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Registered Investment Advisor (RIA) Firms

The SEC Marketing Rule changed what’s required. ActiveComply® has the infrastructure to support it.

RIA advertising compliance and advisor oversight require a firm-wide infrastructure that manual processes cannot scale to provide. ActiveComply® gives RIA compliance teams automated monitoring across advisor social media, AI-powered content review against the SEC Marketing Rule, and SEC Books and Records archiving, so your CCO has the visibility and documentation the rule requires.

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What You Are Up Against

The most common RIA advertising compliance exposures under the SEC Marketing Rule include:

An exam finding under the SEC Marketing Rule isn’t a warning. It’s a formal deficiency with remediation requirements, potential enforcement referral, and, in some cases, personal liability for the CCO.

How ActiveComply® Solves These Issues

  1. ActiveComply® monitors advisor social media profiles continuously across LinkedIn, Instagram, Facebook, X, and other major platforms. A dedicated LinkedIn compliance integration with ACA Group means less manual work for your team and a cleaner audit trail.
  2. Content is scanned for SEC Marketing Rule compliance: testimonial disclosures, prohibited performance claims, and third-party rating requirements.
  3. Violations are flagged and routed to the CCO with context: which advisor, which platform, and which requirement applies.
  4. Advisor-produced and firm-level content moves through a structured pre-review workflow before distribution.
  5. Review decisions and monitoring events are archived automatically with timestamps.
  6. SEC Books and Records (Rule 204-2) recordkeeping requirements are supported without manual effort.

RIA Advertising Compliance Software


Common Questions


Yes. ActiveComply® Social scans advisor content for testimonial and endorsement disclosure requirements as standard. ActiveComply® Pre-Review includes SEC Marketing Rule screening in the AI pre-screening layer, covering testimonials, performance claims, and third-party rating disclosures.

The cost of a single exam finding in remediation, legal fees, and reputational exposure typically exceeds the annual cost of the platform. Institutions that have moved from manual monitoring also report a meaningful reduction in compliance staff hours spent on routine tasks, freeing capacity for higher-value work without adding headcount.

ActiveComply® supplements your existing compliance program rather than replacing it. The platform automates monitoring, surfaces violations for human review, and documents the outcomes. Your team retains judgment and decision authority throughout.

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See how ActiveComply® automates RIA advertising compliance and advisor oversight across social media, content review, and SEC recordkeeping.

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