SQL · Find the facts
The question
Which open follow-ups belong to this client?
Filter permitted account snapshots, dates and pending tasks.
Explore SQLWealth management
Prepare client
meeting briefs.
Retrieve permitted account records, earlier meeting notes and approved research for an adviser. Show dates and sources alongside the brief.
Meeting preparation
Prepare account information and client goals for the next meeting.
Illustrative use case01 / Use case guide
10 practical use cases.
Compare the data models behind everyday industry tasks, from finding records to following connections.
SQL Filter and calculate Vector Match similar meaning Graph Follow relationships Full-text Find words and phrases
Suggested model combination
Scroll across to compare all four models| Use case | How the data models help | SQL | Vector | Graph | Full-text | Source |
|---|---|---|---|---|---|---|
| Client meeting preparation Recover earlier client goals and discussion context before a meeting. | Use SQL to select permitted, dated client notes and Vector to retrieve earlier discussions related to the planned agenda. | SQL included | Vector included | Graph not needed for this example | Full-text not needed for this example | |
| Meeting follow-up tracking Locate unfinished commitments recorded in client meetings. | Use SQL to filter recorded actions by owner and status, and Full-text to locate the original commitment in consented meeting notes. | SQL included | Vector not needed for this example | Graph not needed for this example | Full-text included | |
| Approved research retrieval Find firm research that addresses an adviser's client question. | Use SQL to filter approved publication dates, Vector to find related research themes, and Full-text to locate exact product or issuer names. | SQL included | Vector included | Graph not needed for this example | Full-text included | |
| Portfolio commentary evidence assembly Connect portfolio analytics with relevant firm market commentary. | Use SQL to select dated holdings and supplied analytics, and Vector to retrieve relevant approved market commentary for adviser review. | SQL included | Vector included | Graph not needed for this example | Full-text not needed for this example | |
| Client profile completeness review Identify missing onboarding information about a client's circumstances and objectives. | Use SQL to surface incomplete profile fields and Full-text to retrieve the corresponding application questions and client responses. | SQL included | Vector not needed for this example | Graph not needed for this example | Full-text included | |
| Account transfer exception review Investigate transfer requests rejected for incomplete or inconsistent account information. | Use SQL to select rejected requests, Graph to trace sending and receiving account links, and Full-text to retrieve rejection explanations. | SQL included | Vector not needed for this example | Graph included | Full-text included | |
| Beneficiary record review Review recorded beneficiaries and allocation shares across a client's accounts. | Use SQL to retrieve designation versions and recorded percentages, and Graph to trace account, primary-beneficiary and contingent-beneficiary links. | SQL included | Vector not needed for this example | Graph included | Full-text not needed for this example | |
| Account authority evidence lookup Distinguish a trusted contact from someone authorized to act for the client. | Use Graph to separate recorded contact and representative relationships, and Full-text to retrieve the supporting authorization documents for staff review. | SQL not needed for this example | Vector not needed for this example | Graph included | Full-text included | |
| Missing cost basis investigation Trace unknown lot information after an account or asset transfer. | Use SQL to locate lots with missing basis, Graph to trace transfer lineage, and Full-text to retrieve associated confirmations and statements. | SQL included | Vector not needed for this example | Graph included | Full-text included | |
| Account service and fee questions Explain the services and fees associated with the client's account agreement. | Use SQL to identify the account type and agreement version, and Full-text to locate the applicable service and fee disclosures. | SQL included | Vector not needed for this example | Graph not needed for this example | Full-text included |
Use the query interfaces you need, then connect their results through shared record IDs in your application.
Industry sources 8
These sources describe real industry workflows. The model combinations above are proposed OriginChainDB designs, not customer deployment claims.
- Morgan Stanley — AI at Morgan Stanley Debrief launch (opens in a new tab)
- BlackRock — Aladdin Wealth launches AI-enabled commentary at Morgan Stanley (opens in a new tab)
- FINRA — Opening a Brokerage Account: Part 1 (opens in a new tab)
- FINRA — Regulatory Notice 23-06: account transfer fraud controls (opens in a new tab)
- Fidelity — How to Update Your Beneficiaries (opens in a new tab)
- U.S. Securities and Exchange Commission — Trusted Contact (opens in a new tab)
- Fidelity — Cost Basis Help: reasons for unknown cost basis (opens in a new tab)
- FINRA — Brokerage and Advisory Accounts: Factors to Consider When Choosing an Account Type (opens in a new tab)
02 / A closer look
Preparing for a client’s planned expense
A client mentions a major upcoming expense. Before the next meeting, the adviser needs the latest permitted account view, earlier goals and relevant approved research, without losing the dates or sources behind them.
What makes it difficult
- 01
Client context is spread across notes and account systems.
- 02
A research passage may be relevant but out of date.
- 03
Similar client names or households can lead to the wrong record.
Suggested approach
Retrieve within the adviser’s access
Resolve the client and household first. Retrieve current account snapshots, open follow-ups and approved research relevant to the meeting. Keep advice and suitability checks in the adviser’s process.
03 / Queries
What each data model does
Select a model to see the question it answers.
Vector · Match the meaning
The question
Which research discusses funding a near-term expense?
Match a plain-language concern to approved research.
Explore Vector Graph · Follow the connections
The question
Which accounts are linked to this authorized household?
Follow verified client, household and account relationships.
Explore Graph Full-text · Find the exact wording
The question
Where did the client mention the planned purchase?
Find precise topics, product names and note references.
Explore Full-textUse shared record IDs to combine results from the different query interfaces in your application.
04 / Implementation
How to build it
- STEP 01
Define the brief
Choose one meeting type and a consented or de-identified sample. Specify which account fields, notes and research each adviser may see.
- STEP 02
Verify client identities
Link client, household, account and document IDs. Retain consent, publication dates and source timestamps. Refresh indexes when sources change.
- STEP 03
Assemble the information
Apply access and freshness filters before combining results. Show sources and unanswered questions. Any model-generated summary must retain citations.
- STEP 04
Test with advisers
Compare against adviser-prepared briefs. Test wrong-client and stale-document cases. Require review before sharing a brief with a client.
05 / Testing
What to measure
Compare these results with your current process before rollout.
Source coverage
Check how many briefing statements can be opened in an authorized source record.
Freshness
Measure stale account snapshots and superseded research returned in test briefs.
Access isolation
Test that a different adviser or household identity cannot retrieve the same restricted context.
06 / Sources
Examples from the industry
Published projects and reference material relevant to this use case.
Morgan Stanley
AI-assisted notes with adviser review
Morgan Stanley describes Debrief generating meeting notes with client consent, identifying actions and drafting an email for the adviser to edit and send.
Read the sourceBlackRock Aladdin Wealth
Connecting portfolio analytics and commentary
BlackRock announced an AI-enabled commentary tool at Morgan Stanley that brings portfolio analytics and firm-level market insights into adviser commentary.
Read the sourceThese are industry references, not OriginChainDB customer stories. The implementation above is a proposed example.
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