Website & Social Media Compliance Checklist for Advisers

RIA website compliance

In today’s digital-first world, your firm’s online presence is often the first impression prospective clients will get. But while websites and social media are powerful marketing tools, they also come with compliance responsibilities — especially for Registered Investment Advisers (RIAs) under the SEC’s Marketing Rule.Here’s a practical checklist to help ensure your website and social media content remains compliant, transparent, and client-focused.

✅ General Advertising Principles

- Use clear, fair, and balanced language 

- Avoid misleading or exaggerated claims 

- Ensure consistency across all platforms (website, LinkedIn, Twitter, etc.) 

- Avoid cherry-picking performance or client success stories 

- Make all disclosures easily accessible and prominent

✅ Website Compliance Checklist

1. Form ADV Access 

Provide a clear link to Form ADV Part 2A (brochure) or explain how clients can obtain it.

2. Disclaimers and Disclosure Language 

Include disclaimers such as “for informational purposes only” and “not investment advice.” 

Ensure all required regulatory disclosures are up-to-date.

3. Fee and Service Descriptions 

Be specific and avoid vague or misleading descriptions of services or pricing.

4. Performance Advertising 

If performance is mentioned, include both gross and net performance. 

Provide required disclosures and time periods.

5. Testimonials and Endorsements 

If used, include proper disclosures regarding client status, compensation, and conflicts of interest.  Ensure they comply with the SEC Marketing Rule.

6. Third-Party Ratings or Reviews 

Disclose the methodology, any compensation involved, and limitations of such ratings.

7. Privacy Policy

Make your privacy policy easily accessible and ensure it reflects how you collect and use data.

✅ Social Media Compliance Checklist

1. Personal and Business Profiles    

- Ensure bios are professional and include appropriate disclosures.    

- Clearly separate personal opinions from firm-approved content.

2. Content Oversight     - Pre-review or archive posts related to investment advice or firm promotions.    

- Monitor for unauthorized endorsements, testimonials, or guarantees.

3. Testimonials or Client Comments    

- Be cautious of likes, shares, or comments that could be seen as implied endorsements.    

- Disclose if content includes or promotes client feedback.

4. Use of Hashtags and Keywords    

- Avoid misleading financial terms or promises like #GuaranteedReturns or #TopAdvisor.

5. Recordkeeping    

- Archive all content that qualifies as advertising under SEC rules.    

- Keep records of posts, comments, and any updates or deletions.

Final ThoughtsDigital marketing gives advisers a broad reach — but also raises the stakes for compliance. A proactive review of your website and social media channels ensures your firm communicates with confidence, integrity, and within regulatory guidelines.

Use this checklist regularly and coordinate with your compliance team to stay ahead of evolving expectations.