AI for the firms that allocate and execute capital.
Asset managers, wealth managers, broker-dealers, capital-markets infrastructure. AI is already moving through research, CIO-assistant workflows, trade surveillance, client communications, and post-trade operations under the eyes of SEC, FINRA, and global capital-markets supervisors.
Built for capital-markets-grade auditability: traceable workflows, regulator-defensible evidence, and AI outputs tied back to the policy perimeter.
AI for asset and wealth management has to stand up inside research, advisor, trade-surveillance, client-communication, and post-trade workflows. The AI Audit gives the operating read: where AI is running, where it creates value, where it creates risk, and what the next workflow should be.
Four sub-segments. One regulatory perimeter.
| Sub-segment | Buyer profile |
|---|---|
| Asset managers | COO / Head of Technology; research and operations AI. |
| Wealth managers | COO / Head of Advisor Tech; client-comms and advisor-copilot AI. |
| Broker-dealers | CTO / CCO; trade surveillance, communications surveillance, client intake. |
| Capital-markets infrastructure | CTO / Head of Engineering; post-trade, market data, cross-venue analytics. |
Where AI is moving the needle.
- Research. investment-research synthesis, document ingestion, summarization with source attribution.
- CIO assistant / advisor copilot. portfolio analysis, scenario generation, allocation drafting (with strict policy boundaries).
- Trade surveillance. pattern detection, exception triage, regulatory query response.
- Communications surveillance. pattern detection across email, chat, and call transcripts.
- Client communications. drafting, personalization, suitability checks.
- Post-trade operations. exception handling, reconciliation, settlement-fail diagnostics.
SEC + FINRA. MiFID II for global. SR 11-7 where relevant.
EU AI Act for global subsidiaries. Trade surveillance and communications surveillance both live under regulator-accessible audit trails; the evidence pipeline is built for this exact shape.
Start with Audit. Sequence the workstreams.
One order, applied across the engagement. The AI Audit produces the operating read, then AI Transformation, AI Governance, and AI Fluency sequence per the customer's priority.
- AI AuditSee use, value, and risk.
- AI TransformationShip value workflows.
- AI GovernanceProduce audit evidence.
- AI FluencyRaise role-level capability.
Start with an AI Audit baseline.
Discovery call. Calendar link within 60 seconds.
Frequently asked.
Yes. Hedge funds sit under asset managers; the buyer profile and workflow shape are essentially the same.
The evidence pipeline produces the suitability + disclosure artifacts. We don't substitute for your compliance team; we feed them.
The evidence trail maps to whichever regulator is in scope: FCA, BaFin, MAS, ASIC, or another supervisor configured at engagement kickoff.