AI Compliance Solutions
Tailored for RIAs
Humanless empowers RIAs to navigate complex regulations with specialized AI tools that reduce risk, save time, and let you focus on what matters most.
High-Impact AI for Critical Compliance Needs
We tackle your most pressing compliance challenges with targeted AI automation, designed for rapid deployment and demonstrable ROI.
Automated Compliance Recordkeeping & Retrieval
Meet Rule 204-2 requirements and streamline audits with AI-powered systems for organizing, storing, and rapidly retrieving mandatory records.
Key Features:
- Organize communications, trades, agreements
- Rapid search and retrieval functionality
- Meet Rule 204-2 recordkeeping requirements
- Streamline audit preparation
Core Benefits:
- Enhance audit readiness significantly
- Reduce time spent searching for records
- Mitigate risk of recordkeeping violations
- Improve operational efficiency
AI-Powered Code of Ethics Monitoring
Automate the monitoring of employee personal trading against firm policies and regulatory requirements (Rule 204A-1).
Key Features:
- Personal trading surveillance
- Rule 204A-1 compliance checks
- Automated pre-clearance workflows
- Violation detection and alerts
Core Benefits:
- Reduce manual review burden
- Improve accuracy of compliance checks
- Ensure timely identification of conflicts
- Strengthen internal controls
Automated Client Onboarding Checks
Streamline the client onboarding process using AI for document verification, data extraction, and initial compliance checks.
Key Features:
- Automated document verification (e.g., ID)
- Data extraction for account opening
- Auto-generation/pre-filling of agreements
- Ensure completion of initial checks (ADV delivery)
Core Benefits:
- Faster client onboarding
- Reduce manual data entry errors
- Ensure consistent compliance at onboarding
- Improve client experience
AI-Assisted Marketing & Advertising Review
Utilize AI tools to scan marketing materials for compliance with SEC rules (including the Marketing Rule) before publication.
Key Features:
- Review websites, emails, social media
- Check for compliance with SEC Marketing Rule
- Identify prohibited claims or disclosures
- Pre-publication compliance scanning
Core Benefits:
- Mitigate risk of advertising violations
- Ensure consistent messaging compliance
- Reduce review time for marketing materials
- Protect firm reputation
Automated Regulatory Filing Prep (Form ADV)
Leverage AI to assist in gathering data, identifying required updates, and streamlining the preparation process for Form ADV amendments.
Key Features:
- Assist data gathering for Form ADV
- Identify required updates and changes
- Streamline annual/other amendment prep
- Reduce manual effort in filing prep
Core Benefits:
- Save significant time on ADV preparation
- Reduce risk of filing errors
- Improve efficiency of regulatory reporting
- Free up compliance staff for review
Your Tangible ROI with Humanless AI
Partnering with us translates directly to measurable benefits, enhancing efficiency and fortifying your compliance posture.
Hours Saved Weekly
Time Recaptured
Slash time on manual compliance tasks
Significantly Reduced
Risk Mitigation
Proactively identify & address issues
Boosted Productivity
Efficiency Gain
Streamline workflows, automate processes
Client Growth Enabled
Advisor Focus
More capacity for high-value activities
Ready to Enhance Compliance and Reclaim Your Time?
Discover how Humanless AI can specifically address your firm's compliance burdens. Schedule a personalized consultation today.