Overview
See where AI is already showing up inside RIA firms, where that use creates risk, and the four-step plan firms are using to get ahead of it before their next SEC exam.
Key Takeaways
In this video, Teal cofounders Gar Whaley and Reid Johnston walk through where RIAs and wealth managers are using AI today and the risks they face.
What you’ll explore:
– Where AI is already being used inside firms like yours, and which of those uses regulators are starting to ask about
– The three sources of exposure that AI adoption creates, before a client or examiner brings them to your attention
– What the SEC’s 2026 exam priorities and Reg S-P vendor oversight require once an AI tool touches client data
– The four-step governance plan Teal’s cofounders use with clients today
– Why AI governance now shows up on buyer and succession diligence checklists, and what an unanswered question does to your firm