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Agent Financial Advisor

by mytomclinic · remote · no sign-in to list tools · v0.1.0 · published by GitHub user mytomclinic

Compliance, risk, tax and audit checks for AI trading agents: pre-trade, sizing, wash sales, Reg BI.

Changes · 8
CompareRegistry entry

8 tools: 8 change things.

Scanned Oct 21, 2026

No check matched anything in the tool definitions. No finding is not a safety guarantee. How the checks work.

claude mcp add --transport http agent-financial-advisor https://agent-financial-advisor.agent-financial-advisor.workers.dev/mcp

Tools

Open a tool for its reasons and full description. Descriptions are the publisher's own words, shown as they are.

8 tools

Changes things 8Claude Code: ask
  • options_risk_checkCheck an options book (existing or proposed legs) the way a broker's options desk would: covered, cash-secured, spread or naked; margin requirement under FINRA Rule 4210; cash-acco…No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    Check an options book (existing or proposed legs) the way a broker's options desk would: covered, cash-secured, spread or naked; margin requirement under FINRA Rule 4210; cash-account limits; required approval level; early-assignment risk around ex-dividend dates; pin risk; auto-exercise of expiring in-the-money longs and the capital it needs; max loss; and net Greeks. Returns approve / approve_with_warnings / reject with reasons. Price: $0.01.
  • portfolio_reviewA periodic advisor review of a portfolio: weights, concentration (HHI and effective number of holdings), sector and asset-class exposure, drift from targets with the trades to reba…No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    A periodic advisor review of a portfolio: weights, concentration (HHI and effective number of holdings), sector and asset-class exposure, drift from targets with the trades to rebalance, and, given return history, volatility, Sharpe, Sortino, drawdown, VaR/CVaR and beta. Ends with prioritized findings. Price: $0.05.
  • position_sizeSize a position the way a risk manager would: fixed-fractional risk to a stop, volatility targeting (ATR or annualized vol), or fractional Kelly from your edge statistics.No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    Size a position the way a risk manager would: fixed-fractional risk to a stop, volatility targeting (ATR or annualized vol), or fractional Kelly from your edge statistics. Applies a max-position cap and round lots, and explains the binding constraint. Price: $0.005.
  • pre_trade_checkRun an order past a compliance officer and risk manager before sending it to the broker.No findings

    Why it is in this group

    • The description's first verb is "run": a word for a change.
    Description, as the server wrote it
    Run an order past a compliance officer and risk manager before sending it to the broker. Checks buying power, cash-account settlement violations, FINRA intraday margin (post-PDT) or legacy PDT limits, Reg SHO short-sale rules, wash-sale exposure, position concentration, per-trade risk versus stop, liquidity, spread, fat-finger prices, leverage and market hours. Returns approve / approve_with_warnings / reject with reasons and a resized quantity when useful. Price: $0.005.
  • rules_digestFree.No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    Free. The current US trading, margin, settlement and tax rules an agent must follow, with effective dates and sources. Includes changes your training data may predate, such as the June 2026 replacement of the Pattern Day Trader rule. Price: free.
  • strategy_auditAn independent performance auditor for a trading strategy or backtest.No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    An independent performance auditor for a trading strategy or backtest. From a trade list and/or periodic returns it computes win rate, expectancy, profit factor, streaks, Sharpe/Sortino/drawdown, and tests whether the edge is real: t-stat, Probabilistic Sharpe Ratio and the Deflated Sharpe Ratio that corrects for how many variants you tried. Returns a verdict and red flags. Price: $0.1.
  • suitability_checkThe compliance review a robo-advisor or advisory agent should run before recommending a portfolio to a person: compares the proposal with the client's age, horizon, risk tolerance,…No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    The compliance review a robo-advisor or advisory agent should run before recommending a portfolio to a person: compares the proposal with the client's age, horizon, risk tolerance, liquidity needs and experience under Reg BI / fiduciary standards, flags complex products, and returns a timestamped, hashed suitability memo for the audit file. Price: $0.03.
  • tax_lot_planAct as the tax advisor for a sale: compares FIFO, LIFO, HIFO and minimum-tax lot selection, splits short- and long-term gains, estimates tax, flags wash sales, and notes lots about…No findings

    Why it is in this group

    • Nothing in its name or description says what it does, so it is counted as a write.
    Description, as the server wrote it
    Act as the tax advisor for a sale: compares FIFO, LIFO, HIFO and minimum-tax lot selection, splits short- and long-term gains, estimates tax, flags wash sales, and notes lots about to turn long-term. With mode=harvest it scans positions for tax-loss harvesting. Price: $0.02.

This is not a safety rating, and no finding is not a safety guarantee. The groups and findings come from fixed checks of the tool definitions the server returned on the date shown, not from its code or what it does when called. How the checks work.

Install

Pinned to version 0.1.0. Values in angle brackets are yours to fill in.

claude mcp add --transport http agent-financial-advisor https://agent-financial-advisor.agent-financial-advisor.workers.dev/mcp

Run in a terminal.

Claude Code permissions

Allow the reads, ask before a change, deny the deletes. Paste into .claude/settings.json.

.claude/settings.json
{
  "permissions": {
    "allow": [],
    "ask": [
      "mcp__agent-financial-advisor__rules_digest",
      "mcp__agent-financial-advisor__pre_trade_check",
      "mcp__agent-financial-advisor__position_size",
      "mcp__agent-financial-advisor__tax_lot_plan",
      "mcp__agent-financial-advisor__portfolio_review",
      "mcp__agent-financial-advisor__strategy_audit",
      "mcp__agent-financial-advisor__suitability_check",
      "mcp__agent-financial-advisor__options_risk_check"
    ],
    "deny": []
  }
}

Tools that only read are allowed, tools that change things ask first, tools that delete or cancel are denied. It assumes the server is installed as agent-financial-advisor. Review it before you use it.