Compliance belongs
in the first draft.
Disclosure placement, required links, approved language, and the submission format affect the whole site. We account for them before design, then prepare the package your reviewer needs.
Your firm makes the compliance decisions. We make the website easier to review.
Your registration
sets the path.
Every practice is different. We start with your registration, affiliations, and the current requirements provided by your firm. Then we design the site around that review process from the beginning.
Your firm’s review process.
We ask whether you’re SEC- or state-registered, who approves your communications, and which disclosures and filings your firm requires on the site, such as a prominent link to your Form CRS.
Your firm and reviewer confirm which rules apply to your practice. We build the site around their answers.
Firm rules come first.
We check the broker-dealer’s vendor rules before accepting the build. We then work from its current website guide, approved disclosure text, submission requirements, and review process.
Broker-dealer sites often need items like a BrokerCheck link, and hybrid practices may answer to more than one reviewer. Your firm tells us what applies; we design for it.
The details are
part of the design.
A working requirements matrix, tailored to your practice. Your firm supplies or approves the applicable language and final decisions.
| Requirement | When it applies | What we build for |
|---|---|---|
| BrokerCheck | Covered FINRA member sites and associated-person profiles. | A readily apparent link on the required pages, visible and usable on mobile. |
| Form CRS | Covered SEC-registered advisers and broker-dealers serving retail investors. | Accessible, prominent placement using your firm’s approved file or link. |
| Registration & disclosures | Your entities, affiliations, services, and jurisdictions. | Firm-approved names, disclosure language, and applicable state insurance details. |
| Testimonials & performance | Applicable SEC, FINRA, state, and firm rules. | Content scoped with your reviewer. No invented endorsements, returns, or blanket approval claims. |
| Images, forms & tools | Your firm’s content, data, and vendor policies. | Approved imagery and form destinations. No unapproved calculators, widgets, or third-party tools. |
| Submission & records | The firm’s current review instructions. | A clearly titled full-site PDF, private review link, and changed-page files when requested. |
The matrix is a starting point, not a legal determination. Requirements vary by registration, business model, and firm.
A complete package.
A simpler handoff.
You receive the full-site PDF and private review link together, with the site organized around the guidance you provided.
If your compliance department requests changes before launch, we make them at no extra charge, as many times as needed until approved.
Your firm makes the compliance decisions. We make the website easier to review.
Vendor permission
comes before payment.
Some broker-dealers require an approved website vendor. We confirm eligibility before taking on your site.
If your firm requires a specific website provider, we’ll tell you before you spend anything.
The advisor website
compliance checklist.
Required links, disclosures, vendor questions, and the review handoff. A concise checklist to discuss with your firm before you build.