• Zocks, an AI platform for financial services, announced a partnership with independent broker-dealer and RIA firm Founders Financial Securities, LLC.
• The partnership will make Zocks’ platform, which captures advisor-client conversations and turns them into structured data, part of the TRU Enterprise OS technology stack available to all Founders’ Member Partners.
• Headquartered in San Francisco, California, Zocks made its Finovate debut at FinovateSpring 2026 in San Diego.

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Privacy-first AI platform for financial services, Zocks, has partnered with Founders Financial Securities, LLC (“Founders”). The partnership with the privately-held independent broker-dealer and RIA firm makes Zocks part of the TRU Enterprise OS technology stack, which is available to all Founders’ Member Partners throughout the US. Zocks’ technology automates administrative processes such as meeting note-taking and manual data entry during onboarding, giving Founders’ advisors the freedom to focus on serving clients and enhancing relationships.

Zocks’ platform automatically captures details and context from client conversations and turns them into structured data. The platform then syncs that data across supported CRM, portfolio management, and planning tools, including Salesforce, Orion, and Wealthbox, as well as 370+ fields in eMoney. This enables Founders’ Member Partners to access up-to-date, comprehensive client summaries ahead of every client meeting. After the meeting, the advisors’ meeting notes, follow-up emails, and other forms are already populated with the key details from both the client meeting and connected systems, all ready to review and send.

“Founders recognized early that AI was going to change what clients expect from their advisors, and it chose to equip its entire network now instead of taking a wait-and-see approach,” Zocks Chief Revenue Officer Drew DiMarino said. “We’re proud to work with a firm that is setting the standard for how wealth management firms adopt and scale AI.”

In a statement, Founders indicated that the depth of Zocks’ integrations and its ability to work with the firm’s existing technology stack helped Zocks stand out from its competitors. The company also noted that the partnership not only helps advisors have more informed and intentional client conversations and deliver financial plans more effectively, but also will provide the firm’s leadership with aggregate insights into operational trends. This will help Founders better support its Member Partners and scale best practices across the partner community.

“We selected Zocks because it gives our Member Partners more time to do what they’re called to do: care for and serve their relationships,” Founders CEO Brad Shepherd said. “Zocks has lived up to its promises from the beginning, with a deep understanding of our needs, a robust platform, and a collaborative training and communication strategy that empowers our Member Partners to capture important data seamlessly so that they can stay focused on the care and impact they deliver. The partnership reflects our commitment to use AI to enhance our Member Partners’ ability to increase their ability to care and grow.”

Founded in 1994, Founders Financial Securities, LLC is a privately held, full-service registered investment adviser (RIA) and independent broker-dealer firm. Based in Towson, Maryland, the company provides its Member Partners with a suite of solutions and services that enable advisors to operate modern wealth management practices at scale.

Zocks made its Finovate debut at FinovateSpring 2026 in San Diego. At the conference, the San Francisco-based company showed how its AI assistant for financial advisors automates administrative tasks such as meeting prep, intake and account opening, document processing, and more. Zocks’ assistant turns client conversations, emails, and documents into structured data that is integrated with a firm’s technology stack and AI ecosystem. More than 5,000 firms, including two of the top three life insurance carriers, rely on Zocks’ solutions. Mark Gilbert is Co-Founder and CEO.

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• AI platform for financial services Zocks has launched its Zocks Client Queries solution.
• Zocks Client Queries enables financial advisors to uncover potential growth opportunities and respond to unmet client needs by querying data using plain language.
• Founded in 2022 and headquartered in San Francisco, California, Zocks made its Finovate debut at FinovateSpring 2026. Mark Gilbert is Co-Founder and CEO.

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AI platform for financial services Zocks unveiled its Zocks Client Queries solution this week. The new offering is an agentic AI product that enables financial advisors and enterprises to uncover organic growth opportunities and unmet client needs in seconds, using plain language. Advisors can use Client Queries to ask questions such as “which clients have a 401(k) with a previous employer that we could consolidate” or “which clients have a review due this quarter with over $500,000 in held-away assets,” and Client Queries will deliver a list of clients who fit those parameters. The solution then presents advisors with a set of automated next steps, including sending a personalized email, creating opportunities in a CRM system, or scheduling a meeting.

Zocks Client Queries also helps advisors address potential service gaps. Advisors, for example, can inquire, “which clients have a significant age milestone in the next 90 days, and we haven’t spoken with them in the past 12 months?” or “which clients mentioned a major life change but haven’t updated their estate plan?” allowing advisors to deliver proactive service to all clients regardless of account size.

“Every advisor-client relationship and conversation contains signals that point to the next opportunity, whether that’s a life change, a servicing need, or a held-away asset,” Zocks CEO Mark Gilbert said. “With Client Queries, firms can query across personal and financial information to operationalize those signals for every advisor, and deliver on the scale and consistency that manual processes can’t. What once required hours of research can now happen in minutes, at a fraction of the cost.”

Zocks leverages AI-powered intelligence to continuously build and maintain a comprehensive profile for all clients, drawing from CRM records, financial plans, tax, portfolio, estate, and insurance data, as well as conversations, meetings, emails, and documents shared with advisors. Zocks Client Queries analyzes these profiles in real time to deliver actionable lists and automated workflows in seconds. This gives advisors the opportunity for deeper insights and greater personalization compared to traditional lead generation and prospecting strategies.

“For our advisors, Client Queries removes the friction between having an idea to engage clients and quickly acting on it,” RFG Advisor VP of Technology and Operations Jordan Hutchison said. “For the enterprise, it gives us a way to operationalize growth across every advisor’s book simultaneously.”

Founded in 2022 and headquartered in San Francisco, California, Zocks made its Finovate debut at FinovateSpring 2026. At the conference, the company demonstrated how its AI assistant for financial advisors automates administrative tasks including meeting prep, account opening, document processing, and more. Zocks’ technology transforms client conversations into structured insights that bolster relationships and support business growth.

Zocks’ AI assistant saves advisors more than 10 hours a week, enabling them to build plans and onboard clients faster, discover new growth opportunities, anticipate client needs, and scale their business. Zocks counts more than 5,000 firms as its customers, including six of the nine Barron’s Top Mega RIAs and two of the top three life insurance carriers.

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Photo by Shen Pan on Unsplash