Trade & Allocation
Checks trades, model changes, exceptions, and allocation adjustments for restrictions, drift, IPS alignment, rationale completeness, and review-required triggers.
Why This Matters
Trading errors almost always surface in audits or client complaints — not in real time. Most firms rely on manual checks or overnight exception reporting that misses rationale and suitability context.
Trade oversight doesn't fail because advisors make mistakes. It fails because checks happen too late, without the context needed to spot issues before they become problems.
What This Agent Automates
- check_circle Checks allocations vs IPS, model, objectives
- check_circle Flags drift or unusual deviations
- check_circle Verifies trade rationale completeness
- check_circle Detects restricted securities or exceptions
- check_circle Sends exceptions to the supervision queue
What It Eliminates
- close Manual exception logs
- close Scrambling to reconstruct the rationale later
- close Advisors forgetting required documentation
- close Ops discovering gaps after a review
- close Supervisors approving without full context
How It Works
Ingest
Direct from custodian / system.
Compare
IPS, objective, suitability, restrictions.
Flag
Drift, missing rationale, exceptions, conflicts.
Escalate
Route to principal with full context & evidence.
Example Outputs
Exception: 12% deviation from IPS target.
Restricted security: escalate to principal.
Missing: rationale for concentrated position increase.
Who This Helps
Advisors
Clear trade rules.
Ops
No manual logs.
Supervisors
Clean review packets.
Compliance
Audit-ready trails.
Ready to Deploy?
Your advisors focus on clients.
PitCrew handles the rest.