AI assistants for financial services

The compliance-first communication challenge

Financial advisors operate under strict regulatory requirements from the SEC, FINRA, or state regulators. The SEC Marketing Rule expanded what counts as an "advertisement," making compliance review of all outgoing communications even more important. SendToTeam's human-review model fits this reality: nothing leaves your firm without explicit advisor or compliance approval.

Client reporting drafts — not auto-generated statements

Your AI assistant drafts the narrative portions of quarterly reviews — market commentary, economic outlook summaries, and personalized account highlights based on notes you provide. These are text drafts, not performance calculations. You still source portfolio returns from your custodian or reporting tool (Orion, Black Diamond, Tamarac) and combine them with the AI-drafted narrative.

• Quarterly review narrative drafts and market commentary
• Meeting prep briefs summarizing recent client interactions
• Prospect follow-up emails after seminars or introductions
• Referral partner outreach to CPAs, attorneys, and centers of influence

Growing your book with consistent outreach

According to Kitces research, advisor time is the biggest constraint on practice growth. The platform drafts prospect emails, seminar follow-ups, and referral thank-you notes — letting you spend minutes reviewing instead of hours writing.

What compliance officers should know

SendToTeam generates drafts, not published communications. Your existing compliance review process applies to AI-drafted content the same way it applies to advisor-written content. We recommend firms add a note in their compliance manual acknowledging the use of AI drafting tools and confirming that all output goes through the standard review process before reaching clients or prospects.