Finn · Back office AI for registered investment advisers
Finn runs your back office. Your advisor stays in charge.
Finn is Finntec's back-office AI for registered investment advisers. It handles meeting prep, notes and recaps, CRM upkeep, the inbox, onboarding and the monthly newsletter. Internal work runs on its own. Anything a client will see goes to your advisor or admin to review and send. Your compliance officer sees the red and green flags and steps in when needed.
Running live at a registered investment adviser. Connects to the CRM, email, files, meeting and scheduling tools your firm already uses.
Hi, I'm Finn. This is what I leave behind after every run.approval: internal write · supervised
no records deleted: true
no sensitive identifiers in outputs: true
writes limited to manifest: true
Sample record. Every name in it is fictional.
Your advisor or admin sends every client email.
Finn creates the drafts. Nothing reaches a client until your advisor or admin has reviewed it and sent it.
Internal work runs on its own.
Notes, tasks, filing, CRM upkeep and team emails happen without waiting for a click. Your team gets a summary after every run.
It runs in your workspace.
Your systems are connected under your own logins. We never hold your credentials or client records.
Every run leaves a record.
What ran, what it wrote and what it held for the advisor, saved to your own files and your CRM.
The agents
Every agent included. More on the way.
Your firm gets all seventeen agents from day one, with nothing extra to buy. Each agent has a written list of what it may read and write. Client-facing work stops at your advisor or admin. Internal work runs on its own and is logged.
Service meeting prep
Builds a branded Word prep document for each client meeting booked two business days out and saves it in the client's folder.
Meeting notes, task and recap
Turns each client meeting's AI summary into a CRM note on the right household and one follow-up task, then drafts a branded recap email.
Meeting notes on demand
"Log my meeting with the Examples." Pulls the meeting's AI summary, drafts the note and posts it to the right household after you approve it.
Client birthday emails
Finds the day's client birthdays, writes one branded email per person and sets up a draft for each.
Monthly client newsletter
Researches the prior month's markets and planning news and writes the newsletter in the advisor's voice, with a cited source for every figure and no predictions.
Email triage
Labels and files new inbox mail, turns client requests into a task for your admin, and drafts a short holding reply. When it is unsure, the message stays in the inbox.
Unanswered email check
Lists client and business emails from the last three weeks that are still waiting on a reply, oldest first, with who should answer.
Junk email cleanup
Rescues legitimate mail from the junk folder back to the inbox and moves the rest to the trash, where it stays recoverable.
Client document digest
Finds client documents that arrived by email and forwards each to your admin with where to file it. Identity documents are never forwarded.
Monday team brief
Emails your team a weekly brief: transfers in progress, each person's tasks, the week's meetings, compliance dates and birthdays.
Weekly CRM data cleanup
Checks every person and household record for blanks, expiring IDs, duplicates, orphans and inactivity. Makes a short list of safe fixes itself, if your firm switches that on, and gives your admin one task for the rest.
Prospect intake from bookings
Turns new bookers who are not in your CRM yet into prospect records, with the meeting and a follow-up task.
New client setup
For new client households, creates the client folder tree, adds account-type tags from your custodian data and opens one onboarding task.
AUM refresh
Totals the newest custodian balances per household, updates the AUM fields in your CRM and notes new funding and big changes.
Year-end distributions
Builds one year-end task for your admin: RMDs due by December 31, first RMDs that can wait, income withdrawals to confirm and possibly eligible clients who are not tagged.
Agent health check
Shows how every agent ran over the last 30 days, with the fix for anything that missed, failed or needs a person.
Red and green flag report
Reads every run record from the prior month and checks each one against what its agent is permitted to do. Lists what passed and anything that didn't.
Writes that touch CRM records or send internal mail are off until your firm switches them on in writing, one switch at a time. New agents, such as review-due outreach and seasonal check-ins, are added to every firm's kit as they are released. Each one runs a dry-run week at your firm before it goes live.
Guardrails
Eight rules built into every agent.
The same eight rules appear in every agent's instructions. A build fails if an agent is missing one, and the monthly report shows any departure as a red flag.
Finn's rule for himself: when something is unclear, the right move is to stop and ask a person.
Never emails a client
Client emails are created as drafts. The advisor reviews, edits and sends. Internal email goes only to your own team.
Never deletes
No CRM record, note, task, file or email. Junk cleanup moves mail to the recoverable trash only.
Writes only what it is allowed
Each agent has a written list of what it may create or update. Sensitive writes stay off until your firm switches them on in writing.
No sensitive numbers
Social Security, account, license and ID numbers stay out of every output and log.
No promises
No predicted returns or guarantees. Promissory language in source material is flagged.
Never invents
A missing summary, statement or figure is reported, not filled in.
Ambiguous means stop
An uncertain client match is listed for a person to resolve. It is not written.
No blind retries
A write that may have half-happened is reported, not repeated.
