9Modern advice. Client data that never leaves your walls.
The same intelligence your competitors are adopting — deployed on infrastructure you control, grounded in your own client history and filings, and fully cited. Customer financial data stays inside your walls, always.
Nine lives. Zero leaks. GLBA and SEC compliance, protected by architecture, not by promise.
Every record you feed a public AI is a potential GLBA violation.
Customer financial data is among the most sensitive information a firm handles — and GLBA makes mishandling it a reportable, costly event. Public AI tools put that data on someone else’s servers under terms that sit outside any audit.
Where does it show up? In the everyday rush — statements, filings, and client records pasted for speed. The data leaves your walls — and an audit is what shows where.
1Customer-data exposure
Nonpublic personal information in a public tool is a reportable breach.
2GLBA violation
Unauthorized disclosure triggers penalties and mandatory reporting.
3Regulatory risk
SEC, FINRA, and state regulators expect documented safeguards.
4Client trust
A breach of client data is a firm-defining event.
Four capabilities. Your records. Your walls.
Private Retrieval (RAG)
“Ask questions of our own documents.” Cited answers across your entire corpus — without a byte leaving your control.
Document Intelligence
OCR and extraction turn statements, filings, and client records into a searchable, cited database.
Grounded Drafting
Memos, disclosures, and client communications drafted from your templates — with citations, not hallucination.
Workflow & Compliance
Consent, disclosure, and audit-trail flags surfaced automatically — grounded in your records.
Where it applies, client by client.
The same private engine, pointed at the work your firm actually does.
Client-history search
Cited search across client records and prior advice.
Account & statement review
Anomaly and documentation flags surfaced from your data.
Filing & disclosure drafting
Grounded drafting of disclosures and client communications.
GLBA & SEC readiness
Documented, audit-ready controls for your reviewers.
Policy & procedure review
Cited search across firm policies and procedures.
Policy & claims data
Confidential processing of policy and claims records.
Not waivers — an architectural answer.
GLBA
Nonpublic personal information protected by design, never by a policy promise.
Reg S-P
Privacy-of-consumer-financial-information rules upheld by architecture.
SEC / FINRA
Recordkeeping and safeguard expectations met by design.
State Privacy Laws
Aligned with evolving state financial-privacy rules.
A disciplined, named framework — not a scramble.
Assess
Audit current exposure, map your data, and define your target state.
Deploy
Stand up hardened, self-hosted open-source models sized to your workload.
Manage
Ongoing updates, monitoring, and security — so it stays current and defensible.
Train
Make your people fluent, safe users — competence becomes a firm capability.
Straight answers for your partners.
Can we use AI on customer financial data at all?
Is this just a server running ChatGPT?
How does this square with GLBA and SEC rules?
What do our auditors and regulators see?
Do we need to change everything at once?
Who runs the system day to day?
Your data never leaves your walls. Ever.
Open-source models running on your own infrastructure — no upload, no third-party terms, no unverifiable promise. Just an auditable system you control.
- Self-hosted. Open-source weights running on hardware you own or lease.
- Fully audit-ready. Documented stack and configuration for your reviewers.
- Wholly sovereign. No third-party data processing on customer financial data.
- Independently verifiable. Security you can prove, not a promise you must trust.
Five minutes. Zero risk. See exactly what your firm is exposing right now.
Start with the Confidential Privilege Audit — we’ll show you where you stand before you commit to anything. You own the read, with or without us.