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Zocks

Zocks is a privacy-first AI assistant for financial advisors and wealth management firms. It never records audio or video, yet turns virtual, phone and in-person meetings into structured notes, filled forms, drafted client emails and updated CRM records.

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Overview

What is Zocks?

Zocks is a privacy-first AI platform built for one audience only: financial advisors and the firms that employ them. It is published by Zocks Communications, Inc. in San Francisco and was founded in 2022 by Mark Gilbert (CEO, formerly VP of Product Management at Twilio and a Microsoft executive) and Akos Ratku (CTO, previously an engineering leader at Hearsay Systems). It sits between the conversations an advisor has and the systems those conversations are supposed to feed.

The whole architecture rests on one decision: Zocks never records audio or video. It transcribes instead, which is how it avoids the retention and supervision duties that recorded client meetings trigger under SEC and FINRA rules. Conversations are captured wherever they happen — Zoom, Teams, Google Meet and Webex for video, the iOS and Android apps for face-to-face appointments, and mobile, landline or VoIP lines for phone calls.

What comes out is structured data rather than a transcript. Zocks writes CRM notes, updates client profiles, creates tasks and populates planning fields; the publisher claims 370+ fields filled in eMoney or RightCapital from a single conversation, a follow-up email draft ready in 90 seconds, and same-day financial plans against an industry average of 10 to 15 hours. Client Signals watches conversations and emails for life events — births, job changes, inheritances, retirements — and triggers workflows. Client Queries answers natural language questions across the entire book, with citations and traceability. Document Intelligence reads PDFs, Word files, scans and photos of financial documents and maps their fields across. A Zocks MCP server connects Claude, ChatGPT and Gemini to that client intelligence.

Roughly 40 two-way integrations tie the platform to CRMs, planning tools, portfolio systems and compliance archives. On security, the site claims SOC 2 Type 2 obtained in early November 2023, HIPAA compliance, encryption in transit and at rest, SSO, SAML, 2FA, audit logs and configurable PII redaction, with data processed and stored in the United States on AWS. The company reports USD 65 million raised in total and says 5,000+ firms now use it.

What it does

  • Take structured meeting notes with speaker attribution, without recording any audio or video, across virtual, in-person and phone conversations
  • Prepare each appointment automatically: briefing, agenda, key points, action items and a pre-meeting email draft
  • Update the CRM, financial planning and portfolio tools in both directions, including 370+ eMoney or RightCapital fields
  • Auto-fill onboarding forms, fact finders and account opening paperwork from the conversation itself
  • Draft replies to client emails in the advisor's own tone, and never send them without approval
  • Extract data from PDFs, statements, tax returns and deeds, then sync the fields to the connected systems
  • Query the whole book of clients in natural language and surface life events such as births, job changes or inheritances
Audience

When to use Zocks / When not to

A quick filter to help you decide if Zocks is the right fit.

When to use Zocks

  • Independent financial advisors and RIA firms that want complete meeting documentation without recording their clients
  • Broker-dealers, insurance networks and any team under SEC or FINRA supervision looking to avoid audio and video retention obligations
  • Practices whose CRM is Salesforce, Wealthbox, Redtail, Practifi, SmartOffice, Dynamics 365, AdvisorEngine or SS&C Black Diamond
  • Firms running eMoney or RightCapital, where the publisher claims 370+ planning fields filled from a single conversation
  • Large-scale rollouts and enterprise deployments: Carson Group reports 400 advisors up and running in about a month

When not to use Zocks

  • Anyone hunting for a free or cheap general-purpose note-taker: entry pricing is USD 67 per user per month on annual billing, USD 80 monthly
  • Users who want to try before committing: there is no permanent free plan and a credit card is required to start the 14-day trial
  • Teams outside financial services, since every workflow is shaped around advisory forms, planning tools and US securities compliance
  • European firms with strict GDPR obligations: the site never mentions the regulation, publishes no DPA and stores data in the United States
  • Organisations that need data residency outside the US on a standard plan, as custom geography is an Enterprise Platform option only
Get started

How to use Zocks

A typical end-to-end flow, from setup to results.

