Financial Services
Compliant HNW client acquisition
for financial advisers.
Personalised introductory rooms referencing life stage and financial complexity, with the AI staying firmly pre-advice so your regulated conversation happens on the call.
Compliance
AI stays pre-advice
Never provides financial advice. Always directs regulated questions to the adviser
Relevance
Life stage aware
Rooms reference career stage and likely financial complexity without assumptions
Conversion
Warm before the call
Prospect understands your firm's approach before the adviser picks up the phone
Frequently asked
Financial Services FAQs.
Is ProspectRoom FCA compliant for financial advisers?
ProspectRoom is designed so the AI stays firmly pre-advice. The AI never provides personal financial advice and always directs regulated questions to the human adviser. All FCA financial promotion rules remain the responsibility of the adviser firm, which controls the content the AI presents.
Does the AI give financial advice?
No. The AI is configured to only discuss general service offerings and qualify interest. Any specific advice request is handed to the human adviser via booked consultation.
How do we ensure the AI never says something non-compliant?
You configure what the AI can discuss in plain English, including explicit restrictions. The AI reliably stays within that scope. On Enterprise plans, we help you work with your compliance team to define the guardrails.
Does this work for both IFAs and wealth managers?
Yes. Both use cases involve HNW prospect outreach pre-advice, which is what ProspectRoom is designed for. IFAs typically use it for new client acquisition; wealth managers for targeted outreach to UHNW prospects.
Acquire HNW clients
more efficiently.
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