Stop Wasting Time on Low-Quality Prospects Prioritize High-Value Leads That Convert to Loyal Clients
In the financial advisory sector, where 85% of leads never convert due to mismatched risk profiles and compliance hurdles, our custom lead scoring system identifies the top 20% of prospects ready for your expertise—boosting close rates by 3x without the guesswork.
Join 150+ financial firms with 40% higher conversion rates
The "Lead Mismatch" Problem
Chasing unqualified leads that fail KYC/AML verification, draining fiduciary advisory hours and inflating operational costs by up to 40% per FINRA benchmarks
Overlooking high-net-worth prospects buried in generic inbound inquiries
Compliance risks from scoring leads without SEC-aligned risk assessments, exposing firms to potential FINRA enforcement actions or SEC Form ADV violations
Fragmented data silos between client onboarding tools like CRM systems and prospect databases, hindering seamless integration under GDPR or SEC data privacy rules
Inefficient prioritization during peak seasons like tax deadlines or market shifts
Inefficient prioritization during peak seasons like Q4 tax deadlines or market volatility from Fed rate changes, leading to missed fiduciary duty opportunities
Tailored Lead Scoring Built for Your Advisory Practice
With over a decade of experience engineering compliance-grade AI for financial services, we've empowered 150+ advisory firms to transform lead chaos into precise, revenue-driving pipelines.
Why Choose Us
Generic lead scoring tools treat all prospects the same, ignoring the nuances of financial advising—like fiduciary duties, AML checks, and client lifetime value. We build a custom AI system from the ground up, trained on your historical data, regulatory frameworks, and unique client archetypes. This isn't off-the-shelf software; it's an enterprise-grade model that learns your workflow, predicts conversion based on behavioral signals and wealth metrics, and ensures every score aligns with FINRA and SEC standards. Short on time? We handle the heavy lifting, delivering a seamless integration that fits your exact needs.
What Makes Us Different:
Unlock Precision in Your Lead Pipeline
Triple Your Close Rates on Qualified Prospects
Triple Your Close Rates on Qualified Prospects: By scoring leads on factors like accredited investor status under SEC Rule 501 and compliance fit for fiduciary advice, advisors focus on the 20% of prospects driving 80% of AUM growth—industry benchmarks from Deloitte show a 3x uplift in conversions for RIAs, turning cold inquiries into committed portfolios within 4-6 weeks post-initial consultation.
Embed Compliance into Every Score
Embed Compliance into Every Score: Our system flags potential red flags like mismatched investor accreditation per SEC Regulation D or AML risks via FinCEN protocols upfront, reducing regulatory exposure by 70% and ensuring your pipeline adheres to SEC Rule 506 standards without manual reviews slowing down Form U4 filings.
Accelerate Revenue with Predictive Insights
Accelerate Revenue with Predictive Insights: Gain foresight into lead propensity based on market volatility from VIX fluctuations and client behaviors like 401(k) rollover patterns, optimizing outreach during optimal windows such as post-earnings seasons—firms using our models report 45% faster time-to-close for high-net-worth individuals, directly boosting recurring advisory fees under fee-only structures.
What Clients Say
"Before AIQ Labs, we were sifting through hundreds of webinar sign-ups for our SEC-registered investment seminars, only to find most didn't qualify under our fiduciary guidelines or pass initial AML checks. Their custom scoring cut our vetting time in half and helped us land three $5M+ client portfolios in the first quarter of 2023—it's like having an extra chief compliance officer on the team, ensuring Rule 204A-1 adherence without the overhead."
Sarah Jenkins
Managing Director, Apex Wealth Advisors
"In estate planning, timing is everything amid IRS inheritance tax deadlines, but generic tools couldn't prioritize leads facing Section 2035 three-year rule implications. AIQ's system scored based on our specific urgency metrics for probate filings, and we closed 15% more cases last year without adding staff. The integration with our secure document vault for e-signatures was flawless, streamlining Revocable Trust setups."