  1. Create an account on the Zocks console and start the 14-day free trial — a credit card is required up front
  2. Connect your calendar (Outlook or Google) and your mailbox so Zocks can see and prepare upcoming appointments
  3. Link the systems of record: CRM, financial planning tool and portfolio platform, in both read and write directions
  4. Set up capture: let Zocks join video meetings, install the iOS or Android app for in-person appointments, or connect the phone line
  5. Configure meeting templates and output presets per appointment type, per team or per line of business
  6. Before each meeting, open the automatic prep document built from the CRM, past conversations and email history
  7. During the meeting, follow the live agenda as Zocks ticks off the points already covered
  8. After the meeting, review the structured notes, action items, CRM and planning updates, and the follow-up email draft
  9. Add native plugins and automations: Zoom, the Outlook add-in, Google, and Zapier for 8,000+ apps on the Ultimate tier
  10. For firms, set user roles, sharing rules, SSO/SAML and LDAP directory sync, and use the onboarding sessions included from the Professional tier
Quick read

Pros & Cons

Pros

  • Built end to end for financial advice, from fact finders and planning fields to sector-specific compliance
  • No audio or video recording, which removes a category of SEC and FINRA retention and supervision obligations
  • Integrations write back as well as read, where many rivals only read — the publisher claims 370+ fields pushed to eMoney or RightCapital
  • Unlimited meetings on every paid tier, with no per-meeting or per-minute metering
  • SOC 2 Type 2 and claimed HIPAA compliance, alongside SSO, SAML, 2FA, audit logs and configurable PII redaction
  • Explicit commitment that captured client data is never used to train large language models, with object-level, configurable retention
  • iOS and Android apps for in-person appointments, and meeting processing in ten languages

Cons

  • No permanent free plan, and a credit card is required just to start the 14-day trial
  • High entry price: USD 67 per user per month billed annually, USD 80 billed monthly
  • Key features are gated to upper tiers — form fill and MCP at Professional; client emails, Document Intelligence, Zapier and native scheduling at Ultimate
  • The GDPR is never mentioned, no DPA is published, no subprocessor list exists and no EU representative is named
  • Data is processed and stored in the United States; storage in another geography is an Enterprise quote-only option
  • No public API documentation: the advertised REST API suite is only reachable through a sales conversation
  • Enterprise pricing is not published, the dedicated admin assistant seat costs an extra USD 25 per month and is capped at five meetings
Pricing

Pricing & Plans

There is no permanent free plan. A 14-day free trial is offered, but a credit card is required to start it. The lowest paid entry point is the Essentials tier at USD 67 per user per month on annual billing, or USD 80 per user per month on monthly billing. Annual payment is presented as including two months free. Higher tiers are Professional at USD 117 and Ultimate at USD 184 per user per month annually, and the Enterprise Platform is priced on request.

Essentials — USD 67 per user/month billed annually (USD 80 monthly)
  • meeting preparation
  • AI note-taking
  • CRM
  • financial planning
  • portfolio and tax planning integrations
  • pre- and post-meeting emails
  • unlimited meetings
Ultimate — USD 184 per user/month billed annually (USD 220 monthly)
  • everything in Professional plus native appointment scheduling
  • automated client email replies
  • Document Intelligence extraction
  • Zapier automation and three onboarding sessions
Enterprise Platform — pricing on request
  • deployment to thousands of advisors
  • custom policies
  • proprietary system integration
  • custom data residency
  • REST APIs and alternative archiving
Plan 5
  • Add-on across tiers — dedicated admin assistant seat at USD 25 per month
  • limited to five meetings per month
Special offers — Two months free when paying annually rather than monthly · 14-day free trial, with a credit card required to start it · Personalised onboarding sessions included: one on the Professional tier, three on Ultimate · No student, non-profit, unemployed, referral or promotional code offer is published
Prices and plans listed above may evolve. Always check the official pricing page before subscribing.
Trust & Privacy

Data, GDPR & hosting

A consolidated view of how Zocks handles your data.

GDPR overview

The site never mentions the GDPR. Across the seventeen pages reviewed — privacy policy, terms, security and compliance included — the regulation is named neither to claim compliance nor to deny it. There is no published data processing agreement, no subprocessor list and no EU representative under Article 27. The privacy policy frames rights by jurisdiction, "including certain U.S. states and Canada": to know, access, correct and delete, withdraw consent, opt out of targeted advertising, non-discrimination and appeal. Familiar legal bases are listed — consent, contract, legal obligation, vital and legitimate interests — and requests go to info@zocks.io, with identity checks and authorised agents accepted. International transfers are described generically, with no named mechanism. The regulatory frame is American: SEC Regulation S-P, FINRA, Reg BI, DOL, KYC and HIPAA.

Who owns the data?

The terms separate Subscriber Data — everything a firm and its clients bring into the platform — from the Zocks Technology itself, and state that Subscriber Data is the Confidential Information of the Subscriber. The security pages put it plainly: you own and control your data. On expiry or termination, Zocks says it removes all Subscriber Data from the platform and access ends. One reservation matters: the same clause exempts aggregated and anonymised Subscriber Data that Zocks is permitted to use under Section 6.2(b), so de-identified derivatives can outlive the account. Account owners can also flag meetings or whole meeting types as private, visible only to invited participants.

