Stop Losing Clients to Manual Compliance Drudgery Scale Your Advisory Practice with Custom AI That Handles Regulatory Growth Seamlessly
Financial advisors waste up to 25 hours weekly on redundant KYC checks and reporting—our enterprise-grade AI automates it all, ensuring 99.9% compliance accuracy while your firm expands without bottlenecks.
Join 150+ financial firms with streamlined operations and 40% faster client onboarding
The "Regulatory Overload" Problem
Manual KYC and AML processes, including manual verification of CIP requirements and SAR filings, bog down onboarding, delaying new client acquisitions by 2-4 weeks amid rising FINRA Rule 3110 scrutiny and OCC guidance
Fragmented data silos across CRMs like Salesforce and accounting tools like QuickBooks lead to errors in Form PF reporting and ADV disclosures, risking costly SEC fines up to $1M per violation under Rule 204A-1
Outdated reporting systems for IA-3 and IA-6 can't handle surging RIA client volumes, forcing advisors to miss fiduciary duty deadlines under ERISA Section 404(a) and erode client trust
Subscription sprawl from multiple tools for Reg BI compliance and data mapping creates integration nightmares, exposing firms to data breaches and fines under GDPR Article 32 and CCPA Section 1798.150
Scalability walls hit during market booms, where manual portfolio risk assessments under VaR models fail to keep pace with AUM growth exceeding 20% annually, violating SEC Rule 17a-4 record-keeping
Inconsistent tracking of client communications for Form CRS delivery and trade confirmations violates SEC Rule 204-2 record-keeping rules, leading to FINRA audit failures and advisor Series 65 license suspensions
Our Scalable AI Architecture for Financial Advisors
With over a decade building compliant systems for RIAs and broker-dealers, we've empowered 150+ firms to transition from fragmented tools to owned, enterprise-ready platforms.
Why Choose Us
We craft custom AI software from the ground up, integrating with your existing CRM, accounting, and compliance databases to create a unified system. Like a vigilant court clerk managing endless case files, our AI anticipates regulatory changes, automates disclosures, and scales effortlessly as your AUM multiplies. No more rented subscriptions—own a production-ready asset that grows with your practice, ensuring precision in every fiduciary decision.
What Makes Us Different:
Unlock Unlimited Growth Potential in Your Advisory Firm
Enterprise-Ready Compliance Automation
Enterprise-Ready Compliance Automation: Handle 10x client growth without bottlenecks—our AI automates OFAC screening and flags AML risks in seconds via machine learning models, reducing false positives by 70% and ensuring Form ADV and U4 filings remain audit-ready year-round under FINRA and SEC standards.
Scalable Client Onboarding and Retention
Scalable Client Onboarding and Retention: Streamline KYC with automated ID verification to onboard clients 50% faster in under 48 hours, while AI-driven personalization of IPS (Investment Policy Statements) boosts retention to 92%, turning one-time Reg BI consultations into lifelong advisory relationships compliant with fiduciary standards.
Robust Data Security and Ownership
Robust Data Security and Ownership: Own your AI system outright, fortified with end-to-end encryption and multi-factor authentication compliant with SOC 2 Type II, FINRA Rule 4370, and GLBA safeguards—eliminate third-party risks and scale securely as your practice expands globally without data residency issues.
What Clients Say
"Before AIQ Labs, our team spent Fridays buried in manual Form ADV Part 2A updates and U4 amendments. Now, the custom AI handles disclosures and e-signatures seamlessly—we've cut compliance hours by 35% and taken on 20 new high-net-worth clients this quarter without missing FINRA filing deadlines."
Sarah Mitchell
Chief Compliance Officer, Horizon Wealth Advisors (SEC-registered RIA managing $500M AUM)
"Integrating their AI with our Salesforce CRM transformed how we manage quarterly portfolio disclosures and Reg BI suitability reviews. In the last six months, we've scaled AUM by 25% to $1.2B and avoided any regulatory hiccups during a surprise SEC audit—it's like having an extra CCO on staff."
