Navigate RIA Compliance with Confidence using AI-Powered Automation
Humanless empowers RIAs to tackle complex regulations efficiently. Our specialized AI solutions reduce risk, save valuable time, and free you to focus on your clients.
AI-Driven Solutions for Your Critical Compliance Needs
We tackle your most pressing compliance challenges with targeted AI automation, designed for rapid deployment and demonstrable ROI, focusing initially on these high-impact areas.
Automated Recordkeeping & Retrieval
AI systems to organize, store, and rapidly retrieve mandatory records (communications, trades, etc.) meeting Rule 204-2 and streamlining audits.
Code of Ethics Monitoring
Automate employee personal trading surveillance against firm policies and Rule 204A-1, managing pre-clearance and reporting.
Automated Client Onboarding Checks
Streamline onboarding with AI for document verification, data extraction, agreement generation, and initial compliance checks (e.g., ADV delivery).
AI-Assisted Marketing Review
Utilize AI to scan marketing materials (websites, emails, social) for compliance with SEC Marketing Rule before publication.
Regulatory Filing Assistance (Form ADV)
Leverage AI to assist in gathering data, identifying updates, and streamlining the preparation for Form ADV amendments.
RIA Compliance Automation: Frequently Asked Questions
Answers to common questions about Humanless AI's compliance solutions for Registered Investment Advisors.
Ready to Transform Your Compliance Operations?
Join forward-thinking RIAs who are already reducing compliance risk and saving valuable time with our AI-powered solutions.