Compliance-Safe Meeting Notes for RIAs
Compliance Meeting Notes — Auto-Generated

ONE CARELESS PHRASE
IN YOUR NOTES IS
A COMPLIANCE RISK.
STRATA REMOVES IT.

Strata AI joins every meeting, transcribes everything, and scrubs the language for CRM-compliant output before it ever touches Wealthbox. Audit-ready notes — automatically, after every call.

100%
Compliance-Scrubbed
Auto
Wealthbox Sync
$97
Per Month
See the Compliance Scrubbing Live → See how it works ↓
Before vs After

WHAT GENERIC AI
WRITES VS WHAT STRATA WRITES.

Reviewing compliance notes
⚠ Generic AI Transcription — Compliance Risk
Meeting with Robert Henderson re: portfolio allocation.

Jeff guaranteed the new allocation would outperform the market over the next 3 years. Client expressed concerns about volatility. We promised to move his entire portfolio to growth stocks before quarter-end. Robert mentioned he's comfortable taking significant risk for higher returns. Advisor recommended selling all fixed income positions immediately.
→
✓ Strata AI — Compliance-Scrubbed Output
Meeting with Robert Henderson re: portfolio allocation review.

Advisor guided discussion toward potential reallocation strategies aligned with client's stated long-term growth objectives. Client expressed awareness of market volatility and indicated comfort with risk consistent with stated profile. Discussion included consideration of rebalancing toward growth-oriented positions subject to client review and approval. Follow-up: prepare allocation proposal for client review.
The difference: One version is a regulatory exposure. The other is audit-ready. Strata knows the difference between what was said and what should go into your CRM — and rewrites accordingly before a single word hits Wealthbox.
The Risk Without Compliance Scrubbing

WHAT'S HIDING IN
YOUR CURRENT NOTES.

Auditing and compliance check
⚖️

Suitability Language Violations

Generic AI transcription captures exactly what was said — including "I recommended X" instead of "I discussed X with the client." One word difference. Material compliance exposure. Regulators don't care that AI wrote it.

📁

Missing Documentation in Exams

Strata continuously scans your Wealthbox data for clients with missing suitability notes, unsigned ADV Part 2 acknowledgments, and annual reviews overdue beyond the 13-month window. You're flagged before the examiner is.

🔍

Inconsistent Record-Keeping

When some meetings are documented and others aren't, examiners notice the gaps. Strata ensures every meeting generates a record automatically — no meetings slip through because the manual process was skipped.

AUDIT-READY
NOTES AFTER
EVERY CALL.

Book a 20-minute demo. We'll show you a live transcript get scrubbed for compliance and pushed directly to Wealthbox. See exactly what your CCO sees — and why they'll like it.

Book My Free Demo →
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