Luthor.ai: Your AI-Powered Fractional Chief Compliance Officer

Luthor.ai is a cutting-edge AI-powered platform redefining outsourced Chief Compliance Officer (CCO) services for Registered Investment Advisors (RIAs) and broker-dealers. By combining proprietary AI workflows with human expertise from former regulators, securities lawyers, and compliance professionals, it streamlines compliance operations with automation, real-time monitoring, and audit readiness. Designed for regulated industries like finance, banking, insurance, and marketing, Luthor.ai ensures seamless adherence to SEC 17a-4 and WORM compliance standards, while integrating effortlessly with existing tools—no login required. The platform simplifies complex regulatory tasks such as Form ADV updates, marketing material reviews, and compliance calendar management, empowering firms to stay ahead of evolving regulations with confidence.

Key Features:

• AI-powered automation of Form ADV updates
• Automated review of marketing materials for regulatory compliance
• Compliance calendar maintenance with real-time tracking
• Real-time monitoring and automated alerts for compliance risks
• Mock SEC exams to prepare for audits
• Continuous policy refreshes for up-to-date compliance
• Integration with existing workflows and tools (no login required)
• Full compliance with SEC 17a-4 electronic recordkeeping regulations
• WORM (Write Once, Read Many) compliance for data integrity and retention
• SOC 2 Type II audit in progress for enhanced security and reliability
• Curated content on compliance frameworks, risks, and regulatory trends
• Support for multiple regulated industries including finance, insurance, and advertising

Pricing: Luthor.ai operates on a subscription-based model, offering flexible plans tailored to the needs of financial advisory firms. While specific pricing details are not publicly listed, the platform is designed for scalable adoption across firms of varying sizes and compliance complexity.

Conclusion: Luthor.ai is a transformative compliance solution that blends intelligent automation with expert human oversight, making it an essential ally for RIAs and broker-dealers striving for efficiency, accuracy, and audit readiness in a highly regulated environment.