Compliance-sensitive doesn't mean compliance-paralyzed.

The problem financial advisors keep hitting

Every advisor has the same conversion math:

• Your website captures a contact form submission.
• You (or a team member) book a 30-45 minute discovery call.
• Half the way through, you realize the prospect has $50K in assets — well under your $500K minimum.
• The call was polite but wasted everyone's time.

Multiplied across your book, that's dozens of wasted hours a quarter — time that could have been spent with qualified prospects or existing clients.

Wengrow's AI agent does the qualification conversation first, so your calendar only fills with people who fit your criteria.

Asset-threshold qualification, tactfully

The agent can ask about investable assets without being invasive:

• "To make sure we're a fit — our typical client has $X or more in investable assets. Is that roughly where you are?"
• "Are you looking for help with retirement planning, general wealth management, or something specific like estate planning?"
• "Are you already working with an advisor today, or would we be starting fresh?"

The goal is to qualify — not to spec advice, not to pitch products, not to discuss specific strategies. We configure the default agent to decline any investment-specific question and route it to "your advisor will cover this on the call."

Compliance-Sensitive personality preset

One of our six personality presets, built for regulated industries:

• Conservative tone; no "guaranteed" language.
• Explicit disclaimers when the prospect asks anything specific about investments.
• Routes anything advice-adjacent to a scheduled call with a licensed advisor.
• Avoids mentioning specific products, funds, or performance numbers.

Full conversation audit for BD review

Every conversation has a full transcript stored. Your BD or compliance officer can:

• Search transcripts for specific terms ("return", "guarantee", "tax advice").
• Filter conversations by deployment (if you run multiple landing pages).
• Export to CSV for compliance audits.
• See which KB chunks the bot cited to answer — so you can confirm no unexpected content surfaced.

Audit trails are retained for your standard retention period (configurable).

Custom AI system prompt at Business+

Wealth management firms with strict firm-specific compliance requirements can use Business+ to write their own system prompt — encoding firm-specific policies, forbidden topics, mandatory disclosures, and approved language directly.

Example constraints we've seen configured:

• Never use the word "return" in any context; always say "outcome" or "result."
• Always include the fiduciary disclosure in the first bot message.
• Never mention specific asset-class performance numbers.
• Route anything about a specific product to a human.

GDPR + SEC-recordkeeping-aware

Every conversation is stored with timestamps and source chunks for reconstructability. GDPR erasure is available on request, with audit entries. For SEC-recordkeeping requirements, our standard retention policy holds conversations for your configured period; we can extend retention for firms with longer requirements.

We're not SEC-registered or SOC 2 certified today. If those are hard requirements, Wengrow might not fit your compliance framework. If you can operate within a documented-but-not-audited security posture, our underlying controls (encryption, RLS, MFA, GDPR erasure) are strong.

A recommended configuration

• Tier: Pro ($1,499/mo, includes SSO) for single-office RIAs; Business ($2,499/mo) for multi-office or higher-volume firms needing the custom system prompt.
• Personality preset: Compliance-Sensitive.
• Qualification fields: investable assets range (multi-choice, not exact), primary goal (retirement, wealth management, estate planning), current advisor (yes/no), contact info, state of residence.
• Knowledge base: your firm's public pages — about, philosophy, services, FAQ, fee structure if public. Do NOT upload client-specific documents or confidential investment strategies.
• Integrations: your CRM (Salesforce, Wealthbox, Redtail via webhook), email sequences for "thank you, we'll schedule a call."