AI Governance for
Wealth Management
Streamline third-party AI oversight, enable responsible adoption, and safeguard client trust for your rapidly growing RIA business.
Wealth management businesses need AI Governance that is:
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.
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.
Scalable
As your firm’s AI ecosystem expands, AI Guardian scales with you. Whether using third-party tools or in-house models, it provides a flexible governance framework that adapts across technologies—keeping your oversight program strong, consistent, and compliant as AI evolves.
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.
Efficient Oversight
Simplify supervision of AI and third-party tools — reducing compliance burdens
Expanding AI Adoption
70%+ of wealth firms report active or planned AI adoption.
Regulatory Readiness
SEC, FINRA, and state regulators (e.g., Colorado, Texas, California, New York) are signaling AI compliance expectations.
Third-Party Risk Control
AI embedded in third-party tools introduces hidden risk to fiduciary duties.
Industry-Specific Solutions
AI Guardian adapts to the unique compliance and governance needs of your industry
65%
reduction in AI use case review time.
40%
faster vendor AI due diligence.
100%
One-click evidence reporting for SEC/FINRA/state exams.
Results
This is your Testimonial quote. Give your customers the stage to tell the world how great you are!
Jamie L.
With AI Guardian, we can actually show our AI oversight program — not just talk about it.
CCO, $8B firm
With AI Guardian, we can actually show our AI oversight program — not just talk about it.
CCO, $8B firm
Powerful Features for Complete AI Oversight
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.
AI Guardian's Vendor Risk
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. See it in action, here.
Clear your vendor assessment backlog now
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.
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.”
Industry-Specific Solutions
AI Guardian understands the unique compliance and governance needs of your business
