01Prep
Meeting prep means digging
Notes live in the CRM, the last email is in someone's inbox, and the statement is in a custodian portal. Prep eats the hour before the meeting.
PREPARED FOR ·
01 / PRIVATE AIFINANCIAL ADVISORS & ACCOUNTING · PRIVATE AI · CHARLOTTE, NC
What private AI could do for your firm.
Walk into every review prepared. Know which client documents are still missing. Search your communications archive in seconds. It all runs in your own servers or your own AWS account, so client records stay with you.
REPORTSAMPLE DATA
Review prep: Delgado household
Sources stream into a private index. Answers cite what they came from.Illustrative animation · sample data
02 / WHAT SLOWS YOU DOWN6 COMMON PAINS
What slows you down.
The work is rarely the problem. The hunting, retyping, and chasing around it is.
02Documents
Chasing documents never ends
Tax forms, beneficiary forms, and statements arrive by email, text, and phone photo. Nobody has one list of who still owes what.
03SEC
Advice-related communications must be kept
Where SEC rules apply to your firm, written communications relating to recommendations and advice must be kept for at least five years, and the first two years in an appropriate office of the adviser.
5 yrsminimum retention for written communications relating to recommendations or advice under SEC Rule 204-2 (17 CFR 275.204-2).
Source · Cornell LII, 17 CFR 275.204-2, 2026
04FINRA
Broker-dealer records have their own clock
Where FINRA rules apply to you, records with no specified period must be kept at least six years, in a format that complies with SEA Rule 17a-4.
6 yrsdefault retention for FINRA books and records with no specified period, under FINRA Rule 4511.
Source · FINRA Rule 4511, 2026
05Safeguards
Client data rules apply to small firms too
The FTC's Safeguards Rule covers financial institutions under its jurisdiction, with tax preparation firms among its examples. It calls for a qualified individual, a written risk assessment, encryption, multi-factor authentication, and oversight of service providers.
Source · FTC, Safeguards Rule: what your business needs to know, 2025
06Scatter
Client records are in too many places
CRM, planning software, custodian portals, email, and a shared drive. A simple question takes four logins.
03 / IN YOUR OFFICE4 USE CASES · SELECT ONE
What it looks like in your office.
A day in the life. Pick a use case and watch the question or report come together, with citations back to the source.
USE CASE 1 / 4
A meeting-prep pack from CRM, email, and statements
Before a review, the assistant gathers the last notes, open items, and recent statements into one page for the advisor.
Connected sources
- CRM
- Custodian statements
- Meeting notes
- Calendar
Question
Prep me for Thursday's review with the Delgado household.
A summary for the advisor to review. It prepares the meeting. It does not give advice.
PREP PACKSAMPLE DATA
Review prep: Delgado household
- Last review (March): they planned to move a CD maturing Dec 3. No transfer request is on file yet.[1]
- Open item: an updated beneficiary form was requested Aug 14 and has not come back.[2]
- September statement: the cash balance is above the level in the March planning notes.[3]
- Personal: their daughter's college start date came up in the last two notes.[4]
[1]CRM: Delgado, meeting notes 3/12
[2]Email: Beneficiary form request, Aug 14
[3]Custodian statement: Sept 2026 (OCR)
[4]Notes: Delgado household, Sept call
USE CASE 2 / 4
Document collection tracker
One live list of what each client owes, what has arrived, and what needs a reminder. Photos and scans are read and filed as they come in.
Connected sources
- Texts
- Phone photos (OCR)
- CRM
- Tax portal exports
Runs
Updated each morning. Reminder drafts wait for your approval.
Showing 4 of 12 rows. Reminders are drafts. A person sends them.
TRACKERSAMPLE DATA
Document collection: 12 clients
- Complete
- 7
- Partial
- 3
- Not started
- 2
| Client | Needed | Status |
|---|---|---|
| Delgado [1] | Beneficiary form | Requested Aug 14 |
| Park, M. [2] | W-2, 1099-INT | Received as phone photos. Filed. |
| Hsu household [3] | 1099-B, K-1 | 1 of 2 received |
| Brooks [3] | Estate documents | Not started. Draft reminder ready. |
[1]Email: Aug 14 request, Sept 2 follow-up
[2]Text thread: photos received Oct 11 (OCR)
[3]Client folder checklist
USE CASE 3 / 4
Communications archive search, with retention context
Find a client conversation across email and texts, then see how long that kind of record is expected to be kept.
Connected sources
- Email archive
- Texts
- Call notes
- CRM
Question
Find every email and text with the Hsu household in the last two years that mentions moving money out of the annuity.
Search and context only. Your compliance lead decides what the rules require.
SEARCHSAMPLE DATA
Hsu household: 4 communications
- Email, Feb 6: the client asks what it would cost to move part of the annuity.[1]
- Text, Feb 7: the client says they are “still thinking about it.”[2]
- Call note, Mar 2: a follow-up call. The client decides to wait until the renewal date.[3]
- Retention note: if SEC Rule 204-2 applies to your firm, written communications relating to advice are kept at least five years. Your compliance lead decides what is in scope.
[1]Email archive: Hsu, Feb 6
[2]Text archive: Hsu, Feb 7
[3]CRM: call note, Mar 2
USE CASE 4 / 4
A weekly report on the practice
Calls, notes, and open items from the week roll up into one page for the principal.
Connected sources
- Calendar
- CRM
- Call notes
Runs
Every Friday at 3:00 PM.
Sample numbers. Your report reads your own systems.
