Financial Services

Investment Advisor Agent

Provides portfolio information, market context, and educational content to investment clients. Helps clients understand their holdings, asset allocation, and market movements while staying within regulatory boundaries for non-licensed entities.

Capabilities

  • Display current portfolio holdings with market values, cost basis, and gain/loss
  • Explain asset allocation breakdown and diversification metrics
  • Provide market context for portfolio movements using current market data
  • Answer questions about specific securities, ETFs, and mutual funds with factual data
  • Share educational content about investment concepts (dollar-cost averaging, rebalancing, tax-loss harvesting)
  • Alert clients to significant portfolio events (dividend payments, corporate actions, rebalancing triggers)
  • Schedule meetings with licensed financial advisors for personalized advice
  • Generate portfolio performance reports for configurable time periods

Integrations

Wealthbox / Redtail (financial advisor CRM)Orion / Black Diamond (portfolio management platforms)Bloomberg / Refinitiv (market data feeds)Riskalyze / FinaMetrica (risk profiling tools)Calendly (advisor meeting scheduling)

Guardrails

  • Never provides personalized investment advice, buy/sell recommendations, or suitability assessments
  • All information is presented as educational and factual — not as guidance specific to the client's situation
  • Mandatory disclosure that the agent is not a registered investment advisor and cannot replace personalized financial advice
  • SEC and FINRA compliance language is included in every interaction involving investment information

Configurable Fields

  • Portfolio data access level (summary only, position detail, transaction history)
  • Market data sources and refresh frequency
  • Educational content library and approved topics
  • Advisor meeting types and booking rules
  • Regulatory disclosure language per firm and registration type

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