Can a Financial Advisory Firm Sell or License Its Data to AI Companies?
AITrainingDataBroker.com
Can a financial advisory firm
sell or license its data
to AI companies?
For RIAs and wealth managers: what Regulation S-P allows, and what AI companies want.
Jimmy Lin
Can a financial advisory firm sell or license its data to AI companies?
If you run a financial advisory firm, your advisors write notes after every client meeting. Why the plan changed. Why money moved. What the client was worried about.
AI companies now want to learn how good advice gets made. So can an advisory firm sell or license its data? Yes, without giving away a single client name.
Stay to the end for a 1-minute test you can run on your own review notes.
The video
Full script
If you run a financial advisory firm, your advisors write notes after every client meeting. Why the plan changed. Why money moved. What the client was worried about.
AI companies now want to learn how good advice gets made. So can an advisory firm sell or license its data? Yes, without giving away a single client name.
Stay to the end for a 1-minute test you can run on your own review notes.
Here is a number that keeps firm owners up at night. About 38% of US financial advisors expect to retire in the next 10 years. They hold about 42% of client assets.
When an advisor retires, the clients can stay. But the judgment, the way they handled a nervous client or a hard tax year, goes with them.
Unless it is written down. And in your firm, a lot of it is. It is in your meeting notes and review records. That is exactly what AI companies want to learn from.
I'm Jimmy. I have worked in data at Fortune 500 companies, as a data analyst, a data engineer and a software engineer, and I am trained in data science. I am also a Canadian military veteran, where I specialized in data analysis and reporting.
Selling your data? We are your broker and your technical advisor. We get you the best price, and we guide your team through the technical side, from export to cleaning, so your data stays private. Buying data for an AI lab? We find quality data that fits your requirements and see it through to delivery, so your team can focus on advancing AI research.
Let us sort out who owns what. There are 3 groups.
Your clients' information: names, account numbers, family details. That stays out. Always.
The custodian's records, like the statements from the company that holds the accounts. Those are theirs, not yours. They stay out too.
And then there is what is yours. Your planning process. Your meeting and review notes, with the names taken out. The reasoning of your investment committee.
The SEC privacy rule for advisors, Regulation S-P, says data with no names, account numbers or addresses is not protected client information. Your own lawyer and compliance officer check this for your firm, because your client agreements may say more.
What does AI want from an advisory firm? Picture one client, over one year.
In the first quarter, the annual review: what changed in their life, and what you changed in the plan. In the second, rebalancing: what moved, and why. Then a life event: a new baby, the sale of a business, a job loss. And at year end, the tax moves.
Every quarter has a decision, and a reason behind it. That reason is the part AI can not learn from the internet. It only lives in your files.
Advisors are already using AI. In a 2026 survey, about 70% said they use at least one AI tool.
But here is the catch. In another survey, 93% of advisors said keeping control of the advice is non-negotiable.
So the AI tools that win will be the ones that understand how a good advisor thinks. And the only way to learn that is from real advice records, like yours.
Here is what cleaning looks like, on one review note.
Met with Tom and Linda Reyes, with their account number. Moved $240,000 from bonds to a 3-year CD ladder. Linda retires in 2027, and wants no stock risk for income.
After cleaning, Tom and Linda are Household 3317. The account number is gone. The amount becomes "a 6-figure amount", and the date becomes "in 2 years".
What stays is the decision and the reason: a client close to retirement who needs safe income. That is what the AI learns. Not who they are.
How the cleaning is done, and who does it, is written into the contract. And it is a license. You keep your data.
Here is the 1-minute test I promised.
Pick 1 client you have served for 3 years. Open their review notes, year by year. Can you see why the plan changed each time?
If you can, your firm has the kind of records AI companies want: real decisions, with the reasons written down.
It also helps to have about 30 or more people, 3 or more years on the same CRM or planning software, and records mostly in English.
Your part is mostly exporting the data, and we help with that. Not sure? The free check at the end will tell you.
You would never tell a client to take the first offer without looking around. Same here. I am your broker and your technical advisor.
As your broker, I bring your firm to several AI companies, so you get the best terms, not just the first price.
As your technical advisor, I guide your team through the technical side: what to export, in what format, and how names and account numbers come out. Client privacy is written into the license. Each deal is also reviewed by an outside lawyer and covered by an outside insurer.
And nothing moves until your compliance officer signs off. The terms and the price are worked out case by case.
I am paid from the deal, never by you up front.
So yes, a financial advisory firm can sell or license its data. Never client names or accounts. What sells is how your advisors think: the decisions and the reasons, with the names taken out.
If you run a company with 30 or more people, the records you already have could become a new revenue stream. Find out if yours qualifies, free, at AITrainingDataBroker.com.
Thank you for watching. See you in the next one.
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