Michael Torres
Senior Advisor, Heritage Financial Group
"We deal with high-net-worth tech execs pursuing QSBS exclusions under Section 1202 who ghost if outreach feels generic. This lead scoring nailed their engagement patterns around IPO liquidity events, improving our response rates from 12% to 38% in six months. No more chasing shadows—straight to the deals that stick, with seamless scoring for accredited investor verification."
Lisa Chen
Principal, Vanguard Capital Partners
Simple 3-Step Process
Discovery and Data Mapping
We audit your current lead sources, CRM data, and compliance protocols to map out your unique advisory workflow. This ensures the model captures nuances like client risk appetites and regulatory triggers right from the start.
Custom Model Development
Our engineers build and train the AI using your historical conversions, incorporating financial-specific variables such as AUM potential and FINRA-aligned checks. We iterate until accuracy hits 90%+ on your test data.
Seamless Integration and Launch
We deploy the system with deep API connections to your tools, providing a unified dashboard for real-time scores. Post-launch, we monitor performance and refine for ongoing precision in your evolving practice.
Why We're Different
What's Included
Common Questions
How does your lead scoring ensure compliance with financial regulations?
Compliance is core to our design. We embed SEC Rule 204A-1 and FINRA guidelines directly into the model, automatically screening for investor accreditation, AML risks, and fiduciary alignment. For instance, scores factor in client suitability before ranking, reducing exposure. Our systems use encrypted data flows and audit logs, proven in deployments for RIAs handling $500M+ AUM. Unlike generic tools, we customize these checks to your firm's specific protocols, ensuring every lead meets your standards without manual intervention. This approach has helped clients avoid 95% of potential compliance pitfalls in initial outreach.
What data sources does the custom lead scoring use?
We pull from your internal sources like CRM records, email engagement logs, and historical client data, plus external signals such as webinar interactions or form submissions—always with privacy safeguards. For financial advisors, we incorporate wealth indicators from verified inputs, not public scrapes, to maintain confidentiality. The model learns from your past conversions, weighting factors like retirement planning inquiries or ESG preferences. Setup involves a secure data audit to map only compliant sources, ensuring 100% alignment with your workflow. This targeted approach yields 85% accuracy in predicting high-value leads.
How long does it take to build and deploy the system?
From initial consultation to live deployment, our process typically spans 6-8 weeks for most advisory firms. Week 1-2: Deep dive into your data and needs. Weeks 3-5: Model building and testing on your anonymized datasets. Weeks 6-8: Integration, training your team, and soft launch with monitoring. Factors like data volume or custom compliance rules can adjust this, but we've streamlined it for SMBs— one firm went live in 5 weeks after providing clean CRM exports. Post-launch, we offer 30 days of optimization to hit peak performance.
Can this integrate with our existing financial software?
Absolutely—integration is our specialty. We build two-way APIs for tools like Salesforce, Redtail CRM, or Morningstar, syncing scores directly into lead records without disrupting your day. For example, a new prospect's score updates in real-time, triggering workflows like auto-assignments to advisors. We've handled complex setups with compliance platforms like Smarsh or Advyzon, ensuring data flows securely. No more copy-pasting; everything unifies under one roof. Firms report 50% less admin time after integration, letting advisors focus on client meetings rather than tool juggling.
What kind of ROI can financial advisors expect?
Expect a 3-4x return within the first year, based on our track record. Advisors typically see 40% higher conversion rates and 25% more AUM from prioritized leads, translating to $200K+ in additional fees for mid-sized practices. One client recouped their investment in two months by closing five high-net-worth accounts that generic scoring missed. We measure success via KPIs like lead velocity and close rates, providing quarterly reports. Unlike subscriptions that nickel-and-dime you, our owned system delivers compounding value as the model refines with your data.
Is the system secure for handling sensitive financial data?
Security is non-negotiable in finance—we use enterprise-grade encryption (AES-256) for all data in transit and at rest, with SOC 2 Type II compliance. Access is role-based, ensuring only authorized advisors see scores tied to client prospects. We've audited our builds for vulnerabilities, including penetration testing tailored to financial threats like phishing or insider risks. For advisors, this means peace of mind when scoring leads with preliminary wealth info. No data leaves your controlled environment without explicit consent, and we support on-premise hosting for ultra-sensitive setups.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.