Marketing Strategy Checklist

Pull AUM tiers, household types, and life-stage segments from the CRM (Wealthbox, Redtail, or Salesforce FSC). Name the ideal client — e.g., pre-retiree professionals $1M–$5M investable, business owners with concentrated stock, or inherited-wealth Gen 2 — rather than 'mass affluent.' Persona detail drives channel and message choices downstream.

Review competitor Form ADV Part 2A on IAPD, public fee schedules, service tiers, and any GIPS-compliant performance presentations. Note service models (planning-led vs. investment-led) and minimums so positioning is concrete rather than aspirational.

Use a short NPS-style survey or structured client advisory board interviews. The Marketing Rule allows compensated and non-compensated testimonials, so flag any verbatim quotes you may want to use later — they trigger Rule 206(4)-1 disclosure obligations.

Anchor the statement to a fiduciary planning-first identity. Avoid superlatives like 'best,' 'top-ranked,' or 'guaranteed' — these are explicitly problematic under the SEC Marketing Rule and FINRA Rule 2210(d)(1)(B). 'We help X do Y so they can Z' beats abstract brand language.

Marketing materials cannot contradict Form CRS or Form ADV Part 2A disclosures around services, fees, and conflicts. The CCO should map each tagline back to a specific disclosure section to avoid exam findings on inconsistent client communications.

Under amended Rule 206(4)-1, every testimonial or endorsement requires clear disclosure of whether the person is a client, whether they were compensated, and any material conflicts. Decide now whether the campaign will use them — and document the written agreement and oversight process if so.

Required for any compensated promoter under the Marketing Rule. Capture written agreement, disclosure language to be presented at the time of the testimonial, and a bad-actor disqualification check. Store the executed agreement in the compliance file.

Check for hypothetical performance, model results, third-party ratings, and any references to past specific recommendations — each carries specific disclosure requirements. Confirm Form CRS and ADV Part 2A are linked from the footer and the relationship page.

Plan blogs, whitepapers, and webinars tied to the niche selected in research. Topics like Roth conversions, RMD planning, IRMAA thresholds, and concentrated-stock strategies travel well with HNW prospects. Submit each piece into ComplySci or RIA in a Box for pre-publication review.

Set advisor-level LinkedIn permissions in Hearsay Social or Smarsh Connected Capture so posts route through pre-approval or post-review workflows. Archive all advisor business communications to Smarsh or Global Relay — off-channel comms enforcement has produced $2B+ in fines since 2022.

Build nurture tracks in the CRM by lifecycle stage: prospect, newly onboarded, established client, RMD-age client. Include the privacy policy link (Reg S-P) and an unsubscribe option in every send. Suppress any client flagged 'do not contact' in the CRM.

Tie KPIs to firm OKRs: qualified discovery meetings booked, net new households, organic AUM growth, and client retention rate. Avoid pure activity metrics — they don't survive a partner-level review.

Pull CRM pipeline data (Wealthbox, Redtail, Salesforce FSC) and reconcile against ad-platform spend. Watch for orphaned leads — prospects who entered the funnel but never received a follow-up touch within 72 hours.

Document the root cause — message-market mismatch, channel saturation, advisor capacity, or lead quality — and reallocate budget. Re-route any new creative back through CCO pre-approval before relaunch.

Rule 204-2 requires retention of advertisements for at least 5 years, with the first 2 years in an easily accessible place. Store final-approved creative, reviewer name, approval date, and any client-specific personalizations in the books-and-records repository.