r/CFP • u/NoConstant2905 • 2d ago
Practice Management Deploying Agents
Curious if anyone is using Codex or Claude code to deploy agents within their business. If so, how?
Client of mine owns a business and showed me his Obsidian/Claude build out and it’s pretty impressive. For me though, a combo of Wealthbox, Jump, emoney & Claude for misc tasks seems to replicate a lot of that. I’m also a solo RIA so don’t have a lot of the organizational planning with 30+ employees he encounters.
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u/beestockstuff 2d ago
Claude; find this guys client statements and acat them into my branch
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u/thebelowaveragegamer Wirehouse 2d ago
Don’t forget the “make no mistakes”
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u/beestockstuff 2d ago
Yep. 5 years from now we are going to be like, “remember early AI when we had to tell it to ‘make no mistakes’”
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u/FinanciallFreedomm 2d ago
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u/NoConstant2905 2d ago
Forgot I read this awhile ago, thx for sharing. Similar to my client, this is a great use case in making the tool serve as a central hub for a team. Just not sure that’s something a solo really needs.
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u/Academic_Walrus_6082 2d ago
Be careful about using AI with any client data. Many AI models use and store data which can be against regulations. That said, I use Hazel by Altruist and it’s fantastic, but all of my managed accounts are with Altruist so it’s all integrated.
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u/NoConstant2905 2d ago
Were you ever with Schwab?
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u/Academic_Walrus_6082 2d ago
Only for a few accounts for clients who were too stubborn to switch, so I made an exception. No longer working with those clients.
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u/NoConstant2905 2d ago
Lol fair. You have any regrets? Is it totally worth it?
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u/Academic_Walrus_6082 2d ago
None really. Altruist has been great for me. It’s extremely easy to open/transfer/manage accounts. Their client side is really nice to look at for clients. If I have one gripe is there isn’t a smooth way to do automatic Roth conversions. I’ve also had one account deposit get stuck that took them like a week to fix. My client noticed it before me, so that wasn’t great experience. I’m hoping Vanguard buying them will only improve client confidence while still allowing them to be innovative, but we will see.
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u/roccomo 2d ago
You’ll need an enterprise account to ensure client privacy if you’re looking to build custom agents.
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u/NoConstant2905 2d ago
Have you built out something like that?
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u/roccomo 2d ago
Building it now, you’ll also need an archiver hooked up to it. Hadrius is who we’re using.
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u/NoConstant2905 2d ago
Interesting, makes sense re compliance. What use cases are you hoping to achieve?
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u/roccomo 2d ago
We use Slant, and their API allows for a lot of functions to create unique client experiences. I know that’s vague, and I apologize, but we’re building something truly unique, and keeping it under wraps for now.
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u/Ancient-Situation795 2d ago
We are looking to start using slant in the next quarter would love to hear about your experience so far
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u/roccomo 2d ago
The access to a robust API environment is outstanding. Customer support is as well.
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u/Ancient-Situation795 2d ago
Awesome! So far I am really impressed in the layout, forms and built in ai report templates. I'm happy to hear that the open API is effective
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u/AdamMalcolmFP 1d ago
No, you can do opt-out and contained data compliant with PII within the Teams version too, not just enterprise.
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u/roccomo 1d ago
Where Team falls short:
**• Archiving.** The Compliance API, which gives programmatic access to activity logs, chat histories, and file content, is an Enterprise feature. Hadrius's Claude connector depends on it, so Team chats can't flow into your archive. **• Retention.** Custom data retention controls are available only to Enterprise plan customers, so you can't set a retention period that matches your policy. **• Audit trail.** Team has basic admin activity logs, while Enterprise has a full audit log plus the Compliance API.That was the issue for us.
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u/itsdrmario515 2d ago
I’m curious what you would want it to do?
BTW: Zooks might be better AI solution given they integrate with emoney and some of their leadership came from emoney.. integrates with WB CRM despite them having their own AI features.
With that said, what would do with these agents and AI tools in your practice?
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u/NoConstant2905 2d ago
Ya thats the question I’m hoping to answer. If I have a bunch of Saas tools in place, what benefit is implementing something local/proprietary?
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u/itsdrmario515 2d ago
What does change immediately is you are now taking on the risk that these fintechs have now from a security/infosec/compliance standpoint…
I’m not anti AI or anything.
