Your Advisors Are Spending More Time on Prep Work Than on Clients
Most SEC-registered RIAs are already using AI in some form. The problem is that usage is uncoordinated, undocumented, and no one owns the oversight question.
That gap creates regulatory exposure and limits your firm's capacity to grow.
The AI Growth Roadmap Intensive gives your firm a 90/180/365-day AI roadmap, a governance framework your compliance team can stand behind, and two to three pilot projects ready to execute, all built with your team in four to six weeks.
Or start with the AI Readiness Checklist
Built specifically for SEC-registered RIAs managing $300M–$3B AUM
What We Bring to the Engagement
RIA-Only Focus
We work exclusively with SEC-registered investment advisors. Every framework, every governance model, and every pilot design is built around the specific constraints of a regulated wealth management firm.
Regulatory Fluency
We understand SEC examination priorities, vendor due diligence requirements, and the documentation standards that protect your firm during an audit. Governance is not an afterthought in our process.
Compliance at the Table
Every roadmap is built with your compliance team, not around them. The result is a framework your CCO can defend and your advisors can actually use.
Three Problems We See at Every RIA
These are not hypothetical risks. They are the consistent findings from AI readiness assessments across SEC-registered firms managing between $300M and $3B in assets.
Capacity Crisis
Advisors spend the majority of their time on administrative work—reporting, data entry, meeting prep—instead of building relationships and serving clients.
No Clear ROI
Teams are buying AI tools without clear success metrics, governance frameworks, or paths to scale what actually works across the firm.
Compliance Risk
Scattered AI experiments without vendor vetting, data protocols, or fiduciary oversight create unnecessary SEC exposure and audit risk.
The AI Growth Roadmap Intensive
Transform scattered experiments into a clear, compliant AI strategy.
A structured 4-6 week engagement for SEC-registered RIA firms. Move from AI chaos to strategic clarity—with your compliance team at the table from day one.
What You Get
- 90/180/365-Day AI Roadmap with clear priorities, owners, and milestones tailored to your firm
- AI Governance Framework that speeds decisions while satisfying your compliance team
- 2-3 Pilot Project Designs ready for immediate execution with success metrics defined
- Capacity Unlock Analysis showing where to reclaim advisor time for high-value client work
Why This Matters
Without a roadmap, AI initiatives stall in committee meetings, compliance raises red flags, and your team wastes money on tools that don't integrate.
With a roadmap, you have a clear path forward: governance that enables speed, pilots that prove value, and a timeline that gets buy-in from leadership.
The Intensive gives you the clarity and confidence to move from exploration to execution.
Or start with a free AI readiness assessment
Learn While You Build
A 4-6 week intensive where your team learns AI strategy concepts and immediately applies them to build your firm's custom roadmap. Training and development happen simultaneously—not sequentially.
Discovery & Foundation
Learn AI fundamentals while mapping your workflows. Apply concepts immediately to identify your firm's highest-impact opportunities.
Governance & Security
Learn governance best practices while building your firm's framework. Create vendor vetting and data protocols with our guidance.
Roadmap & Pilots
Learn roadmap planning while designing your 30/90/365-day plan. Build business cases and pilot designs as you master the concepts.
Delivery & Launch
Learn project lifecycle management while finalizing your complete roadmap. Present your strategy to leadership with confidence.
9-Module AI Strategy Training Included
Your team learns AI strategy concepts and immediately applies them to build your firm's roadmap. Each module teaches a concept, then you work together to implement it for your firm:
Foundation (Modules 1-3)
- • AI Demystified: Concepts & Capabilities
- • Strategic Value: Use Cases & ROI
- • Roadmap Builder: 30/90/365-Day Planning
Implementation (Modules 4-6)
- • Tools, Vendors & Integration
- • People, Skills & Change Readiness
- • Data, Security & AI Governance
Execution (Modules 7-9)
- • Making the Business Case for AI
- • Monitor, Improve & Lead with AI
- • AI Project Lifecycle Management
Your Custom Implementation Timeline
Quick wins: governance framework, pilot launches, data audit, team training
Foundation: tool deployment, process automation, change management, scaling pilots
Scale: firm-wide rollout, advanced capabilities, continuous improvement, leadership
Built for SEC-Registered RIAs
We understand the unique constraints of operating under SEC oversight, managing fiduciary duty, and maintaining client trust.
Every AI initiative must pass through a governance framework that gives your compliance team confidence while enabling innovation. The Intensive builds this framework with your team, not for them.
- Vendor vetting criteria aligned with SEC expectations
- Data handling protocols for client information
- Clear decision authority and escalation paths
- Documentation standards for audit readiness
AI Governance Framework
Your AI Transformation Journey Starts Here
Whether you're just beginning to explore AI or ready to commit to the Intensive, we have a clear path forward.
Step 1: Assess
Take our AI Readiness Checklist to understand where you stand across 5 critical dimensions.
Start AssessmentStep 2: Qualify
Book a free 30-minute assessment call to explore fit and map your capacity opportunities.
Book Free CallBeyond the Intensive: Implementation & AI Tools
The Intensive gives you the roadmap. Our guided implementation services help you execute it. And on the horizon: AI-powered coaching tools that will guide your team through every step of the journey.
Who This Is For
✓ You're a Good Fit If...
- You're an SEC-registered RIA with $300M-$3B AUM
- Your team is experimenting with AI but lacks a coordinated strategy
- Compliance concerns are slowing or blocking AI initiatives
- Advisors are losing hours to prep, reporting, and manual tasks
- You're ready to move from exploration to implementation
✗ This Isn't Right If...
- ×You're just curious about AI but not ready to commit resources
- ×You want us to implement technology for you (we design the roadmap, you execute)
- ×You're looking for a quick fix or magic bullet solution
- ×Your firm isn't prepared to involve compliance in the process
- ×You need ongoing managed services (the Intensive is a one-time engagement)
The Next Step Is a 30-Minute Conversation
We will walk through your firm's current AI posture, identify the highest-priority gaps, and tell you honestly whether the Intensive is the right fit.
The call is 30 minutes. We come prepared with questions specific to your firm size and regulatory profile.