For RIAs, broker-dealers, and independent financial-services firms, we build private AI systems that handle portfolio analysis, client onboarding, and risk assessment — deployed in your environment to meet DORA, FINRA, and state-level regulatory frameworks. Engagements typically $15K–$35K, 4-8 weeks to ship.
Financial-services firms operate inside the most demanding regulatory perimeter in modern business — and most "AI for advisors" tools are SaaS wrappers that send client portfolios, NPI, and account data to third-party model providers in jurisdictions and configurations regulators have not blessed.
Sending client portfolio data to public LLMs creates compliance exposure that disclosed third-party processors usually don't cover.
When examiners ask how a recommendation was generated, "we used ChatGPT" is not a satisfactory answer.
Public model behavior changes silently. A workflow that worked in March may be subtly different in July, with no version control.
Every engagement begins with a conversation about your specific bottleneck — but these are the patterns we see most often in financial services firms. Each is a fixed-scope, fixed-fee engagement, typically 4-8 weeks.
Private AI agent that reviews positions across the book, surfaces concentration and drift, drafts the talking points for the next client review. Saves ~10 hours/week and increased reference firm's client retention by ~20% via more frequent touch.
AI agent that handles document collection, KYC pre-screening, and account-opening packet drafting. Reduced processing time ~50% in our reference engagement while keeping the compliance trail intact.
Reviews proposed allocations against client IPS, surfaces violations and edge cases for advisor review. Saves ~8 hours/week and catches issues that manual review missed.
30-minute call to understand the specific workflow you want to automate. We tell you whether AI is the right answer — sometimes it isn't, and we say so.
Engagement letter with fixed scope, fixed fee, fixed timeline. No hourly billing, no scope creep, no surprises. Typical range $15K–$35K depending on complexity.
System runs in your infrastructure, on your data, behind your access controls. We hand off documentation, training, and a runbook for your team to maintain it.
30-minute call, no pitch. We'll tell you honestly whether what you're describing is a good fit for a fixed-scope AI engagement — or whether you're better off with a different solution entirely.
