We automate the admin around regulated work: lead qualification, compliant client intake with a full audit trail, document and data pipelines, CRM cleanup, and client reporting. The AI extracts and drafts, deterministic logic decides, and a qualified person signs off on anything that matters.
Brokers, advisers, accountants, lenders, and wealth firms all run on the same hidden tax: regulated work surrounded by mountains of manual admin. A new client means collecting IDs, statements, KYC forms, and applications, all arriving as PDFs, scans, and phone photos in no consistent format. Someone re-keys it into the CRM, chases the three documents that are missing, and tries to keep a record of who approved what. It is slow, it is error-prone, and it is exactly the part regulators care about being consistent and traceable.
The trust bar is higher here than in almost any other vertical, and that is precisely why so much stays manual. You cannot let a chatbot give advice or auto-approve an application. So the answer is not to automate the judgment, it is to automate everything around it. Capture, classify, extract, validate, log, and route, then hand a clean, complete, audit-trailed package to the person who makes the decision. That is where the hours and the risk both live, and it is what we build.
A deterministic pipeline that captures, validates, and logs the repetitive work and hands your people a clean package to decide on. The AI extracts and drafts, deterministic logic decides, a person signs off.
Enquiries are captured, qualified against your criteria such as product fit, jurisdiction, and suitability flags, and routed to the right adviser or queue. The model scores and drafts, the routing and gating stay deterministic, so unsuitable enquiries are surfaced, never quietly auto-approved.
Client onboarding and KYC document collection run as a tracked, logged workflow. Every step is recorded: what came in, what was extracted, what was checked, and who approved it. Your intake becomes defensible and reviewable instead of living in one inbox.
Statements, IDs, applications, and forms arriving as PDFs, scans, and photos are classified, parsed with AI plus OCR, validated against rules, and pushed into your systems. Missing or inconsistent fields are flagged for a person instead of being re-keyed by hand.
Deduplicated, validated, consistently formatted client records, kept in sync across your CRM, advice tools, and reporting. A clean system of record is the foundation everything else, and every audit, depends on.
Recurring client statements, portfolio summaries, and internal compliance reports are generated from your structured data on a schedule, so a manager stops rebuilding the same report by hand every week or quarter.
No advice, approval, or regulated decision is ever made by the model. Anything material is routed to a qualified person with the full, validated package attached, and their sign-off is part of the logged record.
Picture an advisory firm onboarding around 40 new clients a month. Each onboarding means collecting and re-keying documents, chasing the ones that are missing, and assembling a compliant file, call it roughly two hours of admin per client by hand. Move that to a tracked intake pipeline that classifies, extracts, validates, and logs automatically, and the manual portion drops to a fraction, with a clean audit trail as a by-product. That is on the order of 50 to 60 hours a month of back-office time returned, plus a more consistent, defensible process. These figures are illustrative ballparks; we size the real ones against your volumes in the audit.
The judgment, advice, and approvals stay with your people. Only the admin around them is automated.
We default to n8n, which can run self-hosted on infrastructure you control, so sensitive data stays inside your approved environment. Then we connect the right model and your systems of record.
n8n
Claude
GPT
Gemini
HubSpot
Pipedrive
BigQuery
Google Sheets
Looker Studio
Yes, when it is scoped correctly, which is exactly how we build it. The AI extracts data from documents and drafts text, it never makes the compliance or advice decision. All routing, eligibility gating, and approval logic is deterministic, and a qualified person signs off on anything regulated. Nothing client-facing or material to advice goes out on the model's authority alone.
Yes. Every step is logged: what came in, how it was classified, what was extracted, what the system did, and who approved it. That record is the point. It means your intake and document handling are defensible, reviewable, and consistent, rather than living in one person's inbox and memory.
We design around your data-handling requirements, not against them. That includes running the n8n workflow engine on infrastructure you control where needed, keeping data inside approved tools, applying least-privilege access, and not sending sensitive data anywhere it does not need to go. We confirm the exact constraints with your compliance owner in the audit before building.
Yes, that is one of the highest-value places to automate. Statements, IDs, KYC forms, and applications arrive as PDFs, scans, and photos in no consistent format. We classify each document, extract the fields with AI plus OCR, validate them against rules, and flag anything missing or inconsistent for a human, instead of someone re-keying it all by hand. See our data pipelines service for the mechanics.
No. It removes the admin around them. Advisers stop spending hours on data entry, chasing documents, and assembling reports, and get that time back for clients. Compliance gets a cleaner, logged, more consistent process to review. The judgment, advice, and sign-off stay with your people.
A focused first version is typically live in 7 to 14 days, with the compliance scoping done up front. We roll out in phases, usually lead qualification or document intake first, so you see value early while the more sensitive pieces are reviewed and signed off before they go live.
Book a free audit. We will map where your intake and reporting leak hours, scope the compliance constraints, and show you exactly what to automate first. No spam, ever. Your details stay confidential.
Book My Free Audit bastien@otimizagency.com