Caprock Advisory
Institutional-grade valuation, modelling and capital markets enablement for wholesale clients.
Caprock Advisory delivers specialist valuation, transaction, and capital markets advisory services for institutional and wholesale clients.
As a Non-Bank Financial Institution (AFSL 330742), we combine deep financial expertise with regulated platform infrastructure to deliver comprehensive solutions across valuation, financial modelling (TAS-lite), liquidity planning, adviser migration, capital-raise readiness, and treasury policy advisory.
Our integrated advisory and platform model ensures every engagement is executed with efficiency, transparency, and full regulatory compliance.
As a Non-Bank Financial Institution (AFSL 330742), we combine deep financial expertise with regulated platform infrastructure to deliver comprehensive solutions across valuation, financial modelling (TAS-lite), liquidity planning, adviser migration, capital-raise readiness, and treasury policy advisory.
Our integrated advisory and platform model ensures every engagement is executed with efficiency, transparency, and full regulatory compliance.
Licensed &
Wholesale-Only
Operating under AFSL 330742, we provide advisory, dealing/arranging, and issuing services exclusively for wholesale clients.
Platform + Advisory Integration
Unique combination of regulated MAP infrastructure and specialist advisory expertise delivers a fully integrated, end-to-end solution.
Institutional Operating Model
Supervision, custody, and reporting aligned with institutional standards ensure transparency and professional execution.
Our Services:
1. Valuation & Portfolio Marks
Independent valuation services for private credit and alternative assets, supported by comprehensive documentation, audit trails, and board-ready reporting packages.
2. Transaction & Financial Modelling (TAS-Lite)
Buy/sell-side readiness through sophisticated financial modelling, valuation support, and transaction analysis to guide informed decision-making.
3. Liquidity Planning
13-week cash-flow forecasting and working-capital diagnostics to optimise liquidity management and operational efficiency.
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Additional Service Offerings
Capital-Raise
Readiness
Wholesale-only capital-raising preparation under s708, including due diligence support and investor materials development.
Adviser Migration & SMA/MDA Optimisation
End-to-end transition support, including in-specie transfers and tax-aware execution strategies for optimal portfolio management.
Treasury Policy & Cash Management
Strategic advisory for treasury operations, liquidity frameworks, and cash management aligned to institutional standards.
How We Deliver
Platform-First Approach
Advisory engagements integrate directly with Caprock’s Managed Account Platform (MAP) — so eligibility checks, material supervision, and record-keeping operate through a single auditable workflow.
This platform-first model reduces risk, accelerates execution, and maintains institutional-grade controls throughout the entire process.
Advisory engagements integrate directly with Caprock’s Managed Account Platform (MAP) — so eligibility checks, material supervision, and record-keeping operate through a single auditable workflow.
This platform-first model reduces risk, accelerates execution, and maintains institutional-grade controls throughout the entire process.
- Risk Reduction – Integrated workflows minimise operational exposure.
- Accelerated Execution – Streamlined processes shorten transaction timelines.
- Institutional Controls – Full compliance and oversight at every stage.
Who We Work With
- Wholesale investors & specialty credit managers
- Dealer groups & licensees
- Founder-led companies seeking independent analytics, portfolio migration, or capital-markets enablement
Ready to get started?
To discuss your requirements, contact Caprock Advisory for a detailed consultation. Engagements are issued with a clear Statement of Work and fixed-fee options where appropriate, consistent with AFSL 330742 obligations.
Important Information
Services are provided to wholesale clients only (Corporations Act s761G).
This information is general in nature and does not consider your objectives, financial situation, or needs. It is not a recommendation or offer to acquire, dispose of, or hold any financial product. Not an independent Expert Report or fairness opinion under ASIC RG 111/112.
All services operate under strict regulatory frameworks, ensuring compliance with Australian financial services legislation and professional standards.
All services operate under strict regulatory frameworks, ensuring compliance with Australian financial services legislation and professional standards.