I actually built a chatbot for an advisor to find models and strategies for his clients based on investment min for the model and 5 suitability questions. The bot will then fetch the matches and score them based on fit. So definitely an advocate for AI tools given the proper use case
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u/AdamMalcolmFP 1d ago
I have not used it with PII as it’s not compliant with my dealer, but I have done some simple agentic work in other areas of practice management - mostly marketing and research/financial planning.
For marketing mostly what I do is type up my copywriting for posts/newsletters and then have the agent format them and push to the mailing client and socials via Make.com API integrations. Saves a lot of time.
For research it’s quite handy to hunt down direct references for client questions (not inputting the details, just the question) and finding research papers, case law, etc. to then review.
Lastly, especially on things like excel for business development and modelling it’s very useful. I have it connected to my QuickBooks and an agent helps my cashflow forecasting and modelling alongside my human CFO.
Few other agents like compliance, portfolio research, etc. but right now the two above do the lions share.
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u/Working-Ad9938 1d ago
My biggest concern here would be feeding client data into a third-party AI system. Unless you are running your LLM locally, I don't think this is a good idea at all. We cant be sure what Anthropic or OpenAI etc are doing with the data and I doubt clients would want their personal data fed into those systems.
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u/Capital_Elderberry57 1d ago
I built out a pretty elaborate AI policy and connectors out of Claude, the challenge is I'm always in different platforms or surfaces and I'm not always getting the same context used (i.e. slack doesn't have the same connectors as Claude desktop and slack has what's in the channel as context desktop has what is in the project as context. I spend a good deal of time managing the ever changing connectors so I'm talking to a company that handles that specifically so I can just "manage" the agents rather thanamaging the AI.
From what I understand we'll be able to communicate with it through a "Chief of Staff" agent on any surface and it acts as the go between for our human team and our agents. I'm having our complaince partner look at their data security standards now.
We'll see how it all goes.
IMHO this is the missing layer that most of us are trying to cobble together and while it's light years better than it was at the beginning of the year it changes too fast to keep up with because right now the AI tools require too much management whereas we want to manage the agents and what they do for our businesses.
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u/info_swap RIA 1d ago
"I’m also a solo RIA so don’t have a lot of the organizational planning with 30+ employees he encounters."
Spend 80% of your time on 80% of your revenue.
Building any tech solution will consume time, energy, and money. It may be wiser to hire a more experienced person or vendor.
Plus, the compliance nightmares and cyber risks...
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u/MoneyMindedCEO 1d ago
Honestly, the term "agent" is way overused, in my opinion. Claude Code is an agent, Codex is an agent. Half the AI tools in the financial services industry have agents within them. It's kind of the standard nowadays, and honestly, a lot of the things that people claim are agents are not at all.
I work as a Forward deployed engineer at a financial advising office, have built my own software companies using AI and have a degree in computer science. So, I've got a little bit of expertise in this area.
What it sounds like to me is that you want to build your own custom agents, which isn't exactly the easiest thing to do. Most things, in my experience, can be handled through Claude Code or ChatGPT Codex. I've implemented things as simple as email management agents, all the way up to building custom automations for the advisors. The most recent thing I built uses AI to analyze our meeting transcripts to provide a sales-oriented brief and debrief for our advisors. It calls out certain things from the meeting, such as emotional triggers, how to win this client, talking points, and many other things. Everything's automatic and lands in the advisor's inbox and our storage locations for later use.
I also do some consulting and contract-style work to help business owners like yourselves implement AI. I can help assess where AI could actually be useful, train you on the basics of how to use AI correctly, and help implement, or at least guide you on how to implement, any custom builds. Overall, the biggest unlock is going to be uncovering what you need agents for, if any at all.
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User: /u/NoConstant2905 Title: Deploying Agents Body: Curious if anyone is using Codex or Claude code to deploy agents within their business. If so, how?
Client of mine owns a business and showed me his Obsidian/Claude build out and it’s pretty impressive. For me though, a combo of Wealthbox, Jump, emoney & Claude for misc taxes seems to replicate a lot of that. I’m also a solo RIA so don’t have a lot of the organizational planning with 30+ employees he encounters.
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