The MCP server directory for wealth management.

CISO Assistant · Compliance, Risk & Regulatory

Open-source GRC platform from intuitem that you self-host, mapping controls across frameworks including SOC 2, ISO 27001, NIST and DORA, with an MCP server so an assistant can query your risk assessments and compliance posture. The only entry in this category you can run without a vendor agreement.

Comply · Compliance, Risk & Regulatory

Compliance workflow automation aimed at RIAs and broker-dealers, covering registration filings, code of ethics and personal trading review, marketing review and books-and-records tasks. Connection details are arranged with Comply rather than published, so this is a server for firms already on the platform.

csoai.org · Compliance, Risk & Regulatory

Small vendor server focused on the EU Digital Operational Resilience Act, intended to help map ICT risk, third-party register and incident reporting requirements to a firm's own controls. Relevant only to firms in scope of DORA, which means EU financial entities and their critical service providers.

Drata · Compliance, Risk & Regulatory

Continuous security compliance monitoring across SOC 2, ISO 27001 and similar frameworks, exposing control status, automated test results, evidence and personnel and asset inventories to an assistant. The same job as Vanta and the same limit: it is about your firm as a company.

FeedOracle Technologies · Compliance, Risk & Regulatory

Compliance and regulatory feed service for financial services, surfacing rule changes and regulatory updates to an assistant rather than managing controls. Coverage, jurisdictions and update latency are not clearly published, so confirm what the feed actually includes before relying on it.

Fingerprint · Compliance, Risk & Regulatory

Open-source MCP server for device intelligence and fraud prevention, letting fraud teams and developers query browser and device identification events, spot anomalies and investigate suspicious activity through natural-language prompts. Available as open-source software for local infrastructure or as a managed service. Caveats: fraud and device intelligence, relevant to firm operations rather than client wealth data. Launched as an invitation-only preview; confirm current availability. "First open-source MCP implementation in the fraud prevention space" is the vendor's claim. Open-source deployment means the firm carries its own hosting and security responsibility. Managed-service connection details are not publicly published.

Fintel Discovery · Compliance, Risk & Regulatory

Remote MCP endpoint aggregating SEC IAPD Form ADV filings, FINRA BrokerCheck, SEC EDGAR 13F holdings, and related regulatory and market datasets.

IBM · Compliance, Risk & Regulatory

Enterprise governance, risk and compliance platform, with MCP access added in the v9.2 release so an assistant can query risk registers, controls, policies and issues held in OpenPages. Built for large institutions with a dedicated risk function rather than for an advisory practice.

Integrate.io · Compliance, Risk & Regulatory

Data pipeline platform whose MCP server lets an assistant inspect and operate ETL jobs, useful when compliance reporting depends on moving financial data between systems on a schedule. It is pipeline tooling rather than a compliance product, and it appears in this category because that is the job firms use it for.

SEON · Compliance, Risk & Regulatory

Opens SEON's fraud and AML data layer: 900+ real-time risk signals spanning identity, device, behavioural, AML and IP data, to Claude, ChatGPT, Gemini and Copilot, with all signals retrievable in a single call.

Vanta · Compliance, Risk & Regulatory

Security compliance automation for your firm as a company, covering SOC 2, ISO 27001 and similar frameworks, with a published remote endpoint at mcp.vanta.com so an assistant can query controls, tests, evidence and open findings. Answers questions about your own security posture, not about client accounts.