Guides for advisory firm owners
What AI can and cannot do inside an advisory firm today, with the SEC and FINRA rule text cited. Written for principals and the people who run operations and compliance, not for technologists.
- AI meeting notes and SEC recordkeeping: what an RIA must keep under Rule 204-2 and Reg S-PMany advisory firms now have an AI notetaker. Fewer have decided what the record of a meeting is, or what their notetaker vendor owes them under Reg S-P. This guide covers what the rule text requires and the controls to set before an agent writes to your CRM.
- A financial advisor annual review checklist your CSA can prepare with an AI agentReview prep is one of the biggest recurring blocks on a paraplanner's calendar, and it grows with every household. Here is a checklist built on the SEC's fiduciary language, with the part an agent can prepare before your CSA starts.
- Why ACATS transfers get rejected, and how operations teams cut NIGO paperworkA new household waiting weeks for its assets is a poor first impression. This guide turns the rejection reasons in FINRA's transfer rule into a checklist an agent can run before anything goes out.
- SEC Marketing Rule checklist: pre-reviewing advisor marketing with an AI first passIn a small advisory firm the CCO often reviews every post and newsletter personally. This checklist follows the rule's own paragraphs and the mistakes SEC examiners have written up, and shows where an AI first pass saves the CCO time without taking the decision.