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.
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.