At a major wealth management firm running M&A transitions, compliance review for each acquired...

At a major wealth management firm running M&A transitions, compliance review for each acquired practice means pulling specific documents out of whatever folder structure the selling firm left behind, hundreds of client households per acquisition, all against a 75-day window. A missing power of attorney or a misclassified beneficiary designation is an immediate issue, and today nobody knows until someone manually opens folders and checks.

Lea’s compliance document scanner works inside the firm’s document vault. It ingests the acquired folder structure, classifies documents by type, flags what’s present and what’s missing, and generates an inventory report. The transitions team gets a structured view of compliance readiness across the entire acquisition in hours instead of weeks of manual folder review.

The result is immediate: compliance documents surface at intake instead of surfacing as exceptions downstream. The team’s time moves from file hunting to actual compliance review, onboarding new advisors, resolving real exceptions, doing the work that actually needs a person.