Built by People Who Know the Work
Ajax Nova was founded by practitioners with deep experience in financial regulation, broker-dealer operations, and enterprise AI systems. We have spent careers inside the workflows we now automate.
Automation That Earns the Trust of Regulated Institutions
Regulatory reporting at banks and broker-dealers is not a generic data problem. It is a highly specific, high-stakes operational function governed by detailed rules, enforced by regulators with examination authority, and subject to consequences — financial, reputational, and legal — when it goes wrong.
Ajax Nova exists to bring the efficiency of AI automation to this function without compromising the accuracy, transparency, and human oversight that regulated institutions require. We believe the right model is not autonomous AI filing — it is AI that does the work and humans who approve the result.
Every product decision we make is guided by this principle. The audit trail is not an afterthought — it is the foundation. The human approval step is not a checkbox — it is the control that makes the automation trustworthy.
Practitioners, Not Generalists
Founding Team
Managing Partners
The Ajax Nova founding team brings together decades of experience across broker-dealer operations, financial regulation, and enterprise AI systems. Our backgrounds span the CFO and CCO functions at registered broker-dealers, regulatory examination at FINRA and the SEC, and the design and deployment of AI systems at scale in regulated environments.
- Former CFO and CCO roles at registered broker-dealers
- Regulatory examination experience at FINRA and the SEC
- Enterprise AI system design and deployment at scale
- Deep expertise in SEC Rules 15c3-1, 15c3-3, and 17a-5
Purpose-Built, Not Adapted
Regulatory-first design
Every automation we build starts with the regulatory framework — the specific rule, the calculation methodology, the filing requirements, and the examination standards. We do not adapt general-purpose tools to financial problems.
Human oversight by design
The agent-prepares/human-approves model is not a feature we added — it is the architecture. Every workflow is designed so that human review and approval is required, not optional.
Complete audit trail
Every action, every calculation, every decision is logged. The audit trail is immutable and available for regulatory examination, internal audit, and management review at any time.
Model-agnostic AI
We configure the AI backbone to your institution's requirements — internal models, approved third-party providers, or a combination. We do not lock you into a single AI provider.
Work with a team that knows your workflows
Schedule a conversation with our founding team. We will listen to your current process and tell you honestly whether and how we can help.
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