Investment process controls for Claude Enterprise
Your rules, enforced in code.
Claude can draft, research and prepare. Sidereal makes sure it cannot log a trade that never filled, loosen a trigger, or rewrite a decision. Built for RIAs and managers whose investment process is the product.
Works beside Claude for Financial Advisors. Runs in your own cloud.
The gap
Anthropic shipped the advisor’s workflow. Your investment process is still yours to run.
Claude for Financial Advisors connects Claude to custodians, CRMs and planning tools, with skills for meeting prep, notes and compliance pre-checks. By design it gives no recommendations or strategy views and does not monitor holdings. Most of its guardrails are instructions the model is asked to follow. That leaves three jobs with your firm.
Your process, as code
Screens, hold tests, sizing bands and exit triggers stored as versioned data, checked every day, with an append-only record of every decision.
Controls the model cannot skip
Checks that run at the moment of write and refuse a bad entry, in place of instructions a model may or may not follow.
A plugin someone maintains
Anthropic publishes its advisor plugin as a reference to adopt or adapt. We fork it, harden it for your firm and keep it current.
Controls
Built from failures we have seen on a live account.
Every control below exists because an AI-assisted investment process got it wrong in production, and code, not the model, caught it.
Fills
A trade logged that never executed
Fills come only from broker confirmations or exports. An intention and a fill are different records.
Dates
A fill dated on a weekend
Every date is checked against the exchange calendar, and every price against that session’s range.
Basis
Figures compared on different bases
Each figure carries its basis. A mismatch scores Indeterminate, never pass or fail.
Stops
A stop that existed only on paper
Each stop is marked placed or documented, and the gap shows up every day until it closes.
Triggers
A rule loosened under pressure
Triggers tighten freely. A loosening is a separate decision, recorded as one.
Record
A decision rewritten after the fact
The log is append-only. A correction supersedes the original; nothing is deleted.
Sweep
A check that silently did not run
A run with no summary is an alert. A crash never looks like a quiet day.
Automation
A job committing unreviewed work
Scheduled jobs may write only named files, and each change is checked by value.
How it works
The model proposes. Code decides what gets written.
Claude Enterprise, your tenant
Sidereal engine
Your data
Claude may
- Read rules, positions and the log
- Draft a decision or a rule change for review
- Run the sweep and explain what crossed a line
- Score a criterion Meets, Fails or Indeterminate, with its source
Claude may not
- Write a fill, a decision or a rule change directly
- Loosen a trigger without it being recorded as a loosening
- Report a check as passed when it did not run
- Resolve a basis mismatch in either direction
- The engine runs as an MCP server in your cloud account, added as a connector by your Claude Enterprise owner.
- Skills and the hardened plugin arrive through your firm’s private plugin marketplace.
- Rules and the log live in a repository you own. Every change is a commit, and the tests run on every change.
- MCP is an open standard, so the engine is not tied to one model vendor.
Engagements
Start with two weeks.
Process audit
Write your process down as rules
We interview your CIO and CCO, mark each rule as enforceable in code or judgment-only, and run one rule on your own data. The fee is credited to the build.
Build
Rules, checks and the log, in your cloud
Your rules as data, the checks, the decision log, and a hardened advisor plugin wired to the engine.
Subscription
Kept current
Engine updates, new controls as new failures surface, plugin upkeep as Anthropic and your vendors change, and a quarterly rule review.
Fit
For firms that pick securities under written rules.
A good fit
- In-house security selection with a written methodology
- A CIO who owns the rules and a CCO who owns the record
- Claude Enterprise in place or on the way
- A recent exam, a process breach or a change of PM
Not a fit
- Practices that run third-party model portfolios only
- Robo platforms
- Firms without written investment rules
Not investment advice
We encode your rules. We never write them for you or rank securities.
Not a trading system
No order entry. The engine reads positions and records fills from confirmations.
No client personal data
The engine works at the level of securities, rules and decisions.
About
Founded by John Boet.
Eight years at BlackRock, then Amazon and AWS in Seattle and Singapore, and co-founder of Presalytics. MBA in Technology Management and MS in Information Systems from the University of Washington.
Sidereal grew out of running a rules-based investment process with Claude on a live account, and writing the code that caught its mistakes. Sidereal time is kept against the fixed stars, not the moving sun. Your process should be measured the same way, against rules that do not drift. The engine works like a pawl, the catch that lets a ratchet turn one way only: rules tighten, and the record only grows.
Contact
Book a process audit.
Tell us how your investment committee works today. Thirty minutes is enough to know whether an audit is worth it.
hello@siderealhq.com