Proactive Assistant
Good morning, there.
Here's your day.
Your AI assistant scanned every connected system — meetings, follow-ups, clients, and compliance queue. Read this in 90 seconds and you're ready.
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Meetings today
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Follow-ups due
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Compliance status
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Opportunities flagged
Your Top 3 Priorities — AI ranked by revenue & relationship risk
Today's Schedule
Flagged for your attention
Agendas & Scheduling
Every meeting, on the books.
Book client meetings, build the agenda from open follow-ups, and let the platform handle the rest — clients with an email on file get a confirmation and a reminder ~24 hours before, and you get a nudge in the notification bell.
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Upcoming meetings
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In the next 7 days
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Reminders queued
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Open agenda topics
Upcoming meetings
Meeting Prep
Your next meeting, fully briefed.
One brief, pulled from every system. Last meeting, open items, personal context, and AI talking points — so you walk in knowing the family, not just the portfolio.
AI Talking Points — generated for this meeting
Live Notes · AI Capture
Take notes without taking notes.
The assistant listens, structures, and files everything while you stay present. Flip on No-Recording Mode for privacy-sensitive or two-party-consent meetings — it captures structured facts only, never audio.
Checking transcription status…
Live Extraction0 items captured
Auto-Structured Summary
AI summary will appear here as items are captured during the meeting.
READY TO PUSH
Record → WORM archive
Follow-ups
Nothing slips through.
Every action item from every meeting, auto-extracted and tracked. The work that used to eat your evenings is done before you sit down.
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Open follow-ups
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Overdue
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Completed
Client Intelligence
Client Households
Households aren't single clients. The AI builds a living family map from your meetings — who's who, life events, and an engagement score for each heir. This is how you keep the assets when wealth transfers to the next generation.
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Household AUM
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People mapped
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Heirs under-engaged
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AUM at retention risk
⚠️
Generational retention risk. James (18) and Emma (41) are under-engaged. Most heirs leave the family's advisor after a wealth transfer. The AI suggests a no-pressure intro: invite James to the next review and offer Emma a 529 conversation now that a grandchild is coming.
Ask AI how →
Growth
Prospect Pipeline
Every prospect, staged from first contact to a decision — with the days-in-stage clock running, so nobody goes quietly cold. CRM-synced contacts land here as leads automatically; win one and it graduates straight into your book.
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Active prospects
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Gone stale
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Won (90d)
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Conversion rate (90d)
Clients & Data
Household portfolios
A built-in holdings layer — accounts and positions per household, with live AUM and allocation rollups. Enter them by hand or import a CSV today; custodian feeds (Orion, Tamarac, Black Diamond) will sync into this same view as they come online.
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Total managed (built-in)
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Accounts
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Households with holdings
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Largest allocation
CRM Sync
Your CRM, always current.
Notes, tasks, contacts, and family data will flow into your CRM automatically after every meeting. Use the built-in lightweight CRM today; external integrations are in active development and launching soon.
Built-in CRM
SB
Smart Advisor CRM Active
Lightweight contact + household manager built in. Perfect to start solo — no setup, no extra cost.
External Connections
RT
Redtail CRM Not connected
Not connected — connect with your Redtail API credentials. Contacts sync in, meeting notes sync out.
SF
Salesforce FSC Coming soon
Coming soon — Salesforce FSC sync isn't available yet. Contact support to request early access.
WB
Wealthbox Not connected
Not connected — connect with your Wealthbox API access token. Contacts sync in, meeting notes and tasks sync both ways.
DS
DocuSign e-signature Not connected
Send documents to clients for signature and track envelope status — from each contact's record. Dormant until enabled on this deployment.
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Channel Alerts Not connected
Slack or Microsoft Teams incoming webhook — supervisory-queue items and portal first-opens land in your firm channel the moment they happen.
Sync Activity
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Sync activity will appear here once a CRM is connected. Your data is already captured and ready to push.
← Back to CRM Sync
Built-in CRM
Smart Advisor CRM
Every contact captured from your meetings, in one list. Notes, tasks, and family data flow in automatically — no external CRM required.
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Clients
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Prospects
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Households
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Avg engagement
All Contacts
FINRA & SEC Compliance
Built to pass an exam.
