Stop Losing Billable Hours to Tedious Follow-Up Tasks Reclaim Your Time with AI-Driven Automation
Financial advisors waste an average of 15 hours per week on manual follow-ups, from client reminders to compliance documentation. Our custom automation cuts that to under 2 hours, delivering a 10x ROI in the first quarter through streamlined workflows tailored to your practice.
Join 250+ financial practices achieving 30% productivity gains
The "Follow-Up Overload" Problem
Manual client reminders for portfolio reviews and KYC updates eat into advisory time, risking missed quarterly SEC-mandated reviews and potential Form ADV violations
Scattered follow-up notes across emails, Bloomberg terminals, and CRMs lead to compliance gaps in SEC Rule 204-2 recordkeeping for investment adviser reporting
Tedious reconciliation of follow-up actions with GIPS-compliant investment performance data delays client Form CRS updates and personalized reporting
Overlooked follow-ups on Form PF and 13F regulatory filings expose RIAs to FINRA penalties and potential SEC enforcement actions
Inconsistent client nurturing after initial suitability assessments erodes AUM growth opportunities and fiduciary duty fulfillment under Reg BI
Manual logging of follow-up interactions hampers accurate fiduciary duty documentation for ERISA plans and SEC examinations
Our Custom Follow-Up Automation Transforms Your Practice
With over a decade of experience building compliance-grade AI for financial services, we've helped 150+ advisory firms eliminate manual drudgery while maintaining ironclad regulatory adherence.
Why Choose Us
We engineer bespoke AI workflows that automate your entire follow-up ecosystem. Imagine a system that intelligently schedules client check-ins based on market events, auto-generates personalized portfolio summaries, and logs every interaction for seamless FINRA audits. No more sifting through inboxes or spreadsheets. Our enterprise-grade solution integrates directly with your CRM, like Salesforce or Wealthbox, creating a unified platform that scales with your client base. Built from the ground up, it's not a patchwork of tools—it's your owned, production-ready asset, ensuring data sovereignty and total control.
What Makes Us Different:
Quantifiable Gains for Your Advisory Firm
Reclaim 13+ Hours Weekly
Reclaim 13+ Hours Weekly: Advisors report slashing follow-up time from 15 hours to just 2 for tasks like ADV updates, freeing bandwidth for high-value tasks like strategic portfolio allocation. This translates to an extra $50,000+ in annual billable revenue per advisor, based on industry benchmarks from Deloitte's financial services automation study, enabling focus on AUM expansion.
Achieve 10x ROI in Months
Achieve 10x ROI in Months: Our systems deliver rapid payback through reduced operational costs—firms see a 40% drop in administrative overhead for compliance tasks like Form 13F filings. For a mid-sized RIA with $500M AUM, this means $120,000 saved yearly, with efficiency gains compounding as client volume grows without added headcount.
Enhance Compliance and Reduce Risk
Enhance Compliance and Reduce Risk: Automated audit trails ensure every follow-up meets SEC Rule 17a-4 and FINRA Rule 3110 standards, cutting compliance review time by 60%. Clients in regulated environments avoid costly fines up to $100,000 per violation, with one RIA reporting zero audit findings post-implementation after years of manual errors in Reg BI documentation.
What Clients Say
"Before AIQ Labs, our team spent Fridays chasing follow-up emails for client portfolio reviews and Form ADV amendments—it was total chaos. Now, the system auto-schedules everything based on our Salesforce CRM data, and we've cut those hours in half. Compliance logging for SEC Rule 204-2 is automatic too, which saved us during our last FINRA exam with no deficiencies noted."
Sarah Mitchell
Senior Wealth Advisor, Pinnacle Wealth Management (Registered Investment Advisor managing $750M AUM)
"I was skeptical about automating client nurturing after initial Reg BI suitability meetings, but their custom setup integrated perfectly with our Morningstar portfolio software. In the first three months, we boosted follow-up response rates by 35% for ongoing AUM retention, and my book grew by $15M without hiring more staff. It's like having an extra fiduciary-focused advisor on the team."
