For RIAs, family offices, and private banks

AI for wealth management — built for client onboarding, suitability, and reporting at scale.

Claire handles the operational workflows that consume advisor time: client onboarding, suitability questionnaires, regulatory reporting, ongoing communication. Reg BI + Form CRS compliant. FINRA Rule 3110 supervision controls built in.

  • Client onboarding in hours, not weeks
  • Suitability + risk profiling via conversation
  • Form ADV, Form CRS, Reg BI documentation
  • FINRA Rule 3110 supervision audit trail
  • KYC + AML + sanctions screening integrated
  • Multilingual client service (Mandarin, Spanish, Portuguese, French)
Reg BI compliant FINRA 3110 aligned Form ADV / CRS SOC 2 Type II controls

See Claire on your advisor workflow.

30 minutes. We script it around onboarding, suitability, or client service.

We respond within one business day. No sales pressure.

Why advisor time is your scarcest resource

Operational work crowds out client work — and growth.

6 wks
Avg new client onboarding time

Onboarding drag is the silent reason high-net-worth prospects ghost. Claire is hours.

24%
Advisor time on operational / compliance work

A quarter of advisor capacity goes to admin. Claire claws back most of it.

11.4×
Cost of compliance per advisor in 2025 vs. 2015

Regulatory cost has 11×ed in a decade. Automation is the only way the math works.

How Claire works in wealth management

Suitability-aware. Supervision-trailed. Built for the regulatory bar.

1

Listens + assesses

Identifies client intent. Risk-grades the interaction. Routes high-stakes decisions to the advisor.

2

Orchestrates with controls

Onboards, suitability-tests, screens, generates required disclosures. Within your supervision framework.

3

Documents + escalates

Every interaction logged for FINRA Rule 3110. High-net-worth thresholds, complex products, Reg BI conflicts — escalated.

What Claire handles for wealth managers

Client onboarding

Identity verification, KYC, AML, account opening, custodian wiring. End-to-end orchestrated.

Suitability + risk profiling

Conversational suitability assessment. Risk profile derived from natural dialogue, not a 40-question form.

Regulatory disclosures

Form ADV, Form CRS, Reg BI disclosures — generated, presented, acknowledged. Audit trail captured.

Client service

Account questions, transactions, statements, tax documents — without advisor interruption.

Compliance documentation

FINRA Rule 3110 supervision logs. Reg BI conflicts documentation. ADV update support.

Multilingual advisory

Native Mandarin, Spanish, Portuguese, French, Arabic. Critical for global HNW practices.

Built for SEC, FINRA, and global advisory regimes.

Documentation, supervision, and audit trail engineered for advisor oversight.

Reg BI compliant
FINRA Rule 3110
Form ADV / CRS
KYC / AML integrated
SOC 2 Type II controls
No client data used for training
AI for financial services → AI model risk management → CFPB + fair lending → Full security architecture →

Frequently asked questions

Is this Reg BI compliant?
Yes. Claire surfaces conflicts of interest, documents the customer relationship summary (Form CRS) interaction, and supports the four Reg BI obligations: care, disclosure, conflict of interest, and compliance.
How does FINRA Rule 3110 supervision work?
Every Claire interaction is logged with timestamps, decisions, escalations, and outcomes. Supervising principals review the audit trail. Reps cannot take material actions without recorded supervision.
Does it integrate with our custodian?
Yes. Schwab, Fidelity, Pershing, LPL, Raymond James, Goldman Sachs Advisor Solutions, Apex, Altruist. REST + FIX for custom integrations.
Can it handle ADV Part 3 (Form CRS) interactions?
Yes. Claire presents Form CRS, captures acknowledgment, documents the interaction. The full text is delivered and recorded; the standard-of-conduct framing is preserved.
What about complex products and AI?
Anything that would trigger a heightened suitability review — leveraged ETFs, options, private placements, structured products — is escalated to the advisor by default. Claire handles the documentation; humans make the recommendation.
What does it cost?
Per advisor seat + client volume tier. Pricing depends on custodian integration, regulatory complexity, language coverage. Quote within 24h.

Reclaim advisor time. Onboard faster. Stay audit-ready.

30-minute demo. Real onboarding workflow. Real numbers.

Book a demo AI for financial services (overview)