Financial Services
Client intake, document collection, KYC handling, advisor-side copilots — designed for the audit, the regulator, and the client's actual experience.
Industry · Financial Services
Advisor teams using Code 7 cut new-client onboarding time by 45–60%.
The 3 problems we hear most
KYC, IDs, statements, beneficiary forms — every new client is two weeks of back-and-forth before they're funded.
Document review, suitability checks, marketing approvals — work your most expensive people are doing manually.
Inbound leads from your site or referral partners cool fast. Slow response = lost AUM.
For financial services
Tap any service to see how it's tuned for your industry.
Client intake, document collection, appointment booking — with no investment advice, no advisory line crossed.
Service detailEligibility pre-screening, document checklist, intake — grounded in your real disclosures.
Service detailKYC document handling, approval routing, statement processing, billing — the paperwork that wears out senior staff.
Service detailAUM growth, retention, advisor productivity, compliance metrics — KPIs your CCO can defend.
Service detailLicensed advisor recruiting, BDR/SDR pipelines, structured interviews — compliance-aware from intake.
Service detailDocument classification, compliance review, client memo drafting — engineered with audit and explainability.
Service detailAdvisor sites, fund pages, compliance-friendly content — AI-readable, fast, lead-tuned.
Service detailCompliance & considerations
We design with your industry's rules in mind from day one — and document it for the people who'll audit you.
Agents configured to never give investment advice or promise specific returns. Communications archived per recordkeeping rules.
PII encrypted, access-controlled, and audit-logged. Subprocessor list documented for your compliance team.
All conversations stored to the retention period your compliance officer specifies. Exportable for audit.
Tools we integrate with
A recent result
Problem
New-client onboarding averaging 18 days, 70% of which was document collection and back-and-forth. Senior advisors spending 6+ hours/week on intake admin.
Outcome
Workflow automation cut document collection to 4 days average. Advisors recovered 8+ hours/week. Time-to-fund dropped 52%. Compliance documentation auto-attached to each client file.
See more case studiesFinancial Services · FAQ
No — explicitly prohibited and tested for. The agent's job is intake, scheduling, and document handling. Advice is your advisors' job.
Encrypted at rest and in transit. Subprocessors documented. Retention configured to match your compliance policy. Audit logs on every PII access.
Yes — and most major advisor CRMs. We'll confirm specific integrations in the audit.
Free AI Audit
We'll map three concrete places AI can save you money — specific to your financial services business.
