Financial Planning and Services
Financial planning firms are adopting AI for meeting notes, review preparation, operations tasks, marketing and the planning work itself. The value depends on fitting those tools to the firm's own systems, data and advice.
Most of these case studies come from Jeff Hunt's work with an independent financial planning and wealth management firm. It is a long-running engagement, begun in 2024, in which Jeff has built many of the firm's internal tools. Each tool addressed a separate problem the team brought to him.
Staff at a firm like this move client information between the CRM, custodian websites, planning software, email and spreadsheets, and a mistake can reach a client. The tools Jeff has built draft financial plans, read tax returns and statements, download and reconcile custodian data, track client life events, prepare reviews and onboard new clients.
Jeff has also built a rebalancing tool for a registered investment advisor and private AI search over support tickets for a financial services software company. These appear among the case studies below.
Case studies
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Financial Planning and Services · Custom Business Applications
An assistant that answers advisors' questions from the firm's own records
Advisors ask about any client in plain English and receive answers from the firm's own records, including a summary to prepare for each client review.
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Financial Planning and Services · Process Automation
A tax return review that checks every figure against the page
The key figures from a client's tax return, each confirmed on the return itself, with planning observations and a draft email to the advisor for the reviewer to check.
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Financial Planning and Services · Custom Business Applications
From a prospect's documents to a draft financial plan
The system reads statements, tax returns and pay stubs, so staff never key in a prospect's information. It then drafts a complete financial plan customized from the firm's archive of past plans.
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Financial Planning and Services · Custom Business Applications
A timeline of each client household's life events, built from years of notes
Births, deaths, marriages, retirements and moves found in years of client notes, each with its source sentence, shown as a timeline and family tree for each household.
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Financial Planning and Services · Process Automation
A short list of client life changes for the operations team
Client life changes mentioned in passing, gathered into a short list for the operations manager, sorted by priority, each with the exact words it is based on.
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Financial Planning and Services · AI Strategy
A study of where the firm's work gets stuck
A map of the firm's work, a scored list of what to automate next, and the recurring causes of rework and delay, each backed by examples leadership could check.
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Financial Planning and Services · Custom Business Applications
Meeting notes that replaced a leading AI notetaker
Notes and follow-up emails drafted in each advisor's style and connected to the firm's CRM and email, at a lower cost than the subscription it replaced.
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Financial Planning and Services · Process Automation
Client money events and a monthly new-assets report, drafted for review
Custodian transaction records turned into a clear list of each client's money events, and the monthly new-assets report drafted for the operations manager to review.
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Financial Planning and Services · Process Automation
Custodian reports, downloaded and checked automatically
Downloads the custodian reports staff used to fetch and merge by hand, checks each one, and holds back the dependent tools until every report is in.
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Financial Planning and Services · Process Automation
Tax-season document collection, ending in a draft email to the client and CPA
For each household, the year-end tax forms gathered, notes for the tax preparer, missing accounts flagged and the email to the client and CPA drafted for review.
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Financial Planning and Services · Custom Business Applications
Household rebalancing trade lists that follow the advisor's rules
Whole-share trade lists across all of a household's accounts that follow the advisor's own rules and give the same trades from the same inputs.
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Financial Planning and Services · Custom Business Applications
Private AI search over support tickets, on the company's own server
Support agents find the past tickets that answered a new question, with the AI running on the company's own server so ticket text stays in-house.
Smaller projects
Smaller tools for the financial planning firm, one line each.
- Investment returns reporting. Returns for the firm's most-held funds against a benchmark, with every figure calculated in code and AI adding only the commentary.
- Advisory fee check. Calculates the fee set up on each managed account and flags any that do not match the firm's fee schedule.
- Annuity anniversary report. Reads each insurance company's export, each in its own format, and produces one report for each advisor.
- Team activity report. Turns the CRM's activity export into a summary of completed work by type and team member.
- Phone time per client. Matches the phone system's call log to the CRM to show how much phone time each household takes.
- Automatic filing of meeting notes. Saves each review meeting's notes in the correct client's folder for the compliance record, and asks when it is unsure.
- One client, every system. Opens the client being viewed in the CRM in each of the firm's other web systems at once.
- Meeting reminder texts. Prepares a personal reminder text for each upcoming client meeting, which staff review and send.
- Client mailing-list checker. Compares client records in the firm's outside services with the CRM, field by field, so cards and messages reach the right people.
- Beneficiary designation collector. Gathers the beneficiary designations on every brokerage account into one list, so they can be checked against the CRM.
- Safe bulk CRM edits. Changes one field across many contacts, with a dry run and a confirmation first.
- Client profile audit. Turns the firm's client profile pages into one spreadsheet row per client, so they can be audited without opening each one.
Discuss a project with Jeff Hunt
Schedule a free 30-minute phone call, or write to [email protected]. A brief description of your organization and the work you want to improve is enough to begin.