See the Decision-Support Platform in Action
Watch how VelocityIQ's analysis tools support advisor judgment from suitability evaluation through risk identification to AML assessment—all while maintaining clear advisor responsibility for determinations.
Platform Capabilities and Advisor Workflow
Demo Structure (10 minutes)
Segment 1: Suitability Analysis Framework
3 minutes- • How client profile data is structured around FINRA factors
- • Three-prong analysis framework in action
- • How advisors review analysis and make determinations
- • Documentation supporting advisor suitability file
- • Clear separation: System provides analysis / Advisor determines suitability
Segment 2: Risk Identification Tools
2 minutes- • 73 validation rules identifying potential risks
- • Triple-layer validation demonstration
- • Risk analysis output for advisor review
- • How advisors assess materiality and determine disclosure
- • Clear separation: System identifies risks / Advisor determines significance
Segment 3: AML Risk Assessment Framework
2 minutes- • Seven-dimension risk analysis in action
- • Dual scoring methodology (inherent + residual)
- • Risk tier suggestions for advisor evaluation
- • How advisors make final risk determinations
- • Clear separation: System analyzes factors / Advisor determines risk level
Segment 4: In-Meeting Intelligence
2 minutes- • 40-second scenario generation capability
- • How advisors use scenarios in client meetings
- • Maintaining full analysis framework at speed
- • Advisor review and presentation to clients
Segment 5: Documentation and Compliance
1 minute- • Glass-box architecture and audit trail
- • How documentation supports regulatory examinations
- • Combined system and advisor documentation approach
FINRA Rule 211 Suitability Assessment Demonstration
Watch a 5-minute walkthrough of how VelocityIQ supports FINRA Rule 2111 compliance through structured suitability analysis and advisor decision-making.
This demonstration shows how the platform structures client profile data, performs three-prong suitability analysis, and provides documentation to support advisor suitability determinations in compliance with FINRA Rule 2111.
Demo Designed for Platform Decision-Makers
Primary Audience:
- RIA Platform executives
- Compliance officers
- Chief Technology Officers
- Advisory practice leaders
- Large RIA firm principals
What You'll Learn:
- → How analysis tools support advisor determinations
- → How legal positioning protects platforms and advisors
- → How documentation supports regulatory examinations
- → How supervision and oversight work with system
- → Integration and deployment considerations
- → Pilot program structure and requirements
How We Position Platform and Advisor Responsibilities
Clear Separation of Roles:
System provides:
Analysis, frameworks, documentation tools
Advisors provide:
Professional judgment, determinations, recommendations
Repeated throughout:
"System analyzes / Advisor determines"
Advisor Control:
- • Advisors review all system output
- • Advisors apply professional judgment
- • Advisors make all determinations
- • Advisors take responsibility for recommendations
Legal Protection:
- • Decision-support positioning protects platforms and advisors
- • Clear disclaimers and legal notices
- • Documented separation of responsibilities
- • Strong liability protections
Regulatory Value:
- • Systematic methodology supports examinations
- • Documentation demonstrates thoroughness
- • Audit trail shows professional process
- • But compliance responsibility remains with advisors/firms
Legal Disclaimer
Demo shows decision-support platform capabilities. VelocityIQ does not make professional determinations, provide investment advice, or act as investment advisor or broker-dealer.
All determinations, recommendations, and advice must be made by licensed financial professionals who review system analysis, apply independent judgment, and take full responsibility for their decisions.
Demo is for informational purposes only and does not constitute recommendation to use platform or guarantee of specific outcomes. Platform capabilities are provided "as is" without warranties.
See full legal terms and conditions before entering pilot agreement.
See How Analysis Tools Support Professional Advisory Practice
10-minute demonstration of comprehensive analysis platform designed to support advisor judgment while maintaining clear professional responsibility.