INDUSTRY

Compliance.
Onboarding.
Follow-Up. Faster.

AI agents that automate client onboarding, compliance verification, portfolio communications, and appointment scheduling — so your advisors spend more time advising and less time on paperwork. Financial practices using our automation onboard 2.8× more clients with 70% less administrative time.

Practice Dashboard
Clients Onboarded+12

3days

Avg Onboarding

0

Compliance Flags

Next Review

Chen portfolio — Q4 update due

Workflows

Built for Financial Services Operations

From initial inquiry to ongoing portfolio management, our AI agents handle the administrative and compliance tasks that slow down your practice.

Client Onboarding

Automated KYC collection, document requests, and account setup for new clients

Compliance Verification

Automated background checks, sanction screening, and regulatory document validation

Portfolio Updates

AI-powered personalized portfolio performance reports delivered on schedule

Appointment Scheduling

Automated booking for financial consultations with appropriate advisors

Document Reminders

Proactive reminders for document renewals, disclosures, and regulatory filings

Client Re-engagement

Automated outreach to dormant clients with personalized re-activation campaigns

Results

Operational Improvements Within 90 Days

70%

Reduction in onboarding time

2.8×

More clients onboarded monthly

99%

Compliance document accuracy

45hrs

Advisor hours freed per week

FAQ

Common Questions

We implement bank-grade encryption for all data in transit and at rest. Our systems are SOC 2 Type II compliant and we maintain strict data isolation between clients. All operations staff undergo background checks and data handling training.
We support workflows aligned with SEC, FINRA, CFPB, and state-level regulatory requirements. Our compliance engine understands KYC/AML requirements, suitability rules, and disclosure obligations for retail and institutional clients.
The AI collects risk tolerance, investment horizon, and financial objectives during onboarding, then flags recommendations that may not meet suitability standards for advisor review before delivery to the client.
We integrate with major platforms including Orion, Tamarac, Black Diamond, Salesforce Financial Services, and generic API/webhook connections. Integration requirements are mapped during the discovery phase.

How Much Time Are Your Advisors Spending on Paperwork?

Book a free financial services automation assessment and see exactly where AI can reclaim time for your advisors and improve client experience.