As a newer firm you can't afford a compliance miss. Every note, summary, and AI output is archived, supervised, and audit-ready by default — mapped to the rules that actually get examined. This is informational tooling, not legal advice; confirm your obligations with your CCO or counsel.
Overview
AI Policy
Vendor Register
AI Governance
Exam Package
100%
Records archived
2
Awaiting attestation
0
Consent gaps
7 yr
Retention window
✅
WORM-compliant archiving
SEC Rule 17a-4 · Write-Once-Read-Many
Every meeting summary, transcript, and AI output is locked to immutable storage the moment you attest. Nothing can be altered or deleted inside the retention window.
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Books & records retention
SEC Rule 204-2 · Investment Advisers Act
AI-generated notes, transcripts, summaries, and the prompts used to produce them are retained as records supporting the advice you gave. Searchable for the full window.
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Supervisory review queue — 2 items
FINRA Regulatory Notice 24-09 · supervision of AI content
AI output isn't filed until a human reviews it. Both pending summaries were auto-screened clean. Attest to lock them — full audit trail of who reviewed what, when.
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Recording consent tracking
State two-party-consent laws
The platform tracks consent per meeting and auto-recommends No-Recording Mode for clients in two-party-consent states — so a recording is never created without a logged basis.
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Written supervisory procedures hooks
SEC 2025 Exam Priorities · AI named focus area
Configurable review thresholds, disclosure language, and attestation workflows map to your firm's WSPs. Export an audit package for any date range in one click.
AI Acceptable Use Policy
Generated deterministically from your firm's live configuration — approved tools, supervision, data handling, retention, quotas. Each generation is an immutable version; adopting one makes it your firm's official policy.
No policy generated yet.
AI Vendor-Oversight Register
Every AI vendor that touches firm or client data, with Reg S-P oversight state: data-processing agreements, breach-notification contacts and SLAs, review dates. Platform vendors are documented automatically.
External AI Tool Register
The firm's written posture on AI tools advisors use outside the platform — the question examiners ask. Common tools are listed prohibited by default; approving one (fully or conditionally) is the deliberate, recorded act.
AI Governance Report Pro
One exam-ready document: platform AI controls, the written-policy standing, both registers, 90-day usage metadata, and supervision coverage. Deterministic — assembled from live state, no generative AI. Also included in the exam package.
SEC Exam-Prep Package
One click produces the documentation set an examiner asks for: your adopted AI policy, the vendor register, the firm-wide AI usage log (metadata only — message content never leaves the platform), supervision/attestation records, and the full append-only audit trail.
📄 policy.md — AI Acceptable Use Policy (adopted version)
🧾 vendor_register.csv — Reg S-P vendor oversight
🤖 ai_usage_log.csv — AI usage by user, model, tokens
✅ supervision_records.csv — attestation lifecycle
🔒 audit_trail.csv — full append-only audit trail
🗄️ worm_archive_manifest.csv — Object-Lock WORM archive evidence
🧾 vendor_register.csv — Reg S-P vendor oversight
🤖 ai_usage_log.csv — AI usage by user, model, tokens
✅ supervision_records.csv — attestation lifecycle
🔒 audit_trail.csv — full append-only audit trail
🗄️ worm_archive_manifest.csv — Object-Lock WORM archive evidence
WORM Archive — Object-Locked immutable storage
Each completed day's records — audit trail, captured meetings, briefings, AI queries — is archived to S3 Object-Lock storage whose per-object retention date enforces your recorded retention windows. In COMPLIANCE mode no one, including the platform, can shorten it.
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Conversational Assistant
Ask your practice anything.
Plain-language access to every meeting, client fact, and task you've ever captured. It remembers what you discussed so you don't have to dig.
SB
Morning! I've reviewed everything overnight. Ask me about a client, pull up history, or have me draft something. Try one of the prompts below.
What did I discuss with the Harrisons last quarter?
Which clients have RMDs due this year?
Draft a check-in email to Sarah Mitchell
Who are my under-engaged heirs?
Administration · Team
Advisor performance
How each advisor runs their book over the last 90 days — meetings held, the share that produced a compliant record, follow-up throughput, and client engagement — read against the firm average. Computed live from your own records; no AI, no estimates.
