For financial planning & wealth management firms
Cut the compliance admin. Free up your advisers to actually advise.
Keecore AI handles the file notes, SOA/ROA prep, client meeting packs and Monday-morning overviews that chew through adviser time. It runs inside the Microsoft 365 environment you already use — Outlook, Teams, SharePoint — set up, secured and managed by an actual M365 security MSP, with every output reviewed by your team before it leaves your practice. AFSL-appropriate. Human-in-the-loop always.
Where your practice loses time
- Post-meeting file notes take 20–40 minutes per client — time that grows linearly with your book but doesn't produce billable advice.
- SOA and ROA preparation starts from scratch each time, even when the scope is similar to a previous engagement — because no one has time to systematise it.
- Client meeting prep — pulling together portfolio positions, outstanding actions, and prior-advice history — falls to whoever has the client relationship, eating into the appointment itself.
- Inbound leads and enquiries sit in an inbox for hours while advisers are in back-to-back appointments, costing conversion.
- The principal has no clean Monday-morning view of what's live, what's pending, and what needs attention — so the week starts with triage instead of direction.
- CRM notes are inconsistent or incomplete because staff are logging from memory after a busy session, not in the moment.
Financial planning firms run on compliance and trust. Every hour an adviser spends on administration is an hour not in front of a client — or spent meeting FASEA CPD obligations. The compliance burden is real, and it isn't going away.
What Keecore AI does
It works alongside the tools your practice already uses — Outlook, Teams, SharePoint, OneDrive — and handles the high-volume, time-consuming admin. Your team always reviews what it produces before it is acted on, filed or sent. The agent assists. The adviser decides.
- Drafts post-meeting file notes from meeting transcripts or brief bullet-point summaries — capturing key discussion points, advice considerations, client instructions, and follow-up actions in a structured format your team refines and approves.
- Prepares client meeting briefing packs — pulls together prior advice notes, open actions, client objectives, and relevant background so the adviser walks in prepared, not scrambling.
- Produces first-draft SOA/ROA outlines from your approved templates and prior documents — the structure, scope and standard sections drafted for a human to review, adjust and finalise.
- Manages CRM note drafts — translates meeting notes and email threads into consistent, structured CRM entries, ready for adviser review and submission.
- Handles inbound lead triage — classifies and prioritises inbound enquiries, prepares a draft response for your team, and routes urgent enquiries to the right person without delay.
- Delivers the Monday business overview — the principal receives a structured summary of active clients, open advice items, pending SOAs, upcoming review meetings, and anything flagged for attention, ready at the start of each week.
Use case examples
Post-meeting file note drafts
After a client review or strategy meeting, the adviser shares the meeting transcript or a brief voice memo. Keecore AI drafts a structured file note covering what was discussed, advice given or considered, client instructions, and next actions — formatted to the practice's documentation standard. The adviser reviews, edits, and approves before it's filed. Twenty minutes becomes five.
Client meeting prep pack
The night before a client review, the agent assembles a briefing pack: prior advice summary, open actions from the last meeting, client objectives, portfolio snapshot, and any compliance flags. The adviser starts the appointment with everything at hand — no last-minute scrambling through CRM screens and email threads.
SOA / ROA first draft outline
When a new SOA or ROA is required, the agent draws on your approved statement templates, prior documents for that client, and the adviser's scope notes to produce a structured first draft. Sections, scope, risk profile context, and standard disclaimers are in place. The adviser reviews, refines, and takes ownership before any document is finalised.
Monday morning principal dashboard
Every Monday morning, the principal receives a single, clean summary: clients with upcoming review appointments, advice items awaiting finalisation, any inbound enquiries from the prior week, and open compliance actions. The week starts with context, not chaos.
Inbound lead response
A new enquiry comes in via email or contact form. The agent classifies it — warm referral, cold enquiry, existing client query — and prepares a draft response appropriate to the type. Staff review and send. Leads get a reply within hours, not days.
Why "human-in-the-loop" matters for an AFSL practice
Under your AFSL obligations, advice is advice — it carries personal liability and regulatory accountability. Keecore AI is explicitly built for assistance, not advice. Every output is a draft for a licensed human to review, verify, and approve. The agent never provides advice, never communicates directly with a client, and never acts without a human sign-off.
- Assistance, not advice — every output is clearly a draft. The adviser reviews and takes professional responsibility. Nothing leaves the practice without a human decision.
- Client data handled with care — the agent accesses only the data it needs, with least-privilege controls reviewed and documented before go-live. No wandering access across your tenant.
- Security review before every deployment — we walk through data handling, access permissions, and integration scope with your principal adviser or practice manager and get explicit sign-off before the agent goes live.
- Audit trail — a clear record of what the agent drafted, when, and what was changed by your team. Relevant for ASIC record-keeping and internal supervision obligations.
- AFSL-appropriate AI disclaimer — all agent outputs include a clear "AI-generated draft — not professional advice" marker so there's no ambiguity about what human review is required.
Client data is your most sensitive asset. A data breach involving client financial information carries regulatory, reputational, and legal consequences that generic "AI tools" don't account for. We do — because security is our background, not a feature we bolted on.
The Virtual COO role for practice principals
For principals running a growing practice, Keecore AI can operate as a Virtual COO — a layer that sits above day-to-day operations and gives you clarity without requiring you to ask for it. The agent monitors open work, surfaces what needs attention, flags overdue items, and produces the weekly digest that keeps you across the business without drowning in it.
- Weekly business overview delivered to you in Teams or Outlook — every Monday, without asking for it.
- Flags when client review appointments are overdue and an SOA hasn't been finalised.
- Surfaces inbound enquiries that haven't received a response within your agreed SLA.
- Tracks open compliance actions and reminds relevant staff before deadlines.
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