Wealth Management
RIAs, financial advisors, wealth managers, private banking
AI Opportunities
Problems we can help you solve with AI
Advisor Lifecycle
5 opportunities
Billing, Fee Splits, and Rebalancing Each Run on Their Own Manual Schedule
Billing, fee splits, payouts, rebalancing, tax-loss harvesting, and trade error tracking all run on one connected layer. Operations handles exceptions, not the work itself. 20 to 50 bps of additional tax alpha per client.
Advisors Leave and Their Email Accounts Stay Active for Weeks
U5 filed on time. System access deprovisioned on day one. Client transitions are coordinated. Garden leave is monitored automatically. Books and records archived under 7-year retention.
The Same Advisor Exists in Ten Systems. None of Them Agree. And the Advisor Cannot See Their Own Numbers.
Single source of truth for advisor identity, license, fee split, and supervisory relationship. Per-advisor dashboard for AUM, fees, payouts, and pipeline visible in real time. Operations stops being a reporting service.
Every New Advisor's Book Arrives in a Different Format. Cleaning It Takes 30 to 60 Hours.
Any inbound book format (CSV, PDF, screenshot, scanned image) becomes a standardised import-ready record. Three senior operators spend hours, not weeks. ACAT begins on day one.
Recruiting and Onboarding an Advisor Is a Three-Month Project Spread Across Eleven People
End-to-end advisor sourcing, hiring, and onboarding. Prospects upload their own documents through a dedicated portal. U4 amendments and state registrations file directly with FINRA via API. Three months becomes under 30 days.
Compliance
11 opportunities
When a Complaint Arrives, the Chronology Gets Built From Memory and Email Search
Complete complaint file the day the complaint arrives. Chronology, suitability rationale, communications, and prior-pattern context already attached. Regulator and carrier packages assembled in parallel.
The Reg S-P Breach Clock Starts the Day You Learn About It. You Have 30 Days.
Live vendor inventory keyed to data sensitivity. Annual DDQs run themselves. On a breach, the 30-day notification clock is owned by an agent with the response plan already drafted.
SEC Exam Letters Arrive Friday. The Response Is Due Two Weeks Later. With a Holiday Built In.
Letter arrives Friday. Agent maps every request item to the vault by Saturday morning. CCO reviews a complete draft package and submits in the first week instead of the last 48 hours.
The Compliance Manual Has To Match What You Actually Do. Both Directions. Every Year.
Agent pre-evaluates every manual section against firm activity, rule changes, and prior-year findings. CCO and counsel review judgement calls, not data assembly. The $15K consulting line item goes away.
Form ADV Preparation Takes Three Months of Compliance Work, Most of It Data Assembly
Agent pulls last year's filing as baseline, queries every source system, drafts a redlined Part 1A and Part 2A, and auto-generates a Part 2B for every qualifying advisor. The CCO reviews a 98 percent complete draft in under a day instead of assembling data for three months.
By the Time You Hear About a Rule Change, Your Peer Has Already Been Sanctioned For It
Weekly digest of every relevant SEC, FINRA, and securities-law-firm publication, mapped against the exact sections of your manual that need updating. You react in days, not quarters.
There Is No Single Place Where Your Books and Records Actually Live
Every regulated artifact lands in one canonical hierarchy the moment it is signed, sent, posted, or modified. SEC requests become a search, not a scramble. Seven-year retention is real, not nominal.
Advisors Send Every Question to the CCO, and Most of Them Are Not Compliance Questions
Every inbound advisor question gets classified, routed, and answered with cited policy. Routine compliance questions get drafted automatically with the CCO's pre-approved language. The CCO inbox stops being the firm's switchboard.
The Compliance Portal You Pay $50,000 a Year For Mostly Just Reminds You
One calendar owns every annual, quarterly, and event-driven obligation. Brokerage feeds ingest automatically, paper statements get OCRed, advisors get continuous quarterly check-ins instead of one annual sign-off. Your $50K third-party portal becomes optional.
Email Surveillance Is Supposed to Run Every Quarter. Most Firms Run It Once a Year.
Continuous surveillance scans every email and DM against your keyword library, complaint patterns, and SEC focus areas. Only genuine signals reach the CCO. The quarterly Rule 204-2 file writes itself.
Every Marketing Piece Waits Days for a Page-by-Page Compliance Review
AI reads every marketing piece line by line against the SEC Marketing Rule and your firm's disclosure spreadsheet, blacklines violations to the page or video timestamp, and writes the fix in the author's voice. The CCO reviews exceptions in under an hour instead of reading every piece cold.
Operations
4 opportunities
Tax Returns and Estate Documents Are Full of Missed Opportunities
Turn every tax return and estate document into a planning opportunity. Stop leaving money on the table.
Advisors Can't Advise on Outside Accounts
Analyze any 401(k) in minutes. Advise on 100% of client wealth, not just what you custody.
Tax Loss Opportunities Get Missed
Monitor portfolios 24/7. Harvest losses in real-time, not quarterly.
Fee Billing is Manual and Error-Prone
Audit every fee against contracts instantly. Catch billing errors before clients do.
Client Communication
3 opportunities
The Heirs Inheriting Your Clients Wealth Do Not Know You
Build relationships with the next generation before the assets transfer. Stop losing 80 percent of inherited AUM.
You Can't Offer White Glove Service to Every Client
Scale personalized service to 100% of clients. Capture the 61% revenue you're leaving behind.
Client Conversations Don't Make It Into the CRM
Capture every client detail automatically. Zero manual CRM entry.
Data & Search
2 opportunities
Critical Research Sits Unused in Email and Drives
Turn your scattered files into a searchable brain. Instant answers, fully cited.
Client Data is Scattered and Impossible to Find
Instant access to every client detail. One search, every system.
Reporting
2 opportunities
Clients Do Not See the Work You Do Between Meetings
Show clients every dollar of work you did this quarter. Defend your fees with evidence, not conversation.
Client Reporting Consumes Weeks Every Quarter
Generate any client report in minutes. Quarterly reviews, performance summaries, tax packages.
Onboarding
1 opportunity
We Integrate With Your Stack
