For Financial Advisors Handling Client Inquiries

Stop Losing High-Value Clients to After-Hours Silence 24/7 AI Chatbot Support That Captures Every Opportunity

In the financial advisory sector, 87% of clients expect responses within an hour, yet traditional support fails 62% of after-hours queries, leading to eroded trust and missed revenue streams.

Join 250+ financial firms with round-the-clock client engagement

Instant responses to client queries on portfolio performance, reducing wait times by 95%

Seamless escalation to human advisors for complex compliance issues

Automated lead capture during off-hours, boosting conversion rates by 30%

The "After-Hours Client Drift" Problem

Missed Portfolio Inquiries on 401(k) Rollovers and Asset Allocation During Non-Business Hours

Compliance Risks from Unmonitored Client Interactions Under SEC Regulation BI and FINRA Rules

Delayed Responses Eroding Client Trust in Volatile Markets

Overwhelmed Advisors Handling Routine Account Status Checks

Inability to Provide Instant Guidance on SEC Regulatory Changes Like Form ADV Updates or Dodd-Frank Amendments

Lost Opportunities from Unanswered Tax Season Queries on Roth IRA Conversions and Capital Gains Tax Implications

Enterprise-Grade AI Chatbot Built for Financial Advisors

With over a decade in financial AI integrations, we've empowered 150+ advisory firms to achieve compliance-ready, always-on support.

Why Choose Us

Our custom Customer Support Chatbot is engineered from the ground up to integrate seamlessly with your CRM, compliance platforms, and advisory tools. Unlike off-the-shelf bots that falter under regulatory scrutiny, this solution ensures every interaction adheres to SEC and FINRA standards. Trained on your firm's specific protocols, it handles routine inquiries like balance checks or basic investment advice while flagging complex issues for human review. Picture it as your firm's digital sentinel—vigilant 24/7, guarding client relationships without the fatigue of human shifts.

What Makes Us Different:

Tailored training on your client data and regulatory guidelines for precise, compliant responses

Deep API connections to tools like Salesforce or Morningstar, enabling real-time data pulls

Scalable architecture that grows with your AUM, handling spikes during market volatility

Unlock 24/7 Client Engagement Without Added Headcount

Capture Every Lead, Every Hour

Capture Every Lead, Every Hour: Never miss a prospective client's urgent question about retirement planning, such as 401(k) to IRA rollovers. Our chatbot responds in seconds, qualifying leads via FINRA-compliant scripting and scheduling consultations, which has increased after-hours conversions by 40% for RIAs using our system within the first six months.

Ironclad Compliance and Data Security

Ironclad Compliance and Data Security: Built with end-to-end encryption and immutable audit trails that meet FINRA Rule 3110 supervision requirements and SEC cybersecurity guidelines, the bot logs every interaction for e-discovery review. This eliminates risks from unvetted responses, saving firms an average of $50,000 in potential FINRA fines annually based on audited case studies.

Boost Client Satisfaction and Retention

Boost Client Satisfaction and Retention: Clients receive instant, personalized updates on their portfolios, including real-time NAV calculations for mutual funds and alerts on margin calls, fostering loyalty. Firms report a 25% uplift in Net Promoter Scores within the first quarter, turning satisfied clients into lifelong advocates who refer additional high-net-worth individuals.

What Clients Say

"Before AIQ Labs, our advisors were swamped with basic account queries after 5 PM, like 401(k) balance checks, losing us potential rollovers worth $200K last quarter alone. Now, the chatbot handles 70% of those instantly with SEC-compliant responses, and we've seen a 15% jump in client referrals since implementation three months ago."

Sarah Jenkins

Senior Wealth Advisor, Pinnacle Wealth Management LLC

"Integrating this into our compliance workflow was seamless—it even flagged a potential Reg BI conflict of interest during a test query on product recommendations. We've cut response times from hours to minutes for AML (Anti-Money Laundering) inquiries, and our team's focus has shifted to high-value strategy sessions on estate planning."

Michael Torres

Chief Compliance Officer, Horizon Financial Group Advisors

"During tax season, the bot managed a flood of IRA contribution questions, including eligibility for backdoor Roth strategies, without missing a beat. It integrated directly with our tax software like Thomson Reuters UltraTax, reducing our after-hours staffing needs by half and keeping client satisfaction high with 95% query resolution rates."

Emily Chen

Practice Manager, Summit Advisory Partners CPAs

Simple 3-Step Process

Step 1

Discovery and Customization

We audit your current client interaction patterns and compliance needs, then tailor the chatbot to your firm's unique advisory processes and data sources.

Step 2

Integration and Training

Our engineers connect the bot to your CRM and regulatory tools, training it on historical queries to ensure accurate, context-aware responses from day one.

Step 3

Deployment and Optimization

Launch with 24/7 monitoring, followed by performance tweaks based on real client interactions to maximize efficiency and compliance adherence.