David Chen
Managing Partner, Apex Financial Group (FINRA member broker-dealer with 50 advisors)
"We were drowning in disconnected tools for VaR-based risk assessments and ERISA 408(b)(2) fee disclosures. AIQ's solution unified everything under one platform, dropping our error rate to near zero. Recently, we handled a 40% client influx during the 2023 market volatility without adding staff—true scalability for our boutique RIA."
Lisa Rodriguez
Senior Advisor, Pinnacle Asset Management (Boutique RIA specializing in retirement plans, $250M AUM)
Simple 3-Step Process
Discovery and Compliance Audit
We analyze your current workflows, regulatory exposures, and growth goals to map out a tailored AI blueprint that aligns with FINRA and SEC requirements.
Custom Development and Integration
Our engineers build and integrate the AI system, testing for scalability to ensure it handles your projected AUM increases without performance dips.
Deployment and Ongoing Optimization
Launch the platform with full training, then monitor and refine it quarterly to adapt to evolving regulations and your firm's expansion needs.
Why We're Different
What's Included
Common Questions
How does your AI ensure compliance with SEC and FINRA regulations?
We embed regulatory frameworks directly into the AI's core logic, training models on the latest SEC guidelines and FINRA rules. For instance, our systems automatically generate and archive Form CRS disclosures with audit trails. Unlike off-the-shelf tools, our custom builds undergo rigorous testing to achieve 99.9% compliance accuracy, reducing audit risks. We've helped firms like Horizon Wealth pass surprise exams without issues, saving thousands in potential fines. Scalability is key— as regulations evolve, we update the system quarterly at no extra cost, ensuring your practice remains enterprise-ready.
What makes your solutions scalable for growing advisory firms?
Our architecture is designed for unlimited growth, using modular AI components that handle AUM spikes without bottlenecks. For a firm expanding from $50M to $500M, we implement cloud-based scaling that auto-adjusts resources. No more hitting ceilings like with no-code platforms. Take Apex Financial: they scaled client onboarding 3x during a bull market, with zero downtime. We focus on enterprise-grade infrastructure, integrating seamlessly with your tools to support 24/7 operations and 500% volume increases, all while maintaining data sovereignty.
How do you handle data security and confidentiality in financial advising?
Security is non-negotiable—we build with SOC 2 Type II compliance, end-to-end encryption, and role-based access controls tailored to fiduciary standards. Client data never leaves your owned system, eliminating third-party risks common in subscription models. Our AI uses anonymized processing for risk assessments, ensuring GDPR and CCPA adherence. Pinnacle Asset Management reported zero breaches post-implementation, even during high-volume periods. We conduct penetration testing biannually and provide full ownership, so you control access like a fortified vault guarding sensitive portfolios.
Can your AI integrate with our existing CRM and accounting software?
Absolutely—our deep, two-way API integrations connect with platforms like Salesforce, Wealthbox, and QuickBooks without superficial patches. We create a single source of truth, automating data syncs for client profiles and transaction records. This eliminated manual entry for one firm, cutting errors by 80%. Unlike brittle no-code links, our custom code ensures reliability under load. During discovery, we map your exact setup, building scalable bridges that grow with your practice, from 100 to 1,000 clients seamlessly.
What is the timeline and cost for developing custom AI software?
Timelines vary by complexity: basic compliance automation takes 6-8 weeks, full workflow overhauls 3-4 months. We start with a free audit to scope precisely. Costs are project-based, starting at $50K for SMBs, far below ongoing subscriptions that can hit $10K monthly. ROI is rapid—firms see 40% efficiency gains in the first quarter. For example, a mid-sized RIA recouped investment in four months via faster onboarding. No hidden fees; you own the system outright, with maintenance at 10% annually for updates and scaling support.
How does AIQ Labs differ from typical AI agencies for financial advisors?
We're builders, not assemblers—we code production-ready systems from the ground up, avoiding the limitations of no-code platforms that cap scalability at 20-30% growth. Typical agencies rely on rented tools, creating dependencies; we deliver ownership with unified, compliant architectures. Our in-house successes, like RecoverlyAI for collections, prove we understand regulated environments. Advisors choose us for 99% uptime and custom UIs that feel native, not pieced-together. Result: no integration nightmares, just a robust asset that evolves with your AUM and regulatory landscape.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.