San Francisco, CA
A San Francisco boutique wealth management firm was losing younger high-net-worth clients to digitally-native robo-advisor platforms. Their client communication was quarterly paper statements and phone calls — delivering a 1990s experience to a client base that managed everything else through apps. Compliance documentation was manual and time-consuming for advisors.
We built a SEC-compliant digital client platform — an AI-powered investment advisor chatbot that answered common portfolio questions 24/7, a real-time portfolio dashboard replacing quarterly paper statements, digital onboarding that reduced new account setup from 14 days to same-day, and a compliance documentation system that auto-generated required disclosures and audit trails.
Mapped all SEC and FINRA compliance requirements alongside client experience expectations to design a platform that satisfied both without compromise.
Built the SEC-compliant AI advisor chatbot and real-time portfolio dashboard with performance analytics and goal tracking.
Developed the digital onboarding system with e-signature, identity verification, and automated compliance document generation.
Migrated existing clients to the new platform with white-glove onboarding support, then launched a digital marketing campaign targeting San Francisco high-net-worth prospects.
Client portal log-ins and digital interactions grew 92% as clients shifted from quarterly calls to daily digital engagement.
Improved client experience and digital onboarding drove 58% AUM growth as existing clients increased allocations and new clients were acquired.
Automated compliance documentation maintained 100% compliance with all applicable SEC disclosure and record-keeping requirements.
New account setup time dropped from 14 business days to same-day with digital document collection and e-signature.
“Our clients under 50 were asking us why their wealth manager had a worse app than their bank. Now we have a platform that impresses even our most tech-sophisticated clients.”
Let’s discuss how Calidigi can deliver results like these for your industry — with a custom strategy built around your goals.