AI note takers for financial advisors
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Advisors picking a note taker in public r/CFP threads we read kept asking the same few things: Will compliance sign off on it? Does it write notes and tasks back into Redtail, Wealthbox or Salesforce, or just email a summary? Does it keep a recording, or only notes? And how does the client get asked? Some also said the notes they got were too wordy, or that action items were caught on some calls and missed on others.
A note taker won't make your firm compliant. It can help you keep a record of client meetings. What your firm must keep, how, and for how long is your chief compliance officer's call, and your broker-dealer may limit which tools you can use at all.
Quick answer
- Your compliance team wants no audio kept: Zocks says it keeps no meeting recordings, and Jump has a "No Recording" capture mode. Both still keep transcripts and notes unless you set them to delete, so "no recording" doesn't mean "no record".
- You live in Wealthbox: Wealthbox's own AI Notetaker is a paid add-on inside the CRM, so notes stay in the system you already use. Zocks, Jump, GReminders and Fireflies also list Wealthbox connections.
- You're on Redtail: Zocks, Jump, GReminders and Fireflies all list Redtail. Jump says it is "fully embedded inside Redtail CRM".
- You're on Salesforce Financial Services Cloud: Jump's integrations page lists "Financial Services Cloud support". Zocks and GReminders list Salesforce (GReminders on its Business plan). Ask each one which Salesforce objects the note lands on.
- Your firm archives email in Smarsh, Global Relay or Proofpoint: Zocks and Jump both list those three archives. GReminders says it supports archiving through Smarsh, Veritas and Global Relay.
- You want the lowest list price: a general tool (Fireflies, Fathom, Otter) costs less, but none of the three lists Smarsh, Global Relay or Proofpoint on its integrations page, and only Fireflies lists Redtail and Wealthbox. Check with compliance before you try one on client calls.
Comparison (as of 2026-10-26)
Each cell is the vendor's own claim from the page in Sources. "Not stated" means we didn't find it on the pages we read, not that the vendor doesn't offer it. Rows are in alphabetical order, not ranked.
| Tool | CRM write-back (per vendor) | Archive connections (per vendor) | Recording and retention (per vendor) | Price (per vendor) |
|---|---|---|---|---|
| GReminders | Redtail and Wealthbox on Essentials; Salesforce, Microsoft Dynamics, SmartOffice and Advyzon on Business. You edit the summary, then log it as a new note or attach it to an existing activity | Says it supports "compliance archiving through Smarsh, Veritas, and Global Relay". Which notetaker outputs are archived: not stated | Keeps recordings and transcripts "per YOUR preferences"; admins set transcript and video retention | Essentials "starts at $69 / month"; Business "starts at $132 / month" (per-user and billing period not stated) |
| Jump | Redtail (notes and follow-up tasks; Jump says it is "fully embedded inside Redtail CRM"), Wealthbox (CRM fields after meetings), Salesforce including "Financial Services Cloud support" (notes to Contacts, Accounts and supported custom objects; field updates) | "Global Relay, Smarsh, or Proofpoint" (the outputs your firm selects) | Capture mode "No Recording" or "Recording". Storage policy: keep audio/video and transcripts, keep transcripts only, or keep nothing, with separate deletion delays | Meet (the notetaker product) $100 per advisor/mo billed annually or $120 monthly. Other products sold separately |
| Wealthbox AI Notetaker | Built into Wealthbox. Drafts a summary, follow-up email and task ideas on the meeting page; proposed CRM updates are shown for you to approve before anything is written | Pricing page lists a feature called "Compliant Note Archiving" (not described further; ask Wealthbox what's archived and where) | Wealthbox's help page (updated October 1, 2026) shows actions to "download or delete the transcript". Its October 20, 2026 announcement adds admin settings to "Automatically delete transcripts after a specified number of days" and says "manual transcript deletion is disabled by default". Ask Wealthbox which applies to your account. Recording retention: not stated | Paid add-on to a Wealthbox plan (CRM plans from $59/user/mo). Check Wealthbox for current add-on pricing. |
| Zocks | Lists HubSpot, Microsoft Dynamics 365, Practifi, Redtail, Salesforce, SmartOffice, Wealthbox, XLR8 and AdvisorEngine; "Update any CRM record directly from a meeting" | Smarsh, Proofpoint and Global Relay, "so you can archive and supervise transcripts the same way you handle emails" | "No meeting recordings". In its Zoom Recording mode it "briefly accesses" Zoom's recording to make a transcript, "then deletes it". Customizable retention | Essentials $67/user/mo annual or $80 monthly; Professional $117 or $140; Ultimate $184 or $220 |
| General tools | CRM write-back (per vendor) | Archive connections | Price (per vendor) |
|---|---|---|---|
| Fathom | Salesforce, HubSpot and Close; no Redtail or Wealthbox on its integrations page (checked 2026-10-26) | None of Smarsh, Global Relay or Proofpoint on its integrations page (checked 2026-10-26) | Premium $16/mo annual or $20 monthly |
| Fireflies | Lists Redtail and Wealthbox. Its Redtail page says it syncs notes to the contact and creates tasks, and that "New meeting participants are automatically added as contacts in Redtail" (checked 2026-10-26) | None of the three on its integrations page (checked 2026-10-26) | Pro $10/seat/mo annual or $18 monthly; Business $19 or $29 |
| Otter | Salesforce and HubSpot (see our CRM page); no Redtail or Wealthbox on its integrations page (checked 2026-10-26) | None of the three on its integrations page (checked 2026-10-26) | Pro $8.33/user/mo annual or $16.99 monthly; Business $19.99 or $30 |
Deals change often; check the vendor's site.
