Your clients’ whole financial lives, in documents you cannot send anywhere.
Meeting preparation, meeting capture and investment research all run on non-public personal information — and the third of them carries a risk most firms have not thought about.
Where the hours go
Preparation and follow-up. Trust documents, tax returns and alternative asset statements read before every review meeting. Notes written up afterwards, or not written up at all. Research across filings and memoranda that nobody has time to read end to end. Regulation S-P and FINRA’s supervision expectations both make NPI handling the firm’s problem, and the recent guidance is explicit about customer data being ingested into a vendor’s AI.
Portfolio and document synthesis before the meeting
Trust instruments, returns and alternative asset sheets synthesised into a plain-English brief the advisor can read in the car, with every figure traceable back to the document it came from.
This is NPI in its most concentrated form — holdings, structures, family arrangements. Keeping inference inside the office means there is no vendor relationship to disclose, supervise or justify.
Meeting capture into your own CRM
Planning conversations transcribed and written into the local CRM as summaries, action items and follow-up drafts, without an advisor retyping anything.
These conversations contain deep, specific financial disclosure by named individuals. Local processing means no third party ever holds a recording or transcript of a client’s financial life.
Research across filings and memoranda
10-Ks, earnings call transcripts and private placement memoranda interrogated at speed, against the firm’s own approved material.
Research queries reveal what a firm is looking at. Running them locally means no external provider can observe, aggregate or act on the firm’s investment interest.