AI agents for wealth and asset managers
Give your advisors agents that only see their own clients
Three agents for client reviews, rebalancing and client communications. The ones advisors call act as that advisor, see only that advisor's households, and never place a trade or send a message. Every call lands in one audit record.
Governing Finance Agents
Any tool, any model, any use case
Our example demonstrates three agents for your client service and portfolio work, pulled from our template library. Our team can work with yours to build, govern, and operate your agents as you deliver on your IT strategy.
Examples for Wealth & asset management
More from the library · Wealth
Also in the library
Prepare client reviews
Pulls the household, holdings and recent activity into a review brief with talking points. The advisor runs the meeting.
Tools
Model
Runs
Limits
Tuned for your team
- Your review template and house views
- Household fields each advisor team relies on
Applying Controls to Agents
Enforce book-of-business access, trade limits and client data in one place
Dome sits between the agents and your systems. Every call is checked against rules your team writes before it reaches Salesforce, Orion, Schwab or a model.
Advisor
- Agentreview-prep is registered and active
- Callerb.thornton verified through Okta
- Toolget_household is granted on advisor-tools
- RuleHH-20417 is in b.thornton's book
Comprehensive Audit
Show compliance exactly which clients an agent looked at
One record for every call: the agent, the advisor it acted for, the system, and the decision. Enable investigations, increase confidence and reduce risk in agentic operations.
- rebalancer06:30:12
| Timestamp | Type | Agent | Acting as | Resource | Outcome | Latency |
|---|---|---|---|---|---|---|
| 06:30:12.884 | ||||||
Regulation
Answer the SEC and FINRA from one record
Advisor agents touch client records, portfolios and client-facing words. These are the rules that reach them.
SEC Regulation S-P (2024 amendments)
What it asks
Firms must protect customer information, oversee service providers that handle it, and notify affected customers of unauthorized access.
What Dome gives you
A guard strips account and Social Security numbers before a model sees them. Every read is recorded with the advisor the agent acted for, and bulk client exports are refused.
SEC Marketing Rule and FINRA Rule 2210
What it asks
Advertisements and communications with clients must be fair and balanced, with no misleading performance claims, and supervised before use.
What Dome gives you
The communications agent saves drafts only. It can't send an email or publish a post, so every word reaches a client through your review process.
Books and records (Rule 204-2 and Rule 17a-4)
What it asks
Advisers and broker-dealers must keep business communications and records of advice for years, in retrievable form.
What Dome gives you
Every agent call, the advisor it acted for and the decision land in one audit record you can export to your archive.
FAQ
Common questions
How are AI agents used in wealth management?
Preparing client reviews, drafting rebalancing proposals and drafting client letters are common first agents. On Dome each works inside the access the advisor already has.
Can an AI agent place trades for clients?
Not on this setup. The rebalancing agent drafts trade proposals against the model portfolio, and a rule refuses any call that places an order.
Does the SEC Marketing Rule apply to AI-written content?
Yes. The rule covers the advertisement, whoever or whatever wrote it. Keeping the agent to drafts means every piece goes through the review your compliance team already runs.
How do you keep an advisor's AI agent out of other advisors' clients?
Scope access to the person. The agent acts as the advisor who asked, and a rule checks every household it reads against that advisor's book.
Forward deployed engineering
Spend 30 minutes with our FDE team to understand the platform, and how it fits to your needs.
Our FDE team can get your first agent under management and work with your platform team to deliver results for your AI program.
Key topics to discuss:
- Review your AI plans, progress to date, and timeline for agentic projects in production.
- Planning a specific agent, or agentic app, to bring under governance.
- Learning more about our platform capabilities, from gateways to routing.
- Defining agentic operations as repeatable golden pathways for Platform and AppDev teams.
Explore
Other finance solutions
Industry
Finance
KYC reviews, client servicing and SAR narratives. Approvals, money movement and filings stay with your people.
See the agentsFinance
Fintech
App support, onboarding reviews and payment disputes. Fee reversals stay capped, and approvals stay with your people.
See the agentsFinance
Banking & lending
Credit memos, mortgage file checks and adverse action notices. Risk ratings and credit decisions stay with your people.
See the agentsFinance
Payments & spend management
Disputes, card spend and vendor payments. Refunds stay capped, and payments are released by your people.
See the agentsFinance
Capital markets & digital assets
Morning notes, pre-trade checks and digital asset transfers. Agents never route orders or approve transfers.
See the agentsOther industries
AI agents for gaming and sports betting
Player support, responsible gaming review and bonus setup. Self-exclusions and limits stay out of an agent's reach.
Agentic use cases
- Answer player questionsLooks up a player's account, bets and withdrawal status so a specialist can answer fast. It reads. Balances and limits stay with people.
- Review responsible gaming signalsReviews players flagged for risky play and drafts case notes for the responsible gaming team. It never changes a limit.
