New governance layer enables CIOs and investment committees to define, monitor and audit AI agent behavior across investment processes
SARASOTA, Fla.–(BUSINESS WIRE)–DeepVest, an AI-powered investment platform that enables CIO-level portfolio personalization for financial advisors, today announced the launch of its Firm-Level Governance Framework, a new enterprise governance layer that allows chief investment officers (CIOs), investment committees and compliance teams to define and control how AI agents operate across their organizations.
This new framework enables firms to establish approved data sources, investment policies, approval workflows and output constraints that govern AI-generated analysis and recommendations. Investment teams can define how AI behaves before analysis is generated, ensuring outputs across research, portfolio analysis and client-facing recommendations remain aligned with firm-specific mandates.
“The financial services industry has a fiduciary AI problem,” said Toby Wade, CEO at DeepVest. “Firms want the productivity gains of AI agents, but they can’t deploy tools that might recommend off-limits securities, cite unapproved research or bypass compliance workflows. Our Governance Framework addresses this by letting CIOs and investment committees define exactly how AI behaves, which data sources it trusts, which policies it enforces and which outputs require human approval. It’s the difference between a chatbot and a compliant, auditable agent that operates within your firm’s investment mandate.”
Fresh off the launch of Advisor Hierarchy and Behavioral Investment Suitability Analysis, which allow advisors to deliver more personalized, context-aware analysis at scale, DeepVest continues to expand its AI-powered investment platform with capabilities designed to support both personalization and oversight. As firms increasingly look to integrate AI into investment workflows, the Firm-Level Governance Framework addresses a critical challenge: ensuring AI-generated insights remain aligned with firm policies, regulatory requirements and fiduciary obligations.
DeepVest’s suite of capabilities moves AI in wealth management from experimental adoption to structured enterprise infrastructure—where intelligence is not only generated, but governed, traceable and aligned with fiduciary responsibility by design. DeepVest delivers institutional-grade portfolio, market and client intelligence that advisors can trust, without hallucinations or guesswork, and with full transparency into every calculation.
Available now as part of DeepVest Advisor Premium, the Firm-Level Governance Framework extends this foundation from advisor-level outputs to firm-wide control, ensuring AI behavior operates within defined policies, workflows and regulatory standards as part of the investment process itself. The launch also follows the successful completion of DeepVest’s SOC 2 Type 2 audit, reinforcing the firm’s commitment to security, availability and confidentiality through controls that are continuously monitored and validated over time.
For more information on these new capabilities, advisors can contact DeepVest at hello@deepvest.ai or visit deepvest.ai to request a live demo.
About DeepVest:
DeepVest is an AI-powered investment platform that enables advisors and chief investment officers to deliver personalized portfolios at scale. The platform combines hallucination-free artificial intelligence and workflow automation to support investment research, portfolio construction and ongoing strategy management. It combines three tools in one platform: AgentLab for conversational investment research, DataLab for cross-asset market data and AdvisorLab to generate personalized, compliance-ready proposals. By incorporating client-specific inputs into portfolio design, DeepVest helps firms address more complex client needs without adding operational burden. For more information, visit deepvest.ai.
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