Wealth Management

Generate audit trails automatically. Pass every SEC review.

Manual Compliance Is Stealing Your Growth

Expected Impact
5-8 hours

target

Best Fit
RIA (Registered Investment Advisors)Wealth Management DivisionsBroker-DealersMulti-Family Offices

The Problem

Advisors and support staff are forced to act as data entry clerks to satisfy SEC/FINRA requirements, manually logging interactions, transcribing notes, and cross-referencing checklists. This administrative burden creates a trade-off between growing the business and staying legal, leading to burnout and 'check-the-box' behavior that actually increases risk.

Revenue Impact

Advisors lose 15-20% of their capacity to administrative tasks, directly capping the number of households they can serve.

Cost Impact

High support staff overhead; firms hire Client Service Associates primarily to handle CRM entry and note-taking.

Risk

Burnout leads to 'check-the-box' behavior, resulting in generic notes that fail to protect the firm during an audit or arbitration.

Regulatory Fact Extractor

AI Agent

Processes conversations to identify and document compliance-relevant information.

What The AI Does

1

Extracts Best Interest recommendations made during calls

2

Identifies suitability factors discussed (risk tolerance, time horizon)

3

Documents product recommendations and client responses

4

Tags interactions with relevant regulation codes

Policy Compliance Checker

AI Agent

Reviews drafted documentation against the firm's specific compliance manual.

What The AI Does

1

Detects prohibited language or promissory statements

2

Verifies required disclosures were delivered

3

Flags missing documentation (e.g., rollover form for rollover discussion)

4

Assigns risk score for CCO prioritization

CCO/Advisor Sign-Off

Human Review

Final checkpoint where compliance officer or advisor validates the record before permanent filing.

ACTION 1
Approve and File
ACTION 2
Edit Documentation
ACTION 3
Escalate to Compliance

Review Criteria

Accuracy of regulatory fact extraction
Validity of flagged policy concerns
Completeness of documentation

Expected Impact

Moving from 'compliance as a manual burden' to 'compliance as an automated by-product' of doing business.

Before:

Advisors manually type notes hours after calls. Critical regulatory details get missed. Compliance reviews catch problems too late.

After:

Compliance logs are drafted instantly after every interaction. Policy violations are flagged in real-time. Audit prep takes hours instead of weeks.

Result:

5-8 hours reclaimed per advisor, per week

Ready to Solve This Problem?

Let's discuss how we can implement this solution for your specific situation. We'll help you understand the process, timeline, and expected outcomes.