AI Governance
for SEC/FINRA-regulated
From boutique RIAs to $100B+ AUM RIA platforms, AI Guardian helps firms govern AI confidently, meet SEC expectations, and uphold their fiduciary duty as AI adoption accelerates.
Investment Advisers are rapidly adopting AI in marketing, client communications, portfolio construction, research, and advisor enablement. Regulators are watching closely — and expecting documented oversight.
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📈 70%+ of wealth firms report active or planned AI adoption.
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🏛 The U.S. Securities and Exchange Commission has identified AI oversight as an FY 2025 exam priority.
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⚠️ AI embedded in third-party fintech tools introduces hidden fiduciary risk.
Fiduciary oversight of AI isn’t optional — it’s the next exam question.
Comprehend | Track | Control | Manage
Chief Product Officer - HR SaaS software provider
"Their policy templates and policy distribution workflow is seamless. Really great and easy experience throughout the experience."
Enterprise Risk Manager / CCEP - international non-profit foundation
“It's been great to find a partner as passionate about Responsible AI as we are with the expertise to build a platform like AI Guardian."
General Counsel - customer support software provider
“Hands-on team that's not only providing a great platform, but leans forward to help us really implement AI governance properly."
Chief Information Security Officer - healthcare provider
“Just getting eyes on everything AI-related across our company has helped our executive team manage our overall AI effort better."
Chief Data Officer / PRM - leading regional bank
“AI Guardian really brought our in-house AI governance program together. We've saved a ton of time, understand our risk pathways now and feel confident about our AI adoption process for the first time."
