RIA Compliance Tool · Marketing Rule 206(4)-1

Marketing Rule Pre-Flight

SEC Marketing Rule 206(4)-1 turned every LinkedIn post, podcast ad, and website tagline into a compliance event. Hadley charges $1-3K/mo per firm to review it manually. ACA wants $10K+ per engagement. This tool runs the same 8-point pre-flight against the rule's seven subparts + 204-2(a)(11) recordkeeping in 30 seconds, flags every violation by severity, drafts a compliant rewrite with required disclosures inline, and auto-generates your books-and-records entry. $79/mo flat. Unlimited pre-flights.

🛫

Pre-flight any public statement

Paste a LinkedIn post, website section, newsletter, podcast ad script, or pitch-deck page. We check every word against Rule 206(4)-1.

177 characters · 30 words

(1)(i)Untrue statements / material omissions

(1)(ii)Unsubstantiated claims

(1)(iii)Implied SEC endorsement

(1)(iv)Testimonials / endorsements

(1)(v)Third-party ratings

(1)(vi)Hypothetical performance

(1)(vii)Performance cherry-picking / gross vs net

204-2(a)(11)Books-and-records retention

Pricing

$79/mo · flat · unlimited pre-flights

Hadley Compliance: $1,000-3,000/mo · ACA Group engagement: $10,000+ · Outside compliance counsel: $450/hr. Most RIAs audit nothing and hope. The SEC has collected $10M+ in Marketing Rule fines since Sept 2023.