Client onboarding takes too long.
KYC, suitability, and account opening data lives across CRM, custodian portals, and email. Onboarding a new household is a multi-day project.
AI for financial compliance teams.
From Form ADV updates to KYC refresh cycles — we clean your client data and automate the workflows that consume your operations team. Built for RIAs, wealth managers, and boutique funds that need compliance to be precise, not just fast.
The compliance work that shouldn't take this long.
Compliance reviews don't scale.
Manual review of marketing materials, communications, and trade activity creates bottlenecks every quarter.
Regulatory reporting is brittle.
Form ADV, Form CRS, and 13F filings depend on data scattered across systems. One source changes and the whole process breaks.
Three things that make AI actually work in financial compliance.
Data Foundation
We consolidate client data, custodian feeds, CRM records, and communications into a structured, queryable dataset. Your single source of truth for compliance.
Workflow Automation
Automated KYC refresh, marketing review, suitability checks, and regulatory filing assembly. Built around your compliance program, not on top of generic tools.
Managed AI Operations
We maintain accuracy as SEC rules evolve and your book grows. New workflows added quarterly. Audit-ready documentation throughout.
Three calls. No procurement theater.
Discovery call (30 min)
We learn your compliance workflow and identify where AI actually helps — and where it doesn't.
Scoping call (60 min)
We come back with a fixed-price proposal, clear deliverables, and a validation plan.
Build and handover
Working automation, full documentation, validation evidence. You own everything.
How we helped a $400M RIA cut KYC refresh from 6 weeks to 4 days.
[Client] manages 280 households across two custodians. Their annual KYC refresh required manual outreach, document collection, and CRM updates — a six-week project that consumed their operations lead every spring.
We consolidated their client data across Redtail and the custodian feeds, then automated the outreach, document intake, and CRM updates. The team now reviews exceptions instead of running the whole process. Refresh cycle dropped from 6 weeks to 4 days.
Questions financial compliance teams ask us.
Will this work with our CRM?
We integrate with Redtail, Wealthbox, Salesforce Financial Services Cloud, and most RIA stacks.
What about SEC examinations?
Every workflow includes audit logging and documentation. We've built systems that have passed SEC and state-level examinations.
Is our client data safe?
We work within your infrastructure. SOC 2 documentation provided. We sign confidentiality agreements before discovery.
What if regulations change?
That's what the Managed Operations tier is for. We track rule changes and adjust workflows quarterly.
Are we too small for this?
If you have 100+ households and a compliance burden, the math usually works. We'll be honest in the discovery call.
What we won't do.
We won't sell you AI you don't need. If your problem is a process problem, we'll tell you. If your data is too thin to train on, we'll tell you. We make money when we build things that work — not when we sell things that don't.
Find out if we can help.
A 30-minute call. No pitch deck. We'll tell you whether your problem is worth solving with AI — and whether we're the right team to solve it.