Reuse rights

Nothing in the terms stops a subscriber from reusing what Zocks produces: the notes, summaries, completed forms and CRM records belong to the firm and the product is built to push them straight into the systems it already owns, without asking permission. On the publisher's side, the commitments are explicit: data captured by Zocks is never used for training or improving Large Language Models, and Google Workspace data reached through the integration is excluded from developing, improving or training AI models. Third-party AI, machine learning and LLM providers do process data on Zocks' behalf under contractual obligations. Zocks says it does not sell personal data for monetary consideration, while conceding that some analytics and advertising tools may amount to sharing under US state laws; phone numbers and SMS consent are never passed to third parties for marketing. PII redaction can be enabled before summaries and forms are generated, and drafted emails are never sent to clients automatically.

Data retention & training

Retention summary
Retention policies are customised per organisation and can be controlled by the user at object level: meeting transcripts and summaries can be permanently deleted on demand, or automatically by hour, day or month. The privacy policy says personal data is kept as long as needed for the purposes described, plus whatever legal obligations, disputes and enforcement of agreements require; usage data is kept for a shorter period unless needed for security, service improvement or law. Users can delete data from the account or by request, subject to mandatory retention. On termination, all Subscriber Data is removed from the platform — except aggregated and anonymised data. External archiving and supervision (Smarsh, Global Relay, Proofpoint) can run on demand or on a schedule, and Zocks says it notifies affected customers of incidents within 72 hours, in line with SEC Regulation S-P.
Trains on customer data
No
GDPR contact

Hosting summary

Zocks states that data it captures is processed and stored in the United States, and repeats "Data stored in the U.S." on every pricing tier. The terms of service name Amazon Web Services as the provider holding all Subscriber Data, while reserving the right to use other hosts of similar repute such as GCP or Microsoft Azure. Encryption is claimed in transit and at rest, with access restricted to Zocks. Storing data in a custom security context or geography is possible, but only as an Enterprise Platform option priced on request. The privacy policy adds that processing may take place in the company's offices and wherever the parties involved are located, and that data may be transferred outside the user's own jurisdiction. No European hosting region, no data processing agreement and no transfer mechanism such as standard contractual clauses are documented anywhere on the site.

Hosting countries
🇺🇸 United States
Availability

Where Zocks works

Country-level availability.

Not available in

No country or region is excluded: neither the terms of service nor the privacy policy lists any restricted territory, although the product is built around the North American market (SEC, FINRA and DOL rules, US wealth Tech integrations, US data storage)
Watch-outs

Things to keep in mind

Risks and trade-offs to weigh before adopting Zocks.

  • The company address is a private mailbox (PMB 69528) at 548 Market St in San Francisco — a correspondence address, not an identifiable registered office
  • No exact incorporation date is published: only the year 2022, which the first Wayback capture of February 2023 does not corroborate, and no beneficial owner is declared
  • The GDPR is never mentioned anywhere on the site, with no DPA, no subprocessor list and no Article 27 EU representative — a real question for any firm handling EU client data
  • A credit card is required from the start of the free trial, the subscription renews automatically, cancellation needs 30 days' notice and prices may rise at renewal with 60 days' notice
  • The terms let Zocks keep using aggregated and anonymised data even after termination, so deletion of Subscriber Data is not total deletion
  • SOC 2 Type 2 and HIPAA compliance are self-declared on the site, with no report or attestation available to inspect — as are the traction figures, including the 5,000+ firms and the G2 rating
  • Delegating client documentation to an assistant can erode an advisor's own listening and recall: AI-drafted notes and emails still need to be read before they reach a client or a compliance file
Setup

Setup & Integrations

Technical difficulty

Low for an individual advisor. No code is involved: create an account, connect the calendar, mailbox, CRM and planning tools, and the site advertises going live in under ten minutes with help from the team. Native Zoom and Outlook plugins, a Google add-in and iOS/Android apps cover capture. Onboarding sessions are included from the Professional tier. Firm-wide deployment is a genuine integration project — SSO/SAML, LDAP directory sync, per-business-line policies, REST APIs and data lake patterns — though Carson Group reports 400 advisors live in about a month with almost no training.

