Wealth Systems by Expert AI Labs
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Resources

See the whole board

Six working documents written for the people who have to defend the decision: the market map, the vendor scorecard, and the approval matrix your CCO can sign, plus the syllabus, the policy outline, and the practitioner playbooks. Free for your work email. We send the file and nothing else unless you ask.

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The 2026 landscape

What to buy, and what to build

What to buy, what to integrate, what to build, and how to govern all of it. These double as the working documents for a governance engagement.

6 pages · PDF

The 2026 RIA AI Market Map

Buy, Integrate, Build, or Govern: where products already serve RIAs, where integration beats new tools, and where firm-specific builds still make sense.

  • Nine capability layers with a Buy, Integrate, Build, or Govern verdict on each
  • The five patterns that waste the most AI budget, and the correction for each
  • A five-test buy-versus-build framework you can run on any workflow
  • Ten questions to send any AI vendor in writing, plus a 90-day sequence

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

5 pages · PDF

AI Vendor Inventory and Risk Scorecard

A CCO-facing worksheet: inventory every AI tool in the firm and score the vendor behind it, mapped to Reg S-P oversight and the SEC's 2026 exam priorities.

  • What amended Reg S-P and the FY2026 exam priorities actually require of you
  • An eight-dimension vendor scoring model with a four-point rubric
  • Eight red flags that should stop a purchase before it starts
  • Blank inventory and scoring worksheets you can fill in today

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

6 pages · PDF

The AI Agent Approval Matrix

Four approval levels and a starting matrix: what each AI tool may do alone, what needs a named human, and what is prohibited. A document a CCO can sign.

  • Four approval levels, from autonomous to prohibited, with worked examples
  • A ten-row starting matrix for a typical RIA you can adapt in an afternoon
  • Six agent permission questions most firms answer by accident
  • The six evidence records that make the matrix defensible in an exam

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

From the curriculum

Practitioner takeaways

5 pages · PDF

Workshop syllabus and sample exercises

The whole workshop: seven sessions, an advanced tier, the hour-by-hour agenda, and the exercises your team runs on your own workflows.

  • Seven core sessions and five advanced sessions, with outcomes for each
  • The hour-by-hour agenda for the day
  • Sample exercises by role: ops, client service, advisor, and CCO
  • How we handle your data in the room, and answers to the usual booking questions

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

4 pages · PDF

AI Acceptable Use Policy outline for RIAs

The eight sections of the written policy every RIA using AI needs, with expanded data classification rules and an implementation checklist.

  • Why the FY2026 priorities and amended Reg S-P make this a written requirement
  • All eight policy sections, with the language traps examiners test
  • Which client data may never leave your systems, which needs care, and which is fine anywhere
  • A drafting checklist to take to counsel instead of a blank page

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

4 pages · PDF

Three practitioner mini-playbooks

Nightly portfolio-ops prep, new-account and NIGO, and quarterly billing reconciliation: the pipeline, the human gate, and the failure modes for each.

  • Three complete workflows with pipeline, gate, tooling, and failure modes
  • The five metrics to baseline before you automate anything
  • The shared architecture behind all three, layer by layer
  • A seven-week rollout sequence that starts in shadow mode

Free, in exchange for your work email. We store the request so we can send the file. We do not add you to a sequence unless you ask. Not legal, investment, or compliance advice.

Mini-playbooks from the curriculum

Real detail, not slides. These are the workflows we teach in the room and then build for firms.

Nightly portfolio-ops prep

  1. 01Custodian feed lands (SFTP / export)
  2. 02Normalize into the firm database
  3. 03Recon + cash/RMD + band exceptions
  4. 04The system drafts the exception summary and Trade Order list
  5. 05Trader approves → audit log (OMS only after release)

New-account / NIGO pipeline

  1. 01Referral → CRM record
  2. 02Prefill paperwork packet
  3. 03The system pre-checks for NIGO against the rules checklist
  4. 04Human fixes → DocuSign → Drive
  5. 05Billing kickoff + retention log

Quarterly billing reconciliation

  1. 01AUM pull from custodians
  2. 02Household map from CRM
  3. 03The math is calculated, not generated, so it is always right
  4. 04Exception flags → the system drafts the narrative
  5. 05Human review → invoice → exam-ready log