Finance & Wealth Management

A local-first compliance sentinel that audits every trade and portfolio strategy in real-time with zero data leakage.

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🔒 Local-First Architecture 📋 SOC 2 Type II Aligned ⚡ Hybrid AI (Local + API) 🛡️ Zero External Data Exposure

The Problem

Why this matters for Finance & Wealth Management

Wealth managers spend significant hours manually auditing portfolios for compliance with ever-shifting FINRA and SEC regulations.

Our Approach

How Aria solves this

A local-first compliance sentinel that audits every trade and portfolio strategy in real-time with zero data leakage.

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Categorization accuracy achieved via hybrid architecture
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Billable hours recovered per month during peak season
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Client data points transmitted to external servers
Verified ROI

Eliminate human audit errors and reduce compliance overhead by 65%.

Hybrid Architecture

Technology profile

Aria's hybrid approach combines locally-hosted models for sensitive data with targeted cloud API calls only where necessary — maximizing performance while eliminating unnecessary data exposure.

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Nemotron-7b (Quantized)

Runs entirely on your local infrastructure

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PostgreSQL

Processes incoming data securely

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SEC-Feed API

Integrates with your existing systems

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Python-Agents

Orchestrates the complete pipeline

Implementation Architecture

How it works — phase by phase

Every Aria deployment follows a structured, transparent implementation process.

1
Phase 1

Agents monitor real-time trading activity and cross-reference with SEC filings.

2
Phase 2

Automatic flagging of portfolio drifts or regulatory violations before they trade.

3
Phase 3

Generative drafting of audit trails for regulatory submission.

Security & Compliance

Your data never leaves your network

Data Sovereignty Guarantee

Ultra-secure financial data remains on-premise. SEC/FINRA aligned isolation.

Engagement Timeline

Structured rollout phases

Minimal disruption. Maximum confidence before full production handoff.

Phase 1

Week 4: Regulatory Feed Integration

Phase 2

Week 6: Strategy Logic Mapping

Phase 3

Week 12: Production Trading Overlay

Next Step

Ready to explore this
for your organization?

Schedule a complimentary technology stack review with an Aria solutions architect. No commitment — just an honest assessment of fit.

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