RIA client outreach under the SEC Marketing Rule — what counts as advertising
A practical reading of SEC Rule 206(4)-1 for solo and small-team RIAs evaluating automated client-outreach tools, and how an automated assistant fits the framework.
Hartlowe Blog
Operational guidance from the Hartlowe team. No fluff, no invented statistics — just the patterns we see across firms using AI intake.
First-touch routing — cold prospect vs warm referral
How a solo RIA should triage inbound inquiries by source, and what an automated assistant captures that lets the adviser prioritize callbacks correctly.
Vacation coverage for solo RIAs without compromising client experience
How a solo adviser takes a real week off without going dark on clients — and what an automated assistant covers vs what still needs a human backup.
Wealthbox workflow optimization for solo RIAs
How to design Wealthbox workflows around intake-to-CRM automation so a solo adviser stops re-typing contact details and starts working from real triggers.
Documenting your automated assistant in Form ADV and the firm's WSPs
Where the use of an automated assistant fits in ADV Part 2A, Form CRS, and the firm's written supervisory procedures — and the specific language to consider.
Capturing inquiry context that survives the handoff
Why intake notes get lost between the front desk and the adviser, and how to design intake so the context is intact when the callback happens.