What we didn't check: which plan each general tool needs for its CRM connections, whether any archive vendor can pull from Fireflies, Fathom or Otter some other way, and GReminders' and Wealthbox's exact archive setup. Ask the vendor and your compliance team before you rely on it.
How to pick
- Start with compliance, not features. Ask your CCO or broker-dealer which tools are approved, whether audio may be kept, and where records must go. Then shortlist only tools that fit.
- "No recording" isn't "no record". Zocks and Jump's no-recording modes still produce transcripts and notes. Ask what's kept, for how long, and who can delete it.
- Check where the note lands. Ask the vendor exactly which CRM record gets the note (contact, household, activity, opportunity), whether you approve it first, and whether it can create or change contact records. Test with a fake client first.
- Watch what it creates. Fireflies' Redtail page says "New meeting participants are automatically added as contacts in Redtail" (checked 2026-10-26). Decide whether you want that before you connect it.
- Read every summary before you file it. Advisors in the threads we read said notes can run long or miss action items. Your name is on the record, so fix it before it goes into the CRM.
- Phone calls count too. Zocks says it captures notes "from any phone call", Jump has a "Join My Call" notetaker for phone calls, Wealthbox works with calls started from Wealthbox click-to-call and can be added to calls already in progress, and GReminders says phone calls are set up in your VoIP provider's settings.
- IT or compliance will have questions. See getting an AI note taker approved by IT and security.
Books and records, carefully
This is general background, not legal or compliance advice. It only quotes the rules; whether they cover your notes is a question for your compliance team or a securities lawyer.
- Broker-dealers. SEC Rule 17a-4(b)(4) covers "Originals of all communications received and copies of all communications sent (and any approvals thereof) by the member, broker or dealer (including inter-office memoranda and communications) relating to its business as such" (eCFR, 17 CFR 240.17a-4, checked 2026-10-26). FINRA's books and records page says Rule 4511 requires firms to "(1) make and preserve books and records as required under the rules of FINRA, the Exchange Act and the applicable Exchange Act rules; and (2) preserve the books and records required to be made pursuant to the FINRA rules in a format and media that complies with Exchange Act Rule 17a-4" (FINRA, Books and Records, checked 2026-10-26).
- Registered investment advisers. SEC Rule 204-2(a)(7) covers "Originals of all written communications received and copies of all written communications sent by such investment adviser relating to: (i) Any recommendation made or proposed to be made and any advice given or proposed to be given" and the other items listed in the rule (eCFR, 17 CFR 275.204-2, checked 2026-10-26).
- AI transcripts are an open question FINRA has asked about. In Regulatory Notice 25-07 (April 14, 2025), FINRA asked member firms: "What are members' recordkeeping challenges regarding AI-generated communications and how do these challenges vary based on the type of AI-generated communication (e.g., AI-powered chatbot, AI-generated transcripts or summaries of meetings)?" (FINRA, Regulatory Notice 25-07, checked 2026-10-26). That's a request for comment, not a rule.
