AI by industry · Financial advisors
AI marketing for financial advisors
Advisor marketing succeeds when it is useful and cautious: planning checklists, plain explanations of common decisions, and invitations to events. AI can draft these and adapt each into email and social posts. Every piece goes through the advisor and compliance first, because advertising rules cover claims, disclosures and recordkeeping.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
Education over predictions
Explain what a Roth conversion is, how to think about an inheritance or what to ask before retiring. Avoid forecasts and promises. Your value is judgment, not a prediction.
Show the work: a plain example of how a decision plays out for a fictional family can teach more than a general rule.
Make one idea go further
A client question can become an email, a post and an event talk. AI reshapes it. You supply the experience.
Plan topics around the calendar: tax season, year end, graduations, retirement dates.
Archive and approve
Keep approved versions and drafts as your firm requires. Do not publish anything AI wrote without review.
Add the disclosures your firm requires to every piece, not only the ones that mention products.
Picture this
Examples of what it can look like. Illustrations, not clients.
A checklist for people within a few years of retirement goes to your list, with compliance language included.
A seminar invitation for business owners considering a sale is drafted and sent after approval.
A note after a major tax law change summarizes what clients should ask you.
The rules that apply, in their own words
“must be fair and balanced, and must provide a sound basis for evaluating the facts”
“header information that is materially false or materially misleading.”
Sources
- 15 U.S.C. § 7704 (CAN-SPAM Act): Rules for commercial email: honest headers, opt-out, address.
- FINRA Rule 2210: Communications with the Public: The rule for broker-dealer marketing and client messages.
- 17 CFR § 275.206(4)-1 (SEC Marketing Rule): The rule for investment adviser ads and testimonials.
- 15 U.S.C. § 45 (FTC Act, Section 5): The federal ban on unfair or deceptive business practices, ads included.
Talk through your practice with the person who builds it
A free 30-minute call. You leave knowing which part of your financial advisor to hand to AI first, what we would build, and roughly how long it takes.
Questions
Can AI write market commentary?
It can draft, but forecasts and performance language need strict review. Many firms avoid it.
What about social media?
It is advertising under many rules. Follow your firm’s policy.
Can I use client stories?
Be very careful. Anonymous, general examples are safer, and testimonial rules may apply. Ask compliance.
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