Wealth and asset management runs on research, judgment, and trust — and operates under a fiduciary duty that shapes how AI can be used. AI is a strong augment for research and operations, provided advice stays human and claims about AI stay honest. Here’s how, and how dgm implements it. (dgm implements osFoundry, a separate company’s platform — we are not osFoundry; investment and compliance decisions stay with your team.)

What AI actually does for wealth and asset managers

The honest framing: AI augments research, operations, and client service — synthesizing information and cutting busywork — while advisers retain accountability for advice under their fiduciary duty. It informs; people decide.

High-value use cases

  • Research support — synthesizing financial data, filings, and market information.
  • Document summarization — condensing long materials for faster review.
  • Client communication and education — drafting updates and educational content (for review).
  • Portfolio analytics — supporting analysis (not autonomous decisions).
  • Compliance and surveillance tooling — easing the monitoring burden.

The compliance reality: fiduciary duty, AI washing, and existing rules

Two things define the landscape:

  • “AI washing” is actively enforced. The SEC settled its first AI-washing actions against investment advisers in 2024 for overstating AI use, and has continued the theme. So any marketing or investor claim about your AI capabilities must be accurate and substantiated — don’t claim more than you do.
  • No AI-specific advice rule is in force. A proposed SEC rule on predictive data analytics was withdrawn in 2025, so existing law governs: fiduciary duty, the Marketing Rule, the Compliance Rule, and FINRA’s reminder (Notice 24-09) that existing rules apply to AI just as to any technology. The fiduciary duty means advisers remain responsible for AI-influenced recommendations.

dgm builds these compliance considerations into the implementation; investment and compliance decisions stay with your team.

How to start

Start with research and operations support — high value, lower regulatory risk — keeping advice human and AI claims accurate. Prove the time and insight gained, then expand. dgm’s assessment finds the right starting point.

How dgm helps

dgm implements osFoundry and other AI for US wealth and asset managers — augmenting research and operations within your compliance framework, with training included. Pricing is fixed and public: a $399 assessment and $3,999/month implementation, with no per-seat fees. If you’d rather explore the platform first, go straight to osFoundry; if you want wealth-management AI done right, that’s where dgm comes in.