Crown Govern for broker-dealers and RIAs

Approve AI once. Every advisor gets it.

Your advisors are going to use AI either way. Crown gives every one of them a compliance-approved AI front office, and gives your compliance team the archive and controls to supervise it.

The problem

Shadow AI is already in your branches.

Advisors are trying chat tools, AI notetakers and auto-texting apps on their own. Each one is a client communication that nobody approved and nobody archived.

Regulators have noticed. FINRA’s 2026 oversight report puts generative AI and AI agents at the top of its supervision and recordkeeping priorities, and recordkeeping cases have already cost the industry billions.

The answer isn’t a ban. It’s one approved channel that grows the business and that compliance can see end to end.

One firm license

Growth for advisors. Control for compliance.

For every advisor

An AI front office on the advisor’s site that answers inquiries in seconds, 24/7, uses only firm-approved wording, and books meetings on the advisor’s real calendar. Texts go out only after consent.

For compliance

One script library approved once, for the whole firm. Every conversation timestamped and archived, with exports by advisor and flags on restricted topics routed to the advisor and logged.

For your procedures

The Crown AI Governance Pack: an AI section ready to adapt for your written supervisory procedures, a vendor due-diligence package and a one-page advisor AI-use policy.

For the home office

We onboard every advisor ourselves: FAQs, calendar and branding. No IT project, and nothing for your team to do beyond approving the scripts.

Hard limits

What it will never do.

Anything outside the approved library goes to the advisor. The AI does not improvise.

Give investment, tax or insurance advice, or make recommendations
Discuss specific securities, performance, projections or guarantees
Accept orders, account numbers or other sensitive data
Pretend to be human. Every conversation starts with an AI disclosure

Built for compliance review

Designed to pass your CCO’s review.

Every engagement starts with your compliance team: contract redline, cybersecurity review, and FAQ and script approval before anything goes live. Firm-wide rollout takes about six weeks.

Week 1

Kickoff with compliance. The firm script library is drafted.

Week 2

Your CCO approves the scripts and the procedures language.

Weeks 3–6

Advisors go live, five at a time, each with their own FAQs.

Ongoing

Monthly archive export. Changes go through the same review.

See the archive, the controls and the governance pack.

Book a compliance walkthrough Take the free AI readiness check ›