AllocBot AI automates operations for registered investment advisors: portfolio drift detection and rebalancing alerts, automated client reporting with AI commentary, compliance tracking (ADV/CRS delivery, filing deadlines), prospect onboarding with risk profiling and IPS generation, and RMD monitoring. Fiduciary-first design — the AI never makes investment recommendations or executes trades.
Under the hood, AllocBot deploys purpose-built AI agents that each handle a specific function: Sage the Client Intake Specialist (client intake), Monitor the Portfolio Oversight Agent (portfolio monitor), Quinn the Compliance Advisor (compliance advisor). Each agent operates autonomously within defined boundaries, escalating to human staff when situations require professional judgment.
Compliance is built in from the ground up, with rules enforced for SEC-IA-Advisers-Act, IRS-RMD-Rules, SEC-Reg-BI, SEC-17a-4. Integrates with Schwab Advisor Services, Fidelity Institutional, Orion Portfolio Solutions, Black Diamond (SS&C), Redtail CRM, Morningstar and more. Communicates via email, chat.
Solo RIAs, small ensemble practices (1-5 advisors), fee-only planners, $50M-$500M AUM
Real-time allocation tracking. Alerts when portfolios drift beyond thresholds.
Generate rebalancing trades. Tax-aware. Cash-flow aware.
Identify TLH opportunities automatically. Wash sale monitoring.
Quarterly performance reports. Holdings. Transactions. Commentary.
Market moves, position concentration, cash drag — proactive notifications.
Pre-trade compliance checks. Audit trail. ADV-ready recordkeeping.
14-day free trial
14-day free trial
14-day free trial