AI Consulting for Financial Advisors & RIAs

Advisors are adopting AI for notes, research and client communication — while the SEC's marketing rule, recordkeeping requirements and AI-washing enforcement raise the stakes on doing it right.

Vliso AI helps advisory firms deploy AI that saves hours per week and generates the records examiners expect.

Regulations & compliance

SEC Marketing Rule (206(4)-1) — AI-generated content in ads and communications
Books-and-records rules for AI-assisted communications
Reg S-P safeguarding of client information
State advisor regulations for smaller RIAs

Risks we address

AI-generated client communications that violate the marketing rule
Client data in tools without adequate safeguarding
No records of AI-assisted communications for examinations
Overstated AI capabilities in firm marketing (AI washing)

Use cases

Meeting note capture and CRM entry automation
Client review preparation and portfolio commentary drafts
Research summarization with source verification
Compliant client newsletter and communication drafting
AI policy and supervision procedures for the firm's compliance manual

Outcomes

Hours back per advisor per week on notes and prep
Communications that pass compliance review faster
Examination-ready records of AI use
A credible, enforceable firm AI policy

Frequently asked questions

Can advisors use AI to write client communications?

Yes, with compliance review before sending and records retained. We build the review and archiving workflow in.

What is AI washing and why should RIAs care?

AI washing is overstating AI capabilities in marketing. The SEC has fined firms for it. We make sure your claims match reality.

Is it safe to use AI notetakers in client meetings?

With client consent, enterprise configurations, and proper record retention, yes. We configure all three.

What's the best first AI use for a small RIA?

Meeting notes and CRM automation — immediate time savings with manageable compliance scope.

Vliso by the numbers

10 Years in business
50K+ Customers supported
800+ Businesses powered
99.9% Platform uptime

As featured in

Bloomberg
Forbes
Yahoo Finance
Disrupt Mag
LA Times
Benzinga

How we work

Discover: A free 30-minute scoping call. We map your AI systems, data flows, vendors and regulatory obligations.
Assess: Hands-on testing and review against NIST AI RMF, the EU AI Act, ISO 42001 and your industry rules.
Build & harden: We fix what we find — guardrails, controls, policies, code, automations — alongside your team.
Monitor: Continuous evaluation and runtime monitoring so your AI stays safe, compliant and effective.

Services

Responsible AI Evaluations — Independent testing of AI systems for bias, fairness, accuracy, safety and compliance.
AI & Agentic Security and Governance — AI red-teaming, pen-testing and governance programs for LLMs, RAG and autonomous agents.
AI Safety — Safety engineering, harm prevention and safe deployment practices for production AI.
AI Guardrails — Design, tuning and independent benchmarking of LLM guardrails — powered by Nforcer.ai.
AI Observability & Monitoring — Runtime monitoring, anomaly detection and detection & response for production AI.
NIST AI RMF Implementation — Hands-on implementation of the NIST AI Risk Management Framework, plus EU AI Act & ISO 42001 readiness.
AI Software Development & Automation — Custom AI apps, agents and workflow automation for businesses ready to automate.

Industries

Areas served

Contact: team@vliso.com