Financial Services Vertical AI

Reg BI Documentation.
Automated. Auditable. In 8 Minutes.

Apollo deploys FINRA-aware AI agents that own Suitability Documentation, KYC/AML Onboarding, and Compliance Calendar Management — producing timestamped, examiner-ready audit trails that satisfy SEC Rule 15l-1 requirements.

Get My Agent Spec See Owned Workflows
Reg BI · FINRA Rule 2111 · Immutable Trails
Financial AI Compliance
Audit Confidence
100%
Examiner Ready
~8 min
Suitability documentation (vs. 45–90 min manual)
100%
Recommendations documented for SEC examination readiness
2–3 hrs
Compliance staff hours/week (exception review only vs. 20+ manual)
$120K+
Estimated annual value recovered per firm (est.)
Owned Workflows

Five Compliance Workflows. Zero Documentation Gaps.

Every agent is purpose-built around the FINRA rulebook, SEC Reg BI requirements, and the specific audit trail standards your examiners expect.

Suitability Documentation (Reg BI)
Antigravity ingests advisor intent from CRM, Claude scores suitability against FINRA Rule 2111 criteria and drafts the written rationale document, compliance officer approves with one click — immutable archive created automatically.
⏱ 45–90 min → ~8 minutes
KYC / AML Onboarding
Claude executes beneficial ownership verification and sanctions screening against live regulatory databases. Antigravity tracks onboarding status and flags exceptions. Entire process completes in minutes, not business days.
⏱ Days → Under 2 hours
Trade Surveillance & SAR Filing
Antigravity monitors trade activity for manipulation patterns. Claude analyzes flagged trades, classifies risk, and drafts Suspicious Activity Reports within the 30-day regulatory window. Open Claw visualizes the surveillance timeline.
⏱ SAR drafts in minutes, filed within deadline
Compliance Calendar Management
Antigravity tracks all Form ADV, Form BD, Reg BI, and state filing deadlines. Claude drafts renewal packets and disclosure documents. Zero missed deadlines, zero last-minute panics.
⏱ 100% deadline capture rate
Client Performance Reporting
Claude generates GIPS-compliant quarterly performance reports from portfolio data. Antigravity manages report distribution. Open Claw produces visual performance attribution summaries for client-facing delivery.
⏱ Reports in hours, not days
The Apollo Pipeline

Suitability Documentation: 8 Minutes, Fully Compliant

1
ANTIGRAVITY
Advisor logs recommendation intent — Antigravity captures it from CRM
No separate workflow tool needed. Antigravity listens for advisor intent signals in your existing CRM and activates the documentation pipeline automatically.
2
CLAUDE
Pulls client risk profile, investment objectives, and account history
Claude retrieves the structured client data needed for suitability scoring — no manual lookup, no toggling between systems.
3
CLAUDE
Scores suitability against FINRA Rule 2111 criteria — rationale drafted
Claude applies the FINRA Rule 2111 framework: reasonable basis, customer-specific, and quantitative suitability. A human-readable written rationale is generated and ready for review.
4
OPEN CLAW
Visualizes the recommendation rationale and audit timeline
Open Claw produces a visual audit trail diagram — the exact format SEC examiners and FINRA auditors expect to see during reviews.
5
COMPLIANCE OFFICER (Human in the Loop)
One-click approval — document archived in immutable, timestamped log
The only human step. Compliance officer reviews Claude's rationale and approves it. Antigravity archives to the immutable audit log with timestamp and digital signature.
Compliance Architecture

Built for SEC Examination Day. Not Just Audit Season.

SEC Regulation Best Interest (Rule 15l-1) + FINRA Rule 2111

Every suitability rationale generated by Claude is timestamped, digitally signed, and stored in an immutable audit log that satisfies both SEC Reg BI and FINRA Rule 2111 documentation requirements. Antigravity flags any recommendation where the suitability score falls below your firm's threshold — routing it for mandatory compliance review before the recommendation is made.

Reg BI Documentation
Written rationale auto-generated for every recommendation — SEC-ready format
FINRA Rule 2111
Three-part suitability analysis (reasonable basis, customer-specific, quantitative) applied by Claude
Audit Trail
Immutable, timestamped, digitally signed log for every workflow step
Human Override
Any recommendation flagged below firm threshold is auto-escalated to compliance officer
Data Isolation
Client data never crosses matter boundaries. Zero inter-client data exposure.
Model Training
Zero client data used for model training — ever. Contractual guarantee.

Schedule a Meeting

Get your FINRA-aware AI Agent Specification in under 5 minutes with the Apollo Client Builder.

Launch Client Builder Book a 15-minute call
Apollo Copilot