Capture the meeting. Approve the record. Move on.
Zeplyn ingests an advisor-client meeting and returns an ADV-aligned summary, a structured CRM update payload, and a follow-up email draft in under three minutes - ready for advisor review and approval.
Independent RIAs spend 30 to 40 percent of every client meeting on documentation tasks they have already done hundreds of times.
Independent and boutique registered investment advisers and financial planning firms with 1 to 20 advisors all face the same documentation drag. The work happens after the meeting ends: capturing notes, writing a Form ADV-required summary, updating CRM records, and drafting a follow-up letter. For a 50-client practice that translates to 12 to 18 hours per week per advisor of non-billable compliance work, leaving less time for client relationships and new business development.
The numbers are consistent across the practices we have measured. The average RIA logs 45 to 60 minutes of documentation per client meeting. Roughly 70 percent of that documentation is structurally repetitive - same fields, same regulatory language, same CRM hooks. Independent RIA practices report this overhead as the single largest impediment to scaling client books beyond 50 to 75 active clients per advisor.
From meeting to filed record in three minutes.
A practical agentic workflow with the advisor in the loop at every approval gate.
Input
Advisor initiates a client meeting in Zeplyn's web app or enables ambient capture via the mobile companion. Zeplyn pulls client context from Salesforce Financial Services Cloud or Redtail in real time and starts a structured transcript.
Agentic processing
An agent layer fine-tuned on SEC-regulated advisory communication standards parses the transcript, identifies action items, suitability updates, disclosed material changes, and next-step commitments, and drafts a Form ADV-aligned summary, CRM update payload, and follow-up email draft.
Output and approval
A complete post-meeting package is ready for advisor approval in under three minutes: ADV-compliant meeting summary, structured CRM update payload, follow-up email draft, and any flagged compliance items requiring advisor or principal sign-off.
Integrations. Salesforce Financial Services Cloud, Redtail CRM, Microsoft Teams transcripts, Zoom transcripts, DocuSign, and Orion portfolio management.
Six capabilities that work together as one record.
Each capability ships behind a human approval gate. The advisor reviews and approves; Zeplyn drafts and files.
Agentic Meeting Intelligence
Zeplyn's core agentic layer runs during and after every client meeting. During the meeting it listens for keywords associated with suitability triggers, portfolio allocation discussions, client life-stage changes, and regulatory disclosure obligations. After the meeting ends, the agent automatically structures these observations into a standardized record format aligned to FINRA Rule 4512 and SEC Reg BI documentation requirements. Advisors in beta trials reduced post-meeting documentation time from an average of 52 minutes to 8 minutes per meeting without a reduction in compliance record completeness.
Form ADV-Ready Meeting Summaries
Output templates are built around the documentation requirements that RIA compliance auditors and SEC examiners look for in client meeting records under Form ADV Part II. Each summary includes investment objectives discussed, risk tolerance updates, suitability determination basis, product recommendations made, disclosures provided, client acknowledgments, and next-step commitments. Templates are configurable per firm policy - an RIA with specific disclosure language can lock that language as a firm-wide default so every advisor's summaries stay consistent regardless of individual documentation habits.
CRM Auto-Population
Zeplyn maintains a persistent connection to the firm's Salesforce Financial Services Cloud or Redtail instance. After each meeting Zeplyn proposes a CRM update payload that includes contact record updates, opportunity stage changes, task creation for follow-up items, and activity logging. The advisor reviews the proposed updates in Zeplyn's UI, approves or modifies individual fields, and confirms - triggering a single write that posts all updates simultaneously. For practices with 20 or more active clients per advisor, CRM update consolidation alone eliminates 5 to 8 hours per advisor per week of repetitive data entry.
Compliance Flagging and Escalation
Zeplyn monitors meeting transcripts and draft summaries for regulatory trigger phrases: concentration risk discussions, recommendations involving leveraged products, changes in client investment experience, retirement distribution planning, and significant account withdrawals. When a trigger is detected, Zeplyn adds a compliance flag to the meeting record and marks it for principal review before the summary is finalized. Flagged items queue in the firm's compliance officer dashboard as pending reviews, giving the compliance function visibility into high-risk advisory conversations without requiring manual transcript review.
Follow-Up Email Drafting
After each client meeting Zeplyn generates a draft follow-up email referencing specific topics discussed, links to documents mentioned, summaries of next steps assigned to the advisor or client, and the firm's standard email footer including required regulatory disclosures. The draft uses a professional but personalized tone - Zeplyn references the client's name, specific portfolio positions discussed, and any life events mentioned during the meeting. Advisors review the draft in Zeplyn's email composer, edit if needed, and send directly via their existing email server connection without switching applications.
Audit-Ready Documentation Archive
Every meeting record processed by Zeplyn is stored in an immutable, timestamped archive with advisor approval metadata. Compliance officers can search the archive by client name, date range, meeting type, or compliance flag status, producing a comprehensive record set for SEC or FINRA examination preparation. The archive exports in standard formats for examination response packages. Retention is configurable per jurisdiction and firm size - records can be retained for 5 or 7 years as required per SEC Rule 17a-4, with automated deletion schedules for records past their retention window.
Independent RIAs and small-to-mid-size financial planning firms.
Zeplyn is built for independent registered investment advisers and small-to-mid-size financial planning firms. We work best with practices that have 1 to 20 advisors, 30 to 300 active clients per advisor, $10M to $500M in assets under management, and an annual compliance and operations budget in the $50K to $500K range. The documentation burden in this band is heaviest, and the compliance risk of an incomplete meeting record is most acute.
Zeplyn is not for wirehouse advisors operating inside proprietary compliance systems we cannot integrate with, advisors not yet SEC- or FINRA-registered, or broker-dealer back-office compliance teams. Zeplyn is advisor-facing and designed for the independent RIA practice; we are intentionally narrow about that fit.
See Zeplyn run on a real meeting transcript.
Bring a redacted transcript or a synthetic one. We will run it live, you keep the output.
Request a pilot