FINRA 2026 AI governance requirements are here. Book your audit before your next exam.
AI Readiness Audit
AI Readiness Audit — $997
A comprehensive, one-time diagnostic that maps your firm's current state, identifies AI opportunities, and delivers a concrete 90-day roadmap. Perfect for RIAs and wealth management firms ready to move from exploration to execution.
What's Included
This is not a generic checklist. The AI Readiness Audit is a structured engagement designed specifically for financial advisory firms navigating compliance, data security, and operational complexity.
2-Hour Discovery Workshop
Live session with Ghost's founding team to map your operations, tech stack, compliance requirements, and strategic priorities. We dig into your actual workflows — not just what your systems say you do.
Tech Stack Assessment
Detailed analysis of your current platforms (CRM, portfolio management, custodial integrations, reporting tools) with specific recommendations for AI enablement and integration readiness.
AI Opportunity Map
Ranked list of AI use cases tailored to your firm — from client onboarding automation to portfolio commentary generation — with estimated ROI, effort, and compliance considerations for each.
90-Day Implementation Roadmap
Phase-by-phase execution plan with clear milestones, dependencies, and success metrics. Know exactly what ships when, what resources you need, and how to measure progress.
Compliance & Risk Review
Analysis of regulatory considerations (SEC, FINRA, state-level) for your planned AI initiatives, plus recommended governance frameworks and documentation standards.
Executive Summary PDF
Boardroom-ready deliverable summarizing findings, recommendations, and business case. Perfect for securing internal buy-in and budgetary approval from leadership and compliance.
Common Questions from RIAs
We work exclusively with wealth management firms and understand the unique considerations around data security, compliance, and client communication.
How do you handle compliance and regulatory requirements?
Every recommendation we make includes compliance context specific to SEC, FINRA, and state-level regulations. We document AI usage for audit readability, recommend human-in-the-loop controls where required, and help you build governance frameworks that satisfy both regulators and your CCO.
What about data security and client confidentiality?
We design AI workflows with data minimization and encryption by default. Client PII never leaves your controlled environment unless you explicitly configure it otherwise. All recommendations include data flow diagrams, security controls, and vendor risk considerations.
Can we measure ROI before committing to a full build?
Absolutely. The audit delivers estimated time savings, cost reduction, and revenue impact for each recommended AI use case. You'll have concrete numbers to build your business case and prioritize what delivers the fastest payback period.
What if our tech stack isn't 'AI-ready'?
Most RIA tech stacks aren't. That's why the audit includes a modernization roadmap. We identify which integrations unlock the most value, which legacy systems need API enablement, and where quick wins exist with your current setup.
Do we need to commit to implementation afterward?
No. The AI Readiness Audit is a standalone engagement. You own all deliverables and can execute internally, work with Ghost, or bring the roadmap to another vendor. Many firms use the audit to secure budget and stakeholder buy-in before moving forward.
How long does the audit process take?
From kickoff to final deliverable: 7-10 business days. The discovery workshop happens within 48 hours of intake, and you receive the full executive summary and roadmap within one week of that session.
Trusted by Forward-Thinking RIAs
Advisory firms using the AI Readiness Audit to build their competitive advantage and operational edge.
“The audit gave us the clarity and confidence we needed to move forward with AI. Within 60 days we had automated client onboarding saving 8 hours per new household. The compliance review alone justified the cost.”
Sarah Langford
Chief Compliance Officer, Meridian Wealth Partners
“Ghost's roadmap was exactly what our COO needed to get board approval. We implemented their Phase 1 recommendations and saw immediate time savings in portfolio commentary generation.”
David Chen
Head of Technology, Beacon Harbor Advisors
“They helped us build an AI governance framework that our CCO actually approved — that never happens. The 90-day roadmap turned a vague initiative into a funded project within two weeks.”
Katherine Osei
Managing Director, Crestline Capital Group
Calculate Your ROI
See how the $997 audit investment compares to your estimated compliance risk exposure.
Request Your AI Readiness Audit
Complete this form and we'll reach out within 24 hours to schedule your discovery workshop. One-time investment: $997.
Limited availability — accepting only 5 audits per month to ensure quality.