Annual Review
Continuously collects the materials needed for annual reviews — notes, communications, allocations, suitability checks, escalations — and assembles them into a complete, audit-ready package.
Why This Matters
Annual reviews are painful because firms scramble to rebuild 12 months of advisor & rep activity, documentation, supervisory actions, and suitability events — often across multiple systems.
Annual reviews don't fail because firms skip them. They fail because reconstructing a year of activity retroactively is overwhelming—and critical documentation gets lost or overlooked.
What This Agent Automates
- Ongoing evidence collection
- Review package assembly
- Summaries of changes over time
- Suitability & risk updates
- Documentation of escalations & resolutions
What It Eliminates
- Month-long annual review scrambles
- Reviewing accounts one-by-one manually
- Missing documentation discovered too late
- Ops having to gather materials across 6 systems
How It Works
Collect
Notes, trades, reviews, escalations continuously.
Organize
By client, rep, issue, date, theme.
Summarize
What changed, why, and what actions were taken.
Produce
Consistent, complete, ready for supervisors & auditors.
Example Outputs
Annual Review Ready: 47 items compiled, 3 missing follow-ups.
Suitability changes: 4 objective updates this year.
Summary: No open escalations.
Who This Helps
Advisors
Zero-effort prep for annual client meetings and reviews.
Ops Teams
No more cross-system data gathering or manual document assembly.
Supervisors
Standardized, complete packages that are easy to review and sign off.
Compliance
Continuous books & records maintenance that is always audit-ready.