Industries · Fs
AI for compliance, KYC, fund admin, and advisory operations.
Financial services operations carry regulatory obligations that make automation harder — and more valuable. The AI opportunity is in the operational layer: KYC document processing, transaction monitoring, support triage, and the internal workflows that scale poorly with headcount.
Where the leverage lives
You're losing time in predictable places.
Across the firms we map, the same friction points keep showing up. They're not strategic questions — they're operational ones, which is why AI moves the needle here.
- 01 Friction point
KYC document load
New-client onboarding still moves at the speed of someone manually reading ID + proof of address + entity formation docs.
- 02 Friction point
Tax-document season
1099s, K-1s, W-2s arrive in waves and get sorted by hand into client folders.
- 03 Friction point
Compliance reporting prep
Hours per filing assembling data from three systems into one regulatory format.
- 04 Friction point
Client-meeting prep
Advisors prep manually from accounts, recent transactions, and last-meeting notes — often the night before.
- 05 Friction point
Service-request triage
Most inbound requests are routine; the ten percent that aren't get the same response time as the ninety that are.
The operational surface
Every workflow touches four surfaces.
We map your real lifecycle against these four. AI lands where the surfaces meet — the handoffs, the queues, the data movement.
Client Onboarding
- KYC document extraction
- Entity-formation review
- Risk profiling
- Account setup automation
Operations
- Document classification
- Reconciliation prep
- Reporting generation
- Compliance flags
Advisor Workflow
- Meeting prep packets
- Action-item tracking
- Communication drafting
- CRM enrichment
Compliance & Audit
- Filing prep
- Audit-trail capture
- Surveillance flagging
- Policy-aware draft review
How we think about it
The compliance line is the line. AI does the prep, the extraction, the drafting. Filings, advice, and anything that creates a fiduciary exposure goes through a human with the right credential.
What we actually build
Production systems, not chatbots.
Each system is scoped to the workflow it replaces and the system it integrates with. Built in your environment, owned by you.
- 01
KYC Document Pipeline
Reads onboarding documents, structures the data, scores risk, surfaces anything that needs human review. Account opens in days, not weeks.
- 02
Tax-Document Sorter
Routes 1099s, K-1s, W-2s into the right client folders. Flags missing or inconsistent forms before the deadline.
- 03
Reporting Generator
Pulls from custodial systems, GLs, and CRMs into the regulatory or client-reporting format your firm uses.
- 04
Meeting-Prep Assistant
Pulls account snapshots, recent transactions, last-meeting notes, open service items into a one-page packet the advisor reviews before the call.
- 05
Service-Request Triage
Reads inbound email/portal requests, routes them to the right team, drafts the standard response for routine items, escalates the rest.
Fits the stack you already run
No rip-and-replace.
We build on top of your existing tools. If yours isn't listed, it still probably has an API or an export — the Blueprint identifies the integration path before any code is written.
Portfolio / Custody
- Schwab
- Fidelity Institutional
- Pershing
- Addepar
- Orion
- Black Diamond
CRM & Advisory
- Wealthbox
- Redtail
- Salesforce Financial Services
- Practifi
- internal CRM
Documents & Storage
- Google Drive
- OneDrive
- Box
- ShareFile
- DocuSign
Workflow & Data
- Zapier
- Make
- n8n
- Power Automate
- internal ETL
Questions, answered
The questions we hear most on the first call.
How do you handle data privacy and SOC 2 expectations?
Every system runs in your environment or a cloud you control. We document the controls; you can hand the documentation to your auditor.
Will AI give advice?
No. Advisors give advice. AI prepares the packet, drafts the email, and surfaces the client signal that's worth a phone call.
What about model risk?
Anything that touches a number a client sees is double-checked: the system shows its source, and a human signs off before delivery.
Same approach, different language
The shape rhymes across industries.
Get started
The first call is free. The first conversation matters.
You'll talk to Sam directly. We'll map the highest-leverage workflow in your business — no preamble, no slide deck.
Path A
Book a 30-minute discovery call
Pick a time that works. We'll use the 30 minutes to map the highest-leverage workflow in your business.
Path B
Send a message
Prefer async? Describe what you're working on and we'll respond within one business day.