Build authority, generate prospect inquiries, and grow AUM through SEC/FINRA-compliant social media. We turn your LinkedIn presence into a client acquisition engine, with full regulatory compliance built into every post.
74% of high-net-worth investors use social media. Before scheduling a consultation, they review your LinkedIn profile, read your content, and assess whether you understand their financial challenges. An empty or outdated social presence loses clients before you ever meet them.
Most financial advisors know social media would benefit their practice. The barrier is not willingness. It is compliance. SEC, FINRA, and state regulations impose strict requirements on financial advisor communications, including social media. Many advisors either avoid social media entirely out of fear of violations, or post so infrequently that their efforts yield no results.
This is the gap we fill. Our social media management for financial advisors is built from the ground up around regulatory compliance. Every post, every comment response, and every piece of content is created within SEC/FINRA guidelines and archived for regulatory requirements. We eliminate the compliance risk so you can reap the business development benefits of an active social media presence.
Financial advisors do not need to be everywhere, they need to be excellent on the right platforms. We prioritize channels that reach high-net-worth prospects, centers of influence, and next-generation wealth inheritors.
LinkedIn is the single most important social media platform for financial advisors. It is where high-net-worth individuals, business owners, and professional referral sources spend their time. We optimize your personal profile and firm page, publish thought leadership content, and build strategic connections that convert into client relationships.
Facebook is valuable for financial advisors targeting mass affluent clients and promoting events like seminars and workshops. The platform's community features and local targeting make it effective for building regional visibility and nurturing relationships with existing clients through retirement planning and educational content.
As the great wealth transfer moves trillions to younger generations, advisors need to reach next-gen clients where they are. Instagram and YouTube are where younger high-net-worth individuals discover and evaluate financial professionals through educational content and brand storytelling.
Our content strategy for financial advisors is designed to demonstrate expertise, build trust, and generate client inquiries, all while staying within SEC and FINRA guidelines.
Timely, thoughtful market commentary positions you as a knowledgeable guide through market volatility. We help you share perspectives on economic events, market movements, and their implications for investors, with proper disclaimers and without making specific investment recommendations.
Educational content builds trust by demonstrating your willingness to help people understand complex financial topics. This positions you as a fiduciary-minded advisor who prioritizes client education and empowerment. Topics include retirement planning, tax strategies, and estate planning considerations.
People entrust their life savings to individuals, not institutions. Personal brand content humanizes you as an advisor, showcasing your values, approach to financial planning, and genuine care for client outcomes. This includes professional development, community involvement, and milestone celebrations.
Strategic calls-to-action that move social media followers toward becoming clients. This includes webinar invitations, complimentary financial reviews, and content offers that capture contact information for follow-up through nurturing sequences.
Regulatory compliance is the foundation of everything we do for financial advisors. The SEC's updated Marketing Rule (Rule 206(4)-1) expanded the definition of "advertisement" to include social media communications. We ensure all content complies with the rule's requirements.
For FINRA-registered representatives, we maintain compliance with both static content (treated as advertisements) and interactive content (treated as public appearances) under FINRA Rules 2210 and 2241.
Both the SEC and FINRA require advisors to retain records of advertising and communications. We implement compliant archival systems that capture all social media posts, comments, and direct messages for the required retention periods.
Every piece of content goes through a structured compliance review before publishing. Our workflow integrates with your firm's Chief Compliance Officer or compliance department to ensure proper oversight, content creation, internal review, CCO approval, then publication with archival.
Book a free strategy call. We will audit your current social media presence and map out a compliance-ready strategy that builds authority and generates prospect inquiries.
Book Your Free Strategy CallSocial media works best as part of a comprehensive digital strategy. Explore our other services for financial advisors.
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Learn MoreSchedule a 45-minute call where we analyze your market, audit your current digital presence, and map out a growth strategy. No obligation, no pressure.
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Compliance is embedded in every stage of our process. We build content within SEC Marketing Rule guidelines and FINRA communications rules from the start. Every post includes required disclaimers, avoids prohibited language about investment returns or guarantees, and presents risks and benefits in a fair and balanced manner. Content goes through our internal compliance review and then through your firm's CCO for final approval before publishing. All content is archived per regulatory recordkeeping requirements.
LinkedIn is the most effective platform for the vast majority of financial advisors. It is where high-net-worth individuals, business owners, and professional referral sources are most active. LinkedIn's professional context aligns naturally with financial services. Facebook can be a strong secondary platform for retirement planning advisors targeting mass affluent clients. Instagram and YouTube are increasingly important for advisors building relationships with next-generation wealth inheritors.
Under the SEC's updated Marketing Rule (effective November 2022), investment advisors can now use testimonials and endorsements in advertising, including social media, provided they meet specific requirements. These include written agreements with the person providing the testimonial, disclosure of whether compensation was provided, and appropriate disclaimers. We navigate these rules for each piece of testimonial content, ensuring compliance with your registration type.
We minimize your time commitment to approximately 20-30 minutes per week. This includes reviewing and approving content (10-15 minutes), plus optional personal engagement with comments and connections on LinkedIn (10-15 minutes). We handle strategy, content creation, scheduling, community management, archival, and reporting. Your compliance team will also need to review content, which we streamline by batching approvals weekly.
Absolutely. Industry data consistently shows that financial advisors who actively use social media acquire clients faster and grow AUM more efficiently. The key is strategic execution: thought leadership content that demonstrates expertise, consistent engagement that builds familiarity, and a professional presence that instills confidence. Our financial advisor clients typically see their first social media-sourced prospect inquiries within 60-90 days, with AUM growth compounding as their online authority expands.