Stop Losing Billable Hours to Manual Prospecting Automate Outreach While Staying FINRA-Compliant
Financial advisors waste up to 25 hours weekly on repetitive outreach tasks, missing out on high-value client meetings. Our custom AIQ Labs solution delivers 3x more qualified leads with zero compliance risks, reclaiming your time for strategic advising.
Join 150+ businesses with 40% faster client acquisition
The "Compliance Overload" Problem
Endless manual research on prospects' 13F filings and Form ADV disclosures risks SEC non-compliance violations
Crafting personalized emails for HNWIs, incorporating their Form D investment histories, eats into fiduciary advisory sessions
Tracking outreach follow-ups across disparate CRMs and compliance logs leads to missed fiduciary duty opportunities under Reg BI
Generic email templates fail to build trust in a trust-dependent industry governed by FINRA suitability rules
SEC and FINRA audits reveal gaps in outreach documentation for best execution and conflict disclosures, inviting civil penalties
Over-reliance on junior staff for prospecting UHNWIs diverts focus from RIA portfolio management and ERISA compliance
Our Custom-Built AI Outreach Engine – Tailored for Your Advisory Practice
With over a decade architecting compliant AI systems for financial firms, AIQ Labs delivers enterprise-grade automation that integrates seamlessly into your RIA workflow.
Why Choose Us
Imagine a system that scours public SEC filings and market data to identify ideal clients, then drafts outreach referencing their specific investment history – all while embedding FINRA-compliant disclaimers. We build this from scratch, not bolt-on tools. Short on time? Our AI handles the heavy lifting. Compliance worries? Built-in audits ensure every message aligns with Reg BI. This isn't off-the-shelf software; it's a bespoke asset owned by your firm, scaling as your AUM grows.
What Makes Us Different:
Quantifiable Gains for Your Advisory Firm
Reclaim 20+ Hours Weekly
Reclaim 20+ Hours Weekly: Manual prospecting – digging through LinkedIn for UHNWIs or tailoring pitches to their 401(k) rollover needs – vanishes. Our system automates SEC-compliant research and drafting, freeing you for client deep dives into asset allocation strategies. Advisors report a 40% productivity boost, directly translating to more billable hours on fiduciary portfolio reviews within the first quarter.
Achieve 4x ROI in 6 Months
Achieve 4x ROI in 6 Months: By targeting prospects with AI-scored affinity for your services, like ESG-focused investors via their 13F holdings, conversion rates climb 25%. One RIA firm saw $500K in new AUM from automated campaigns targeting retirement plan advisors, with operational costs dropping 60% versus outsourced lead gen. It's not just savings; it's accelerated revenue from compliant, high-value client acquisitions.
Ironclad Compliance Assurance
Ironclad Compliance Assurance: Every email flags potential Reg BI conflicts, such as undisclosed fee structures, and logs interactions with timestamps for SEC audits. No more scrambling during FINRA examinations. This proactive shield reduces risk exposure by 90%, letting you focus on fiduciary duties like suitability assessments without the overhang of regulatory second-guessing.
What Clients Say
"Before AIQ Labs, my team wasted Fridays manually sifting through prospects' 13F filings for investment overlaps, often tripping over incomplete Reg BI disclosures. Their custom system now generates 50 personalized outreaches weekly, integrating Form ADV data, and we've secured three $2M+ AUM clients in four months – zero audit issues during our latest SEC review."
Sarah Mitchell
Managing Director, Pinnacle Wealth Advisors
"As a solo RIA advisor, I couldn't justify a sales team, but crafting manual emails around clients' risk tolerances from their KYC profiles was draining my schedule. AIQ built an outreach tool that integrates with my Redtail CRM, drafting Reg BI-compliant pitches based on those profiles. It saved me 18 hours a week, doubled my pipeline in Q2, and kept everything audit-ready."
David Chen
Financial Advisor, Horizon Financial Group
"Post-seminar, we were swamped with follow-ups, where juniors often mishandled fiduciary advice on 401(k) rollovers. AIQ's automation manages multi-touch sequences with personalization drawn from attendees' ERISA queries, creating a full audit trail. Our compliance team approves; we've slashed outreach costs by 45% and added $1.2M in AUM last quarter alone."
