Advisors
Meeting notes to CRM
- Today
- Notes typed after the meeting, follow-ups forgotten.
- With Claude
- Transcript summarized into the CRM note and a draft follow-up email for advisor review.
RIAs & wealth management
More client time, fewer notes and reviews, inside the compliance lines
Claude training, governance and automation for independent RIAs and wealth teams on the Front Range: meeting notes to CRM, review prep and marketing pre-review, with supervision built in.
Governance first, then productivity
Your CCO should be in the first meeting. We start with a written AI policy, an approved-uses list and vendor due diligence, then train advisors and operations on the uses compliance has signed off.
FINRA Regulatory Notice 24-09
For broker-dealer affiliates: existing rules, including communications (2210) and supervision (3110), apply to generative AI. We map each workflow to its supervisory review. Notice 24-09
SEC Regulation S-P amendments
Smaller advisers' compliance date was June 3, 2026: an incident-response program and customer notice. We include AI vendors in your vendor oversight and incident plan.
Marketing and recordkeeping
AI-drafted client communications and marketing still go through your compliance review and records retention. Workflows are designed so drafts are reviewed and archived.
Colorado SB 26-189 (automated decision-making)
Signed May 14, 2026, with obligations starting January 1, 2027, for automated tools used in consequential decisions such as employment, housing, lending, insurance and healthcare. We keep those decisions with people and document where AI assists. Bill page
This is general information, not legal or compliance advice. Confirm requirements with your counsel.
Where advisors and operations get time back
Advisors
Quarterly review prep
- Today
- Associates assemble decks and commentary by hand.
- With Claude
- Claude drafts the narrative from your reports; the advisor edits and approves.
Planning
Plan and document summaries
- Today
- Planners read long statements, trusts and returns line by line.
- With Claude
- Structured summaries with page references for the planner to verify.
Compliance
Marketing pre-review
- Today
- Every post and newsletter waits in the CCO's queue.
- With Claude
- A first-pass check against your marketing policy before it reaches compliance.
Operations
Policies and due-diligence questionnaires
- Today
- Vendor DDQs and written policies drafted from scratch.
- With Claude
- Drafts generated from your existing policies for compliance to finalize.
Built around your stack
- Wealthbox
- Redtail
- Salesforce Financial Services Cloud
- Orion
- Black Diamond
- eMoney
- MoneyGuidePro
- Microsoft 365
How firms engage
| Offer | What you get | Price |
|---|---|---|
| Executive AI Briefing | Principals and CCO: risks, policy draft and approved-use list | $2,500 |
| Advisor workshop | Half-day for up to 20 advisors and ops staff on compliant workflows | $4,500 |
| Claude Rollout Program | Governance, builds, champions and before/after measurement | $12,000–$18,000 |
| Fractional CIO | Cybersecurity, vendor oversight, Reg S-P program support and technology roadmap | from $4,500/month |
Frequently asked questions
Can we put client data into Claude?
Only under a firm-managed business plan, a written policy your CCO approves, and vendor due diligence on the plan's data terms. Many firms start with workflows that use internal or redacted data.
Will AI-drafted communications satisfy our review requirements?
Only if they go through the same review and retention as any other communication. We design workflows so drafts land in your existing review process, not around it.
Do you replace our compliance consultant?
No. We implement the technology and training; your CCO and compliance consultant set and approve the rules.
Bring your CCO to a 30-minute call
We'll walk through where AI fits in your firm and what governance you'd need first.