AI for statements, KYC, research and client service that your compliance team can audit
We build document, voice, AI-security and CRM automation systems for brokers, AMCs, wealth managers, family offices and private markets investors. They handle facts and service; advice stays with your registered professionals.
Capital markets firms handle a steady flow of documents and conversations: consolidated account statements, KYC packets, broker research, capital call notices, BRSR filings, support calls and RM meetings. Applied AI helps by reading these documents into structured, source-linked data, answering factual account queries in Hindi or Gujarati, capturing meeting notes into the CRM and testing client-facing chatbots before they go live. It does not pick stocks, build portfolios, time markets or give personalised advice. Under SEBI rules, investment advice and research belong to registered advisers and analysts, so we design every system to keep client-facing outputs factual and leave every judgement with a qualified person.
Challenges we hear
Client data arrives in many formats
Holdings sit across depository CAS, registrar statements, PMS and AIF reports and overseas custodians, and RMs rebuild portfolios in spreadsheets.
Onboarding and KYC volumes are uneven
Account opening surges around popular IPOs and market rallies, while KRA rejections, derivatives activation and NRI or corporate files need careful checking.
Too much to read, too little time
Results seasons, broker research, fund reports and sustainability filings pile up faster than analysts and operations teams can extract what matters.
AI raises conduct and data questions
A chatbot that drifts into stock tips or a copilot that exposes restricted research creates regulatory and reputational risk.
Where AI fits
Document Intelligence
Extraction from CAS and portfolio statements, KYC packets, research reports, fund documents and BRSR filings, with every value linked to its source.
Voice AI
Inbound voice agents for payout, margin and order-rejection queries that verify clients and decline advice or order requests, plus speech capture for RM meetings.
AI Security & Compliance
Guardrail testing for advisory chatbots and data-leakage testing for internal research copilots, with evidence your compliance and security teams can file.
AI Sales & Marketing Automation
RM meeting notes captured into the CRM, and consent-based re-activation journeys for dormant trading accounts.
Use cases
- Featured
Client Statement and Portfolio Extraction
Read CAS, mutual fund, broker, PMS and AIF statements into one consolidated, reconciled portfolio, with every holding linked to its source page and exceptions sent to operations.
KYC and Onboarding Document Verification for Brokers
Check account opening packets for brokers and depository participants: cross-match KYC fields, apply segment and entity checklists, and prepare a discrepancy list for the checker.
Research Report Summarisation and Data Extraction
Extract ratings, targets, estimates and guidance from broker research and company filings, with cited summaries and revision alerts for your analysts' internal use.
- Featured
Private Markets Fund Document Extraction
Read capital calls, distribution notices, capital account statements and LPAs from many GPs into structured records, with roll-forward checks and wire-instruction change alerts.
ESG and BRSR Report Data Extraction
Extract BRSR and sustainability report indicators into a cited, unit-normalised dataset, compare years and flag gaps, inconsistencies and assurance status for ESG analysts.
Voice Agent for Trading Support and Account Queries
Inbound voice agent for brokers that verifies clients, answers payout, margin, order-rejection and IPO queries from live data, declines advice and routes order requests to dealers.
- Featured
Guardrail Testing for Investment Advisory Chatbots
Test wealth and broking chatbots for unregistered advice, missing risk disclosures, made-up fund data, prompt injection and client data leakage, scored against your SEBI registration scope.
Data-Leakage Testing for Internal Research Copilots
Test internal research and RM copilots for leakage across information barriers, research entitlements and client data, including prompt injection through ingested documents.
RM Meeting Notes and CRM Update Agent
Turn RM client meetings and voice notes in English or Hindi into structured notes, CRM updates and follow-up drafts, with compliance mentions flagged and the RM approving everything.
Dormant Trading Account Re-Activation Campaigns
Find out why trading accounts went dormant, fix KYC and access blockers first, and run consent-based, compliance-approved journeys that bring clients back without tips or inducements.
Regulatory context
SEBI Investment Advisers and Research Analysts Regulations
Investment advice and published research are reserved for SEBI-registered advisers and analysts. Our systems keep client-facing outputs factual and leave advice and research views to registered professionals.
SEBI KYC norms and the KRA framework
Intermediaries must collect and verify client KYC and upload records to a KYC Registration Agency. Our onboarding tools apply your documented checklist and keep a maker-checker trail.
SEBI cyber resilience and AI accountability
SEBI's cybersecurity and cyber resilience framework applies to regulated entities, and SEBI has made clear that firms remain responsible for the output of AI tools they use and for the data those tools handle.
DPDP Act 2023 and GDPR
Client statements, KYC documents and meeting recordings are personal data. We build for consent, purpose limitation and masked logs, and apply GDPR where EU investors are involved.
FAQs
01Will your AI give investment advice or stock recommendations?
No. We build systems that extract, summarise, verify and route. Advice, research views and suitability decisions stay with your SEBI-registered professionals, and client-facing agents are designed to decline advice requests.
02Do you work with global private markets firms as well as Indian brokers?
Yes. Fund document extraction and research tools handle global formats such as capital account statements and LPAs, while KYC, CAS and voice work cover Indian market specifics.
03Where is client data processed?
In your cloud account or an India region of a major cloud provider, or another region if your investors' data rules require it. Logs are masked, and we use model endpoints that do not retain or train on your data.
04How do we start?
With a three- or four-week pilot on one document type, one support queue or one chatbot, run alongside your current process. You get a working system, a measured report and a costed production plan.
Related industries
Founded by Akhilesh Mittal. 8 years building a security platform for a New Zealand company. IIT ISM Dhanbad and IMT Ghaziabad. Builds production agentic AI.
Start with one statement type, queue or chatbot
Book a discovery call and we will scope a short pilot on your de-identified documents or staging systems, with measures agreed before we start.