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How to Submit a Update a Client’s Name Request

Learn how to submit a request to update a client’s legal name on their Optimize Account.

Applies To: 

  • All Portfolio Managers, Advisors, Wealth Planners, and support staff.
  • Eligible account types: Cash accounts, Joint accounts, Margin accounts, TFSA, RRSP, RESP, RDSP, FHSA, and Trust accounts.

You can submit an Update Name request from a client’s CRM Contact Record. Follow the instructions below to ensure the update is processed accurately and all supporting documentation is provided.

When to Submit an Update Client Name Request

  • A client’s legal name has changed (e.g., due to marriage or legal name change) and needs to be updated on file.
  • A client’s existing name has an error that needs correction.

How to Submit an Update Client Name Request

To submit an Update Name request, use the Service Extension on the client’s CRM Contact Record. When submitting the request, there are two distinct submission methods and workflows: Manual Submission, which involves uploading a scanned or physically signed document, and Straight-Through Processing (STP), which automatically generates the required forms and sends them to the client through DocuSign.

Although both methods are valid, we strongly recommend using Straight Through Processing whenever possible for real-time tracking, reduced errors, and faster turnaround times.

Learn more about Straight-Through Processing.

How to Submit an Update Client Name Request using Manual Submission

Use this method if your client has already provided a signed Letter of Direction and supporting documents.

  1. Navigate to the Client’s CRM Contact Record.
  2. Go to the Servicing Tab.
  3. Select Account Administration → Update Client & Account Information.
  4. Choose Update Client Name as the request type.



  5. Select Manual Submission.


  6. Upload the required documents:
    • Client-signed Letter of Direction – Name Change.
    • Copy of legal proof of name change (e.g., marriage certificate, legal name change document, or government-issued ID showing the new name).
  7. Review & Submit – Confirm all details, then click Submit to create the service request ticket.

Tip: Ensure that the legal documentation provided clearly matches the updated name to prevent processing delays.

How to Submit an Update Client Name Request using STP

With STP, Optimize automatically generates and emails the name change forms to the client for electronic signing through DocuSign.

  1. Navigate to the Client’s CRM Contact Record.
  2. Go to the Servicing Tab.
  3. Select Account Administration → Update Client & Account Information.
  4. Choose Update Client Name as the request type.



  5. Select Straight-Through Processing.


  6. Click the Modify button and enter the updated legal name.
  7. Click Next to proceed.
  8. Review & Submit – Confirm all details, then click Submit to create the service request ticket.

Please Note: Once you submit the request, the ticket will be created and the client will be automatically sent the paperwork by DocuSign. The ticket cannot progress further until the client reviews the paperwork and electronically signs through DocuSign.

After Submitting the Request

A new service request ticket will be created. You can locate it:

  • In the Right-Side Panel of the client's CRM Contact Record under Tickets.

In the Account Administration Pipeline, where you can track the progress and confirm when the request is completed.

Processing Times

  • Manual Submission: Typically 10 business days after the ticket has been submitted and completed any applicable review.
  • Straight-Through Processing: Typically 1 business day after the ticket has been submitted and completed any applicable review.