- FINRA's 2026 oversight report says using generative AI "can implicate rules regarding supervision, communications, recordkeeping and fair dealing" (FINRA, 2026 Annual Regulatory Oversight Report: GenAI, published December 9, 2025, checked 2026-10-26). Its books and records section lists as a finding "Not performing adequate due diligence to verify third-party vendors' ability to comply with recordkeeping requirements" (same report: Books and Records, published December 9, 2025, checked 2026-10-26).
- At a FINRA member firm, keep note takers out of calls with FINRA staff. FINRA says members and their associated persons "may not record audio or video calls, meetings or conversations with FINRA staff in connection with exams, investigations or any other related oversight function, including use of any audio or video recording technologies that enable automated capture of the content of calls or meetings" (FINRA, Regulatory Notice 24-10, July 30, 2024, checked 2026-10-26). FINRA adds that recording "could be inconsistent with Rule 2010 (Standards of Commercial Honor and Principles of Trade)… absent express permission from FINRA". If your note taker joins calendar meetings automatically, switch it off for those events. See note takers that don't auto-join.
Privacy and consent
Recording laws: tell people first. Federal law and most states let you record a conversation you're part of. About 11 states, including California, Florida, Illinois, Pennsylvania and Washington, generally require everyone's consent, and a few states mix the rules. Oregon, for example, requires that everyone in an in-person conversation be told it's being recorded, while phone calls need one person's consent (RCFP guide, ORS 165.540). If people are in different states, the stricter law may apply. Rules outside the US differ too, and many employers, schools and clinics have their own policies. A meeting bot showing up in the participant list is a notice, not consent. The same goes for a "this call may be recorded" greeting: it may not tell people that an AI service is transcribing or summarizing the call, so name the AI note taker when you ask. This is general information, not legal advice. If you're unsure, ask a lawyer where you live.
A simple way to ask. Start recording first, so your announcement is captured on the recording (Washington law requires that). Then say:
"Quick heads-up: I'd like to record this and use an AI note taker to transcribe it, so I don't miss anything. The recording and notes are stored with [tool name]. Is everyone OK with that?"
Wait for a clear yes from each person. If anyone says no, stop and delete what you captured. For meetings with outside guests, also put a line in the invite: "This meeting may be recorded and transcribed by an AI note taker. Let me know beforehand if you'd prefer it isn't."
- Consent tools help you track, they don't ask for you. Zocks says its assistant "listens for consent in the meeting" and logs each client as Accepted, Rejected, Revoked or Unknown; meetings without confirmed consent are "flagged and their data is blocked from view" (Zocks help, checked 2026-10-26). Jump can play an audio message "to let participants know the session is being captured or transcribed" (Jump help, checked 2026-10-26). Those are useful records and notices, but they aren't enough on their own. Still ask, and wait for a yes. Jump also has an admin setting, "Record without host permission", that skips Zoom's host-approval prompt (Jump help, checked 2026-10-26). If your firm uses it, asking each person is on you. A notice isn't consent.
- "No recording" still needs a yes. A tool that keeps no audio still transcribes the conversation. Tell clients that, too.
- Spouses and joint clients. Ask everyone in the room or on the call, not only the account holder.
- Clients read out account numbers. Ask the vendor whether you can remove part of a transcript afterward and who at the vendor can see it. Jump's compliance settings include "Redaction – choose PII types to automatically redact from transcripts (e.g. account numbers, SSNs, credit cards)" (Jump help, checked 2026-10-26). We didn't test it. Ask whether recordings, summaries and copies already sent to your CRM or archive are covered too.
What we did and didn't do
We read the vendor pages and the SEC and FINRA pages below on 2026-10-26. We didn't sign up for any tool, connect any CRM or archive, or record any meeting, so we can't confirm how these features work in practice. The reader needs above come from two public r/CFP threads we read in October 2026; we don't quote, link or name anyone.
