Industry: Financial advisors and wealth practices
AI for independent financial advisors.
We work with independent financial advisors, small wealth management practices, and registered investment advisors across the Portland metro area and Southwest Washington. The work tends to be focused: setting up AI tools that work within regulatory and compliance constraints, freeing up advisor time on recurring client deliverables, and producing the kind of content (newsletters, market commentary, social posts) that the practice has always wanted to do but never had bandwidth for.
We are not advisors, we don't give investment advice, and we don't second-guess your compliance officer. We're the people who configure the tools, document what's allowed in writing, and coordinate with your compliance partner when one exists.
Where the hours go.
These are common recurring time sinks for financial advisors and wealth practices in our service area.
- Client review meeting prep eats advisor time across the cycle.
- Newsletters, market commentary, and educational content fall behind constantly.
- Client onboarding paperwork and data collection is slow and high-friction.
- Compliance review on outbound communication is a bottleneck that adds friction to everything.
- Social and content marketing competes with billable hours and loses.
Where AI actually fits.
The specific projects we offer financial advisors and wealth practices. Each is scoped, quoted in writing, and capped at a not-to-exceed price.
Client review meeting prep
AI-assisted prep packages for quarterly and annual client reviews: account summaries, performance narratives, talking points, and follow-up tasks. Advisor reviews before the meeting.
Newsletter and market commentary drafting
Drafted newsletters, market recaps, and educational pieces in your voice, queued for review and compliance check before sending. Allows monthly or quarterly cadence to actually happen.
Compliant client communication workflows
Email and message drafting workflows that route through a compliance review step before anything sends. Reduces the back-and-forth without bypassing compliance.
Client onboarding and intake automation
AI-assisted intake forms and document collection, with automatic categorization and routing into your CRM. Reduces the onboarding friction for new clients.
Team training
Live, hands-on sessions, in person or on Google Meet, tailored to the practice's tools and client base. Includes what AI is appropriate to use, what isn't, and how to use the tools we set up.
What this isn't for.
Where AI isn't the right answer in this industry. Knowing this up front saves everyone time.
- Investment advice or portfolio decisions. Always the advisor's call.
- Skipping or bypassing compliance review on outbound communication.
- Sending non-public client information to consumer-grade AI accounts.
Where we serve financial advisors and wealth practices.
We meet clients across the Portland metro area and Southwest Washington. Cities we serve in person:
FAQ
Questions from financial advisors and wealth practices.
- Is AI compliant for use in a financial advisory practice?
- It can be, with the right configuration and supervision. The relevant regulators (SEC, state regulators, FINRA where applicable) have issued guidance that allows AI use provided practices meet their existing supervisory and recordkeeping obligations. We configure tools with appropriate data controls, document what's allowed in a written policy, and coordinate with your compliance officer or outsourced CCO when one exists. We're not your compliance counsel but we know the relevant rules well enough to flag concerns.
- Which AI tools fit a financial advisory practice?
- For most small RIAs and independent advisors, the best stack is the AI features inside the tools you already use (Microsoft 365 Copilot, Google Workspace AI, your CRM's built-in AI) plus enterprise-tier Claude or ChatGPT for drafting and analysis tasks. There are AI products specifically aimed at advisors (Jump, Zocks, FP Alpha and similar) that may fit larger practices, but they're often overkill for a solo or two-advisor firm.
- What's a typical cost for an advisory practice engagement?
- An advisory practice can start with the $600 written audit, then one to three implementation projects at $150/hour with a written not-to-exceed cap, most $500 to $1,000 each. Because the underlying client deliverables are more complex, each project is scoped carefully and the cap is quoted in writing before work starts. Ongoing advisory is $600 a month with a 3-month minimum, and may make sense if compliance requirements change frequently for your practice.
Other industries we work with.
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