Stop Juggling Spreadsheets and Legacy Systems That Leave You Exposed to Compliance Risks and Missed Opportunities
In an industry where 85% of advisors report spending over 20 hours weekly on manual reporting, our custom dashboards deliver real-time visibility into AUM, client risk profiles, and regulatory metrics—empowering data-driven decisions without the chaos.
Join 150+ financial firms achieving 40% faster compliance audits
The "Fragmented Data" Problem
Manual Reconciliation of Client Portfolios Across Multiple Custodians, Leading to Errors in NAV Calculations and Custody Fee Disputes
Delayed Detection of Compliance Violations in Transaction Monitoring, Such as AML Red Flags or Reg BI Conflicts
Siloed Client Data Hindering Personalized Advisory Recommendations
Inaccurate AUM Tracking Due to Disconnected CRM and Accounting Systems, Impacting Form ADV Filings and Fee Billing Accuracy
Time-Consuming Manual Reporting for Regulatory Filings Like Form PF and Quarterly Client 13F Disclosures
Limited Visibility into Advisor Performance and Fee Revenue Streams, Complicating ERISA Fiduciary Assessments and 12b-1 Fee Allocations
Custom-Built Dashboards: Your Command Center for Advisory Excellence
With over a decade of experience architecting compliance-grade systems for RIAs and broker-dealers, AIQ Labs delivers enterprise-grade dashboards that integrate seamlessly with your existing tech stack.
Why Choose Us
We don't deploy off-the-shelf templates. Instead, our engineers craft bespoke dashboards tailored to the nuances of financial advising—from real-time portfolio analytics to automated risk assessments. Picture a centralized interface that pulls data from your CRM, custodians like Schwab or Fidelity, and compliance tools, all secured with bank-level encryption. This isn't just visibility; it's a strategic asset that turns fragmented data into actionable intelligence, ensuring you're always audit-ready and client-focused. We've helped firms reduce reporting cycles from weeks to hours, proving our track record in high-stakes environments.
What Makes Us Different:
Unlock Precision and Confidence in Your Practice
Real-Time Portfolio Visibility
Real-Time Portfolio Visibility: Track assets under management across all client accounts with live updates from custodians like Schwab and Fidelity, enabling advisors to spot underperforming holdings instantly via risk-adjusted return metrics. Firms using our dashboards report a 35% improvement in client retention by delivering proactive, data-backed advice—eliminating the guesswork in volatile markets, with one RIA client reducing portfolio drift alerts from daily to automated hourly checks.
Streamlined Compliance Monitoring
Streamlined Compliance Monitoring: Automate surveillance for FINRA Rule 3210 and SEC Reg SHO rules, flagging potential wash sales or insider trading risks before they escalate, integrated with KYC data feeds. This reduces audit preparation time by up to 60%, as seen in our deployments at mid-sized broker-dealers, allowing your team to focus on growth rather than paperwork in a landscape where non-compliance fines average $500,000 per incident under Dodd-Frank provisions.
Actionable Insights for Client Growth
Actionable Insights for Client Growth: Harness KPI tracking for fee-based revenue under AUA models, advisor utilization per Reg BI standards, and client acquisition trends from CRM integrations to inform strategic decisions. Our clients achieve 25% higher cross-sell rates by identifying upsell opportunities through personalized dashboards, such as recommending ESG funds to aligned profiles, transforming data silos into a revenue engine with quarterly performance benchmarking.
What Clients Say
""Before AIQ Labs, we were buried in Excel for reconciling quarterly Form ADV schedules—it took my team two full days per advisor across our Schwab and Pershing custodians. Now, the dashboard integrates CRM and custodian APIs in real-time, slashing that to under an hour and flagging AUM discrepancies instantly. We've retained two $50M+ HNW clients this year thanks to the timely, data-driven reviews.""
Sarah Mitchell
Chief Compliance Officer, Horizon Wealth Management (a $2.5B RIA serving high-net-worth individuals)
""Syncing our Morningstar holdings data with internal trade surveillance was a compliance headache until AIQ's custom integration. Last quarter, it detected a Reg BI conflict in a $10M HNW portfolio involving restricted securities that our legacy system overlooked, averting a potential FINRA 8210 inquiry. The ROI hit within weeks—far less audit stress and stronger client trust.""
David Chen
Managing Director of Portfolio Strategy, Apex Capital Partners (a FINRA-registered broker-dealer with 150 advisors)
""As a boutique RIA, enterprise tools like Advent were out of reach, but AIQ's dashboard is perfectly scaled for us. It automates AUM tracking from our Black Diamond CRM without manual uploads, plus advisor KPIs like client acquisition cost and 12b-1 fee yields. This propelled us from $150M to $220M AUM in 18 months, all while owning the IP—no vendor lock-in.""
