For The Efficient Advisor Listeners
Know exactly where your firm stands on AI governance —
before an examiner asks.
Most RIA firms are already using AI tools. Few have validated whether their environment is actually set up to support them — for productivity, governance, and compliance.
SEC 2026 exam priorities explicitly name AI governance — exams are underway now.
Notetakers. ChatGPT. Research assistants. Meeting tools. They’re delivering real value — but they’re also moving client data through environments your compliance documentation wasn’t designed to cover.
“Is our environment actually set up to support this — not just for productivity, but for governance and compliance?”
The firms that answer that question now — and build the right foundation — will operate faster, serve clients better, and walk into every SEC exam with confidence. The firms that don’t will spend the next few years catching up.
A focused, practical view of where you stand — and what to do next.
- A clear picture of where your environment supports — or doesn’t support — your AI usage
- Specific gaps between your compliance documents and actual technology
- Peace of mind on where you stand ahead of the SEC exam cycle
- A prioritized path forward — where to start and why
Not a technical audit or compliance exam
- Not a replacement for your compliance consultant
- Not a commitment to purchase anything
- Not a 90-minute vendor pitch
45 minutes. No prep required. Clear next steps within 24 hours.
Complete the form and a T2M Works advisor will reach out within one business day — prepared, not pitching.
June is Approaching: SEC 2026 exams are underway. Assessment spots are limited and scheduled on a first-come basis.
Why T2M Works
1. We start with your compliance documents — not a generic framework.
Your WISP, ADV, and Compliance Manual tell us what your firm committed to. We build the technical environment to match and enforce that intent — not the other way around.
2. We work alongside your compliance consultant — not around them.
We translate regulatory obligations into a technical environment that enforces them. The result is a firm where the policy and the proof are the same thing.
3. We activate what you already own before recommending anything new.
Most RIA firms use roughly 30% of the governance capability already in their subscriptions. The foundation is already paid for. We activate it.
