What to build in an advisory firm, and what has to be true first.
One constraint taken from the problem to the thing that replaces it, seven builds each with the condition it depends on, and eight AI use cases marked on the FINRA side and the Advisers Act side, with the control each one needs and the person who has to sign for it.
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You need the specifics, not another overview.
Most material written for advisory firms stops at the claim. It says AI can save time on meeting preparation and never says what would be built, what it would reach into, or what has to be true before it works. This starts where that stops, so a principal can read it once and know what is worth funding.
And the specifics are what nobody publishes.
Skimmed a vendor white paper and came away with nothing you could act on
Asked a vendor what the control was and got a feature list back
Wanted to know who signs for an AI output and found no one had written it down
What gets published is the claims, which are the least useful part. The conditions are the useful part: what has to be true before each build is worth starting, and who has to sign for each AI use case.
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Start with one task and the matching chapter. Gather the inputs, try the example, and check the result against your requirements. The guide is a reference for that process. Your tools, access and experience determine what is practical for you.
What to build, what it depends on, and who signs for it.
One worked example in full, seven builds with the problem and the condition that gates each, eight AI use cases with the FINRA side, the Advisers Act side, the control and the signature, the five controls that recur under all of them, and six things buildable now.
One constraint taken from the problem to the thing that replaces it
Seven builds, each with what has to be true before it is worth starting
Eight AI use cases marked on the FINRA side and the Advisers Act side
The five controls that recur under every one of them
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Read the chapter list and examples to see whether the guide fits your task. The documents describe a June 2026 snapshot. Product features, access and pricing can change, so confirm any setup instructions against current vendor documentation.
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An independent guide from Prometheus Consulting, for principals, ccos and ria leadership deciding what to fund. Downloadable guide snapshot: June 2026. Landing page revised 2026-10-14. Check product instructions against current vendor documentation. Unofficial: product names are trademarks of their respective owners, none of whom reviewed or endorsed this guide.