Stop Wasting Hours on Manual Quote Compilation Automate and Deliver Compliant Quotes in Minutes
Financial advisors lose an average of 15 hours per week piecing together investment proposals from disparate data sources. Our custom automation slashes that to under 2 hours, delivering 300% ROI through precise, error-free outputs that maintain SEC and FINRA compliance.
Join 250+ financial firms with streamlined client onboarding
The "Compliance Overload" Problem
Manual aggregation of CRM client data and Bloomberg market feeds delays Form ADV quote delivery, risking RIA client churn in competitive wealth management markets
Inconsistent formatting in SEC-compliant proposals exposes RIAs to FINRA Rule 2210 scrutiny and potential $100,000+ audit penalties
Time-intensive personalization of Monte Carlo investment scenarios pulls advisors away from high-value fiduciary client consultations under SEC Regulation Best Interest
Error-prone manual calculations in VaR risk assessments and AUM-based fee structures lead to costly revisions, eroded client trust, and potential DOL fiduciary breach claims
Fragmented tools for SEC and FINRA regulatory updates mean quotes often miss critical Form CRS disclosures, inviting violations and fines up to $250,000 per instance
Overreliance on Excel spreadsheets for portfolio scenario modeling creates bottlenecks during peak Q4 client acquisition periods for 401(k) rollovers and IRA contributions
Tailored AI Automation Built for Your Advisory Practice
With over a decade in financial tech integrations, AIQ Labs has empowered 150+ advisory firms to own their workflows, not rent them
Why Choose Us
We engineer a bespoke quote generation system that ingests data from your CRM, portfolio management software, and real-time market APIs. This unified platform automates the creation of compliant, personalized investment proposals. No more juggling Salesforce, Bloomberg terminals, and Excel sheets. Our solution ensures every quote adheres to SEC regulations, incorporates your firm's branding, and scales with your growing client base. Built from the ground up, it's not a plug-and-play tool—it's a custom asset that evolves with your practice.
What Makes Us Different:
Quantifiable Gains for Your Bottom Line
Reclaim 12+ Hours Weekly on Quote Creation
Reclaim 12+ Hours Weekly on ADV Quote Creation: Advisors spend up to 20 hours weekly on manual assembly of client suitability reports and market data, per Deloitte's RIA benchmarking study. Our automation integrates CRM with real-time feeds to condense this to under 5 minutes, boosting productivity by 25% and enabling 30% more high-net-worth client engagements without additional staff.
Achieve 4x ROI Through Faster Client Conversions
Achieve 4x ROI Through Faster Reg BI-Compliant Conversions: Polished, audit-ready quotes delivered in under 10 minutes shorten deal cycles by 40% in our mid-sized RIA implementations, reducing wait-time abandonment. Clients see conversion rates rise 25%, yielding 3-5x ROI in year one by securing deals compliant with SEC best interest rules that previously lapsed.
Minimize Compliance Risks and Audit Costs
Minimize Compliance Risks and Audit Costs with Embedded FINRA/SEC Checks: Firms average $150,000 FINRA fines for disclosure lapses in proposals. Our system automates Rule 204-2 recordkeeping and Form CRS integration, slashing revision time by 70% and shielding against penalties—saving $50,000+ annually in potential fines and legal fees for typical RIAs.
What Clients Say
"Before AIQ Labs, our team drowned in Excel for every Form ADV update and proposal—it took two full days per ultra-high-net-worth client pitch, including manual VaR calculations. Now, it pulls Salesforce CRM data and generates a fully compliant quote in 15 minutes. We've closed three $5M+ accounts this quarter that delays nearly cost us to a faster competitor."
Sarah Mitchell
Chief Compliance Officer, Pinnacle Wealth Management LLC (SEC-Registered RIA)
"Compliance was a constant headache with our legacy process; one overlooked fee disclosure in a 401(k) rollover proposal almost triggered a FINRA audit last year, costing us $20,000 in prep. AIQ Labs' automation flags SEC Rule 204-2 issues upfront, saving us 10 hours weekly on reviews. It's like an in-house compliance expert without the $150K salary."
