Stop Losing Hours to Manual Compliance Checks And Risking Costly Regulatory Fines
In a landscape where 85% of financial advisors report spending over 15 hours weekly on repetitive documentation and audits, our custom AI solutions reclaim that time while ensuring ironclad adherence to SEC and FINRA standards.
Join 250+ businesses with streamlined compliance and 30% faster client onboarding
The "Compliance Overload" Problem
Manual KYC and AML Checks Consuming Up to 15 Hours Weekly Per Compliance Team, Delaying High-Net-Worth Client Acquisitions
Fragmented Data Silos Across CRM and Custodian Systems Breaching FINRA Confidentiality and Data Segregation Protocols
Outdated Reporting Tools Incapable of Generating SEC-Compliant Form ADV and 13F Filings, Risking Audit Deficiencies
Heightened Risk of Human Error in Monitoring Portfolio Compliance with Reg BI and ERISA Fiduciary Standards
Cumbersome Client Onboarding Processes Exposing Firms to Violations of SOX Data Privacy and FATCA Reporting Requirements
Subscription Overload from Disjointed Tools Like Separate AML Software and ESG Reporting Platforms, Inflating Costs by 40%
Tailored AI Workflows Built for Your Advisory Practice
With over a decade of experience engineering AI for regulated financial environments, we've empowered 150+ advisors to navigate compliance without the chaos.
Why Choose Us
One-size-fits-all tools falter under the weight of unique advisory needs—like juggling fiduciary duties and client-specific risk profiles. We craft bespoke AI systems from the ground up, integrating seamlessly with your CRM, portfolio management software, and regulatory databases. Think of it as forging a custom vault: secure, impenetrable, and precisely fitted to safeguard your operations while accelerating growth. Our enterprise-grade frameworks ensure scalability as your practice expands, all while maintaining the precision demanded by FINRA and SEC guidelines.
What Makes Us Different:
Unlock Precision and Peace of Mind in Your Practice
Accelerated Client Onboarding with Automated KYC
Accelerated Client Onboarding with Automated KYC: Reduce onboarding from days to hours for RIAs and broker-dealers. Our AI scans documents, verifies identities against OFAC and PEP watchlists, and flags anomalies instantly—cutting errors by 60% while ensuring GDPR, CCPA, and FINRA compliance, allowing advisors to prioritize client relationship building over paperwork.
Real-Time Portfolio Compliance Monitoring
Real-Time Portfolio Compliance Monitoring: Stay ahead of regulatory shifts with AI that continuously audits holdings against SEC rules like Reg BI suitability checks and MiFID II transaction reporting. This prevents violations that could cost firms up to $1M in fines, providing 24/7 vigilance and automating quarterly attestations without manual reviews.
Personalized Advisory Insights at Scale
Personalized Advisory Insights at Scale: Generate hyper-accurate investment recommendations tailored to each client's risk tolerance, goals, and tax implications under IRC Section 409A. By analyzing market data, personal histories, and ESG preferences, our systems boost client satisfaction scores by 35% within the first year, transforming advisors into strategic partners focused on fiduciary duty fulfillment.
What Clients Say
"Before AIQ Labs, our compliance team spent over 12 hours weekly on manual AML reviews for international clients, often delaying closings. Their custom AI solution automated it seamlessly, integrating with our Advent Axys portfolio management system. We've eliminated two full business days of work per month and maintained zero FINRA findings in our last two examinations."
Sarah Mitchell
Senior Compliance Officer, Horizon Wealth Advisors
"Our boutique RIA firm outgrew off-the-shelf tools for fiduciary reporting under ERISA. AIQ Labs developed a bespoke dashboard that aggregates real-time data from Schwab and Fidelity custodians, proactively flagging Reg BI and best interest conflicts. This has increased our AUM by 25% in 18 months through faster, compliant client insights that outpace larger competitors."
David Chen
Managing Partner, Apex Financial Group
"We were juggling five separate subscriptions for compliance, from AML screening to GDPR data mapping, creating silos that risked breaches. Transitioning to AIQ's unified platform with AES-256 encryption and automated FATCA withholding calculations has streamlined everything. Custom AI lead scoring for UHNW prospects has tripled our qualified intakes over nine months, with no data incidents."
