Normal path
Show the request, required context, configured action, system result, confirmation, and completed state.
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
security controls reviewed during deployment
See Claire on your advisor workflow.
30 minutes. We script it around onboarding, suitability, or client service.
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
security controls reviewed during deployment
No client data used for training
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.
Built around the people doing the work
What Advisory operations, client-service teams, and compliance leaders should verify.
Clients call about meeting changes, document requests, beneficiary or address updates, distribution questions, account status, and urgent life events. Claire can identify the request, collect permitted facts, route to the correct service workflow, send approved follow-up, and prepare context for an adviser or operations specialist.
Claire should not provide investment advice, make suitability determinations, recommend securities, or approve regulated transactions. Firms define which questions can receive approved information, which requests require identity verification, and where licensed or authorized people must act.
Evaluate CRM and portfolio-system access, record ownership, communication retention, consent, supervisory review, and exception handling. Useful measurements include correctly routed requests, complete service packets, reduced status-chasing, and time returned to client-facing staff—not invented investment outcomes.
Exception path
Show missing information, conflicting records, unavailable systems, policy boundaries, failed actions, and the named owner.
Human path
Keep approval, judgment, safety, relationship risk, and unresolved ambiguity with the accountable person.
Client-service workflows also need household and relationship context. A spouse, trustee, beneficiary, power of attorney, or outside professional may be involved without being authorized for every record or action. The firm should define verification and routing for each role, along with what Claire may communicate before a person confirms authority.