--- title: "Workflow and Case Management Software for Broker-Dealer Home Offices" description: "Workflow and case management software broker-dealer home offices use, including Salesforce, ServiceNow, Docupace, clearing tools and Milemarker." url: https://www.milemarker.co/resources/guides/broker-dealer-home-office-workflow-case-management --- [Guides](https://www.milemarker.co/resources/guides) Guides # Workflow and Case Management Software for Broker-Dealer Home Offices What workflow and case management software broker-dealer home offices use, from Salesforce Service Cloud and ServiceNow to Docupace, clearing-firm tools, supervision archives, help desks and Milemarker Command Center. **Milemarker** Broker-dealer home offices typically run case management and workflow on a mix of tools: a CRM or service platform (Salesforce Service Cloud or Financial Services Cloud, or ServiceNow) for cases, a document workflow tool such as Docupace for paperwork, their clearing firm’s platform (Pershing or Fidelity) for account and transaction processing, and a communications archive for supervision. The gap is that reviewers still assemble client context from several systems by hand. Milemarker Command Center closes that gap: [Case Management](https://www.milemarker.co/command-center/case-management) puts advisor requests, data exceptions and compliance reviews in one queue, attaches the client and accounts to every case, routes each one to its owner and writes the outcome back to your systems, alongside [integrated workflows](https://www.milemarker.co/command-center/integrated-workflows). ## What does a broker-dealer home office need from case management? A home office handles a steady stream of requests from hundreds or thousands of advisors: new accounts, account maintenance, suitability and alternatives reviews, transfers, trade corrections, licensing questions and technology issues. Case management for this work needs to: - **Capture and route** each request to the right team, with service levels. - **Show the reviewer the full client picture**, including assets, holdings, risk profile and history. - **Support approval chains** with thresholds and escalation for high-dollar or complex requests. - **Keep an audit trail** that supervision and compliance can rely on. - **Give advisors status** without calling the home office. ## What software do broker-dealer home offices use? ### Salesforce Service Cloud and Financial Services Cloud Many broker-dealers run advisor service and case management on Salesforce. Service Cloud provides case objects, queues, routing and service consoles, and Financial Services Cloud adds financial data models for clients, households and accounts. Salesforce Flow automates steps and approvals. It is flexible and widely supported, and it usually needs an admin team or consulting partner to build and maintain. **Best for:** home offices standardized on Salesforce with in-house admin capacity. ### ServiceNow ServiceNow is an enterprise workflow platform used for IT service management and, increasingly, business operations. Its Financial Services Operations offering targets case and operations workflows in financial firms. Large broker-dealers often already use ServiceNow for internal IT. **Best for:** large broker-dealers that want an enterprise workflow platform shared with IT. ### Docupace Docupace provides digital onboarding, document management and workflow for broker-dealers and RIAs. It is used for account paperwork, NIGO checks, document routing and electronic storage. **Best for:** paperwork-heavy processes such as new accounts and account maintenance. ### Clearing and custody platforms (Pershing, Fidelity) Clearing firms provide their own operational tools. BNY Pershing’s NetX360+ and Fidelity’s Wealthscape give broker-dealers account opening, servicing, money movement and reporting for accounts held at that clearing firm. **Best for:** processing on the clearing firm’s own accounts. They cover that clearing relationship, not the firm’s full set of systems. ### Communications archiving and supervision (Smarsh, Global Relay) Smarsh and Global Relay capture and archive electronic communications such as email, chat and text, and provide supervision and review tools for those communications. They are part of the supervisory toolset, but they are not general case management systems. **Best for:** electronic communications capture, retention and review. ### General help desk tools Zendesk, Freshdesk and Jira Service Management are common for advisor technology support. They handle tickets well, but they do not know a custodian sync failure from a portfolio rebalance question, so categorization and routing tend to be generic. **Best for:** basic ticketing when wealth-specific context is not required. ### Milemarker Command Center Milemarker is a data and experience platform for broker-dealers, RIAs, TAMPs and aggregators. It connects clearing firms and custodians (including Pershing, Fidelity Institutional, Schwab and LPL), CRMs and portfolio accounting into one normalized data layer on Snowflake, and Command Center runs operations on top of it: - **[Case