Q: Does this replace my CCO?

No — and we wouldn't recommend it if it could. Every compliance draft is shadow-reviewed by your CCO before filing or sending. The product compresses CCO time from "author from blank page" to "review and approve" — typically 60-80% reduction without removing the human judgment SEC examiners expect to see.

Q: What about ethics — Investment Advisers Act + Reg S-P rules?

Investment Advisers Act fiduciary duty + Form ADV disclosure requirements + Reg S-P privacy rules apply. Our shadow-review workflow (operator reviews → CCO reviews → advisor approves before client delivery) is designed around the supervision standards SEC examiners look for. Audit log records every review for SEC examination defense.

Q: Custodian write access — what does that mean?

For v1, the pack is READ-only on custodian data: we pull holdings, balances, and performance for prep briefs and quarterly letters. We do NOT execute trades, rebalance, or write transactions. Custodian write-access is a Phase 2 conversation if and when your firm asks for it.

Q: What if my firm uses iManage or NetDocuments instead of Dropbox?

Phase 1 supports Dropbox / Google Drive / OneDrive document storage. iManage / NetDocuments / Box are on the roadmap once we have a customer asking for it. Single OAuth setup at JieGou; every recipe uses the same connection regardless of which storage backend you pick.

Question 1

Is anything sent to clients without my review?

Accepted Answer

No. Every client-facing draft — onboarding email, fee disclosure, IPS, quarterly letter, re-engagement message — sits in your shadow-review queue. You (or your CCO for compliance documents) review and approve before send. Operations-internal drafts (paraplanner notes, prep briefs) auto-promote.

Question 2

How do you handle the state-vs-SEC Form ADV distinction?

Accepted Answer

The Form ADV Update Drafter recipe takes a jurisdiction input. State-registered firms (typically <$100M AUM) get state-specific language and filing-deadline logic; SEC-registered firms (typically ≥$100M AUM) get the SEC variant. The CCO confirms jurisdiction during onboarding.

Question 3

Does this replace my CCO?

Accepted Answer

No — and we wouldn't recommend it if it could. Every compliance draft is shadow-reviewed by your CCO before filing or sending. The product compresses CCO time from "author from blank page" to "review and approve" — typically 60-80% reduction without removing the human judgment SEC examiners expect to see.

Question 4

What about ethics — Investment Advisers Act + Reg S-P rules?

Accepted Answer

Investment Advisers Act fiduciary duty + Form ADV disclosure requirements + Reg S-P privacy rules apply. Our shadow-review workflow (operator reviews → CCO reviews → advisor approves before client delivery) is designed around the supervision standards SEC examiners look for. Audit log records every review for SEC examination defense.

Question 5

Custodian write access — what does that mean?

Accepted Answer

For v1, the pack is READ-only on custodian data: we pull holdings, balances, and performance for prep briefs and quarterly letters. We do NOT execute trades, rebalance, or write transactions. Custodian write-access is a Phase 2 conversation if and when your firm asks for it.

Question 6

What if my firm uses iManage or NetDocuments instead of Dropbox?

Accepted Answer

Phase 1 supports Dropbox / Google Drive / OneDrive document storage. iManage / NetDocuments / Box are on the roadmap once we have a customer asking for it. Single OAuth setup at JieGou; every recipe uses the same connection regardless of which storage backend you pick.

AI operations
for solo & small RIA firms

Plug the 90-day onboarding vacuum

Form ADV, Reg S-P, IPS — drafted, not authored

See retention risk before clients see the door

Operations work that adds up across the year

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AI operationsfor solo & small RIA firms