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?

With controls that make the safe path the default. We classify data GREEN, YELLOW, RED, keyed to authorization, and configure enterprise AI tools with no-training commitments, SSO, and retention and access controls. Sensitive categories are restricted to the approved tools, staff are trained and certified, and the policy is enforced, not aspirational. MNPI never enters a tool you cannot answer for.

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 program. 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

MNPI pasted into a personal AI account is a disclosure you cannot take back.

Financial firms are adopting AI quickly, and the validation and oversight are lagging behind. The sharpest edge is material non-public information. MNPI pasted into a public chatbot is a disclosure you cannot take back, and you cannot show where it went. 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 MNPI and non-public client data cannot touch a personal account or an unapproved 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

AI that survives examination, not AI that creates a finding.

Safe AI configuration

Enterprise-grade Claude configured for a regulated firm: no-training commitments, SSO, retention and access controls, and an approved-tools list your CCO can defend.

See the Claude rollout

Examination-ready AI governance

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

See the governance program

SOC 2 and infrastructure

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

See risk and SOC 2 services

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 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 45-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.

Book a 45-Minute Call

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

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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 personal AI accounts
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 from financial firms

Use AI without putting your registration at risk.

Start with a 45-minute call. We will tell you honestly what is safe to adopt and what has to be in place first.

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