Management](https://www.milemarker.co/command-center/case-management)** runs every advisor request, data exception and compliance review as a case in one queue. Advisors and staff file requests from one form; exception queues open cases from your data, such as unmapped rep codes, high cash, drift or missing documents. Each case arrives with the client, accounts and history attached, goes to the person who owns that system or custodian, and is written back to your systems when it closes. Operations sees every open case by type, owner and age, and compliance reviews keep a trail. - **[Integrated workflows](https://www.milemarker.co/command-center/integrated-workflows)** prefill forms with real client data, validate account numbers, SSNs and addresses against live systems, and assign tasks by rule. **Best for:** home offices that want case management and help desk running on unified data from every clearing firm, custodian and CRM, without replacing those systems. ## Comparison table | Vendor | Type | Best for | Works with existing stack? | | --- | --- | --- | --- | | Salesforce Service Cloud / FSC | CRM and service platform | Salesforce-standardized home offices | Yes; custom integration for clearing data | | ServiceNow | Enterprise workflow platform | Large firms sharing a platform with IT | Yes; integration work required | | Docupace | Onboarding and document workflow | Account paperwork and NIGO checks | Integrates with CRMs and clearing firms | | Pershing NetX360+ / Fidelity Wealthscape | Clearing firm platform | Processing at that clearing firm | Covers its own accounts | | Smarsh / Global Relay | Communications archive and supervision | E-comms capture and review | Alongside case tools | | Zendesk / Freshdesk / Jira SM | General help desk | Basic advisor tech support | Yes; generic categories | | Milemarker Command Center | Wealth data platform with case management | Cases and help desk on unified data | Yes; connects 140+ wealth management integrations | ## How do home offices give reviewers the full client picture? This is the step most case tools leave to people. A suitability or alternatives review needs current holdings, account history, risk tolerance, prior decisions and the advisor’s notes. When those live in the clearing platform, the CRM and planning software separately, reviewers either search each system or decide on partial information. The fix is to assemble context automatically: 1. **Connect clearing, custodial, CRM and planning data** into one data layer. 2. **Resolve the client** across systems so the case knows which accounts belong to the household. 3. **Pre-populate each case** with the relevant data when it is opened. 4. **Route by rule**: product type, dollar amount, office and reviewer qualification. 5. **Log every decision** with the data the reviewer saw. For more on the data side, see [the data platform for broker-dealers](https://www.milemarker.co/resources/guides/data-platform-broker-dealers) and [the wealth management middle office](https://www.milemarker.co/resources/guides/wealth-management-middle-office). ## What are the common pitfalls? - **Treating the archive as case management.** Communications supervision and request workflows are different jobs. - **One queue for everything.** Without wealth-specific categories, tickets land in “Other” and get solved from scratch. - **Cases without data.** Routing a request quickly does not help if the reviewer still has to hunt for context. - **Clearing-firm lock-in.** Building every process inside one clearing platform makes multi-clearing or a clearing conversion harder. ## Frequently asked questions ### Do broker-dealers use Salesforce for case management? Many do, using Service Cloud or Financial Services Cloud with Salesforce Flow for automation. Milemarker connects to Salesforce and Salesforce FSC, so cases and data can work together. ### Is ServiceNow used by broker-dealers? Yes, especially larger firms that already run ServiceNow for IT. It offers a Financial Services Operations product for business workflows. ### Are Smarsh and Global Relay case management tools? No. They capture, archive and supervise electronic communications. Home offices use them alongside case and workflow tools. ### Can Milemarker work with Pershing and Fidelity? Yes. Pershing and Fidelity Institutional are among Milemarker’s integrations, along with Schwab, LPL, Altruist and Interactive Brokers. ### How is Milemarker secured for broker-dealer data? Milemarker is SOC 2 Type II and GDPR compliant, with ISO 42001 in progress. It enforces row-level access by advisor, office and role, PII masking and SSO, and client data is never sold or used to train AI. ## Read more [View all ↗](https://www.milemarker.co/resources/guides) [Guides ### How to Connect Schwab, Salesforce and eMoney Data in One Place Milemarker • Nov 5, 2026](https://www.milemarker.co/resources/guides/connect-schwab-salesforce-emoney) [Guides ### How Broker-Dealers Aggregate Data From Multiple Custodians and Clearing Firms Milemarker • Nov 5, 2026](https://www.milemarker.co/resources/guides/how-broker-dealers-aggregate-custodian-clearing-data)