What to build inside the firm, what order to build it in, and what has to be true first.
The Advisory Systems Blueprint, the Seven Systems of an Advisory Firm and the Compliant AI Guide in one volume, closing on six ideas buildable today.
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The tools are bought. The work still runs on people and memory.
Most firms already run a website, a CRM, planning software, portfolio systems, custodians and a compliance platform, and the work between them still moves by hand. The gaps between those tools are where the time goes.
And AI makes the gaps more expensive, not less.
Bought another tool and added another screen to move data between
Tried an AI assistant and could not say who signs for what it wrote
Waited for a vendor to connect the pieces and got a roadmap instead
An AI output inside a supervised firm is a record someone has to answer for. Without an order to build in and a control under each use, the tool that was meant to save time becomes the thing compliance has to chase.
Choose a workflow you can put to use.
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.
Build in the right order, with the controls in place.
Where an advisory firm is actually constrained, seven substantial builds with the condition each depends on, eight things firms already do with AI marked on the FINRA side and the Advisers Act side, and six ideas buildable today.
The Advisory Systems Blueprint: where the work stalls between the systems you own
The Seven Systems of an Advisory Firm: the order that makes each one work
The Compliant AI Guide: where AI touches supervision, on both rulebooks
Six ideas buildable today, and what has to be true first
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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 financial advisors, rias and small broker-dealers. 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.