- Configure bonusesSets up deposit matches and free bets from a campaign brief, up to the cap you set. Self-excluded players are never targeted.
Answers to
- State gaming regulations
- Bank Secrecy Act (FinCEN casino rules)
- Age, identity and location checks
AI agents in healthcare
Prior authorizations, visit notes and eligibility checks. Agents read only the charts their clinician can read.
Agentic use cases
- Assemble prior authorizationsPulls the notes, orders and imaging a payer asks for into one authorization packet. A clinician reviews it and submits.
- Draft visit notesDrafts a visit note from the encounter and the chart, in the department's template. The clinician edits it and signs it.
- Verify eligibility before the visitChecks coverage for the next day's appointments overnight. Anything that needs a call before the visit goes to the patient access channel.
Answers to
- HIPAA minimum necessary
- Business associate agreements
- HIPAA Security Rule audit controls
- CMS prior authorization rule (CMS-0057-F)
AI agents for insurance claims
Claim intake, file summaries and fraud screening. Agents read only the claims assigned to their adjuster.
Agentic use cases
- Triage new claimsReads each first notice of loss, sets severity and line of business, and routes it to the right adjuster queue. It flags. It never settles.
- Summarize claim filesSummarizes medical records, police reports and correspondence in a claim file for the assigned adjuster. Only claims that adjuster handles.
- Screen claims for fraud signalsChecks each open claim against prior claims history and flags patterns for the special investigations unit. It never denies a claim.
Answers to
- NAIC Model Bulletin on AI Systems
- Unfair claims settlement practices laws
- Insurance data security laws
AI agents for law firms
Conflicts checks, clause extraction and redlines. Every agent acts as the lawyer who asked.
Agentic use cases
- Check new matters for conflictsSearches Intapp and past matters in iManage for parties that conflict with a proposed engagement. It reports. It never clears a conflict.
- Extract clauses from contractsPulls parties, dates, renewal and change-of-control terms from the contracts in a matter workspace. Only in matters the requester is staffed on.
- Draft redlines against the playbookMarks up a counterparty draft against your playbook and saves it as a new version. Counsel reviews it and sends it.
Answers to
- ABA Formal Opinion 512
- Privilege after United States v. Heppner
- Ethical walls (Model Rules 1.7, 1.9, 1.10)
AI agents for professional services firms
Proposals, staffing and engagement status. Each agent sees only the engagements its consultant works on.
Agentic use cases
- Draft proposalsReads an RFP and drafts a response from the firm's reuse library. Client names in past work are stripped before the model sees them.
- Match staff to engagementsMatches skills and availability to a new engagement's roles and proposes a team. Resource managers make the assignments.
- Report engagement statusReads the project plan and engagement files and drafts the weekly status report. It sees only engagements its consultant is on.
Answers to
- Client confidentiality terms
- AICPA Confidential Client Information Rule
- SOC 2
- GDPR and state privacy laws
AI agents for retail
Order lookups, replenishment and product copy. Refunds, orders and publishing stay with your people.
Agentic use cases
- Answer order questionsLooks up orders, shipments and returns so an associate can answer a customer fast. It reads. Refunds stay with the associate.
- Plan replenishmentForecasts demand by store and drafts purchase orders against par levels. Buyers review them and send them.
- Write product copyWrites product titles and descriptions from supplier data, in your voice, and saves them as drafts. Merchandisers publish.
Answers to
- PCI DSS v4.0.1
- State privacy laws (CCPA/CPRA)
- SOX internal controls
- FTC Act, Section 5
- Antitrust and algorithmic pricing
- Predictive scheduling laws
- Routing guides and carrier contracts
AI agents for software companies
Escalation triage, incident summaries and release notes. Agents read code and incidents. Shipping stays with engineers.
Agentic use cases
- Triage engineering escalationsReads an escalated ticket and the code it points to, drafts a diagnosis and sets priority. Fixes stay with the engineer.
- Summarize incidentsFollows an incident's timeline and recent deploys, drafts status updates and a first postmortem. It never acknowledges, pages or resolves.
- Draft release notesReads the pull requests merged since the last release and drafts customer-facing notes. The release stays a draft until an engineer publishes it.
Answers to
- SOC 2
- ISO/IEC 42001
- EU AI Act
- State privacy laws (CCPA/CPRA)
Enabling agent operations
Governance at the agent‑action boundary.
However an agent was built and wherever it runs, the same three boundaries are available to control it: the code it ships as, the tools it calls, and the model it reasons through.
Code
Agent Registry
Make every agent known and manageable. Credentials issued, capabilities declared, lifecycle owned.
See more
Tool
MCP Gateway
Evaluate every call against policy with full context. Allow, deny, or escalate. Filter what comes back.
See more
Model
Model Broker
Constrain how the agent reasons. Selection by policy, routing across providers, evals against real traffic.
See more