Govern client PII and advisor AI across every advice desk
Advisors, planners and ops teams across RIAs, broker-dealers and advisor networks live in CRM, portfolio, planning and custodian platforms — often on BYOD across independent and remote offices. Mira contains client PII, governs every data movement and AI read, and gives advisor desks audit-ready governance for Reg S-P, the Marketing Rule and books-and-records — without slowing the practice.
Where advice workflows leak risk
Client PII and account data move across CRM, planning and custodian portals on advisor BYOD, AI tools are off-limits, and Reg S-P safeguards now apply across the advice business.
Client PII on advisor BYOD
Client PII and account data cross CRM, planning and custodian portals on personal and independent-office devices with no containment.
Reg S-P & recordkeeping
SEC Reg S-P safeguards and incident-response, the Marketing Rule and Books & Records Rule 204-2 require provable controls and records — hard across a SaaS sprawl.
Ungoverned advisor AI
Advisors want AI for planning and client comms but can't risk client PII leaking into unauthorized tools.
Govern the advice desk without slowing the practice
Mira makes the browser the control point: access by office and role, DLP on every data movement, and AI that drafts plans and client comms without exfiltrating client PII — with records your examiners will accept.
- Office/role access (ABAC)Scope app and data access by office, advisor and role — central locks stop policy from being loosened across independent offices.
- DLP on data movementClient PII, account numbers and holdings are detected and governed across downloads, uploads, clipboard and AI reads.
- Governed advisor AIDraft plans, summaries and client communications — with client PII redacted before any provider call.
- Reg S-P / 204-2 auditMetadata-first records of access and action support Reg S-P safeguards and books-and-records obligations.
Capabilities for wealth management & RIAs
Advisor & planning workspaces
Role-tuned workspaces across CRM, portfolio, financial-planning and custodian platforms.
Client PII DLP
Detect and contain client PII, account numbers and holdings before they leave the managed browser.
Office/role RBAC/ABAC
Entitlement-aware access by office, advisor and role across independent and remote offices.
Reg S-P / books-and-records audit
Metadata-first audit aligned to Reg S-P safeguards, the Marketing Rule and Rule 204-2.
ZTNA for independent offices
Identity-bound access to custodian and CRM platforms for independent and remote advisors — without VPN.
Governed advisor AI
Draft plans, summaries and client comms under policy, with provenance and PII redaction.
Planning to compliance
AI assistance and hard controls across the advice workflow.
- Financial planning & reviewsDraft plan summaries and review materials with client PII redacted and sources attached.
- Client communicationsDraft and review client communications under the Marketing Rule, with records kept.
- Onboarding & KYCSummarize onboarding and KYC documents and flag missing items, with PII contained.
- Independent-office accessGive independent and remote advisors least-privilege, audited access to custodian and CRM platforms from BYOD.
Trusted apps for this role
Mapped to your obligations
Questions for Wealth Management & RIAs teams
How does Mira help with Reg S-P and books-and-records?
Can advisors use AI on client data safely?
Can independent and remote advisors use Mira without MDM?
Govern client data and advisor AI before the exam
See Mira govern client PII and every advisor AI read across your CRM, planning and custodian platforms — with records your examiners will accept.