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Active advisors
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Avg meetings held (90d)
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Avg capture rate
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Overdue follow-ups (firm)
Administration · Monitoring
System & compliance monitoring
A live operational view of the platform — audit trail, integration health, the compliance queue, security events, and data-rights requests. Backed by an append-only audit log (FINRA Rule 24-09) that grows as you use the app.
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System status
Checking…
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Audit events today
Append-only trail
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Open compliance items
Awaiting attestation
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Reminders sent (24h)
Audit & Activity Log
Integration Health
Claude API (Anthropic)
Smart Advisor CRM
Redtail CRM
Salesforce FSC
Deepgram transcription
Security Events
Compliance Monitoring
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Supervisory queue
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Records WORM-locked
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Consent gaps
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Reminders queued
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FINRA 24-09 · review window 24h
Loading compliance queue…
Data-Subject Requests (GDPR / CCPA)
Administration · Settings
Firm & compliance settings
Configure your firm profile, retention and supervisory policy, privacy/data-rights workflows, integrations, users, and security. Changes save to this browser and are recorded in the audit log. This is configuration tooling, not legal advice — confirm your obligations with your CCO or counsel.
Firm Profile
Compliance & Retention
Privacy & Data Rights
Integrations
Users & Roles
Billing
Security
Notifications
Used to recommend two-party-consent defaults.
Client portal branding Pro
Put your firm's logo and accent color on the client portal. PNG or JPEG, 256 KB max.
none
Retention windows
Defaults follow SEC Rule 17a-4 / 204-2 — confirm your firm's schedule with your CCO. These record your firm's retention policy; automated deletion/archival enforcement ships with the archive milestone.
Supervisory policy
Require attestation before archive
Captured meetings route to the supervisory review queue before archive (FINRA 24-09) — enforced by the capture pipeline. Off sends captures straight to the record.
Auto-enable No-Record Mode in two-party-consent states
When a client's state requires all-party consent, default new meetings to structured-facts-only capture.
Supervisory review window
Your firm's target review window for queued records. Escalation alerts when a record overstays ship with the email-digest milestone.
Data exportGDPR Art. 15 / 20 · CCPA
Generate a portable copy of all data held for a client or household.
Right to erasureGDPR Art. 17 · CCPA
Request deletion of personal data — subject to records that must be retained under SEC/FINRA rules.
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HIPAA note: This platform is not configured to store protected health information. Encryption, access control, and audit logging satisfy the overlapping HIPAA Security Rule safeguards as general hygiene. If your firm ever stores health data, a separate PHI determination and Business Associate Agreements are required.
Log client consent per meeting
Record the consent basis for each captured meeting.
Exclude client data from AI model training
Enforced via the Anthropic API agreement — client data is never used for training.
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Real-time meeting transcription. No-Record Mode discards audio after extraction.
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Provided by the platform — configured server-side, never in the browser.
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Read-only: today's events feed your AI morning briefing. We never create or modify events.
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Read-only via Microsoft Graph (Calendars.Read). Tokens are encrypted at rest, server-side.
🔑
External CRM connections (Redtail, Wealthbox, Salesforce) will appear here when each sync launches — keys will be validated and stored server-side, the same way the Deepgram connection works. No placeholder fields, no dead switches.
Team members
Role permissions
Advisor
Own book only · capture meetings · manage follow-ups · cannot attest own records.
Supervisor
Review & attest AI output · oversee assigned advisors · read the audit log.
Admin
Firm settings · integrations · user management · full audit access.
Role-based access and per-firm data isolation are enforced server-side via Row-Level Security.
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Your multi-factor authentication
Authenticator-app (TOTP) codes at sign-in for your account.
Require multi-factor authentication (firm)
Prompt every user to enroll in MFA until they do — enforced at sign-in for enrolled users.
Session timeout
Sign sessions out after inactivity — enforced server-side at token refresh.
Minimum password length
Enforced on all accounts at registration, invite acceptance, and reset.
Encryption
AES-256 at rest · TLS 1.3 in transit. Managed by the platform.
Pending attestations
In-app notification to supervisors and admins when a captured meeting's AI summary awaits attestation.
Meeting reminders
In-app nudge (plus the client's email) ~24h before each scheduled meeting.
Overdue follow-ups digest
Daily digest of follow-ups past their due date — ships with the email-digest milestone.
Security events
Alerts on blocked logins and new-device sign-ins — ships with the MFA milestone.