Private AI for Wealth Management and Financial Advisory
Empower your advisors with AI-driven research, analysis, and client communications — with client financial data fully secured and in your control.
The challenge
The Challenge
Your advisors are already using AI to draft client communications, prepare meeting briefs, and synthesize market research — because the productivity gains are too significant to ignore. But the data involved is among the most sensitive your firm handles: net worth details, estate plans, tax situations, and investment strategies.
The SEC requires RIAs to implement cybersecurity policies covering all technology tools, including AI. FINRA imposes additional obligations around supervision and safeguarding customer information. When an advisor pastes client data into a consumer AI tool, that data is processed on a third-party server outside the firm's control — potentially violating both frameworks and the fiduciary duty owed directly to each client.
The Metrovolo approach
The Metrovolo Approach
Metrovolo deploys a private AI environment built for financial advisory firms. Your team gets a powerful AI assistant that can analyze portfolio data, draft client communications, summarize market research, and automate reporting — all within a secure, isolated infrastructure where client data never leaves the firm's control. No third-party AI provider processes or stores your clients' information.
This directly addresses the SEC and FINRA compliance concerns. Because all AI processing happens on infrastructure the firm controls, there is no third-party data transmission to explain to examiners. Every AI interaction is fully logged, creating the audit trail that regulators expect. When the SEC examines your firm's technology practices or FINRA reviews your supervision procedures, the compliance narrative is straightforward: client data is processed within the firm's own secure environment, with comprehensive logging and access controls.
In practice, your advisors get the same productivity gains they were getting from consumer AI tools — portfolio analysis and summary generation, client meeting preparation and follow-up drafts, market research synthesis, compliance documentation, and personalized client communications — running in an environment that meets your regulatory obligations and supports your fiduciary duty to clients.
Capabilities
What Your Team Will Use It For
Draft Client Reports
Draft personalized client review letters and quarterly reports
Summarize Research
Summarize market research and investment committee notes
Analyze Portfolios
Analyze portfolio allocations and generate comparison reports
Prepare Meeting Briefs
Prepare meeting briefs by pulling from client records and recent activity
Automate Compliance Docs
Automate compliance documentation and disclosure generation
Search Research Library
Search across your firm's research library for relevant insights
Compliance
Metrovolo environments are designed with SEC and FINRA data handling guidelines in mind. All client data remains encrypted, isolated, and never leaves your firm's private infrastructure. Full audit logging is available for compliance review.
FAQ
Frequently Asked Questions
Can financial advisors use ChatGPT with client data?
Not safely with consumer versions. The SEC and FINRA require RIAs to maintain reasonable safeguards for client information, and consumer AI tools process data on third-party servers outside the firm's control. Private AI deployed on the firm's own infrastructure keeps client data within the firm's security perimeter, where it can be properly supervised and audited.
What do SEC and FINRA say about AI and client data?
The SEC requires RIAs to implement cybersecurity policies covering all technology tools, including AI. FINRA requires supervision of client communications and protection of customer records. Both frameworks require firms to know where client data is processed and to maintain control over it. Private AI on firm-controlled infrastructure satisfies these requirements.
What can financial advisors use private AI for?
Portfolio analysis and summary generation, client meeting preparation, follow-up email drafts, market research synthesis, compliance documentation, and client communication personalization. The same capabilities as consumer AI, running in an environment that meets SEC and FINRA requirements.
How is private AI different from ChatGPT Enterprise for financial advisors?
ChatGPT Enterprise processes data on OpenAI's infrastructure with added access controls. Private AI runs on infrastructure the firm controls — client data never leaves. For RIAs with fiduciary obligations and SEC and FINRA oversight, the distinction between enterprise security features and infrastructure you control is material.
How long does it take to set up private AI for an RIA?
Metrovolo deploys in 7 days or less. The firm gets a private AI environment with a familiar interface for portfolio analysis, client communication drafting, and research — without needing to hire technical staff or manage infrastructure.