Wealth management

Every advisor gets AI. The client book stays home.

Advisors work in the AI tools they already use. Proxara holds every client name, account number, and balance inside the firm, and builds the record an examiner will ask for.

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57%of investment advisers name AI their top compliance concern.Source
35%of RIAs already using AI have a written policy that governs it.Source
Reg S-Psafeguards now apply to every adviser, since June 2026.Source
In the console

The client portfolio stays inside the firm.

When an advisor pastes a client export into ChatGPT, Proxara tokenizes every name, account number, and balance on the device. The model works on structure, and a tamper-evident record builds for the examiner.

On the desk

The work the desk already runs through AI.

Four tasks an RIA, asset manager, or broker-dealer puts through AI every week, each held quietly to the firm’s own boundary.

Advisor desk

Quarterly reviews

Portfolio reviews drafted in Claude or ChatGPT, with client names, account numbers, and balances held inside the firm boundary.

Client identifiers held inside the firm
Communications

Client letters

Outbound letters and meeting follow-ups composed in AI, with promissory language flagged against firm policy before send.

FINRA 2210 checks applied
Asset management

Investor letters

Quarterly investor letters drafted in AI, with fund-level positions and named LP context kept inside the firm.

Fund data and LP identity protected
Operations

Onboarding workpapers

KYC workpapers summarised in AI, without raw SSNs, addresses, or government IDs entering a prompt.

Reg S-P safeguards held
On the record

Mapped to the rules a wealth firm answers to.

Each citation lands on the audit chain alongside the interaction that produced it, ready to reconcile.

  • SEC · Reg S-PCustomer information held inside the firm before any prompt leaves. The safeguards apply to every adviser as of June 2026.
  • FINRA · 3110A supervisory record for every AI-assisted recommendation, attributed to a named human reviewer.
  • FINRA · 2210AI-drafted client communications checked against firm vocabulary policy, with promissory language flagged before send.
  • SEC · Rule 17a-4A tamper-evident audit trail, Ed25519-signed and anchored to Sigstore Rekor, for the non-rewriteable recordkeeping standard.
  • Form ADV · Item 5A plain-language description of how AI is used, with the audit chain on hand to reconcile the disclosure to practice.
  • EU · AI Act Art 26High-risk system logs retained automatically for the deployer obligations, where the firm operates in scope.
Examination ready

Built to hold up under examination.

Protected by default, proven on demand. The same record an SEC examiner asks for and a FINRA reviewer expects builds on its own while the desk works.

An advisor working at a desk
The desk, unchanged

Adoption that holds up under examination.

The audit chain Proxara generates is the package an SEC examiner asks for, a FINRA reviewer expects, and client due-diligence questionnaires are starting to request. The diligence documentation ships with the deployment, so it lands ahead of the next exam cycle and the next allocator review.

  • Single-tenant deployment in the firm’s own AWS account
  • Slack and Teams escalation for supervisors
  • One-click Evidence Pack for exams and client questionnaires

Ready before the diligence conversation.

Compliance-Grade Audit

How the signed audit chain is built and presented.

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For regulated firms

The leadership overview across regulated work.

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Private AI Trust Center

Subprocessors, posture, and the documents that govern the deployment.

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The confidence you need to put AI to work without risk.

Tell us how your firm uses AI today, and our team will reply in a few hours.

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