Teaching artifacts · fake data only
Three walkthroughs
One tool you can actually drive, one queue that shows what cross-system intelligence looks like, and the supervision file a CCO hands an examiner. Nothing executes, nothing is live, and every sensitive step waits for a named person. These exist for discovery calls and the workshop, not as software to log into.
01 · Full interactive tool
Portfolio Command Center
Capital plan, four model portfolios, multi-account banded rebalancing, a draft trade order list you can copy or export, and the income calendar the household lives on. Every input recalculates the whole chain, and the trade list still waits for a named human release. This is the one to open on a call.
02 · Cross-system intelligence
The firm-wide exception queue
The exceptions that matter rarely live in one system. A cash request buried in a CRM note, a restriction nobody coded, a wash-sale conflict across linked accounts, a fee-tier miss. No single platform sees all four. One queue does, with evidence and a named owner on every item. Click through it.
Firm-Wide Exception Queue
One prioritized queue across CRM, portfolio system, custodian, and billing. Every item carries evidence, an owner, and an approval.
Client cash request found in a meeting note
$25,000 due Friday. Household holds $6,150 in cash. Missing it is a service failure with a date on it.
- ·CRM note, Tue 2:14 PM: "needs $25k out by Friday for the kitchen"
- ·Custodian cash balance: $6,150 across IRA + taxable
- ·No money-movement ticket exists in the CRM
Raise $37,250 with the RMD in the same trade list. Route to trader for release.
Owner: K. Ramos, Trading · nothing executes without their sign-off
03 · Governance and assurance
The AI supervision file
Examiners now ask how firms monitor and supervise their AI. This view answers it: an inventory of every tool and agent, an approval matrix, and the evidence log behind both. More on governance.
The AI Supervision File
Every AI tool in the firm: what it touches, who owns it, what it may do, and the evidence an examiner would ask for.
| Tool | Data access | Owner | Approval level | Last test | Incidents |
|---|---|---|---|---|---|
AI notetaker (vendor) Bought | Meeting audio, CRM contacts | Ops lead | Human review before CRM write | Pass · Jul 14 | 0 |
ChatGPT Team (firm account) Bought | No client data · public information only | CCO | Prohibited for client data | Policy check · Jul 14 | 1 resolved |
Portfolio platform AI Platform feature | Holdings, performance | Trading | Read-only insights | Review pending | 0 |
Trade-prep system (internal) Built | Custodian file, model targets | Head trader | Human release on every list | Regression pass · Jul 12 | 0 |
Tax document scanner Bought | Client tax returns | Planning | Extraction review required | Pass · Jun 30 | 0 |
Illustrative figures only. Not live market data, not investment advice, not an order management system. Wealth Systems by Expert AI Labs is not an RIA, broker-dealer, or custodian.