Deployment

Web appMobile appIOS appAndroid appAPIPlugin

Apps stores

Integrations

Zoom Microsoft Teams Google Meet Webex Zoom Phone RingCentral Salesforce HubSpot Redtail Wealthbox Practifi SmartOffice Microsoft Dynamics 365 XLR8 AdvisorEngine SS&C Black Diamond Elements SS&C Black Diamond Engage SS&C Black Diamond Edge Black Diamond Wealth Platform Orion EMoney RightCapital Conquest Holistiplan Wealth.com PreciseFP Box SharePoint Microsoft Outlook Gmail Google Calendar Outlook Calendar Zapier Smarsh Proofpoint Global Relay Claude ChatGPT Gemini

Supported languages

EnglishSpanishPortugueseFrenchHindiJapaneseGermanItalianRussianDutch
Company

Behind Zocks

Company name
Zocks Communications, Inc.
Founded
INFORMATION_NOT_FOUND
Country of origin
🇺🇸 United States
Headquarters
548 Market St, PMB 69528, San Francisco, California 94104-5401, US
UBO
INFORMATION_NOT_FOUND
UBO country
INFORMATION_NOT_FOUND
Domain registrar country
🇺🇸 United States
Support contact

Fundraising

USD 65 million raised in total, as stated by the publisher on its About and llm-info pages
USD 45 million Series B announced in January 2026, co-led by Lightspeed Venture Partners and QED Investors
Investors named on the About page: Lightspeed and GFC
No date or amount is published for any round before the Series B
Alongside the funding, the publisher claims revenue multiplied by eight and headcount by six over one year

Social

Official links

Resources

All the official URLs gathered for verification and reference.

Compare

Alternatives

Tools that compete with or complement Zocks.

J JumpH HazelF FathomO OtterF FinMate AIM Microsoft CopilotZ Zoom AI
FAQ

Frequently asked questions

Does Zocks record meetings?
No. Zocks transcribes conversations but captures no audio and no video file at all. That is the core design choice, intended to keep firms clear of the retention and supervision duties that recorded client meetings create under SEC and FINRA rules.
Is there a free plan or a free trial?
There is no permanent free plan. Zocks offers a 14-day free trial, and a credit card is required to start it. Annual billing is presented as including two months free.
How much does Zocks cost?
Essentials starts at USD 67 per user per month billed annually, or USD 80 billed monthly. Professional is USD 117 annually and Ultimate USD 184 annually. The Enterprise Platform is quoted on request, and a dedicated admin assistant seat costs USD 25 per month.
Which meetings and languages does it handle?
Video meetings on Zoom, Microsoft Teams, Google Meet and Webex, in-person appointments through the iOS and Android apps, and phone calls on mobile, landline, shared landline, VoIP and UCaaS lines. Processing covers English, Spanish, Portuguese, French, Hindi, Japanese, German, Italian, Russian and Dutch.
Is there a limit on the number of meetings?
No. Unlimited meetings are included on every paid tier, with no per-meeting or per-minute cap advertised.
Where is the data hosted, and is it used to train AI models?
Data is processed and stored in the United States, on Amazon Web Services according to the terms, which also allow comparable providers such as GCP or Microsoft Azure. Zocks states that data it captures is never used for training or improving large language models.
What security certifications does Zocks claim?
The site reports SOC 2 Type 2, obtained in early November 2023, and claims HIPAA compliance, alongside encryption in transit and at rest, SSO, SAML, 2FA, audit logs and configurable PII redaction. No audit report or attestation is published for public review.
Can it feed a compliance archive, and is there an API?
Yes to archiving: Smarsh, Global Relay, Proofpoint and others are supported, on demand or on a schedule. Zocks also advertises a suite of REST APIs for headless integration, but publishes no developer documentation — access goes through the sales team.
How do I exercise my privacy rights, and is there a minimum age?
Privacy requests go to info@zocks.io, where identity verification may be required and authorised agents are accepted. The service is not directed at anyone under 13 years old.
Conclusion

Should you pick Zocks?

Zocks is a narrow tool, and that is the point. Its value does not rest on transcription quality — plenty of general note-takers transcribe well — but on how deeply it reaches into the wealth stack: writing back to Salesforce, Wealthbox, Redtail or Practifi, filling eMoney and RightCapital fields, feeding Smarsh, Global Relay or Proofpoint archives. A firm that does not run those systems will get a fraction of what it pays for.

The no-recording architecture is the structural choice everything else follows from. It removes a whole category of retention and supervision headaches under SEC and FINRA rules, and it is the argument Zocks makes against every competitor it names. Advisors who genuinely want a verbatim recording will read it as a limitation rather than a feature.

Pricing rules out casual use. There is no permanent free plan, the 14-day trial asks for a card, and the entry tier starts at USD 67 per user per month on annual billing — with several headline capabilities, including form fill, client email replies and document extraction, reserved for the higher tiers.

The legal framing is entirely American. The site is fluent on SEC Regulation S-P, FINRA, Reg BI, DOL and HIPAA, and completely silent on the GDPR: no mention anywhere, no published data processing agreement, no subprocessor list, no Article 27 EU representative, and data processed and stored in the United States. European firms should treat that as an open question rather than an oversight.

One last note on transparency. The financial signals look strong — USD 65 million raised, named enterprise clients, a January 2026 Series B — but governance is thin: no exact incorporation date, no declared beneficial owner, a private mailbox for an address, and traction figures that are all self-reported.