Supervision & Escalation

Automates your supervisory review → flag → escalate → document procedures, ensuring every advisor and rep follows the required steps—consistently and without delays.

Why this matters

Supervision breaks down when activity comes in from everywhere — email, CRM, trades, notes, alerts — and supervisors are expected to keep all of it in their head. That's when firms get:

× inconsistent decisions across supervisors
× lost escalations buried in inboxes
× missing documentation found only during audits
× principal overload from unclear queues

Supervision doesn't fail because people don't care. It fails because the workflow isn't explicit, enforced, or trackable.

This agent fixes exactly that.

What this agent automates

What it eliminates

  • Manual triaging of review queues
  • Email threads asking "Who owns this?"
  • Lost or delayed follow-ups
  • Inconsistent review decisions across supervisors

How it works

1. Ingest

Emails, call summaries, CRM notes, review queues—all analyzed against your supervisory procedures.

2. Analyze

Checks documentation completeness, rationale consistency, escalation triggers, and missing steps.

3. Act

Routes to the correct principal, tracks follow-ups, updates status, and builds evidence automatically.

Example outputs

Missing documentation detected: No rationale recorded for trade.

Suggested follow-up: "Confirm investment objective and record rationale."

Escalation triggered: Communication requires principal review.

Routed to: Principal Queue B.

Review complete: All required supervision steps satisfied.

Evidence attached automatically.

Who this helps

Advisors & Reps

Less back-and-forth. Fewer missing steps. Clear expectations.

Supervisory Principals

Clean queues, consistent routing, reliable context for decisions.

Ops Teams

No more chasing for updates, escalations, or missing items.

Compliance

Audit-ready evidence without manual assembly.

Ready to run your RIA without the busywork?

Your advisors focus on clients. Your ops team gets consistency. Your principals get predictability. PitCrew handles the rest.