Emily Rodriguez
Founder & CEO, Summit Advisory Group (an independent RIA managing $250M in alternative investments)
Simple 3-Step Process
Discovery and Requirements Mapping
We dive deep into your advisory workflows, compliance needs, and data sources to blueprint a dashboard that aligns perfectly with your firm's operations—no assumptions, just precision.
Custom Development and Integration
Our engineers build from the ground up, weaving in secure APIs for your custodians, CRM, and regulatory tools, ensuring scalability and ironclad data security throughout.
Deployment, Training, and Optimization
We launch with hands-on training for your team, then monitor performance to refine KPIs and add features, turning your dashboard into an evolving asset for long-term success.
Why We're Different
What's Included
Common Questions
How do your custom dashboards ensure compliance with SEC and FINRA regulations?
Compliance is non-negotiable in financial advising, so we embed it from the ground up. Our dashboards include built-in audit trails that log every data access and modification, aligning with SEC Rule 17a-4 for record-keeping. We integrate directly with your existing compliance software, automating checks for issues like best execution or suitability under Reg BI. For instance, real-time monitoring flags potential conflicts of interest in portfolio allocations. With bank-grade encryption and SOC 2 Type II certification, we've helped firms pass unannounced audits without a hitch. Unlike generic tools, ours are tailored to your firm's specific protocols, reducing false positives by 70% based on client feedback. This means less manual oversight and more confidence in your reporting.
What data sources can be integrated into the dashboard?
We connect to virtually any financial data source relevant to advisors. Core integrations include custodians like Charles Schwab, Fidelity, and Pershing for portfolio holdings; CRMs such as Salesforce or Redtail for client profiles; and analytics platforms like Morningstar or YCharts for performance metrics. Accounting ties into QuickBooks or Xero for fee tracking, while compliance tools like Smarsh or MyComplianceOffice feed in regulatory data. Our two-way API architecture ensures bidirectional syncing, eliminating data silos. For a mid-sized RIA, this might mean pulling 50,000+ transaction records daily without lag. We handle custom APIs too—if your firm uses proprietary software, our engineers map it seamlessly, creating a unified view that updates in real-time.
How long does it take to build and deploy a custom dashboard?
Timeline varies by complexity, but most financial advisory dashboards are live in 6-8 weeks. We start with a two-week discovery phase to map your workflows and data flows, ensuring no surprises. Development follows in 3-4 weeks, with iterative prototypes for your review—think agile sprints focused on key features like AUM tracking first. Integration testing takes another week, including load simulations for peak reporting periods. Post-launch, we provide a week of training and optimization. Firms with straightforward setups, like those using standard custodians, often see value in under six weeks. Our process has delivered 95% on-time deployments, minimizing disruption to your advisory operations while maximizing early wins.
Is the dashboard accessible on mobile devices for advisors in the field?
Absolutely—our dashboards are fully responsive, designed for seamless use on desktops, tablets, or smartphones. Advisors can review client portfolios during meetings or check compliance alerts on the go, with the same secure, real-time data as the full interface. We use progressive web app technology, so no app store downloads are needed; it works offline for basic views and syncs when connected. For example, an advisor at a client lunch can pull up risk-adjusted returns via iPhone without logging into multiple portals. Security remains paramount, with biometric login options and session timeouts. Clients report 30% higher productivity from this mobility, especially in hybrid work environments common in financial advising.
What kind of ongoing support do you provide after deployment?
Support is built into our partnership model, not an afterthought. Post-deployment, you get 90 days of included maintenance, covering tweaks to KPIs or new integrations as your firm evolves—say, adding ESG metrics amid rising client demand. Our team monitors system health 24/7, with SLAs guaranteeing 99.9% uptime, critical for time-sensitive advisory tasks. Annual support packages offer proactive updates, like adapting to new SEC rules, at a fraction of rebuild costs. We've maintained dashboards for firms over three years, incorporating feedback to boost efficiency by 25% annually. Unlike subscription models, this is your owned system, so support focuses on empowerment, including knowledge transfers to your staff for self-sufficiency.
How secure is the data in your custom dashboards?
Security is our foundation, especially in a regulated field like financial advising where breaches can cost millions. We use AES-256 encryption for data at rest and in transit, with multi-factor authentication and role-based permissions to control access—ensuring only authorized advisors see sensitive client info. Compliance with GDPR, CCPA, and financial regs is standard, including regular penetration testing by third-party experts. Data is hosted on AWS with geo-redundancy to prevent outages. In one deployment, we isolated a potential vulnerability during beta testing, averting risks before launch. Our track record? Zero breaches across 150+ installations, giving you peace of mind to focus on client trust rather than cyber threats.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.