AI by industry · Financial advisors
A dashboard for financial advisors
A dashboard for an advisory practice shows each client’s next review, open tasks, last contact and life events, plus pipeline for prospects and referral sources. It updates from email and meeting notes, so you can see who needs attention without a spreadsheet, and nobody is surprised by a review that was never scheduled.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
Reviews and contact rhythm
A list of clients by last conversation and next review exposes the drift. The ones you have not talked to in a while rise to the top.
A client who had a major life event recently and has not heard from you rises above one who is quiet but fine.
Prospects and referral sources
Track prospects by stage and who referred them. Over time you see which CPAs, attorneys and clients send the best relationships.
Westward builds these as custom systems on your own accounts.
Access and records
Client data deserves strict access and an audit trail. Work with compliance on what is stored and how long.
Sign in with an emailed one-time code rather than shared passwords, and review who has access regularly.
Picture this
Examples of what it can look like. Illustrations, not clients.
Monday’s view shows clients due for a review this month and the three whose last contact was longest ago.
A prospect page shows the referral source, the meeting notes and the next step.
A referral report shows which attorney sent the most prospects this year.
The rules that apply, in their own words
“must be fair and balanced, and must provide a sound basis for evaluating the facts”
“intended for voluntary use and to improve the ability to incorporate trustworthiness considerations into the design, development, use, and evaluation of AI products, services, and systems.”
Sources
- NIST AI Risk Management Framework: The U.S. standards body’s framework for using AI responsibly.
- FINRA Rule 2210: Communications with the Public: The rule for broker-dealer marketing and client messages.
- 17 CFR § 275.206(4)-1 (SEC Marketing Rule): The rule for investment adviser ads and testimonials.
- 15 U.S.C. § 45 (FTC Act, Section 5): The federal ban on unfair or deceptive business practices, ads included.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
Questions
Can it sync with my current CRM?
Often. It depends on what your system allows.
Does a client see it?
Only if you build a portal. By default it is for you and your team.
Will it connect to my custodian?
It depends on what the custodian lets you share. Build only what your agreements allow.
More jobs AI can take on
What Westward builds for this
A dashboard that runs itself: the same job in similar businesses