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Financial ServicesAI implementation case study

Financial Services – Mid-Size RIA ($4B AUM): Client Onboarding & Compliance Automation

AI agents for KYC/AML packet assembly, suitability narrative drafting, custodian ticket submission, and ongoing surveillance task routing for an RIA.

This case study documents a real client implementation. Identifying details may be withheld where confidentiality applies.

Key takeaway

PrimeAxiom automated the full client lifecycle handshake from data capture to custodian funding with AI doing document intelligence—not checkbox macros.

The engagement

From operational friction to a connected AI system

01 · Context

Business overview

Industry: registered investment advisory. Size: 38 advisors, $4B AUM. Complexity: multi-custodian, state registrations. Systems: Salesforce, portfolio accounting, custodian portals.

02 · Challenge

Core problem

Manual form chasing, inconsistent suitability files, duplicate custodian entry. Regulatory scale risk.

03 · Approach

Solution

PrimeAxiom deployed a compliance-grade automation: document extraction, risk scoring, advisor-ready suitability drafts, custodian API workflows, and exception queues with full audit trails.

04 · Impact

Results

Onboarding cycle −46%; exception rework −63%; exam prep binder time −55%; advisors gained ~6 hrs/week each of administrative recovery.

System design

The full automation system

The implementation connects triggers, AI decisions, business rules, human approvals, and downstream actions in one controlled workflow.

Orchestrated onboarding graph: intake → verify → suitability AI → custodian packets → surveillance hooks for changes.

Workflow

How the automation runs

1. Trigger: prospect converts. 2. AI extracts IDs, tax forms. 3. Risk and objective structured. 4. Suitability draft + flags. 5. Custodian API submissions. 6. CCO reviews exceptions. 7. Surveillance alerts on profile drift.

Intelligence layer

AI agents and decision logic

KYC Assembly Agent, Suitability Narrative Agent, Custodian Ticket Agent, Exception Router Agent, Surveillance Triage Agent.

Under the hood

Technical architecture

Encrypted PII store, WORM logs, enterprise LLM, API adapters per custodian, Salesforce as system of record.

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