REPORTSAMPLE DATA
Practice report: week of Oct 12
- Reviews held
- 6
- Follow-ups open
- 11
- Documents outstanding
- 7
- Follow-ups: three are over two weeks old. All three are beneficiary or transfer forms.[1]
- Next week: five reviews are scheduled. Prep packs are ready for four.[2]
- Client tone: two call notes mention fee questions. Worth a note in the next reviews.[3]
[1]CRM: open tasks
[2]Calendar: Oct 19 to 23
[3]Call notes: week of Oct 12
04 / INPUTS WE HANDLEEVERY KIND OF INPUT
Every kind of input.
Not just documents. Scans and photos are read with OCR. Phone calls are transcribed. Texts are included when you choose.
01EmailAdvisor and team inboxes.
02PDFsCustodian statements and planning documents.
03Scans & photos (OCR)Tax forms and signed paperwork.
04SpreadsheetsPlanning models and fee schedules.
05CRMHouseholds, notes, and tasks.
06Planning softwareExports from your planning tools.
07Phone calls (transcribed)Client calls as searchable text.
08TextsClient text threads you choose to include.
09CalendarsReviews, deadlines, and tax dates.
10Custodian filesStatements and account data exports.
11Tax software exportsOrganizer answers and return PDFs.
12Meeting notesTyped notes and recorded meetings.
05 / DATA CLEANUPTHE QUICK WIN
The quick win most miss.
Most firms don't know AI can do this. Statement files, tax photos, and scans collect under names like scan_0098. The assistant identifies each one, renames it, and files it under the right household.
| Client | File | Phone |
|---|---|---|
| Delgado, R. | Stmt_Sep_final2.pdf | 7045550150 |
| Delgado Household | Stmt_Sep_final2 (1).pdf | 704-555-0150 |
| Hsu | scan_0098.jpg | (blank) |
| M Park | taxdocs.zip | 9805550133 |
| Brooks, T | Untitled.pdf | N/A |
| Brooks Tamara | Tamara_Beneficiary.pdf | 704.555.0188 |
Messy rows: mixed formats, typos, duplicates, and blanks. Select After, or Replay, to watch it clean up.
06 / YOUR TEAM, AMPLIFIEDA HELP, NOT A REPLACEMENT
Your team, amplified.
It is a help to your whole team, not a replacement. Everyone on your team gets an assistant that knows the context of your work. People still make the calls.
01
Permission inheritance
Answers follow the access your CRM and file shares already enforce. Household files stay with the people assigned to them.
02
Delegated access
An advisor can give an associate or assistant access to a household for a set time, such as covering a vacation.
03
Role views
Advisors, planners, operations staff, and compliance see different slices of the same index.
04
Audit log
A record of who searched which household or communication, to support your supervision and Safeguards duties.
Same question, different view
Show me everything on the Delgado household.
Can see
- Notes and tasks
- Client email and texts
- Custodian statements
- Planning files
Not visible to this role
Nothing is hidden for this role.
Can see
- Document checklist
- Forms and statements
Not visible to this role
- Planning files
- Advisor notes
Can see
- Communications archive
- Audit log
- Retention dates
Not visible to this role
- Planning drafts
AUDIT LOGSAMPLE DATA
| Time | Who | What |
|---|---|---|
| 08:40 | A. Whitfield, advisor | Asked: prep for Delgado review. 4 sources. |
| 10:15 | Ops assistant | Opened: beneficiary form checklist |
| 11:02 | Admin | Added associate access: Delgado, until Nov 1 |
Every question and every opened document is recorded. You can review it or export it.
07 / WHERE IT RUNSYOUR CHOICE
Where it runs.
You choose. Either way, it runs inside an environment you own. Pick one to see the diagram.
Your office · local server or NAS
- 01ConnectorsRead your email, files, and systems with your permissions.
- 02Private indexStored on a server or NAS in your office.
- 03AssistantRuns on the same hardware. Writes cited answers.
- 04ModelA model on your own hardware, or an endpoint you approve under no-retention terms.
- 01Your CRM and custodian downloads stay where they are. The index and assistant live on a server or NAS in your office.
- 02Hardware you own. I help size it.
- 03You handle power and physical access. I can set up backups.
Your cloud · your own AWS account
- 01ConnectorsThe same connectors, running in your AWS account.
- 02Private indexFor example, Postgres with pgvector, or OpenSearch, in your account.
- 03AssistantRuns in your account. Writes cited answers.
- 04Model endpointFor example, AWS Bedrock in your account, under no-training, zero-retention terms.
- 01Your own AWS account. You hold the keys and the logs.
- 02Scales up for busy periods.
- 03You pay AWS directly. No markup from us.
Boundary
OutsideConsultantI design, build, and support the system. Access is scoped, granted by you, and logged. Your data is never stored on my systems. Temporary copies only if your plan allows.
Built to support
Systems are designed to support your duties under the FTC Safeguards Rule, and SEC or FINRA recordkeeping rules where they apply. Your compliance lead and counsel decide what your rules require.
08 / ROADMAPHOW A PROJECT RUNS
How a project comes together.
From first call to a system your team uses every day. Four steps, and you can stop after any of them.
0130 minutes
Intro call
Free 30 minutes on your CRM, custodian reports, document tracking, and archives.
02About 2 weeks
Discovery & Roadmap
We review those systems and how clean the records are. You get a written plan with phases, priorities, and a timeline.
03Per the plan
Implementation
We build what the plan lays out, such as meeting-prep packs and archive search, one phase at a time.
04Optional
Support
Optional ongoing support for new connectors, updates, and help as your firm grows.
You pay your own cloud and model costs directly. We never mark them up or hold your infrastructure.
09 / NEXT STEP20-MINUTE WALKTHROUGH
Want this mapped to your firm?
Book a 20-minute walkthrough. I'll show these pieces on your kind of data, and we'll talk about where the time goes.
I'm a solo consultant with hands-on experience leading enterprise AI search and assistant rollouts. You work with me directly.