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
- check_circleOngoing evidence collection
- check_circleReview package assembly
- check_circleSummaries of changes over time
- check_circleSuitability & risk updates
- check_circleDocumentation of escalations & resolutions
What It Eliminates
- closeMonth-long annual review scrambles
- closeReviewing accounts one-by-one manually
- closeMissing documentation discovered too late
- closeOps 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.