Wealth management website design in Palm Beach CountyDiscretion That Still Gets Found

Yes, if the conditions of the SEC's Marketing Rule are met. The advertisement has to disclose clearly and prominently whether the person is a client and whether they were compensated, and the adviser has oversight obligations and generally needs a written agreement with a paid promoter. Whether a given quote qualifies is a compliance decision. We build the disclosure into the layout once the firm approves it.

If the firm is required to deliver Form CRS and has a public website, yes. The SEC's compliance guide says the current relationship summary must be posted prominently on that website. We place it where a visitor can reach it from any page and set up a simple way to replace the file when the firm amends it, with the old version archived.

Only within the limits your compliance officer sets. For registered advisers the Marketing Rule requires net performance alongside gross, specific time periods in most cases and extra safeguards for hypothetical performance. Private fund offerings raise separate securities law questions about who may see what. Many firms keep performance behind a login or leave it off the public site entirely.

Often a small one is enough. A single page that confirms the office exists, names its principals if they wish and gives a point of contact helps bankers, counsel and prospective hires verify who they are dealing with. Some families prefer no public presence, which is a legitimate choice. We will tell you plainly if a website would not serve you.

The site should archive every published version with its date. The SEC says advisers must keep copies of the advertisements they disseminate, and FINRA requires members to keep retail communications with dates of use and the approving principal's name. We set up version history at launch so the firm can produce any past page, and your compliance team confirms it meets the firm's retention policy.