part of the enterprise admin tools. | |
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Automated License Usage Alerts Warns administrators before license or resource limits are exceeded. |
No information available |
Cost and Licensing Flexibility
(7 Yes /7 Known /10 Possible features)
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Tiered Pricing Multiple subscription or licensing tiers for different organization sizes. |
Tiered pricing based on features, user count, and storage is available. | |
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Usage-based Billing Option to pay based on actual storage, user, or transaction volume. |
Usage-based billing models can be arranged (per envelope, per seat, etc). | |
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Monthly/Annual Payment Options Flexible invoice or contract length options. |
Supports both monthly and annual payment options per documentation and pricing pages. | |
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No Long-term Contracts Ability to terminate service without multi-year commitments. |
No long-term contract required for some subscription tiers; cancellation terms are documented. | |
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Transparent Fee Structure Clear, upfront disclosure of all fees and potential overage charges. |
Fee structure and overage disclosures are provided on the pricing page. | |
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Free Trial Availability Option to use the system with full or limited features before purchasing. |
Free trial is available for the Agreement Cloud platform. | |
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Unlimited Document/Storage Plans Option for flat-fee, unlimited storage if required. |
No information available | |
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Concurrent User Licensing Licensing based on peak number of concurrent users, not just total active accounts. |
No information available | |
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Add-on Module Pricing Ability to add new features or modules at additional cost as needs grow. |
Most DocuSign modules are available as add-ons with separate pricing. | |
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Nonprofit or Multi-entity Discounts Special pricing for large enterprises or networks of independent advisors. |
No information available |
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