Asset managers, RIAs, family offices, hedge funds
AI for Investing
Research, client reporting and compliance review for asset managers, RIAs, family offices and hedge funds.
Investment firms produce writing at every step: research notes, RFP answers, client letters, meeting notes. Each one is reviewed, kept and sometimes examined. AI drafts well and reviews consistently, and the engagement is designed around the fact that compliance owns the last word.
Where the hours go
Work that AI can carry.
- 01 Research summarization across filings and transcripts
A 10-K, an earnings call and the last three notes on a name condensed into what changed.
- 02 RFP and DDQ responses
Answers drafted from the firm's approved response library and flagged where the library is silent.
- 03 Client reporting
Quarterly letters and performance commentary drafted from the firm's numbers for the portfolio manager to edit.
- 04 Compliance pre-review of outbound communications
Emails and decks checked against the marketing rule before they reach compliance.
- 05 Meeting notes into CRM
Call notes structured into the fields the CRM expects, with follow-ups listed.
What has to hold
The rules an engagement respects.
- SEC marketing rule
Performance claims, testimonials and hypotheticals have specific requirements, and a draft has to meet them before a person sees it.
- Books-and-records obligations
Communications and the work behind them are kept, and AI-assisted drafts are part of that.
- MNPI and personal trading policies
A research tool that reads expert network transcripts or private materials has to respect the firm's information barriers.
- Fiduciary duty
A client recommendation is the adviser's, and AI output is an input to it, never the recommendation itself.
How an engagement runs here
The four steps, as they run in investing.
- 01 Assess
The assessment reviews the research stack, the response library and the communications flow, and lists which vendors already hold client data.
AI Readiness Assessment - 02 Plan
The roadmap starts with the RFP library or the research summary, where the measure is hours and the compliance exposure is contained.
Strategy and Roadmap - 03 Build
The build keeps a record of every draft and the source it drew on, so the compliance file is complete without extra work.
Implementation - 04 Train
Training runs for analysts, client service and compliance together, so the review step is agreed before the first draft ships.
Training and Change Management
Start with the assessment.
An inventory of your systems, data and rules, interviews with your department leads, and a report that says what to do first in investing.