Path one · Training

The operating day for RIA teams

Wall Street banks reportedly pay AI trainers $25,000 a day (Bloomberg, 2026). We teach to that standard of seriousness: portfolio ops, agentic patterns, and governance, taught by someone who has done the job.

Book intake Get the syllabus

The governance frame

Human-in-the-loop, approval gates, audit trails. SEC 2026 AI priorities, Marketing Rule / AI-washing, Reg S-P diligence, Rule 204-2 retention. Everything else hangs on this.

AI foundations for advisors, done right

Prompting with compliance steps baked in. Data bright lines. What your notetaker, tax scanner, and platform AI already own so you do not rebuild it.

Portfolio operations: the work around the rebalancerAnchor

Reconciliation exceptions, cash and RMD management, constraint-aware trade prep, tax-lot selection, and a Trade Order list with rationale on every line. Drift is one input. Every row waits for human approval. Human release on every trade list.

Back-office agentic automationAnchor

Between-the-platforms builds with n8n, Supabase, and Claude: a nightly exception digest and a new-account / NIGO pre-check. Architecture a CCO can defend.

Client service, meeting cycle, and billing

Supervise the notetaker → CRM → follow-up loop. Billing keeps deterministic fee math; AI writes the exception narrative examiners ask for. Drafts for human review.

Compliance and marketing AI

Marketing Rule pre-screen, recordkeeping pipeline, and a live-started Acceptable Use Policy plus use-case inventory for counsel.

Your 30-day roadmap

One workflow, one named loop owner, baseline hours, and a written Three Things assessment. Build with us or without us.

Gated syllabus

Full syllabus, sample exercises, and governance pack outline

Free, in exchange for your work email. We send the file and nothing else unless you ask.

Role prompts from the curriculum

Try them today. Anything client-facing or trade-related stays a draft for human review.

Trade Order rationale (after cash / constraints)

Ops

Here are accounts needing cash or rebalance attention [paste sanitized]. Constraints: [paste, e.g. never sell founder stock]. Prefer loss lots; flag wash-sale risk. Draft a Trade Order list with account, security, buy/sell, approximate amount, and a one-line rationale. Mark every row DRAFT, PENDING HUMAN APPROVAL. List assumptions and missing information. Do not send anything to an OMS.

NIGO pre-check

CSA

Here is a completed new-account packet [paste field list or form text]. Check against this NIGO rules checklist [paste]. List every missing or inconsistent item (signatures, beneficiaries, ID, account titling, funding instructions). Rank blockers vs warnings. Do not submit. Mark DRAFT FOR CSA REVIEW.

Meeting prep pack

Advisor

Here are CRM notes from the last three meetings with Household A [paste sanitized notes]. Produce a one-page prep pack: relationship summary, open items, life events mentioned, likely topics, and three questions to ask. Flag anything time-sensitive. Do not invent facts not in the notes.

Marketing Rule first-pass

CCO

Review this draft LinkedIn post / client letter [paste] against the SEC Marketing Rule's general prohibitions: untrue statements, unsubstantiated claims, misleading implications, cherry-picked performance, testimonials without required disclosures. List every phrase a compliance reviewer would question and explain why. Do not rewrite it yet.

Ready for the operating day?

Start with a 30-minute intake. Training follows the RIA AI Opportunity Map when that is the right sequence.

30 minutes. We map your stack and decide whether training, an AI Systems Sprint, or both is the right next step.

Email to book intake

Or call (678) 524-6180 · info@expertailabs.com