Lead Generation Checklist

Capture investable assets band, age range, life-stage triggers (pre-retiree, business sale, inheritance), and complexity markers (concentrated stock, equity comp, multi-state tax). Anchor the ICP to the firm's actual profitable book — not aspirational targets — and reference last year's top-quartile clients by revenue.

Set the AUM floor (commonly $250K, $500K, $1M, or $2M) and the planning-only fee tier for prospects below the floor. Tag each segment in Wealthbox or Redtail so list pulls and email cadences route correctly.

List the CPA firms, estate attorneys, and centers of influence (COIs) most aligned with the ICP. A specialty COI relationship (e.g., a CPA serving physician practices) typically outperforms broad networking for HNW lead quality.

Pull competitors' Form ADV Part 2A from the SEC IAPD site to see their stated client base, fee schedule, and minimums. Compare service depth (planning, tax, estate) and fee structure (AUM, flat, retainer) to position the firm's differentiation.

Build a planning-focused asset (Social Security claiming guide, Roth conversion checklist, equity comp tax primer). Avoid performance claims, hypothetical returns, and testimonials unless the new SEC Marketing Rule (206(4)-1) disclosures are properly applied.

Route every lead magnet, landing page, and ad through the CCO or designated principal under FINRA Rule 2210 (BDs) or the SEC Marketing Rule (RIAs). Log the approval in ComplySci, MyComplianceOffice, or RIA in a Box with reviewer name and date.

Address each edit, re-route to the principal, and retain the redline trail. Books and records (Advisers Act 204-2) require keeping advertising and approval evidence for at least five years.

Include the firm's registration disclosure, privacy notice link (Reg S-P), and a clear path to Form CRS. Keep form fields to name, email, phone, and one qualification question — additional fields cut conversion sharply.

Push the campaign to LinkedIn, Google Ads, the firm newsletter, and supervised advisor social via Hearsay or Smarsh Connected Capture. Confirm UTM parameters land in Wealthbox or Salesforce Financial Services Cloud for source attribution.

Use a simple fit/intent score: investable assets, time horizon, complexity, and source quality (referral vs. cold). Auto-route scores above the threshold to the advisor queue and below-threshold leads to the planning-only or nurture track.

Confirm investable assets, current advisor situation, decision authority (sole vs. spouse joint), and decision timing. Document the answers in CRM — vague qualification is the most common reason later prospects stall.

Reg BI and Form CRS rules require delivery at the earliest of new account opening, recommendation, or new service offering. Send the current Form CRS via DocuSign or the client portal and capture the acknowledgment in the prospect file.

Screen qualified prospects through Refinitiv World-Check, LexisNexis Bridger, or the firm's AML tool before scheduling the second meeting. A PEP or sanctions hit triggers EDD and CCO consultation before further engagement.

Below-minimum and not-yet-ready prospects go into a 90-day educational cadence (Social Security, retirement income, tax projections). Qualified prospects who haven't booked yet go into a shorter advisor-touch cadence with a calendar link.

Use only content cleared by the principal with the SEC Marketing Rule or FINRA Rule 2210 review on file. Confirm Holistiplan, RightCapital, or eMoney sample outputs in the email use anonymized data — never a real client's plan.

Confirm Smarsh, Global Relay, or Microsoft Purview is capturing email, LinkedIn DMs, and any compliant texting via MyRepChat or Hearsay Relate. Off-channel comms drove $2B+ in SEC fines from 2022-2024 — no exceptions for prospects.

Pull open, click, and meeting-booked rates by source and segment. Promote prospects with three or more engagement signals to a direct advisor outreach; sunset prospects with zero engagement after two cadence cycles.

Match Wealthbox, Redtail, or Salesforce source fields against UTM data and referral logs. Unattributed leads obscure cost-per-lead by channel and lead the firm to over-invest in the loudest channel rather than the best one.

Compute spend / qualified-lead-count for each channel — paid search, LinkedIn, COI referrals, webinars. Referral channels usually win on cost per closed account; paid is faster but pricier per qualified lead.

Test one variable per round (headline, CTA, hero image). Each variant still requires principal pre-approval before going live — A/B testing does not exempt advertising review.

Walk partners through pipeline by source, conversion at each stage, projected AUM impact, and recommended budget shifts for the next quarter. File the deck with the compliance archive alongside the underlying advertising approvals.