SIFMA - CapitalROCK, LLC

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About

Technology/Software & Services

Artificial Intelligence & Machine Learning, Compliance Software

Employees & Contacts

26-75 Employees | 3 Contacts

Headquarters

45 E Center St Ste 201, North Salt Lake, UT 84054, USA

CapitalROCK, LLC

Intelligent Business Analytics for Financial Advisors and Firms

CapitalROCK, the creator of RightBRIDGE, offers financial services firms a powerful and configurable rules engine to determine and document the suitability or best interest status of proposed rollovers, account types, and products. Many of the country's largest independent, bank, and insurance broker-dealers rely on RightBRIDGE systems to meet their compliance and documentation obligations for regulations such as Reg BI, Reg 187, and the DOL's PTE 2020-02.Each RightBRIDGE deployment is tailored to the licensing broker-dealer's specific products, policies, and compliance requirements. Every analysis is accompanied by CapitalROCK's exclusive ReasonText™, which is automatically generated, client-specific, and recommendation-specific text. This text documents whether a proposed action meets the licensing broker-dealer's best interest requirements and explains why.

Products (2)

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Pre-Transaction Modules

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Over fifty broker-dealers use RightBRIDGE systems pre-transaction to score, risk rate, and document the actions taken by their financial professionals.

Post-Transaction Monitoring Modules

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Post-Transaction Monitoring Validate transactions to ensure consistancy with pre-transac

Featured Content (2)

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Whitepaper

by Connor Thomas

150 days ago

Two distinct rollover business models have emerged in response to the new rollover restrictions under Prohibited Transaction Exemption 2020-02 that went into full effect on July 1, 2022. Under the “Rollover Advice Model,” firms acknowledge their fiduciary status and comply with PTE 2020-02 when providing rollover advice. But under the “Rollover Education Model,” rollover guidance is limited to non-fiduciary education only. Certain firms feel that the Rollover Education Model has fewer compliance burdens and risks, since it does not require compliance with PTE 2020-02. However, there may be significant practical difficulties associated with this model. Read this White Paper to learn more about these difficulties and how RightBRIDGE can help.

Whitepaper

by Connor Thomas

150 days ago

The RightBRIDGE Annuity Wizard is the ultimate pre-sales annuity solution for broker-dealers, seamlessly combining compliance solutions with intuitive annuity research tools.

Contacts (3)

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Connor Thomas

Vice President of Business Development

Michelle Hyde

Office Manager

Neil Wert

Senior Director, Business Development

Locations (2)

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45 E Center St Ste 201, North Salt Lake, UT 84054, USA

North Salt Lake

45 E Center St, St Ste 201, North Salt Lake, UT 84054, USA