Zero missed compliance updates since launch. Mock exam auditor specifically noted documentation quality.
Engagement map
From operating problem to measured outcome
7 weeks delivery · 3 tools in the implementation stack
Challenge
An independent RIA managing 140 households was maintaining suitability documentation, investment policy statements, and communication logs manually, in Word documents, email threads, and a SharePoint folder with ~800 files and inconsistent naming.
What we built
We built an agent system that monitors for six triggering events: allocation drift past threshold, life events logged in the CRM, annual review calendar events, regulatory update notifications, client communication containing financial decision language, and portfolio changes above a set dollar amount.
Result
Zero compliance-required documents missed in the 8 months since launch.
Recorded outcomes
Delivery timeline: 7 weeks. Metrics are shown in the same context as the published engagement.
An independent RIA managing 140 households was maintaining suitability documentation, investment policy statements, and communication logs manually, in Word documents, email threads, and a SharePoint folder with ~800 files and inconsistent naming. A real compliance exam would have required days of manual document assembly. The firm had already failed to update IPS documents for 22 clients after a market-triggered review.
We built an agent system that monitors for six triggering events: allocation drift past threshold, life events logged in the CRM, annual review calendar events, regulatory update notifications, client communication containing financial decision language, and portfolio changes above a set dollar amount. When triggered, the compliance agent drafts the required documentation, marks it 'draft, requires advisor review,' and queues it for approval. All versions are stored with timestamps, review signatures, and the triggering event.
Zero compliance-required documents missed in the 8 months since launch. The firm's mock compliance examination received specific positive feedback on documentation completeness and audit trail structure. The 22 overdue IPS updates that kicked off the project were completed in the first two weeks.
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