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Uptiq's AI agents classify and extract the full range of wealth and investment documents — account opening paperwork, fee schedules, portfolio and trade reports, private markets and fund administration documents, and retirement and suitability forms — at 95%+ accuracy.
Trusted by wealth and investment teams across advisory, trust & fund administration
What Is This
Wealth operations run on paperwork that spans very different purposes — onboarding, billing, reporting, fund administration, and compliance — each with its own document type.
A wealth or investment operations team touches a wide range of document types across a client's lifecycle: account opening and transfer forms, fee schedules and billing statements, portfolio and trade reporting, private markets and fund administration paperwork, retirement and estate planning forms, and suitability and investment policy documents. Each has its own layout, its own required fields, and its own downstream system.
Uptiq's Document AI classifies and extracts across all 24 of these document types with one pipeline, so operations and advisory teams stop re-keying client and account data by hand every time a new document type shows up in the workflow.
The bottleneck isn't any single document — it's the sheer variety: 24 different document types, each triggering a different downstream process, all needing accurate extraction before that process can start.
The Solution
Uptiq's Document AI agents classify incoming wealth and investment documents, extract the fields each downstream process needs, and route structured data into your existing systems.
The result: advisory and operations teams spend their time on client relationships and exceptions, not on manually keying data from 24 different document layouts.
Supported Documents
Uptiq's Document AI registry supports 24 wealth and investment document types, grouped by the six areas they serve.
| Document | Type code | What it captures |
|---|---|---|
| ACAT Account Transfer Form | ACATAccountTransferForm | Instructs the transfer of assets between custodians |
| Investment Management Agreement | InvestmentManagementAgreement | Governs the advisory relationship and discretionary authority |
| Margin Account Agreement | MarginAccountAgreement | Terms for margin borrowing on the account |
| New Account Application | NewAccountApplication | Client identification, suitability, and account setup data |
| Document | Type code | What it captures |
|---|---|---|
| Fee Billing Statement | FeeBillingStatement | Itemized advisory and management fees charged to the account |
| Fee Schedule | FeeSchedule | The fee rates and tiers that apply to an account or household |
| Document | Type code | What it captures |
|---|---|---|
| Benchmark Attribution Report | BenchmarkAttributionReport | Performance versus benchmark, broken into attribution factors |
| Consolidated Multi Custodian Statement | ConsolidatedMultiCustodianStatement | Holdings and activity rolled up across custodians |
| Portfolio Holdings | PortfolioHoldings | Point-in-time, position-level holdings detail |
| Trade Confirmations | TradeConfirmations | Individual trade execution details |
| Document | Type code | What it captures |
|---|---|---|
| Capital Call Notices | CapitalCallNotices | LP capital call amount, due date, and purpose |
| Distribution Notice | DistributionNotice | LP distribution amount and source |
| ILPA Style Partner Capital Account Statements | ILPAStylePartnerCapitalAccountStatements | Standardized LP capital account roll-forward |
| Pitch Book | PitchBook | Fund terms and strategy presented to prospective investors |
| Side Letter | SideLetter | Negotiated terms specific to one LP |
| Subscription Document | SubscriptionDocument | An investor's commitment and subscription details to a fund |
| Document | Type code | What it captures |
|---|---|---|
| Beneficiary Designation | BeneficiaryDesignation | Named beneficiaries and allocation percentages for an account |
| Brokerage Retirement Statement | BrokerageRetirementStatement | Retirement account holdings and activity |
| 529 Age Of Majority Election Form | FiveTwoNineAgeOfMajorityElectionForm | Beneficiary control election for a 529 plan |
| RMD Request Form | RMDRequestForm | Required minimum distribution instructions |
| Special Needs Trusts | SpecialNeedsTrusts | Trust terms for a beneficiary with special needs |
| Document | Type code | What it captures |
|---|---|---|
| Investment Policy Statement | InvestmentPolicyStatement | Documented objectives, constraints, and asset allocation guidance |
| Investment Proposal | InvestmentProposal | Proposed allocation and rationale presented to a client |
| Risk Tolerance | RiskTolerance | Client's documented risk capacity and risk tolerance profile |
Key Benefits
Onboarding, billing, reporting, fund administration, and compliance documents all run through the same classification and extraction pipeline.
Extracted data is routed automatically to the process it feeds — no manual sorting before work can start.
LP-specific terms on side letters, capital calls, and subscription documents are extracted, not just filed away.
Every extracted field traces back to its source page — documentation ready for compliance review.
100+ native integrations across CRM, portfolio management, and fund administration platforms. No new infrastructure.
Process more accounts and documents without adding headcount as your book of business grows.
Proven at Scale
Results represent aggregate outcomes across production deployments. Individual results may vary.
How It Works
Any of the 24 supported wealth and investment document types arrives via email, portal, or upload. AI classifies it automatically.
Client, account, and transaction-level fields are extracted at 95%+ accuracy with full data lineage back to the source page.
Extracted data is routed to the process it belongs to — onboarding, billing, portfolio reporting, or fund administration.
Structured output lands in your CRM, portfolio management, or fund administration platform.
Common Questions
Related Document Types
Book a 30-minute session. We'll run a live extraction demo on your own document types.
150+ financial institutions run Uptiq's AI agents to process wealth and investment documents.
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