Can a registered investment adviser actually use AI under compliance?

Yes, with the right controls. The model we use for regulated advisers is conservative: tightly scoped tool permissions, a GREEN, YELLOW, RED data classification keyed to authorization, and AI features disabled or restricted where compliance risk outweighs convenience. The goal is AI that survives examination, not AI that creates a finding.

How do we use AI without sending client financial data to a public tool?

Private AI. We deploy a model that runs inside your own environment, with a router that sends only non-sensitive requests to frontier models and keeps everything sensitive on local inference. Non-public client data never leaves your control. We have stood up exactly this for a financial services firm on dedicated hardware.

Do you handle the infrastructure too, or only the policy?

Both. For an SEC-registered adviser we led the SOC 2 program, rebuilt the Azure Files and network architecture, and designed the AI governance and on-premises AI proof of concept. The governance and the infrastructure are built together, so the policy matches what the firm can actually do.

AI for financial firms that answer to an examiner.

For an SEC-registered investment adviser, the bar is conservative AI governance that survives examination, backed by infrastructure that keeps non-public client data inside your control. We build both, as an independent advisor with no stake in what you buy.

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Fixed-fee discovery, then a pilot, then optional retainer. Scope and price defined upfront.

You will recognize this

Financial firms are adopting AI quickly, and the validation and oversight are lagging behind. If any of these are true, it is worth a conversation before an examiner or a client forces one.

An examiner, auditor, or client has asked how you govern AI and you do not have a confident answer

Your team wants to use AI but you cannot put non-public client data into a public tool

You are carrying manual, script-driven operations that should be modern applications

Your Azure, network, or backup architecture has never been reviewed against your regulatory obligations

What we do for financial firms

Private AI deployment

A model running inside your environment so non-public client data never touches a public API, with frontier capability where it is safe.

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Examination-ready AI governance

Conservative governance with a GREEN, YELLOW, RED classification and tightly scoped permissions, designed to survive examination.

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SOC 2 and infrastructure

SOC 2 programs led end to end, plus Azure and network architecture rebuilt to match your regulatory requirements.

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Representative engagement

An SEC-registered investment adviser, roughly 35 staff

We led the SOC 2 program end to end, rebuilt the Azure Files and network architecture, and resolved a months-long fleet-wide reliability issue by isolating the true root cause. We designed the firm's AI governance and an on-premises AI proof of concept on dedicated GPU hardware, and began replacing manual operational workflows with custom applications.

The governance patterns established here, tightly scoped permissions and the GREEN, YELLOW, RED classification, now carry across other regulated clients.

Adopting AI under a compliance obligation?

A 30-minute call is enough to tell you where your AI governance and infrastructure stand against what an examiner expects, and what closing the gap would take.

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No commitment. We tell you honestly whether we can help and what that would look like.

AI Readiness Checklist

The questions every regulated firm should answer before adopting AI

Free Guide

Free Executive Resource

The Regulated Firm's AI Readiness Checklist

Six questions that decide whether your firm can adopt AI without putting client data, a renewal, or an examination at risk. Walk them before your next audit, not after.

Where client data is leaving your environment through public AI tools
Whether your AI controls would survive a SOC 2 audit or an examination
Where a human, not the model, needs to ratify the output

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Common questions

Use AI without putting your registration at risk.

Start with a 30-minute call. We will tell you honestly what is safe to adopt and what has to be in place first.

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No resale, no vendor commissions. Independent by design.