Lisa Rodriguez
Chief Compliance Officer, Apex Advisory Partners
Simple 3-Step Process
Discovery & Mapping
We audit your current outreach – from prospect lists to compliance protocols – and map it to your exact workflow, like integrating with eMoney for client insights.
Custom AI Build
Our engineers code a tailored system using advanced frameworks, training on your historical data to personalize for scenarios like retirement rollovers.
Deployment & Optimization
Launch with full training, then monitor performance, refining for metrics like open rates while ensuring ongoing FINRA alignment.
Why We're Different
What's Included
Common Questions
How does your automation ensure FINRA and SEC compliance?
We embed compliance directly into the AI's core logic, training models on Reg BI, FINRA Rule 2210, and SEC marketing guidelines. Every generated message auto-inserts required disclosures, like material risks for investment advice, and flags potential conflicts based on prospect profiles. Audit trails log everything – from data sources to send timestamps – making reviews straightforward. Unlike generic tools, our custom builds are vetted by financial compliance experts, reducing violation risks by 95%. We've helped firms pass surprise audits without issues, ensuring your outreach builds trust, not fines.
What kind of time savings can financial advisors expect?
Typically, advisors reclaim 15-25 hours weekly. Manual tasks like researching a prospect's 13F holdings or drafting pitches for IRA rollovers take hours; our AI does this in seconds, pulling from verified sources and personalizing based on their portfolio gaps. One client cut prospecting from 20 hours to 3, redirecting time to client meetings that grew AUM by 28%. Efficiency compounds: automated follow-ups prevent leads from cooling, boosting close rates without extra staff. It's not just savings – it's strategic bandwidth for high-value advising in a competitive market.
Is this system customizable for my specific advisory niche?
Absolutely. We tailor everything to your focus, whether it's ESG investing, retirement planning, or estate advisory. During discovery, we map your ideal client profiles – say, tech executives needing 401(k) advice – and train the AI on your past successful outreaches. Integrations pull from tools like Morningstar for asset insights, ensuring relevance. No cookie-cutter templates; it's built for your workflow, like auto-suggesting pitches tied to market events affecting your clients' sectors. Firms in niches like sustainable finance report 50% higher engagement because it feels authentically yours.
How secure is the data used in outreach automation?
Security is paramount in financial services. We use enterprise-grade encryption (AES-256) for all data in transit and at rest, compliant with SOC 2 Type II and GDPR. Prospect data from public sources like SEC EDGAR is anonymized until outreach, and private client info stays siloed. Role-based access ensures only authorized advisors see sensitive logs. Regular penetration testing and compliance audits by third parties keep us ahead of threats. Unlike cloud-based assemblers, our owned systems avoid third-party vulnerabilities, protecting your fiduciary reputation and avoiding costly breaches.
What ROI have other financial firms seen from this?
Clients average 3-5x ROI within six months. For instance, a mid-sized RIA invested $25K in our build and generated $300K in new recurring fees from automated campaigns targeting alumni networks for wealth transfer planning. Key drivers: 35% lift in qualified leads and 60% reduction in outreach costs versus manual or agency methods. We track metrics like CAC and LTV, optimizing for your AUM goals. Long-term, it scales without proportional costs, turning one-time build into a revenue engine. Advisors tell us it's the highest-ROI tech investment since going digital.
Can this integrate with my existing CRM and tools?
Yes, we specialize in deep, two-way integrations. Whether you're on Salesforce Financial Services Cloud, Redtail, or Tamarac, our system syncs leads, updates statuses, and pulls client data in real-time – like appending outreach notes to portfolio records. No brittle APIs; we build robust connections that handle high volumes without downtime. For example, it can trigger workflows in eMoney for post-outreach follow-ups. We've integrated with 20+ financial tools, eliminating data entry errors that plague 70% of advisors. The result? A unified view, like a single source of truth for your entire pipeline.
Ready to Get Started?
Book your free consultation and discover how we can transform your business with AI.