Supervision
Your advisor stays in charge. Compliance sees the flags.
Your advisor or admin reviews and sends anything client-facing, and gets a summary after every internal run. Your compliance officer doesn't have to watch day to day. Finn shows the red and green flags, and compliance steps in when something needs a look.
A record of every run
One small file per run in your own file storage, plus a one-line entry in your CRM. It lists what the agent considered, what it wrote and where, what it skipped and what it flagged. It holds no email bodies, balances or identifiers.
A monthly red and green flag report
On the first of the month, Finn checks every logged action against what each agent is permitted to do. Green flags show what passed. Red flags show anything that didn't, such as a missed run or a write outside limits. Your advisor signs off, and your compliance officer reviews the red flags.
A morning health check
Each weekday, one page shows how every agent ran over the last 30 days. When something misses, fails or needs a person, the advisor gets an alert with the fix.
A dry-run switch for every agent
In dry run, an agent reads and builds everything but writes nothing except its own run record. Any agent can be moved back to dry run at any time, and repeated red flags pause it.
Compliance documents, written for your manual
An AI usage policy, a supervisory procedures addendum with one row per agent, a vendor file, an incident procedure, a records statement and a staff acknowledgment, each filled in with your firm's names and systems, ready for your compliance consultant to review.
Setup
From purchase to running.
Set it up yourself with the files, or have our team do it for you. Either way, every agent proves itself in a dry run before it writes anything.
Choose your path
Files: download every agent with the setup guide, the start-here folder and the compliance documents, and configure it yourself. Setup by our team: we collect your people, systems and brand details and do the rest.
Connect and install
Your systems are connected under your own logins inside your Claude workspace, and the agents are installed. With setup, our team does this with your admin.
The dry-run week
Every agent runs on its real schedule against your real data and writes nothing. Your advisor or admin reviews what each one would have done.
Sign-off and go-live
Agents go live one at a time once your advisor signs off, with your compliance officer reviewing as needed. Any agent can stay in dry run.
Pricing
Every agent included. Pick how much of the work we do.
All seventeen agents, the start-here folder and the compliance documents come with every option. Send the form below and we'll email you a secure payment link.
Download every agent and set it up on your own AI.
- All seventeen agents and their files
- Start-here folder: welcome, who-what-why-how, onboarding checklist, how-to guides, FAQ
- Compliance documents filled in for your firm
- Run records, dry-run mode, the health check and the monthly flag report
- You connect your systems and install the agents yourself
We set up everything on your AI and make sure it runs before we hand it to you.
- Everything in Files
- We configure every agent for your firm, your people and your brand
- We connect your systems with your admin, under your own logins
- We run the dry-run week with you and review every agent's output
- Go-live sign-off, one agent at a time
We keep watch so your compliance officer only has to sign.
- We maintain the health check and the monthly red and green flag report
- Red flags reviewed in writing with your compliance officer
- Compliance documents kept current as agents and rules change
- 30-day review, then quarterly reviews
- Every update and every new agent included, installed and dry-run for you
Your own Claude Team or Enterprise workspace, and your CRM, email, meeting and scheduling subscriptions, are separate. Setup fees are due at signing. Supervised is billed monthly from the first agent's go-live date.
Your data
Client data stays in your systems.
- Agents run inside your own Claude workspace, using connections made under your own logins.
- We never hold your credentials or your client records.
- Run records hold names and record IDs only, and they are written to your own files and your CRM.
- The log writer rejects any value shaped like a Social Security or account number.
What you need in place
- Wealthbox as your CRM today. Redtail and Salesforce are next; ask us where they stand.
- Microsoft 365 for email, calendar and files. Google Workspace is next.
- Zoom with AI Companion for meeting summaries, or a meeting notetaker.
- Calendly, if you use a scheduling tool.
- A Claude Team or Enterprise workspace.
- A custodian balances export (Schwab today) for the AUM, new client and year-end agents.
We confirm your exact stack when you get in touch. If a system isn't supported yet, we say so before you pay, and the agents that need it stay out of your kit until it is.
Who you will talk to
[FOUNDER NAME]
[TITLE AND CREDENTIALS]. [TWO SENTENCES ON SECURITY AND COMPLIANCE BACKGROUND]
Questions firms ask
Straight answers.
Is this fully automated?
Can an agent ever email a client?
Where does our client data go?
What does our compliance officer do?
What are the compliance documents?
What happens if something goes wrong?
What do we show an examiner?
Do we get new agents?
What does it cost?
Get started
Request the files, setup or a walkthrough.
Tell us about your firm and which option fits. We'll email you next steps and a secure payment link. Want to see Finn first? We can walk you through the agents, the run records and the flag report using a fictional demo firm. Bring your compliance officer if you like.
Finn takes the details. A person takes the call.
Prefer to pick a time yourself? Book a 30-minute walkthroughReply to our email with a few times that work and we'll send an invite.
Questions first? Write to hello@finntec.ai.