AI in Practice for RIAs: Use Cases, Governance, and What the SEC Is Starting to Ask

AI adoption is moving quickly across investment advisory firms. Compliance expectations are moving just as fast.

This isn't a policy briefing. It's a practical, real-world look at how advisors and CCOs are actually using AI, and what to have in place before an examiner asks about it.

Xantrion white 25th logo

Join legal and compliance expert Kelly Koscuiszka, Xantrion strategic IT advisor Graham Roggli, and compliance veteran Tito Pombra (moderator) for a complimentary panel discussion built specifically for RIA CCOs and advisors. 

What's Actually Working

This isn't another AI policy overview. We'll dig into what firms are actually doing, including where they’re succeeding and where they're running into challenges. 

Inbox Triage Automation

Real Use Cases, Not Theory

From research and marketing to client communications and recordkeeping, see how advisors are already putting AI to work, day to day.

Workflow Automation

Governance That Holds Up:

Learn what documentation, oversight, and approval workflows actually look like when an SEC examiner starts asking questions.

Event Details

Join us for this complimentary 60-minute session built for CCOs and advisors who want a real answer to "what should we actually be doing about AI?

During this session, we'll explore:

  • How advisors are putting AI to work across research, marketing, client communications, and compliance support 
  • What governance actually looks like in practice, policies, oversight, and accountability that hold up under review
  • How to prepare for SEC exam questions about AI utilization and supervision
  • Where AI monitoring realistically stands today, and where it's still catching up 
  • How firms are evaluating tools like Copilot, Claude, Gemini, and specialized platforms, and the privacy questions that come with them
  • Real AI issues firms have run into, and how they handled them
You'll leave with a clearer sense of what "AI done right" actually looks like at an RIA, and what to put in place before your next exam.

Date
September 23rd, 1:00 - 2:00 PM PST

Where
Live Zoom Webinar

Meet the Speakers

KELLY KOSCUIZKA
CO-HEAD, INVESTMENT MANAGEMENT REGULATORY & ENFORCEMENT, MCDERMOTT WILL & SCHULTE

Kelly co-heads McDermott Will & Schulte's Investment Management Regulatory & Enforcement practice, advising private funds and investment advisers on SEC examinations, deficiency letters, and enforcement matters. She works at the intersection of regulation and emerging technology, including AI, alternative data, and electronic communications, and regularly trains clients and speaks at industry conferences on these issues.

 

Kelly Koscuiszka
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GRAHAM ROGGLI
STRATEGIC IT ADVISOR, XANTRION

Graham helps Registered Investment Advisors adopt AI in a way that's practical, secure, and built to hold up under scrutiny. His work focuses on translating emerging tools into defensible, exam-aware workflows that improve staff capacity without creating compliance exposure for smaller firms.

TITO POMBRA
PRESIDENT & FOUNDER, ADVISOR COMPLIANCE CONSULTING INC.

With 38 years in the global asset management industry, Tito has built a career helping RIAs, hedge funds, and private fund advisers navigate compliance in real time. As Co-Chair of the San Francisco Bay Area CCO Committee, he brings the questions his peers are already asking straight to the panel.

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