Reduce FINRA Violations by 80% While Recruiting Better Advisors
Compliance-first AI platform that prevents errors before they happen, systematizes FINRA Rule 2111 documentation, and gives regulators complete transparency—so your platform stands out to advisors and withstands regulatory scrutiny.
Built by former NatWest banking compliance systems developer
The Problem RIA Platforms Face
Your advisors need AI tools. But most AI in wealth management creates more risk than it solves:
Black-box calculations
You can't explain them when FINRA asks questions
Silent errors
Go undetected until client harm occurs
Unpredictable outputs
Change with identical inputs
Generic risk questionnaires
Don't satisfy 2111 suitability requirements
Audit failures
Because you can't show your methodology
The Stakes
Average FINRA violation costs $150K. Most platforms face 15+ violations annually. That's $2.25M in fines—plus the recruiting damage when word spreads that your compliance is shaky.
How VelocityIQ Solves This
Catch Every Error Before Recommendations Go Out
101 automated validation rules check data completeness, calculation integrity, and logical consistency before any analysis reaches an advisor. Nothing fails silently. Ever. When you see "FinCEN Residual Risk: 2.8/10," you know the analysis passed 101 quality checks.
Learn about our validation architecture
Document FINRA 2111 Compliance Systematically
Stop relying on generic questionnaires. VelocityIQ generates complete FINRA Rule 2111 documentation for every strategy: reasonable-basis suitability, customer-specific scoring (quantified 0-100 across four factors), and quantitative suitability assessment. When FINRA asks how you assessed suitability, you hand them systematic documentation.
See sample compliance reportsShow Regulators Every Formula and Assumption
200+ deterministic formulas per assessment. Every calculation traceable to source. Complete methodology documentation. Audits become box-ticking exercises because you can show exactly how every decision was made—no black-box explanations, no AI hand-waving.
Explore audit transparency
Expand Into New Client Niches in 48 Hours
Professional Niche Packs give your advisors expert-level analysis in specialized markets (medical practice owners, tech executives, real estate investors, family offices). One client in a new niche pays for the entire pack. Your advisors win business your competitors can't touch.
Browse niche packsThe Business Impact
Current State Without VelocityIQ:
- 15 FINRA violations/year × $150K = $2.25M in fines
- Manual analysis errors slip through to clients
- 10 hours/month per advisor on compliance-heavy analysis
- Reactive compliance staff putting out fires
- Questioned credibility in regulatory audits
With VelocityIQ:
- 80% fewer violations through systematic error prevention
- Zero silent failures—every issue caught before recommendations
- 70% time savings on analysis through validated automation
- Proactive compliance with complete audit trails
- Recruiting advantage—advisors join platforms with better tools
Platform Investment: Mid five figures annually for 200+ advisor platforms
Net Annual Benefit: $2M+ in reduced violations and efficiency
ROI: 900%+
Plus strategic advantages your competitors can't match:
- Advisor recruiting differentiator
- Regulatory audit confidence
- Professional market positioning
Who This Is For
Built for RIA platforms (200-2,000 advisors) whose advisors serve:
Technology Executives
Navigating equity compensation complexity
Business Owners
Planning exits, succession, or QSBS strategies
High-Net-Worth Individuals
Requiring sophisticated tax optimization
Medical, Legal, Dental Practice Owners
Needing niche expertise
Real Estate Investors
Managing 1031 exchanges and depreciation
If your platform needs systematic risk assessment and compliance documentation that regulators actually accept—and a recruiting edge over platforms still using generic tools—VelocityIQ is built for you.
Why This Works: Banking-Grade Foundations
VelocityIQ wasn't built by developers learning compliance from consultants. It was built by someone who spent years building compliance systems at NatWest and understands what regulators actually require.
Terry Martin
Founder & Chief Architect
Background:
- 3 years at NatWest building banking compliance systems
- 11 years software development experience
- Banking-grade validation methodology expertise
- Microsoft AI certifications (AZ-900, AI-102)
This background shows in the architecture:
- Multiple verification touchpoints—automated validation, advisor review, client acknowledgment, compliance oversight
- Deterministic execution—same inputs always produce same outputs, fully reproducible for audits
- Zero silent errors by design—validation before calculation, consistency checking during processing, result verification after computation
- Regulatory framework integration—FINRA Rule 2111 and FinCEN methodology embedded in core architecture
You're not buying experimental AI from a tech startup. You're buying compliance-first architecture from someone who brings 25+ years of financial services rigor to wealth management.
See It In Action
Schedule a 15-minute demonstration to see how VelocityIQ's compliance-first architecture provides systematic risk assessment and FINRA Rule 2111 documentation your platform can defend.
In the demo, you'll see:
- 101 validation rules executing in real-time
- Zero silent errors—every issue flagged explicitly
- Complete FINRA Rule 2111 documentation generated automatically
- Full audit transparency and methodology you can show regulators
- Banking-grade validation applied to wealth management
No pressure. No lengthy sales process. Just a clear demonstration of what professional compliance intelligence looks like.
Or contact directly: admin@getvelocityiq.com