Advisors & RIAs
AI automation agency for financial advisors
We build AI automation for financial advisors, RIAs and small wealth management teams who want more time with clients and less time in the CRM. Our work connects Redtail, Wealthbox, Orion, eMoney and your custodian paperwork so meeting prep, notes, onboarding and service requests move with less manual effort, while your compliance process stays in control.
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Quick answer
How can financial advisors use AI automation?
Financial advisors can use AI automation to build review meeting briefs from Orion, eMoney and the CRM, turn meeting transcripts into Redtail or Wealthbox notes, and check custodian paperwork for NIGO errors before submission. AI-drafted client messages wait for human approval, and communications stay in archived channels such as Smarsh to support SEC and FINRA record-keeping.
- Meeting notes become structured CRM entries with tasks, held for advisor approval before saving
- Account forms are checked for missing signatures and fields before going to Schwab, Fidelity or Pershing
- RMD, overdue review and stale KYC reminders create tasks for the service team
- Workflows are designed with the firm's CCO and documented so they can be supervised
01
Where advisory practices lose the most time
In most practices the advisor is the bottleneck, and the operations or client service associate is buried in paperwork. Revenue depends on client meetings and planning work, yet a large share of the week goes to tasks that follow the same steps every time.
The data usually exists already. It is spread across the CRM, the portfolio system, the planning software and the custodian, and someone has to stitch it together by hand before every meeting and after every account change.
- Building review meeting packets from Orion or Black Diamond, eMoney or RightCapital, and CRM notes
- Writing up meeting notes and creating follow-up tasks after every client call
- New account paperwork, ACAT transfers and NIGO (not in good order) rework with Schwab, Fidelity or Pershing
- Required minimum distribution reminders, beneficiary updates and annual KYC refreshes
- Quarterly billing checks and client report delivery
02
Financial advisor workflow automation we build
We start with the workflow that eats the most associate time, which is usually onboarding or meeting prep. Onboarding automation takes a signed client agreement and turns it into a checklist of account forms, prefilled from data you already have, with status tracked in Redtail or Wealthbox workflows.
Meeting prep automation pulls current holdings, performance, cash flow notes and open tasks into a one-page brief the advisor can scan in a few minutes. After the meeting, notes and next steps land back in the CRM in a consistent format.
WHAT WE BUILD
What we automate for financial advisors
Typical automations, each scoped and quoted at a fixed price after a free review.
Review meeting prep brief
Before each scheduled review, pulls holdings and performance from Orion, plan status from eMoney or RightCapital and open tasks from the CRM into a one-page brief for the advisor.
Meeting notes to CRM
An AI agent turns a meeting transcript into a structured Redtail or Wealthbox note with action items and follow-up tasks, held for advisor approval before saving.
New client onboarding tracker
A signed advisory agreement triggers prefilled custodian forms, e-signature requests and a CRM workflow that tracks each account until it is funded.
NIGO and paperwork checks
Checks completed account forms for missing signatures, fields and attachments before submission to Schwab, Fidelity or Pershing, reducing back-and-forth.
Client service request triage
Reads incoming client emails, identifies requests like distributions or address changes, opens the right task and attaches the needed forms.
RMD and annual review reminders
Flags clients approaching required minimum distributions, overdue reviews or stale KYC data and creates tasks for the team.
Practice dashboard
Combines AUM, new household pipeline and service task volume into a Power BI or Looker Studio dashboard updated automatically.
03
AI agents for RIAs and wealth managers
AI agents are useful for advisors when they draft, summarize and route, not when they advise. A notes agent can turn a recorded or transcribed review meeting into a structured CRM note with action items, a summary of goals and any changes to risk tolerance, ready for the advisor to edit and approve.
We also build service request agents that read incoming client emails, recognize common requests like a distribution, an address change or a beneficiary update, and open the right task with the right forms attached. Anything that looks like investment advice is flagged for a person. No agent sends client-facing recommendations on its own.
04
Compliance, record-keeping and data security
Advisors work under SEC or state rules, and broker-dealer affiliated reps also answer to FINRA. Books-and-records requirements, the marketing rule, Regulation S-P privacy obligations and your firm's own supervisory procedures all shape what an automation can do. We are not compliance advisors, so we design with your CCO or compliance team rather than around them.
In practice that means communications stay in archived channels such as Smarsh or Global Relay where you use them, AI-drafted client messages require human approval, data stays in accounts your firm owns, and AI providers are configured so your data is not used for training. We document every workflow so it can be reviewed and supervised.
05
Tools we connect for financial advisors
We work with the CRMs, portfolio management, planning and custodial tools common at independent RIAs and hybrid practices. Where a vendor offers an API, as Redtail, Wealthbox and Orion do, we build on it directly. Custodian integrations usually run through data feeds, forms tools or the CRM's own connectors.
Workflows are built in n8n, Make, Zapier or custom Python, with dashboards in Power BI or Looker Studio when you want AUM, pipeline or service metrics in one place.
06
How a project works and what it costs
It starts with a free review, typically a walkthrough of how a new client or a review meeting moves through your office today. You then receive a fixed-price quote broken into stages. Most advisor projects take 1 to 8 weeks depending on how many systems are involved and how much compliance review each stage needs.
Each stage ships something your team can use right away, such as meeting prep briefs first and onboarding automation second. Your firm owns every account, workflow and line of code, which also makes vendor due diligence simpler.
TOOLS
Tools we connect
FAQ
AI automation for Financial Advisors questions
Can AI write meeting notes for financial advisors?
Yes. An AI agent can turn a meeting transcript into a structured CRM note with goals, decisions and action items. We set it up so the advisor reviews and approves every note before it is saved, which keeps the record accurate and supervised.
Does advisor automation work with Redtail or Wealthbox?
Both CRMs have APIs and built-in workflow features we can build on. We typically use them to create tasks, update contacts, log notes and trigger workflows from events in your other tools.
Is AI automation compliant with SEC and FINRA record-keeping rules?
Automation can be designed to fit those rules, but compliance depends on your firm's policies and supervision. We keep communications in archived channels, require human approval for client-facing messages and document each workflow so your compliance team can review it.
Will AI give investment advice to my clients?
Not in anything we build. Agents draft, summarize and route work. Recommendations and client-facing advice stay with licensed people at your firm.
How much does automation cost for an RIA?
We give a fixed quote after a free review of your workflow. Simple projects like meeting prep briefs can take about a week, while a full onboarding and service setup across several systems typically takes four to eight weeks.
Can you automate custodian paperwork for Schwab or Fidelity?
We can automate a lot around it, such as prefilling forms from CRM data, sending them for e-signature, checking for missing items and tracking status. Submission itself follows each custodian's own process and tools.
GET A FREE PROPOSAL
Tell us what you want automated
Describe the process that eats your team's week. We reply within one business day with a first take on what can be automated, which tools fit and roughly what it would cost.
- Free 30-minute automation review
- Fixed quote before any work starts
- You own every workflow, account and line of code