The Compliance Platform for Modern Wealth Managers
Luthor combines AI workflows with human expertise to handle registrations, filings, audits, and ongoing compliance—so you can focus on growing your firm, not chasing checklists.
Built by compliance experts, powered by AI innovation
Luthor was founded by securities lawyers and compliance leaders who saw how much time and risk firms waste on manual checklists.
Multi-state compliance in minutes
Luthor was founded by securities lawyers and compliance leaders who saw how much time and risk firms waste on manual checklists.
Automatic state mapping
Upload your latest CRM data and our AI syncs firm and rep details across all states, generating the right forms automatically.
AI-drafted filings
ADV, U4, and state supplements are pre-filled and tailored to your business model, fee structure, and policies.
Built-in deficiency handling
Regulator notices are ingested, classified, and drafted responses are queued up for approval, keeping you ahead of issues.
Why is it different?
Legacy compliance tools only track documents and deadlines. Our AI workflow actively prepares, interprets, and manages filings—turning compliance from a manual burden into an automated process.
Automated billing fee audits
Eliminate billing errors before regulators or clients find them. Luthor cross-checks agreements against transaction data automatically.
Contract-to-ledger comparison
Our AI reconciles advisory agreements with custodial transaction logs, surfacing discrepancies instantly.
Drafted reimbursement workflows
When errors are found, reimbursement letters, emails, and transaction adjustments are generated automatically.
Audit-ready archives
Every finding, correction, and resolution is logged, timestamped, and backed up—no scrambling at exam time.
Why is it different?
Competitors track billing exceptions; Luthor actually resolves them, preparing the remediation and keeping you exam-ready.
New RIA registrations without the headache
Launch your firm faster with AI-assisted registrations that handle every form, disclosure, and filing from day one.
Smart intake & setup
Answer a few plain-language questions about your firm’s structure, services, and fees. Luthor maps the requirements for SEC or state registration automatically.
AI-prepared forms & disclosures
ADV Part 1 & 2, Form U4, client agreements, and compliance manuals are pre-filled with firm-specific details and tailored to your operating model.
Guided deficiency resolution
If regulators request clarifications, Luthor drafts responses and preps updated filings—minimizing launch delays.
Why is it different?
Consultants and legacy tools hand you templates and checklists. Luthor’s AI workflow actively generates the documentation, manages submissions, and accelerates approval—so you can start serving clients sooner.
AI optimized for compliance
Our AI stack is trained on regulatory data, filings, and workflows, giving advisors accuracy and confidence.
Regulatory-tuned AI
Trained on SEC, FINRA, and state rules, every answer is grounded in the latest requirements.
Agentic workflows
AI agents coordinate with expert oversight to manage complex processes like marketing reviews, ADV updates, and audits.
Adaptive and improving
The right models are selected for each task, and every filing, review, and audit feeds back into the system to boost accuracy and efficiency over time.
Why is it different?
Legacy tools were designed to track documents. Luthor was engineered as a compliance-first AI infrastructure built to handle regulation, not just report on it.
Real results from real firms
How PCM Encore scaled marketing compliance 7× faster with Luthor.
Process requires heavy oversight
Median review time
Accuracy on compliance checks
Assets reviewed per week
PCM Encore, a fiduciary wealth manager serving 50+ high-net-worth families, was struggling with a growing backlog of marketing content and only 64 % review accuracy. Manual checks took days, slowing their advisors when client demand was highest.
Luthor’s adaptive review workspace changed the pace overnight. Custom rulesets, an intuitive dashboard, and a self-learning engine turned multi-day review cycles into same-day approvals — without adding staff.
"The excuse of compliance being a bottleneck for my marketing team is gone."
“Luthor turned compliance from a constant stress into a seamless workflow. We saved weeks on filings.”
“Where others missed the gaps, Luthor quickly flagged key compliance risks. In just 24 hours, we were working under a clear path forward."
"The excuse of compliance being a bottleneck for my marketing team is gone."
“Luthor turned compliance from a constant stress into a seamless workflow. We saved weeks on filings.”
“Where others missed the gaps, Luthor quickly flagged key compliance risks. In just 24 hours, we were working under a clear path forward."
Enterprise-grade security built for compliance data
Your firm’s regulatory documents, filings, and archives are protected with the same rigor you apply to your clients’ assets.
17a-4 Compliant
Meets SEC regulatory requirements for electronic recordkeeping, ensuring data integrity and retention.
WORM Compliant
Utilizes Write Once, Read Many storage to prevent data alteration or deletion.
SOC 2 Type II
Currently undergoing audit to validate our controls for security, availability, and confidentiality.