David Chen
Principal and Chief Compliance Officer, Horizon Financial Advisors (SEC-registered firm with 150+ high-net-worth clients)
"Manual follow-ups were killing our efficiency, especially with quarterly Form CRS disclosures and ERISA plan reviews. AIQ's automation handles reminders and documentation flawlessly— we've gone from 20 hours a week on this to under 3, ensuring full fiduciary logging. The ROI was clear after the first billing cycle, with a 25% reduction in compliance audit prep time."
Emily Rodriguez
Director of Compliance and Risk, Apex Advisory Group (FINRA-member broker-dealer overseeing $1.2B in assets)
Simple 3-Step Process
Discovery and Mapping
We audit your current follow-up processes, from client onboarding to ongoing reviews, identifying bottlenecks specific to your advisory workflow. This ensures our solution aligns perfectly with your compliance needs and tools.
Custom Design and Build
Our engineers craft a tailored AI system, integrating with your CRM and financial platforms. We incorporate rules for regulatory adherence, like auto-flagging high-risk interactions, delivering a prototype within weeks.
Deployment and Optimization
We roll out the automation with full training, then monitor performance for the first month, refining based on real usage. Expect immediate time savings and ongoing tweaks to maximize your ROI.
Why We're Different
What's Included
Common Questions
How does this automation ensure compliance with FINRA and SEC rules?
Our systems are designed with built-in compliance layers, including automated logging of every interaction with timestamps, client consents, and risk flagging. We map your workflows to regulations like Rule 204-2 for records retention, ensuring all follow-ups generate auditable trails. For instance, if a client discussion touches on investment advice, it's auto-categorized and stored securely. We've helped firms pass audits without issues, reducing manual review time by 60%. Unlike generic tools, our custom builds incorporate your specific fiduciary protocols from the start.
What integrations are supported for my existing financial software?
We integrate deeply with platforms like Salesforce, Wealthbox, Morningstar, and QuickBooks, creating two-way data flows for real-time updates. For example, a follow-up on portfolio performance pulls live data from your advisory tools without manual entry. Our engineers handle API connections securely, ensuring no data breaches. If you use niche software for compliance tracking, we'll custom-build the bridge. This unified approach eliminates the 20-30% error rate from disjointed systems, as per industry reports from PwC.
How long does it take to see ROI from this follow-up automation?
Most advisory firms realize full ROI within 3-6 months, with initial time savings kicking in during the first week of deployment. Expect to recover implementation costs through 13+ hours saved per advisor weekly—translating to $10,000+ in billable time monthly for a small team. We track metrics like reduced admin costs and increased client retention, often hitting 10x returns as AUM grows. One client saw payback in 45 days after automating quarterly reviews, boosting productivity without added staff.
Is the system secure for handling sensitive client financial data?
Absolutely—security is non-negotiable in financial services. We use enterprise-grade encryption (AES-256), role-based access, and SOC 2 Type II compliance from the ground up. Data stays within your owned system, not rented clouds, minimizing breach risks. Features like anomaly detection flag unusual access, and all automations adhere to GDPR/CCPA for client privacy. We've audited systems for firms handling millions in AUM, ensuring zero vulnerabilities during penetration tests.
Can this be customized for my specific advisory niche, like retirement planning?
Yes, every solution is bespoke to your workflow. For retirement advisors, we might automate IRA rollover follow-ups tied to tax deadlines, integrating with tools like eMoney. We start with a deep dive into your processes, then build features like predictive alerts for RMDs. This isn't templated—it's engineered for your client segments, reducing generic tool limitations. Firms report 40% efficiency gains in niche tasks, with full ownership allowing future tweaks as your practice evolves.
What if my team resists adopting the new automation?
Change management is key, so we include hands-on training sessions tailored to financial advisors, focusing on how it simplifies daily tasks like client check-ins. We provide intuitive dashboards that mimic familiar interfaces, easing the transition. Post-launch, our team offers weekly check-ins for the first month to address concerns. Most teams adapt quickly, with one firm noting 90% adoption in two weeks, leading to enthusiasm as time savings become evident in their schedules.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.