Sources (checked 2026-10-26)
- Zocks pricing (plans, integrations, archives, "No meeting recordings", phone and in-person FAQ): https://www.zocks.io/pricing
- Zocks help, Zoom capture methods (AI Assistant or Zoom Recording): https://help.zocks.io/en/articles/9196497-how-to-integrate-zocks-with-meeting-providers
- Zocks help, consent tracking: https://help.zocks.io/en/articles/14824053-how-to-set-consent-tracking
- Zocks help, auto-join event filters: https://help.zocks.io/en/articles/16003917-invite-your-ai-assistant-to-meetings-and-setup-event-filters
- Jump pricing: https://jump.ai/pricing
- Jump integrations (Redtail, Wealthbox, Salesforce, Financial Services Cloud): https://jump.ai/integrations/
- Jump help, Compliance settings (capture mode, storage policy, disclosures): https://help.jumpapp.com/en/articles/11526343-compliance-settings
- Jump compliance page (Global Relay, Smarsh, Proofpoint): https://jump.ai/compliance
- Jump help, Redtail integration: https://help.jumpapp.com/en/articles/11870465-redtail-integration
- Jump help, Salesforce integration: https://help.jumpapp.com/en/articles/12532128-salesforce-integration
- GReminders pricing (plans, CRMs, archiving FAQ, recordings FAQ): https://www.greminders.com/pricing
- GReminders help, Push AI Notetaker tasks and notes to your CRM (posted October 20, 2026): https://www.greminders.com/articles/push-ai-notetaker-tasks-and-notes-to-your-crm/
- GReminders help, AI Notetaker setup (retention settings): https://www.greminders.com/articles/ai-notetaker-setup-help/
- Wealthbox help, Meetings and AI Notetaker (updated October 1, 2026): https://help.wealthbox.com/hc/en-us/articles/41421811132187-How-to-Use-Meetings-and-AI-Notetaker-in-Wealthbox
- Wealthbox pricing: https://www.wealthbox.com/pricing/
- Wealthbox, AI Notetaker compliance monitoring, keyword detection and retention controls (October 20, 2026): https://www.wealthbox.com/ai-notetaker-compliance-monitoring-keyword-detection-and-retention-controls/
- Wealthbox, AI Notetaker updates (July 15, 2026; proposed CRM updates, calls in progress): https://www.wealthbox.com/ai-notetaker-gets-smarter/
- Fireflies integrations, Redtail and Wealthbox pages: https://fireflies.ai/integrations ; https://fireflies.ai/integrations/crm/redtail ; https://fireflies.ai/integrations/crm/wealthbox
- Fireflies pricing: https://fireflies.ai/pricing
- Fathom integrations and pricing: https://www.fathom.ai/integrations ; https://www.fathom.ai/pricing
- Otter integrations and pricing: https://otter.ai/integrations ; https://otter.ai/pricing
- eCFR, 17 CFR 240.17a-4: https://www.ecfr.gov/current/title-17/section-240.17a-4
- eCFR, 17 CFR 275.204-2: https://www.ecfr.gov/current/title-17/chapter-II/part-275/section-275.204-2
- FINRA, Books and Records: https://www.finra.org/rules-guidance/key-topics/books-records
- FINRA, Regulatory Notice 25-07 (April 14, 2025): https://www.finra.org/rules-guidance/notices/25-07
- FINRA, Regulatory Notice 24-10 (July 30, 2024): https://www.finra.org/rules-guidance/notices/24-10
- FINRA, 2026 Annual Regulatory Oversight Report (GenAI; Books and Records): https://www.finra.org/rules-guidance/guidance/reports/2026-finra-annual-regulatory-oversight-report/gen-ai ; https://www.finra.org/rules-guidance/guidance/reports/2026-finra-annual-regulatory-oversight-report/books-and-records
- RCFP recording guide: https://www.rcfp.org/introduction-to-reporters-recording-guide/
- Oregon ORS 165.540: https://oregon.public.law/statutes/ors_165.540
Changes
- 2026-10-26: page first written. CRM, archive, recording, consent and price claims checked on the vendor pages in Sources; rule quotes from eCFR and FINRA.
- 2026-10-26: Review fixes. SEC Rule 204-2(a)(7), FINRA Rule 4511 and the 2026 oversight-report finding now quoted word for word with dates; FINRA-call bullet scoped to FINRA member firms, with FINRA's Rule 2010 reason quoted; Wealthbox retention cell shows both the October 1 help page and the October 20, 2026 announcement; Wealthbox add-on price replaced with "Check Wealthbox for current add-on pricing"; Fireflies Redtail quote dated; Jump "Record without host permission" and redaction wording quoted from Jump's help.
- 2026-10-27: Jump Meet ($100 per advisor a month billed annually, $120 monthly), Wealthbox CRM plans (from $59 per user a month) and GReminders ($69 and $132 a month) re-read on the vendors' pricing pages; unchanged. Wealthbox still shows its AI Notetaker add-on only at an introductory rate, so that price stays off.