AI for Financial Services
AI that accelerates research, automates compliance, and strengthens client relationships
We build custom AI that handles investment filtering, compliance tracking, and client communications — so advisors can focus on building relationships and managing wealth.
Example buildout
Example: A Growing Independent RIA
An independent RIA with 3 advisors managing 120 households and $85M in AUM. They use Wealthbox for CRM, MoneyGuidePro for financial planning, and a mix of iCapital and direct platforms for structured products. Advisors spend 6-8 hours per week manually filtering investment products, drafting client reports, and responding to routine account questions. Compliance documentation takes another 3-4 hours weekly. Cash positions sit uninvested for days after note calls because nobody catches them fast enough.
What we could build:
An investment research platform that filters thousands of structured notes, ETFs, and UITs against your specific criteria automatically. Define your philosophy once — downside protection, income targets, maturity, underlying quality — and get a curated shortlist instead of manually sorting hundreds of issues.
An AI executive assistant that drafts client emails in your voice, prepares meeting agendas from CRM data, handles routine compliance inquiries, and generates follow-up action items after every client meeting.
A client experience portal where each client gets a secure, branded dashboard showing their portfolio, financial plan progress, and a personalized AI chatbot that can answer questions about their specific situation 24/7.
A cash position monitoring system that detects uninvested cash across all accounts after note calls or liquidations, and recommends reinvestment options based on each client's strategy and your investment philosophy.
An automated prospect nurturing system that handles initial outreach, meeting scheduling, and follow-up sequences — so warm leads don't go cold because the team is too busy serving existing clients.
The result
Advisor research time drops from 8 hours/week to 2. Client report generation goes from 45 minutes to 5 minutes per report. Cash sits uninvested for hours instead of days. Prospect conversion improves 35% from faster, more consistent follow-up.
A week for a wealth advisor
Before
Monday: A structured note gets called. $85K in cash lands in the account. The advisor doesn't notice until the weekly cash review on Friday. Five days of uninvested capital.
After
AI detects the cash position within hours, pulls up 5 replacement notes matching the client's strategy, and sends the advisor a recommendation. Reinvested by Tuesday.
Before
Wednesday: 3 hours spent filtering through 200+ structured note issues to find 5 that match the client's criteria. Most of the time is spent ruling things out, not evaluating winners.
After
AI pre-filters the entire universe against the advisor's investment philosophy. Five candidates surface automatically with back-testing data, basket analysis, and risk metrics. Advisor evaluates for 20 minutes.
Before
Thursday: A compliance inquiry comes in that requires digging through 6 months of client correspondence. Takes 2 hours to compile the response.
After
AI pulls all relevant correspondence, generates a draft response with citations, and flags it for advisor review. Done in 15 minutes.
Before
Friday: Two prospects from last week's seminar haven't been contacted. By Monday, they've already talked to another advisor.
After
AI sent personalized follow-ups within 24 hours of the seminar. One has already booked a consultation. The other received a custom portfolio analysis.
Common problems we solve
Research Eating Your Day
You became an advisor to build relationships and manage wealth, not to spend hours filtering through investment products. But the research is critical and can't be skipped.
Our solution: AI applies your investment philosophy to the entire product universe automatically. You evaluate the top candidates instead of sorting through hundreds. Same rigor, fraction of the time.
Client Communication Bottleneck
Every client email, quarterly report, and meeting follow-up takes time. As you grow from 40 to 100+ households, the communication load scales linearly but your hours don't.
Our solution: AI drafts communications in your voice, generates personalized reports, and handles routine account questions. You review and approve instead of writing from scratch.
Compliance Overhead
Compliance documentation, audit responses, and regulatory requirements consume hours that could be spent with clients or on investment strategy.
Our solution: AI handles routine compliance inquiries, generates required documentation, and maintains an audit trail of all client interactions. Complex issues get flagged for human review with full context.
Prospects Going Cold
You're too busy serving existing clients to follow up with prospects promptly. By the time you reach out, they've moved on to another advisor.
Our solution: AI automates prospect nurturing with personalized outreach, meeting scheduling, and timely follow-ups. No more lost leads from being too busy.
Example tech stack
Every solution is custom-built for your business. Here's what a typical financial services build looks like under the hood.
AI & Automation
Custom LLM agents for research filtering, client communication, and compliance documentation
Integrations
Wealthbox/Redtail CRM API, MoneyGuidePro API, custodian APIs (Altruist, Schwab), QuickBooks
Client Portal
Secure web application with 2FA, personalized dashboards, AI chatbot per client
Analytics & Research
Investment product aggregation, back-testing analysis, cash position monitoring, portfolio analytics
Infrastructure
Cloud-hosted, SOC 2 aligned, encrypted storage, full audit logging for compliance
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