BastionAI is the first real-time AI compliance firewall for financial services. Every RIA, broker-dealer, and bank today has advisors using ChatGPT, Claude, and Gemini to draft client communications, summarize meetings, and answer client questions — but their compliance teams have no visibility into what's being asked, no controls over what's being produced, and no audit trail for regulators.

Bastion sits between the advisor and the LLM, intercepting every prompt before it reaches the model and every response before it renders. We enforce SEC Marketing Rule (Rule 206(4)-1), FINRA Rule 2210 (Communications with the Public), FINRA Rule 2111 (Suitability), and FINRA Rule 3110 (Supervision) in real time. Every interaction is logged to an immutable audit store, searchable by compliance supervisors and ready for a regulator's exam.

We're built on AWS with enterprise-grade security — SOC 2 in progress, HIPAA-ready architecture — and backed by 30+ years of SEC/FINRA regulatory expertise through our strategic partnership with GS Compliance. Our leadership combines fintech founders, regulatory compliance veterans, and AI platform architects from Northrop Grumman and enterprise SaaS.

BastionAI was founded in 2025 in Sarasota, FL. We are actively onboarding design partners among RIAs and broker-dealers who want to safely unlock AI for their advisors — without the regulatory risk.


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