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Types of Artificial Intelligence
Artificial Intelligence (AI) is an umbrella term for many different technologies including machine learning, neural networks, expert systems and large language models (LLM). For many years RightBRIDGE has been using expert systems to provide a rules-based approach to provide firms with automated “guardrails” to adhere to regulatory requirements. Rules-based systems provide a consistent and repeatable approach by applying consistent rules and parameters to reinforce compliance standards. From a compliance standpoint, a user must “show their work”. The ReasonText® provided by RightBRIDGE is used to describe the analysis and results. CapitalROCK is introducing RightBRIDGE+ which includes additional functionality using large language models otherwise known as generative AI. RightBRIDGE+ uses generative AI to provide added functionality to supplement the battle tested rules-based system currently deployed in the RightBRIDGE solution. An important note, the large language model is only applied to the existing content within the 4 walls of the RightBRIDGE environment to limit the analysis to reliable reference material.
RightBRIDGE+ Features
Generative AI capabilities that supplement the battle-tested RightBRIDGE® rules-based system—securely sandboxed within the RightBRIDGE environment.
AI Notes Agent
Analyzes financial professional case notes against ReasonText® to identify missing requirements before submission—reducing NIGOs.
Case Summary
Condenses ~20-page reports into concise AI-generated summaries transmitted alongside full-length RightBRIDGE reports.
Post-Transaction AI Summaries
Generates 2–3 sentence suitability summaries per transaction, surfacing key considerations for principal review.
AI-Powered Document Reading
Upload 401(k), annuity, or account statements and let AI extract names, holdings, fees, and key details with human-in-the-loop review.
Securely Sandboxed
The large language model is only applied to existing content within the 4 walls of the RightBRIDGE environment—limiting analysis to reliable reference material.
Firm-Configurable Prompts
Each AI feature uses firm-configured instructions so output aligns with your organization’s specific policies and compliance requirements.
How It Works
Financial Professional’s Note:
“Client wants to roll over 401k into an annuity for retirement income.”
Missing Requirements Identified:
- • Risk tolerance not documented
- • Time horizon not specified
- • Fee comparison not addressed
- • Alternative products not discussed
RightBRIDGE+ Notes Agent
One of the largest causes of NIGOs is insufficient or inaccurate case notes provided by financial professionals documenting the details and recommendations of products for suitability and regulatory compliance requirements. The AI Notes Agent is designed to enhance the review process of submitted case notes written by the financial professional. The RightBRIDGE+ Notes Agent will analyze the financial professional’s note from the relevant RightBRIDGE application and the corresponding ReasonText® and provides specific direction on whether the note addresses the requirements of the case using a sandboxed generative AI (gen AI). ReasonText® for a particular item is combined with the user note and the firm configured instructions (prompt) in the generative AI. The generative AI returns to the system a response that indicates what has been identified as missing in the note.
Case Summary
RightBRIDGE has implemented AI functionality using generative AI to summarize the case data down to a format that will provide users a simplified view of a case. Data and results including ReasonText® and scores are passed to the generative AI. A firm-configurable prompt is analyzed with the data. The resulting output can be formatted as a summary report or displayed on screen. The following is an actual summary generated by the AI solution. This sample is based on a report that is ~20 pages. Full-length RightBRIDGE reports are also transmitted with the Case Summary.
Post Transaction AI Summaries
The RightBRIDGE Post-Transaction AI Summaries uses generative AI to streamline and enhance the suitability review process. Powered by leading industry models and designed to keep broker-dealer data securely siloed, it analyzes each transaction alongside triggered alerts, client suitability profiles, and firm-specific configurations. The result is a concise, 2–3 sentence summary that highlights key considerations and potential next steps—serving as an intelligent assistant to the principal and helping confirm that critical context is not only surfaced but thoughtfully addressed.
AI‑Powered Document Reading
In RightBRIDGE, users currently enter information about administrative and investment fees for their customers’ plans, annuities, and accounts. The most reliable source for this information is often the customer’s plan, annuity, or account statements. However, because these statements vary widely in terminology and layout, financial professionals must interpret them manually, which can lead to frequent errors. The new AI-powered document reading feature streamlines this process. Users can now upload documents—such as 401(k) plan statements, annuity statements, or account statements—directly into the RightBRIDGE application. The AI automatically reads and extracts key information, including names, holdings, fees, and other important details. Before the data is used, users can review and confirm the extracted information. Once confirmed, the relevant fields in RightBRIDGE are automatically populated. This intermediary review step supports faster, more accurate data entry and reduces the risk of both human and AI errors.
- The financial representative uploads the relevant documents into the application.
- The documents are processed by a large language model (LLM), which is prompted to extract the necessary information.
- The application presents the extracted data to the financial representative for review.
- The representative selects which data to use and edits any discrepancies (human-in-the-loop).
- The selected data is then used to populate the RightBRIDGE questionnaire.
Ready to explore RightBRIDGE+ Gen AI?
Schedule a demo to see how generative AI supplements RightBRIDGE®’s battle-tested rules-based system.