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 AgentProcesses conversations to identify and document compliance-relevant information.
What The AI Does
Extracts Best Interest recommendations made during calls
Identifies suitability factors discussed (risk tolerance, time horizon)
Documents product recommendations and client responses
Tags interactions with relevant regulation codes
Policy Compliance Checker
AI AgentReviews drafted documentation against the firm's specific compliance manual.
What The AI Does
Detects prohibited language or promissory statements
Verifies required disclosures were delivered
Flags missing documentation (e.g., rollover form for rollover discussion)
Assigns risk score for CCO prioritization
CCO/Advisor Sign-Off
Human ReviewFinal checkpoint where compliance officer or advisor validates the record before permanent filing.
Review Criteria
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