Generic robo-advisor tech and off-the-shelf AI research tools won't pass SEC audit at most RIAs and wealth managers. Clarista lets you build a custom AI investment platform — your data, your compliance program, your branded experience.
Investment advisors are governed by SEC rules around marketing, communications, and the Investment Advisers Act. Generic AI tools can't show your compliance team where every output came from or attest to controls testing.
Custom AI built on Clarista lets you encode your firm's investment philosophy, your client communication style, and your compliance review workflow. Outputs are auditable; everything is logged.
Advisor copilots that draft client communications, summarize research, and prepare review meetings. Portfolio analysis tools that explain performance attribution. Compliance-friendly content generators that pre-flag SEC-sensitive language. Research analyst assistants that summarize SEC filings against your firm's investment thesis.
All running on your data, governed by your compliance program, deployed on your cloud.
Drafts client emails, prep notes, review summaries. Trained on your firm's communication style.
Summarizes SEC filings, earnings transcripts, sell-side notes against your investment thesis.
Performance attribution, risk explanation, what-if scenarios. Natural-language outputs.
Pre-checks content for SEC Marketing Rule compliance. Flags performance-claim risks.
Every AI output logged with prompt, model, citations. Defensible for SEC exam.
Native integrations to Salesforce, Redtail, Wealthbox, Schwab, Fidelity, Pershing.
AI drafts the entire review packet from custodial data and account history.
Guides new clients through paperwork, surfaces missing info, drafts ADV disclosures.
Reads filings, drafts investment memos against your firm's framework.
Drafts blog posts, newsletters, social — compliance-pre-checked.
Versus traditional approaches — off-the-shelf SaaS, AI development agencies, and in-house builds.
| Factor | Off-the-shelf SaaS | Custom build (agency) | Clarista platform |
|---|---|---|---|
| SEC audit defensibility | Limited — output traceability | Depends on build | Built-in audit log |
| Custom investment thesis | Off-the-shelf only | Custom but $400K+ | Native — describe + deploy |
| Custodian integrations | 1-2 supported | Custom per integration | Schwab, Fidelity, Pershing native |
| BYO LLM (GPT-4 / Claude / Bedrock) | Vendor-locked | Custom | Native |
20-minute demo for CCOs and CIOs. Bring your most painful workflow. We'll show what the platform builds.
Book a demo →Depends on the implementation. Clarista provides the infrastructure for compliance (audit logs, traceability, controls testing) but your CCO must establish the firm-level program. We support common frameworks: Marketing Rule, Books and Records, Custody Rule.
Not for fiduciary advice. It augments advisors — drafting communications, summarizing research, preparing reviews — so they spend more time on judgment and client relationships rather than admin.
By default no — AI surfaces analysis and drafts recommendations, humans decide. Some firms configure semi-autonomous workflows for low-stakes rebalancing within preset parameters, with human approval gates.
Robo-advisors automate model portfolio assignment for retail clients. This is AI for your existing advisors and clients — your firm's investment philosophy, your client communication style, your compliance program.
Choose which categories of cookies and tracking technologies you allow. Strictly necessary cookies cannot be disabled. Read our full Cookie Policy.
Required for security, authentication, fraud prevention, load balancing, and storing your consent preferences. Always on.
Remember choices you make to provide a personalized experience (language, region, theme, saved filters).
Help us understand how the site is used (Google Analytics, Vercel Analytics, Microsoft Clarity, etc.).
Used for conversion tracking, retargeting, and personalized ads (LinkedIn, Meta, Google Ads, Bing, etc.).