Financial services · AI · 2025
A compliance copilot that reads SEC filings in seconds
A mid-market asset manager was burning analyst hours skimming filings for material risk language. We built an AI system that reads 10-Ks, 10-Qs and earnings transcripts, extracts material claims, and routes them to a human reviewer with citations.
- Industry
- Asset management
- Duration
- 11 weeks
- Team
- 4 engineers
Headline result
−82%
review time
The challenge
What needed to change.
Compliance and credit teams were spending 30+ hours a week reading filings — slow, expensive, and impossible to scale as the firm's portfolio grew. Off-the-shelf tools missed nuance and gave their analysts no way to verify the model's output.
Leadership wanted to ship something safe enough to deploy to a regulated team in under a quarter, with a clear path from prototype to production.
Our approach
How we built it.
We designed a multi-agent system: a planner decomposes the analyst's question, a retriever fetches relevant filings, a critic evaluates extractions against ground truth, and a writer composes the final answer with citations.
Every output is grounded in cited source text. We built an eval harness over 1,200 hand-labelled extractions, and ran every prompt change against it before promoting to production.
Highlights
- Multi-agent architecture — planner, retriever, critic, writer
- Hybrid retrieval over 8 years of SEC filings
- Eval harness with 1,200 hand-labelled extractions
- Cost capped at $0.18 per filing reviewed
- Audit trail for every decision the system makes
Outcome
What changed.
Eleven weeks from kickoff to production rollout to the compliance team. Review time fell 82%, cost per filing was bounded, and the firm's analysts now spend their hours on the questions only humans can answer.
- Review time
- −82%
- Cost per filing
- $0.18
- Eval pass-rate
- 94.6%
- Filings indexed
- 60k
“DS OPS shipped what our internal team couldn't ship in two years. They re-architected our AI pipeline in seven weeks. Production cost dropped 60%.”
VP, Engineering
Series-B financial services
Booking the next quarter
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