With AI Guardian, we can actually show our AI oversight program — not just talk about it.”
— CCO, $8B firm
AI Risk Management made easy.
Increase operational efficiency and strengthen fiduciary oversight with AI Guardian — a purpose-built AI governance platform for RIAs, wealth management firms, and advisory platforms. AI Guardian helps you streamline oversight of AI and third-party tools, reduce compliance burden, and upgrade your firm’s governance capabilities.
As wealth management firms increasingly adopt AI in marketing, client communications, portfolio construction, research, surveillance, and advisor enablement, regulators are watching closely and expecting documented oversight.
📈 70%+ of wealth firms report active or planned AI adoption.
🏛 SEC, FINRA, and state regulators (e.g., Colorado, Texas, California, New York) are signaling AI compliance expectations.
⚠️ AI embedded in third-party tools introduces hidden risk to fiduciary duties.
Trusted by top investment advisors, broker-dealers and leading US financial institutions.
Centralized
AI Guardian gives compliance, legal, and business leaders a single source of truth for AI oversight. With all use cases, vendor risks, and regulatory evidence in one place, your team gains the visibility and control needed to make informed decisions and collaborate with confidence.
Streamlined
Empower your firm to innovate responsibly without overwhelming your teams. AI Guardian automates intake, review, and documentation workflows—eliminating manual tracking and freeing your compliance staff to focus on high-value fiduciary oversight, not administrative burden.
Scalable
As your firm’s AI ecosystem grows and evolves, AI Guardian grows with it. Whether your AI capabilities come from third-party vendors, outsourced solutions, or in-house model development, AI Guardian provides a structured, adaptable governance framework that scales across technologies and business lines. As AI tools advance, your oversight program keeps pace—ensuring consistent risk management and compliance maturity at every stage.
Defensible
AI Guardian gives your firm the tools to identify, assess, and document AI risk consistently and proactively. With actionable evidence and clear audit trails, your AI governance program can stand up to regulatory exams, board scrutiny, and fiduciary expectations—before issues become liabilities.
Results
🧠 65% reduction
In AI use case review time.
⚡ 40% faster
vendor AI due diligence.
🧾 One-click evidence
reporting for SEC/FINRA/state exams.
Clear your vendor assessment backlog now
Streamlines your third-party risk assessments so your team can spend less time administering the process and focus more on managing the risks and protecting your business/clients.
18 months ago, most RIAs weren’t assessing vendors’ AI risks. Now it’s table stakes. Many firms are struggling to get the visibility they need into the AI use and risks of vendors already under signed contracts.
Bringing in new vendors faster than you can assess the ones you already have? Use our Wealth Management Vendor Database to close the gap fast. Get your personalized Vendor Coverage Report, here.
Don’t know what AI Risk questions to ask? Start here with our Vendor Due Diligence Guide.
Contracts that protect your clients, partners and advisors.
With AI being added into existing products every day, firms need contracts that allocate liability for model failures, establish clear data/IP ownership, and protect against “shadow AI.”
Not sure where your AI risks are hiding? AI Guardian’s AI Exposure Map pinpoints where high-risk AI meets weak contractual protections — before it turns into a legal or regulatory problem.
Not sure how your contracts stack up? Start here with our AI Contract Terms Guide.