Monitoring every security in a book is non-negotiable — required by regulators, essential to portfolio management — yet manual processes make it slow and fragmented. Buckler runs it continuously instead: flagging material and critical changes, alerting the advisor, and driving the due diligence that follows.
Advisors are required to monitor every security in the book for significant or material change — and to document that process. An annual review or an occasional sample isn't enough. Regulators expect proof of ongoing, continuous monitoring across every security an advisor holds, not a snapshot taken once in a while.
Current technology can't scale continuous monitoring across hundreds of securities. Advisors are left building manual watchlists that need constant upkeep, with no way to prove a watchlist was ever actually checked — and no process that triggers action when something material does change. A security can shift materially and sit unreviewed for months, because nothing in the current process forces a response.
The sheer volume of data a moderately sized book generates is overwhelming for a manual process. A 250-security book produces over 20,000 data points to review every month — more than 28 hours of work, at just five seconds per data point, before an advisor does anything else.
At Buckler, we combine AI with more than 450 million data points — updated daily or monthly as markets and investments change — against verified, consistent historical data, to monitor every security in an advisor's book. Each position is continuously compared against current market data, the set of triggers documented in the system, and the book, to see whether an alert has been triggered.
When an alert is triggered, its severity determines what happens next — a quick review for something minor, a full due diligence report for something material. Every step of that process is documented automatically for audit, consistently and continuously, across every security in the book.
Buckler continuously compares an advisor's book against a set of preconfigured alerts, using AI to determine whether a trigger has been breached based on current data. Alerts can be set firm-wide, at the advisor level, or for individual securities — no watchlists, no manual news alerts, nothing to remember to check.
Alerts are triggered based on changes to the underlying data and are defined by different levels depending on how critical or significant the alert is. Depending on the severity, it triggers workflows within the platform ranging from general "good to know" updates to critical information that warrants the generation of a due diligence review.
Due diligence is triggered based on how critical the alert is — a significant change generates a full review, a minor one is simply good to know. AI captures all the information for the report, the advisor adds their notes, and it's saved for audit. A process that used to take 45 minutes now takes under five.
For investment advisors and wealth management firms, the ability to define and implement a consistent, automated monitoring and review process at scale — with everything documented end-to-end — doesn't just meet regulatory requirements. It significantly improves the client experience. Deteriorating securities are identified quickly and consistently, so advisors can act before poor performance, rising risk, or higher costs turn into a negative client outcome.
Regulators require every security in the book to be reviewed — including the smallest positions, which is exactly where manual processes break down. Ongoing, continuous monitoring — not occasional sampling or a watchlist — is the standard regulators expect to meet Know Your Product (KYP) obligations and fiduciary responsibility. Buckler provides the continuous, automated monitoring, alerting, and review process that's been missing until now, letting firms prove that every security, across thousands of advisors, is monitored continuously, end-to-end, and fully auditable.
A practice management, investment, and regulatory problem every firm knows — and no one has solved. Until now. Buckler is investment monitoring.