$ Financial Advisors & RIAs

Secure AI for Financial Advisors

Give your advisory team access to ChatGPT, Claude, and more without risking client PII or compliance violations.

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Built with Regulatory Compliance in Mind

Pre-query data filtering, complete audit logs, and role-based access controls can help support RIAs in demonstrating SEC and FINRA compliance for AI tool usage.

TrustML for Financial Advisors & RIAs

TrustML is a secure AI gateway designed for financial advisors and registered investment advisors who need to protect client data while leveraging AI for productivity. It provides access to 6+ AI providers through one interface while automatically filtering client PII.

  • [+] Client PII Protection: Filter names, SSNs, account numbers, and other standard PII patterns before reaching AI providers
  • [+] SEC/FINRA Ready: Complete audit logs can help support supervision and recordkeeping requirements
  • [+] Multi-Model Access: Use ChatGPT for drafting, Claude for analysis, Perplexity for research - all through one interface
  • [+] Role-Based Controls: Set different access levels for advisors, paraplanners, and support staff
  • [+] 2-Minute Setup: No IT department required to start, but IT-friendly with enterprise controls they'll approve of

Challenges Financial Advisors Face with AI

Protecting client trust while embracing AI productivity

PII

Client Confidentiality

Client names, account details, and financial situations are highly confidential. One accidental AI query with client details creates liability and trust concerns.

REG

Regulatory Compliance

SEC and FINRA require supervision and recordkeeping of client communications. Using AI without proper controls creates compliance gaps and audit risks.

FID

Fiduciary Responsibility

As fiduciaries, advisors must protect client interests. Sharing client data with AI providers - even accidentally - could breach fiduciary duties.

How Financial Advisors Use TrustML

From client communications to investment research

01

Client Communications

Draft personalized emails, meeting summaries, and follow-up notes using AI while automatically filtering out client names, account numbers, and specific holdings.

02

Financial Planning Support

Research tax strategies, estate planning concepts, and retirement scenarios using AI without exposing client-specific financial details.

03

Investment Research

Analyze market trends, research investment vehicles, and summarize economic reports. Get AI assistance without revealing specific client positions or strategies.

04

Compliance Documentation

Draft compliance policies, prepare audit responses, and create training materials while protecting sensitive firm and client information.

05

Marketing Content

Create newsletters, blog posts, social media content, and educational materials for prospects without inadvertently including client examples.

06

Meeting Preparation

Generate agenda templates, talking points, and presentation outlines for client meetings while keeping specific client details out of AI systems.

What TrustML Protects for Advisors

Pre-query filtering can be configured to detect and filter sensitive client and firm information

Client Names & Contact Info
Social Security Numbers
Account Numbers & Balances
Investment Holdings
Financial Plan Details
Tax Information
Estate Planning Details
Beneficiary Information
Our advisors wanted to use AI, but we couldn't risk client data exposure. TrustML gave us the controls we needed - now our whole team uses AI safely, and I can demonstrate oversight to compliance.
- Chief Compliance Officer, Independent RIA

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