GROW YOUR SMALL BUSINESS AFFORDABLY AND WORRY FREE WITH FULLY MANAGED WEBSITES AND ADS
GROW YOUR SMALL BUSINESS AFFORDABLY AND WORRY FREE WITH FULLY MANAGED WEBSITES AND ADS
Working with wealth managers has taught us one crucial truth: in your industry, content isn’t just king—it’s regulated. From SEC rules to state-specific nuances, the margin for error is razor-thin. One misstep in a testimonial or a vague performance claim can have serious compliance implications. That’s why, when we meet potential clients in the wealth management space, one of the first questions we’re asked is: “Do you understand the compliance landscape we operate in?”
We’re proud to say: Yes, we do.
Thanks to our experience working with several wealth management firms, we’ve developed a deep appreciation for the regulatory hurdles involved. In this article, we’ll explore why compliance is so critical, break down the key regulations that govern marketing for investment advisers, and explain how we help our clients build trust—both with their audience and their regulators.
Marketing a wealth management firm isn’t like promoting a local bakery or law office. The financial services industry, especially investment advisory, is governed by strict federal and state laws. They are designed to protect investors. Also, they are created to promote transparency.
When creating website content, digital ads, or marketing campaigns for wealth managers, the most important thing is ensuring everything complies with the applicable laws and guidelines. Let’s break them down.
If you’re registered with the Securities and Exchange Commission (SEC) or if your state defers to SEC rules, this rule is your marketing bible. The updated SEC Marketing Rule has opened new opportunities. This includes using testimonials and endorsements. But it also requires detailed disclosures.
Key highlights include:
To dive deeper, refer to the SEC’s compliance guide.
Your website should reflect the information disclosed in your Form ADV, particularly Part 2A. It outlines your services, fees, and any disciplinary history. If there is inconsistent messaging, it can be flagged as deceptive. It will still flag the same even if it was unintentional.
Even if you comply with federal rules, don’t assume you’re in the clear. States often have their own requirements.
Bottom line? Always consult the relevant state securities regulator.
Your website often gives potential clients the first impression of your business. But in wealth management, there is a little difference. Here, every word can be subject to regulatory scrutiny. Here’s how to stay compliant:
Include industry-standard disclaimers, such as:
“Past performance is not indicative of future results.”
Disclosures should be clear, easy to find, and consistent across all pages.
Comply with the Gramm-Leach-Bliley Act (GLBA) by detailing how you collect, use, and protect personal information. If you serve California residents, you must also comply with the California Consumer Privacy Act (CCPA) by offering opt-outs and data access options.
Set clear terms that govern how users interact with your site. These should include disclaimers on advice, intellectual property rights, and limitations of liability.
Implement HTTPS protocols across your website to encrypt data and safeguard client information. In today’s environment, data security isn’t optional—it’s expected.
Your website must be accessible under the Americans with Disabilities Act (ADA). This means using alt text, ensuring keyboard navigation, and providing transcripts for audio content.
For an example of a professionally built, compliant site, check out our website solutions for wealth managers
Compliance isn’t a “set it and forget it” process. Regulations evolve, and your marketing content should evolve with them. Here’s how to stay ahead:
Before launching any content, whether it’s a blog, white paper, or homepage redesign, have it reviewed by legal counsel or a compliance professional familiar with SEC and state rules.
Stay informed about regulatory updates at both the federal and state levels. Sign up for alerts from the SEC and your state securities regulator.
Make sure your marketing, sales, and client service teams understand the rules around communication and marketing. One incorrect claim from a team member can be costly.
We understand the tightrope wealth managers walk when marketing their services. That’s why our services are built with compliance and client trust in mind. Whether you’re SEC-registered, state-registered, or in transition, we help you create a website that:
And yes, we’ll work with your compliance team to ensure every piece of content clears review.
Explore how we build compliant websites for wealth managers.
In an industry where trust is everything, compliance isn’t just about avoiding trouble—it’s about showing clients you take their protection seriously. That starts with your marketing content and your website.
At Ellipsis Marketing, we’ve helped wealth managers navigate this landscape successfully—and we’re ready to help you do the same. Whether you’re updating your website, starting a new campaign, or simply need guidance, we’re here to ensure your message is not only compelling but compliant.
Because when you get it right, your clients feel confident—and regulators stay quiet.
We are a small marketing technology business based in USA, committed to overcoming the challenges of competing against large companies with big budgets. As a small business established in California, we provide affordable, high-quality web and marketing services to help other small businesses in the United States thrive.
We are located right in your pocket and on your desk – just a phone call or email away whenever you need us. Our official mailing address is in Dublin, California, USA.
