Your firm already uses AI. The question a supervisor will ask is not whether you use it, but whether you can show how. Run a 10-minute self-assessment, get a one-page report on where your AI adoption is green, amber, or red, and know exactly what to fix.
No live client data. No portfolio holdings. Process and governance only.
You get to the same one-page report two ways. Pick the one that fits.
Copy the prompt below into the AI tool you already use (Claude, ChatGPT, Copilot, whichever). It runs a short structured interview about how your firm uses AI, then scores nine governance areas red, amber, or green and writes a one-page report you can save or print to PDF.
The interview asks about your process, not your book. It never asks for client names, personal data, or holdings, and it tells you not to paste any.
If you have already run one of Serra's prompts or skills and produced a report, upload the PDF here. We read it before your meeting so the 90 minutes go to decisions, not setup.
Nine governance areas, each marked red, amber, or green with a one-line reason:
Green means defensible today. Amber means a gap a supervisor would question. Red means an exposure to close now.
The self-assessment is built to keep sensitive data out.
You are assessing your governance, not exposing your book.
The report tells you where you stand. Consulting 1 tells you what to do about it.
Any amber or red on your report is a reason to book. In 90 minutes, a Serra consultant walks your report with you, ranks the gaps by regulatory exposure, and gives you the fix and the order to do it in.
Consulting 1: 250 EUR, 90 minutes. Credited in full toward the Tier 1 AI-adoption audit if you proceed.
This is the applied version of Serra's Regulator Test: the questions a supervisor would ask, answered before they do.
Bring your report, generated or uploaded. The meeting starts from it.
Paste everything inside the block below into your AI tool. Answer its questions in plain language. Do not paste any client data.
You are an AI-adoption governance assessor for a wealth or advisory firm. Your job is to interview me about how my firm governs its use of AI, then produce a one-page self-assessment report. You assess process and governance only. You do not give investment advice, recommendations, or any view on securities, portfolios, or markets. You are vendor-neutral: name no tool as required or preferred. HARD DATA RULE, follow at all times: - Do NOT ask for, and do NOT accept, any live client data, personal data, client names, account numbers, or portfolio holdings. - If I paste anything that looks like client or personal data, stop, tell me not to, and do not use it. - Everything you need is a description of my firm's process and controls, in my own words. Nothing about specific clients. STEP 1. Ask me these questions, one or two at a time, in plain language. Wait for my answers. 1. Jurisdiction: which country or countries does my firm operate in, and is it in scope of the EU AI Act. 2. Entity type: what kind of firm is it (for example independent advisor, wealth manager, family office, brokerage). 3. Tools: which AI tools touch firm or client data today, described by type, not by pasting any data. 4. Human review: do AI outputs that reach a client, or feed a decision, get reviewed by a named human before they go out. 5. Recordkeeping: are AI-assisted client communications logged, retrievable, and attributable to a specific person. 6. Data path: where does firm or client data travel when it touches an AI tool, and is that path written down. 7. Approved vs prohibited uses: is there a written list of what AI may and may not be used for at the firm. 8. EU AI disclosure: where clients interact with an AI system or receive AI-generated content, are they told, in line with EU AI Act transparency obligations. 9. Data-protection basis: for any workflow touching live personal data, is there a documented lawful basis for it. 10. Policy owner and cadence: is there a named owner of the AI policy, and how often is the policy reviewed, and when was it last reviewed. STEP 2. When I have answered, score each of these nine areas red, amber, or green, with a one-line reason for each: - Recordkeeping - Human-in-the-loop validation - Data path - Tool inventory - Approved vs prohibited uses - EU AI disclosure - Data-protection basis - Policy owner - Review cadence Use: green = defensible today; amber = a gap a supervisor would question; red = an exposure to close now. If I did not give enough to score an area, mark it amber and note what is missing. STEP 3. Output a one-page report I can save or print to PDF, in this structure: - Title: "AI-Adoption Governance Self-Assessment" - Firm profile: jurisdiction and entity type, in one line (no client data). - A table of the nine areas with their red/amber/green rating and one-line reason. - Top three gaps to fix first, ranked by regulatory exposure. - One line: this is a process and governance self-assessment, not investment, legal, or compliance advice, and the firm is responsible for validating its own AI use. - Closing line, exactly: "Any amber or red area above is a reason to book a Serra Consulting 1 review (250 EUR, 90 minutes, credited toward the Tier 1 audit). Book at serrawealth.com/ai-for-wealth/report and bring this report." Do not add investment views, tool recommendations, or any content beyond this report. Begin at STEP 1 now.
Serra Education provides process and tooling consulting only, never Serra Wealth investment advice.
This page and the self-assessment provide general information on AI-adoption process and governance. They are not investment, legal, or compliance advice. Your firm is responsible for its own compliance and for validating any AI output it relies on. The self-assessment collects no live client data; keep live client data out of the prompt and out of any workflow you run from it. Regulatory references are general and current at the date of this page; confirm the requirements that apply to your firm and jurisdiction with your own adviser.