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Where this fits: client profiles and advisory notes are Level 3 and 4 information. Levels 1 and 2 can stay where they are today. See the four levels →

← Industry overview

Regulated finance private AI

Before your advisors use AI, choose where client financial data is processed.

The same client profiles, suitability notes, portfolio context, and internal analysis can be sent to a public AI cloud, or processed on your private hosted AI server protected by encrypted VPN.

For wealth managers, RIAs, broker-dealers, and regulated finance teams
Option A

Public AI Cloud

Using a browser-based public AI service can send prompts, attachments, and client financial context to third-party AI infrastructure in the public cloud.

Public Internet → AI vendor cloud
ChatGPT logoChatGPTOpenAI
Claude logoClaudeAnthropic
Gemini logoGeminiGoogle
Grok logoGrokxAI
Privacy considerations
  • FINRA reminds firms that existing regulatory obligations still apply when using GenAI and LLM tools.
  • SEC Regulation S-P amendments increase focus on protecting customer information and incident response.
  • Consumer AI settings, retention, and account risk may not match regulated workflow expectations.
Convenience vs. privacy: where is your risk tolerance?
Your regulated financial data
◆ Client profiles and account context
◆ Portfolio, suitability, and advisory notes

Same data. Different processing destinations.

Choose the processing destination.
Option B

SterlingPRIVATE.ai

Your firm uses a dedicated hosted AI server — managed by Sterling, connected by VPN, and not shared with other organizations.

Encrypted VPN → dedicated private server
Your private hosted AI server
A dedicated environment for your organization — like an extension of your own network.
✓Dedicated to your organization
✓VPN connected
✓Managed by Sterling
Not a shared public AI website. Client financial data is processed on your private server.

This is the whole decision. Sensitive work gets a private destination; everything else stays exactly where it is today. See how the private side works, or what it costs.

Next step

Ask for a demo

Thirty minutes, on your schedule. We will run a real analysis in front of you — on a sample of your own data if you are comfortable, or on ours if you would rather — and show you exactly where that data goes at each step.

503.968.8908 PrivateAI@sterling.net