How investment firms keep AI-assisted research auditable, fully sourced, and compliance-ready.
For a registered investment adviser, an AI that invents a citation is not a quirk. It is a regulatory liability. Agentic research, built to verify rather than generate, changes the risk calculus.
Read more→The numbers tell a story that should make every RIA pause. According to a 2026 Schwab study of 533 advisory firms, 63% of RIAs now use AI tools - more than double the adoption rate from 2023. Yet only about one in ten of those adopters has strategically embedded AI into their business model. The vast majority are experimenting: using generative AI for notetaking and email drafts on an ad hoc basis, without firm-wide policies, governance frameworks, or any systematic measurement of outcomes. That gap - between casual AI use and integrated AI deployment - is where the real risk lives. And for RIAs with fiduciary obligations, the risk isn't just competitive. It's regulatory.
Read more→
