Category: AI Governance & Emerging Threats

• Your Firm Is Already Using AI. Here’s How to Make It Defensible.

  Somewhere in your firm right now, an advisor is pasting text into an AI chatbot. Maybe it’s meeting notes. Maybe it’s a draft client letter. Maybe (and this is the one that should keep you up at night) it’s a spreadsheet with account numbers in column C. You can’t policy-memo your way out of this. […]

• What It Actually Looks Like to Run a Local LLM at Your Firm

  Over the past year, a growing number of the advisers and fund managers we work with have asked the same question: “Can we run an AI model in-house, so client data never leaves the building?” The answer is yes, and the technology side is more approachable than most firms expect. One quiet desktop machine in […]

• A Model Was Pulled Overnight. Was Your Firm Running On It?

  On June 12, 2026, a US government directive forced two AI models offline for every customer with no notice and no restoration date. For any firm that had built a workflow on one of them, the lesson is not that a model disappeared. The lesson is that AI governance has to operate in real time.

• Your Vendors Already Turned AI On For You

  Your AI policy may say the firm doesn’t use generative AI. Your vendor stack disagrees. Five questions to send every vendor that touches client data — and the tenant audit that takes one afternoon.

• The Perimeter Is Gone: What AI-Driven Vulnerability Discovery Means for Small RIAs

  When AI systems can autonomously find and exploit vulnerabilities at scale, the patch-and-respond timeline defenders have always relied on collapses. What that means for small RIAs — and why documenting your reasoning now matters.

• AI Deployment in SEC-Registered Firms: Five Pillars and a Control Stack

  A practitioner framework for RIA executives making defensible AI decisions: five compliance pillars and the technical control stack that enforces them under existing SEC rules.

• The Great Data Reclamation: The Future of RIA Operations, Infrastructure, and Security

  Three converging forces — vendor concentration, AI data absorption, and the quantum decryption threat — are reshaping RIA risk. The case for reclaiming control over mission-critical data.

• How the SEC Expects RIAs to Supervise AI — Today

  AI does not trigger a new regulatory regime — it operates within the one that already exists. The ten questions RIAs ask about supervising AI under current SEC rules, answered.