Tool Gate · How it works
How the Advisory-Firm AI Exam-Evidence Readiness Audit gate works
How the Advisory-Firm AI Exam-Evidence Readiness Audit scores a firm's evidence-file readiness across weighted evidence domains — then a domain evidence gate forces EVIDENCE GAP when any core domain (like books & records) sits at zero, so a respectable overall score still reads EVIDENCE GAP if one gate domain is marked zero.
How the gate works
This tool grades one advisory firm’s evidence across six product-defined exam-surface domains selected from current SEC examination priorities and commonly reviewed adviser-control themes. The domains are not exhaustive, and examination scope depends on the registrant and facts. Each control is marked from your own evidence and weighted into a 0–100 score — and then the score is run past a gate that can only make the verdict worse.
The 6 weighted controls
| Signal | Weight |
|---|---|
| AI in marketing & advertising | 20 |
| Books & records for AI outputs | 20 |
| Supervision & written policies | 18 |
| Third-party / vendor AI oversight | 16 |
| Client disclosure & Form ADV | 14 |
| AI communications capture | 12 |
| Total | 100 |
The verdict bands
Three of the six domains are load-bearing — AI in marketing, books & records for AI outputs, and supervision & written policies. A zero on any one of them forces EVIDENCE GAP regardless of the score. A zero means that the specified evidence was not shown under this instrument. It does not predict an SEC or state-examiner finding or deficiency letter and does not establish that the control is legally required.
In the worked sample it scores 73 out of 100 and still reads EVIDENCE GAP — The Northgate branch scores 73 on strong marketing, supervision, vendor, and comms controls — on the number alone it reads OPEN EVIDENCE ITEMS. But its books-and-records domain, a gate domain, is at zero: AI summaries and AI-drafted client comms aren't retained where they function as records. The domain evidence gate fires, so the verdict is EVIDENCE GAP, not OPEN EVIDENCE ITEMS — a polished file elsewhere can't offset a missing load-bearing control. Priority control on this sample: Books & records for AI outputs — the gate domain sitting at zero. Retain AI summaries and AI-drafted client comms where they function as records; clearing that one domain releases the gate and moves the verdict off EVIDENCE GAP.
Common questions
Can something score well on the Advisory-Firm AI Exam-Evidence Readiness Audit and still fail?
Yes. The weighted score is run past a worsen-only gate — the Domain evidence gate — that can only make the verdict worse. In the worked sample it scores 73 out of 100 and still reads EVIDENCE GAP, because the Northgate branch scores 73 on strong marketing, supervision, vendor, and comms controls — on the number alone it reads OPEN EVIDENCE ITEMS. But its books-and-records domain, a gate domain, is at zero: AI summaries and AI-drafted client comms aren't retained where they function as records. The domain evidence gate fires, so the verdict is EVIDENCE GAP, not OPEN EVIDENCE ITEMS — a polished file elsewhere can't offset a missing load-bearing control.
What is a worsen-only gate?
A rule that can only lower a verdict, never raise it. One gate-triggering gap overrides an otherwise-good score, because a single gate-triggering gap shouldn't hide behind a high average. Where something is short, the priority control row names it — here, "Books & records for AI outputs — the gate domain sitting at zero. Retain AI summaries and AI-drafted client comms where they function as records; clearing that one domain releases the gate and moves the verdict off EVIDENCE GAP.".
Not legal advice. This is a readiness self-assessment that grades a firm's evidence from your own marks — not a compliance audit, a mock exam, a certification, or an opinion of counsel. It renders no legal ruling, confirms no obligation, and scores no person. Confirm which rules apply to your firm, and every date, with your CCO or a qualified securities attorney.
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<p style="font:14px/1.5 system-ui,sans-serif"><a href="https://redhub.ai/visuals/tool/advisory-firm-ai-exam-defensibility-audit">How the Advisory-Firm AI Exam-Evidence Readiness Audit gate works</a> — by <a href="https://redhub.ai">RedHub AI</a>, the AI that tells you when to doubt it.</p>Image + link — a static picture for any blog
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<p style="font:14px/1.5 system-ui,sans-serif"><a href="https://redhub.ai">RedHub AI</a> — the AI that tells you when to doubt it.</p>
This is how Advisory-Firm AI Exam-Evidence Readiness Audit works. More diagrams in the Visual Field Guide.