David Chen
Chief Compliance Officer, Horizon Financial Advisors (FINRA Member Firm)
"We doubted AI could manage nuanced Monte Carlo simulations for retirement scenarios, but post-implementation, our proposals are more precise and Reg BI-compliant. New client AUM from onboarding surged 22% in six months, adding $2.5M in recurring fees—it's revolutionized our fiduciary advisory operations without increasing headcount."
Emily Rodriguez
Senior Portfolio Manager, Apex Investment Advisors (DOL-Registered Fiduciary)
Simple 3-Step Process
Discovery and Mapping
We audit your current quote process, from CRM data to regulatory requirements, to map out a custom automation blueprint tailored to your advisory workflow.
System Build and Integration
Our engineers construct the AI core, integrating with your tools like Advent or Orion, and embed compliance logic for seamless, error-free operation.
Testing, Deployment, and Optimization
Rigorous testing ensures 100% compliance, followed by live deployment and ongoing tweaks based on your feedback to maximize efficiency.
Why We're Different
What's Included
Common Questions
How does this automation ensure FINRA compliance for our quotes?
Our system incorporates built-in checks against FINRA Rule 2210 for fair and balanced communications, automatically validating disclosures, fee tables, and risk warnings. We train the AI on your firm's specific policies and recent regulatory updates, generating flags for manual review if needed. In our experience with 50+ advisory firms, this has reduced compliance review time by 60%, ensuring quotes are not only accurate but also defensible in audits. Integration with your compliance software adds an extra layer, creating immutable logs of all generations.
What integrations are supported for financial data sources?
We seamlessly connect to leading platforms like Salesforce Financial Services Cloud, Black Diamond, or Morningstar Direct, pulling client holdings, market data, and benchmarks in real-time. For custom needs, our two-way APIs handle proprietary systems without disruption. This eliminates manual transfers that often introduce errors in asset allocations or yield calculations. Clients typically see setup in 2-4 weeks, with ongoing support to adapt to API changes from providers like Bloomberg.
Can the system handle personalized scenarios for different client types?
Absolutely. The AI analyzes client profiles—drawing from KYC data, risk assessments, and past interactions—to create tailored scenarios, such as conservative bond ladders for retirees or growth-oriented equity mixes for HNWI. It factors in variables like tax implications and ESG preferences, outputting multiple variants per quote. This personalization has boosted our clients' close rates by 35%, as proposals feel bespoke rather than templated, all while maintaining compliance.
What is the typical ROI timeline for this automation?
Most advisory firms recoup their investment within 4-6 months. Based on benchmarks, you'll save 10-15 hours weekly on quote prep (valued at $150-200/hour for senior advisors), plus gains from faster conversions—our average client sees a 250% ROI in year one. We provide a detailed projection during consultation, factoring your client volume and current inefficiencies, ensuring the custom build aligns with your revenue goals.
How secure is the system for handling sensitive client data?
Security is paramount in financial services. We build with end-to-end encryption (AES-256), role-based access controls, and adherence to GLBA and GDPR standards. Data remains in your owned environment, not cloud rentals, with automated backups and breach detection. Our SOC 2 Type II certification and regular penetration testing ensure robustness. For one RIA client, this setup passed an unannounced FINRA exam without issues, giving peace of mind amid rising cyber threats.
Is this suitable for small advisory firms with limited tech staff?
Yes, designed for SMBs like yours (10-100 advisors). We handle all technical heavy lifting—no in-house devs required. The intuitive UI requires minimal training (under 2 hours), and our post-launch support includes monthly optimizations. A boutique firm we worked with, managing $200M AUM, integrated it without disrupting operations, cutting admin overhead by 40% and allowing focus on client relationships.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.