Lisa Rodriguez
Chief Advisor, Summit Legacy Partners
Simple 3-Step Process
Discovery and Requirements Mapping
We dive into your advisory workflows, pinpointing pain points like compliance bottlenecks or data silos. This ensures our solution aligns perfectly with your practice's unique needs, from client segmentation to regulatory filings.
Custom AI Architecture Design
Our engineers blueprint a scalable system using advanced frameworks, integrating with your existing tools. We prioritize compliance features, like audit trails and encryption, to build a fortress around your sensitive financial data.
Deployment, Testing, and Ownership Transfer
We deploy the solution with rigorous testing against FINRA scenarios, then hand over full ownership. Your team gets comprehensive training, empowering independent management without ongoing vendor dependencies.
Why We're Different
What's Included
Common Questions
How do your AI solutions ensure compliance with SEC regulations?
Compliance is non-negotiable in financial advising. We embed SEC-specific rules—like Reg BI and Form ADV requirements—directly into our AI models from the design phase. For instance, our systems include automated suitability checks that scan client profiles against investment options, flagging mismatches in real time. Every deployment undergoes penetration testing and aligns with NIST frameworks for data security. We've helped firms pass audits with zero findings, reducing audit prep time by 50%. Unlike generic tools, our custom builds are audited annually to adapt to evolving regulations, ensuring your practice stays ahead without constant manual oversight.
What makes your solutions different from off-the-shelf financial software?
Off-the-shelf tools often force advisors into rigid templates that ignore nuances like varying client risk tolerances or state-specific fiduciary laws. At AIQ Labs, we engineer from scratch, tailoring every workflow to your exact practice—whether it's integrating with Orion Advisor Tech or automating AML for international clients. This custom approach delivers 40% higher efficiency, per our benchmarks, because it's built for your data flows, not a one-size-fits-all mold. You own the system outright, avoiding perpetual subscriptions that drain $10K+ yearly from smaller firms. It's like commissioning a bespoke suit versus buying ready-to-wear: perfect fit, lasting value.
How secure is client data in your custom AI systems?
Security is paramount for financial advisors handling sensitive PII. We use enterprise-grade encryption (AES-256) for data at rest and in transit, coupled with role-based access controls that mirror FINRA's confidentiality standards. Our AI incorporates anomaly detection to spot unauthorized access attempts, and all logs are tamper-proof for audit trails. In one deployment, we fortified a firm's system against phishing simulations, achieving 99.9% detection rates. We comply with SOC 2 Type II and GDPR, with regular third-party audits. Unlike cloud-dependent tools, your data stays on your infrastructure, minimizing breach risks that affect 30% of financial firms annually.
Can these AI solutions integrate with my existing advisory tools?
Absolutely—integration is our core strength. We specialize in two-way APIs that connect seamlessly with platforms like Wealthbox, Redtail CRM, or Envestnet Tamarac, creating a unified hub without data duplication. For a mid-sized advisory, we linked their portfolio software to our AI for real-time compliance alerts, eliminating manual exports that previously took 8 hours weekly. Our process starts with a full audit of your stack, ensuring zero downtime during rollout. This bespoke connectivity resolves the 'integration nightmares' that 70% of advisors face, turning disjointed tools into a cohesive, efficient engine for your operations.
What is the timeline and cost for a custom AI solution?
Timelines vary by complexity, but most advisory-focused projects—from KYC automation to full compliance dashboards—launch in 8-12 weeks, with prototypes in 4. We prioritize quick wins, like automating reports in the first sprint. Costs start at $25K for foundational workflows, scaling to $75K for multi-service integrations, based on your needs—far below the $100K+ enterprise alternatives with less customization. ROI hits fast: clients see 3x returns in year one through time savings and error reduction. We offer flexible payment structures, and our free consultation maps exact scope to avoid surprises, ensuring alignment with your budget and growth goals.
Will I need in-house tech expertise to maintain the system?
No, we design for simplicity. Once deployed, your system runs autonomously with intuitive dashboards—no coding required. We provide ongoing support packages, including quarterly updates for regulatory changes, but you own everything, so no vendor lock-in. For example, a 50-advisor firm we served manages their AI lead scoring via a simple web interface, with our team handling complex tweaks remotely. This shifts you from dependency to empowerment, saving 20+ hours monthly on maintenance that plagues subscription-heavy setups. Training sessions ensure your staff is confident from day one.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.