The questions your CCO is already asking
"Our advisors are using ChatGPT to draft client emails. How do we know they're not making things up?"
Your advisors copy-paste disclosures and portfolio descriptions into AI tools every day. There's no way to verify the output traces back to approved source material — until a FINRA examiner asks.
"Can we prove every AI-generated communication used approved content?"
Supervisory review catches errors after the fact. But in a FINRA exam, you need to show the system that prevents errors — not just the process that finds them.
"The enterprise AI governance tools cost more than our entire tech budget."
Wirehouse-grade compliance platforms start at six figures and require dedicated IT staff. For a 15-person RIA, that's not a solution — it's a non-starter.
Let advisors use AI. Control exactly what it sees.
Provenyx sits between the AI tools your advisors already use — Claude, ChatGPT, Gemini — and your firm's approved content. It controls what each model can access, enforces your compliance policies, and keeps a full audit log of every interaction.
Every AI-generated output gets a provenance receipt: exactly which approved documents were used, when, by whom, and in which AI tool. That receipt is your exam artifact.
- Supervisory controls per advisor role and AI model
- Provenance receipts for every AI-assisted communication
- Setup in minutes — no IT team required
Three steps to exam-ready AI governance
Provenyx isn't just another search tool; it's the intelligent infrastructure that organizes, secures, and feeds your private data to AI models safely.
Create approved content kits
Package your approved disclosures, model portfolio descriptions, client communication templates, and compliance guidelines into AI-accessible kits.
Set compliance rules per role
Your CCO defines which AI tools can access which content, with restrictions by advisor role, content type, and intended use.
Every output gets a provenance receipt
When an advisor uses AI to draft a client email, Provenyx logs exactly which approved content was used, when, by whom, and in which tool.
What your team can safely ask — and what stays controlled
Your advisor asks ChatGPT, connected through Provenyx, to draft a portfolio rebalancing update. The email uses your firm's approved model portfolio descriptions and disclosure language — and comes with a provenance receipt your CCO can review.
- Model Portfolio Descriptions Q1.pdf
- Required Disclosures 2026.docx
- Client Account Balances.xlsx
- Partner Fee Schedules.pdf
Instead of hoping advisors aren't feeding client data into ChatGPT, you see every AI interaction: who asked, what content was accessed, what was generated. During a FINRA exam, you pull the provenance receipt. Done.
- AI Interaction Audit Log.csv
- Provenance Receipts — Q4.pdf
- Individual Advisor Performance.xlsx
Your advisor needs to write the quarterly update. They ask Claude, connected through Provenyx, to summarize your firm's investment philosophy and market outlook — sourced only from approved materials. The output is on-brand, accurate, and logged.
- Investment Philosophy Statement.pdf
- Q1 2026 Market Outlook.docx
- Internal Portfolio Allocation Model.xlsx
