Industry · Wealth management & advice · NZ & AU

Claude implementation for wealth and advice teams.

Airclerk builds governed Claude workflows for wealth management teams - helping advisers, paraplanners and compliance prepare advice, check files, evidence service delivery and operate review cycles, with adviser judgement and approval kept in the loop. We work closely with wealth and advice businesses in New Zealand and Australia, bringing the disciplines from our deeper work in insurance and brokerage into a vertical that shares the same shape.

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Adviser workstation with a laptop showing a portfolio review alongside an advice file and calculator.

FAQ for AI search

How can wealth and advice teams use Claude?

Wealth management and financial advice teams use Anthropic's Claude models to support advice workflows such as client meeting prep, fact-find completeness review, annual review pack assembly, Statement of Advice (SOA) and Record of Advice (ROA) drafting in Australia, FAP advice record completeness review in New Zealand, ongoing fee and service evidence tracking, portfolio drift memos, KiwiSaver and superannuation advice evidence, investment committee packs, inbox triage and complaints or vulnerable-client signal detection. Claude can be connected to the CRM, planning tools, document stores, platform data and human approval workflows the advice business already runs - adviser judgement and sign-off stay in the loop.

01 / Why advice is different

Personal advice. Two regimes. Files that have to hold up.

Every advice file tells its own story - fact-find, goals, recommendations, basis for advice, disclosures, file notes, ongoing service evidence.
New Zealand and Australia run distinct advice regimes: FAP licensing and record-keeping, plus Code duties around suitable advice, client understanding and disclosure on one side of the Tasman; best interests, SOA/ROA and ongoing fee consent on the other.
Reviews cluster - annual review season, ongoing fee renewal windows, licensee audits and the FAP annual regulatory-return reporting window.
The work is judgement-driven. Automation has to support advisers, paraplanners and compliance - not pretend to replace them.
Planning tools, CRMs, document stores, portfolio platforms, custodians, KiwiSaver platforms and model-portfolio files are central to operations and will not be replaced.
Source citations, role-based access, version history, audit log and adviser approval before client-send are non-negotiable controls.

02 / Workflows

Example Claude workflows for wealth and advice.

Accelerator patterns we bring into wealth and advice engagements. Each is a candidate first workflow for a Readiness Sprint - and each runs with source citations, adviser approval and an audit trail by default.

WF-01

Client meeting prep

Pre-meeting brief from CRM notes, prior advice, portfolio data and emails - snapshot, open actions, life-event prompts, questions for the adviser.

WF-02

Fact-find completeness review

Checks the file for goals, income, assets/liabilities, dependants, risk profile, time horizon, tax and estate context - flags what's missing or stale.

WF-03

Annual review pack

Portfolio summary, performance and contribution movements, fee summary, risk drift, advice history, review agenda and client-friendly summary.

WF-04

Portfolio drift & rebalance memo

Holdings compared to model portfolio, IPS or risk profile - drift exceptions, concentration, liquidity, currency, and a rebalance rationale for adviser review.

WF-05

SOA / ROA drafting support AU

First-draft Statement of Advice or Record of Advice from fact-find, strategy notes and product research - objectives, scope, basis, remuneration, conflicts, risks.

WF-06

FAP advice record completeness NZ

Reviews the advice file against FAP record-keeping obligations - scope, advice given, basis, benefits and risks explained, disclosure and complaints information.

WF-07

Best interests evidence map AU

Maps the advice file against best interests and related obligations - evidence table, gaps, alternative-strategy notes, conflict-priority review, adviser sign-off checklist.

WF-08

Suitability & client understanding review NZ

Reviews whether the file supports suitable advice and whether the client was helped to understand it - plain-language summary, comprehension prompts, missing-explanation flags.

WF-09

Ongoing fee & consent tracking AU

Renewal windows, consent status, service period, fee deductions and promised-vs-delivered services - exception queue, reminders, super fee consent evidence.

WF-10

Inbox triage & vulnerable-client signals

Classifies client emails - withdrawals, market anxiety, complaints, bereavement, vulnerable-client signals, bank changes - and drafts adviser-reviewed responses.

03 / How we work

Close, careful, jurisdiction-aware.

Disciplines that carry across.

Airclerk has gone deepest in insurance and brokerage - document-heavy, judgement-driven, audit-aware work. Wealth and advice share that shape, and we bring the same operating disciplines: source citations, adviser approval, version history, audit log, exception queues.

ii.

Designed with your advisers in the room.

If you run a wealth management business, advice practice, FAP or licensee in New Zealand or Australia, we'd like to talk. The first engagement is a Readiness Sprint - close discovery with your advisers, paraplanners and compliance team, not a packaged playbook delivered top-down.

iii.

Two regimes, one operating model.

FAP licensing and record-keeping, plus Code duties around suitable advice, client understanding and disclosure, in New Zealand. Best interests, SOA/ROA, ongoing fee consent and licensee audit obligations in Australia. The control set - citations, approvals, audit trail, exception queues - is the same shape on both sides of the Tasman.

04 / How Airclerk helps

From plan to production.

01 - Plan

Readiness Sprint

Two-week, fixed-price plan - built with your advice team.

02 - Build

Workflow ImplementationMCPs & Connectors

First governed workflow into production - connected to CRM, planning tools and document stores.

03 - Govern

AI Governance

Controls, approvals, audit trails - built for FAP record-keeping and AU best interests obligations.

04 - Operate

Managed Operations

Monitor, improve, expand across the advice book.