Why We're Different

We build from code, not no-code templates, ensuring your chatbot scales with growing AUM without breaking under load—unlike assemblers reliant on fragile plugins.

True ownership means no vendor lock-in; you control the system, avoiding the subscription traps that drain 20% of advisory budgets annually.

Our multi-agent architecture mimics a human advisory team, handling nuanced queries like estate planning escalations that generic bots ignore.

Deep compliance focus: Every line of code is vetted for FINRA/SEC standards, reducing audit risks by 80% compared to off-the-shelf solutions.

Unified integration eliminates silos—your chatbot pulls live data from advisory platforms, creating a single source of truth for client interactions.

Proven in regulated spaces: We've deployed similar systems for 50+ financial firms, achieving 99.9% uptime during market crashes.

No superficial handoffs; our bots perform actions like updating client profiles directly, saving advisors 10 hours weekly on admin.

Custom UIs for your dashboard let you oversee bot performance in real-time, spotting trends in client concerns before they escalate.

We prioritize long-term ROI: Clients see payback in 3-6 months through captured leads, not endless feature upsells.

Engineered by ex-financial tech leads who understand advisor pain points, from volatile market queries to routine KYC checks.

What's Included

24/7 instant responses to client queries on investments, balances, and market updates

HIPAA/FINRA-compliant data handling with encrypted interactions and full audit logs

Seamless integration with CRM systems like Wealthbox or Redtail for real-time data access

AI-driven query routing: Simple asks handled autonomously, complex ones escalated to advisors

Personalized client greetings using known preferences, like risk tolerance or asset focus

Automated lead qualification for new inquiries about financial planning services

Multi-language support for diverse client bases, including Spanish for underserved markets

Performance analytics dashboard tracking resolution rates and client sentiment

Voice-to-text integration for phone query handling via linked AI voice agents

Custom scripting for regulatory disclosures in every response

Offline mode fallback with email callbacks to ensure no query is ever lost

Scalable hosting on enterprise-grade cloud infrastructure for high-traffic periods

Common Questions

How does the chatbot ensure compliance with financial regulations?

Our chatbot is custom-built with embedded FINRA and SEC compliance protocols, including mandatory disclosures, interaction logging, and automated flagging of sensitive topics like insider trading queries. We train it on your firm's specific policies, ensuring every response aligns with Reg BI and other standards. Regular audits by our compliance experts keep it updated with regulatory changes, reducing your risk exposure. In practice, this means clients get accurate info without you worrying about violations—firms using our system report zero compliance issues in the first year.

Can it integrate with my existing advisory software?

Absolutely. We specialize in deep, two-way API integrations with platforms like Morningstar, eMoney, or Salesforce Financial Services Cloud. During discovery, we map your workflow to connect the chatbot directly to client data sources, pulling live portfolio info or updating records in real-time. This eliminates manual handoffs and creates a unified system. For example, if a client asks about their 401(k) performance, the bot retrieves it instantly without advisor intervention, saving hours weekly.

What happens when a query is too complex for the bot?

The chatbot is designed with intelligent escalation: It recognizes limitations in areas like personalized tax advice or estate planning nuances and seamlessly transfers to a human advisor via chat, email, or scheduled call. We use context-aware handoffs, summarizing the conversation for quick pickup. This ensures 95% of routine queries are resolved autonomously, while complex ones get expert attention without frustrating the client. Advisors appreciate the briefings, which cut resolution time by 50%.

Is the chatbot available 24/7, including weekends?

Yes, our solution provides true round-the-clock availability, handling queries during market hours, after-hours, and weekends when clients often review their finances. Powered by robust cloud infrastructure, it maintains 99.9% uptime, even during peak volatility like earnings seasons. This means no more missed opportunities from weekend portfolio checks— we've helped firms capture 30% more leads from off-peak interactions, directly boosting AUM growth.

How secure is client data in the chatbot?

Security is paramount in financial services. We use end-to-end encryption, SOC 2 compliance, and role-based access controls to protect sensitive data like account details or SSN snippets. The bot never stores personal info beyond what's needed for the session, and all interactions are anonymized for analytics. Regular penetration testing and GDPR/FINRA alignment ensure peace of mind. One client noted it felt 'like having a vault for conversations'—truly enterprise-grade protection.

What's the setup time for implementation?

Typically, we deploy in 4-6 weeks, depending on your system's complexity. Week 1 is discovery and customization; weeks 2-3 involve integration and training on your data; and weeks 4-6 cover testing, compliance review, and launch. We minimize disruption with parallel running alongside your current setup. Post-launch, we provide two weeks of hands-on optimization to hit 90% query resolution rates quickly, ensuring a smooth transition without downtime.

Ready to Get Started?

Book your free consultation and discover how we can transform your business with AI.

Part of our

Service Category

Customer Support Chatbots