CapIntel Launches SEC-Aligned Proposal Building Features For RIAs

Fintech Provider CapIntel Launches Proposal Building Features For RIAs To Meet The SEC’s Marketing Rule With Audit Trail Automation And Other Compliance Capabilities

Chris Latham, Managing Editor, Wealth Solutions Report

The Toronto-based B2B fintech provider CapIntel launched a wealthtech platform with proposal building features that enables financial advisors and their RIAs to create investment presentations in accordance with elements of the Securities and Exchange Commission’s Marketing Rule. It includes adhering to the SEC Marketing Rule’s principles-based general prohibitions, automating key controls and providing a consistent format.

Compliance features encompass disclosure automation, abiding by Marketing Rule requirements that advertisements showing gross performance also include net performance, and using the same time periods to compare performance as well as the same return type and methodology. CapIntel’s new functionality enables inclusion of only net performance and performance over specified time periods.

“Financial advisors rely on investment presentations to ultimately build the foundations of trust critical to client relations,” said James Rockwood, Founder and CEO of CapIntel. “CapIntel’s customers and partners can rest assured that tailored proposals deliver knowledge and perspectives while staying within the parameters of regulatory requirements.”

James Rockwood, Founder and CEO, CapIntel

CapIntel strives for these controls to streamline administrative tasks so advisors can focus more on client-facing activities. Audit trail automation also allows the creation and maintenance of a comprehensive record of every presentation that an RIA’s financial professionals generate, complying with Rule 204-2 under the Investment Advisers Act of 1940, with the aim of upholding process transparency.

The proposal building features let RIAs “hardwire” required disclosures into presentations, so financial professionals must include certain information and RIAs can clarify for audiences criteria, assumptions, risks and limitations related to hypothetical or extracted performance.

“These controls ensure compliance, as financial professionals across a firm create investment presentations that adhere to the rule’s provisions while promoting transparency,” Rockwood said.

The company serves more than 12,000 advisors and 800 wholesalers across North America on its platform, which is designed to enhance fund analysis, proposal generation and day-to-day workflow efficiency for financial services wholesalers and investment advisors.

Chris Latham, Managing Editor at Wealth Solutions Report, can be reached at

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