Is this a fit?
Compliance-ready AI marketing, client acquisition, and AUM growth system for independent financial advisors and RIAs
Skills to bring or develop
- Marketing Strategy
- Content Marketing
- Compliance Awareness
- Client Retention
The starting sequence
- Complete intake — tell us about your practice, AUM, niche, and compliance requirements
- AI builds your compliant website, content calendar, and email sequences
- Compliance review — all content flagged for FINRA/SEC review before publish
- Connect your CRM and financial planning tools
- Launch and start attracting HNW prospects
Find your first customers
Treat this customer profile as a starting hypothesis. Talk to people in this role and find out what they already do, what it costs them, and whether they want help.
Role
Independent Financial Advisor / RIA Owner
Company size
1-5 advisors
Industry
Financial Services (Wealth Management, Financial Planning)
Problems to investigate
- Terrified of compliance violations — so publishes nothing
- Losing prospects to younger advisors with strong digital presence
- Referral-dependent with no systematic marketing
- FMG Suite / Snappy Kraken content feels generic and canned
- No time to write blog posts or manage social media
- Aging client base — needs to attract next-gen wealth holders
Channels to test
- Partnerships
- Content Marketing
- Referrals
First launch approach
Partner with compliance consultants and broker-dealer marketing departments. Offer free compliance-checked marketing audit to 20 advisors. Show them what content they could be producing safely.
Ways to find your first customer
- Partner with RIA compliance consultants (they work with hundreds of advisors)
- Sponsor FPA, NAPFA, or local financial planning association events
- Cold outreach to solo RIAs with no blog or social presence
- Partner with custodians (Schwab, Fidelity, Pershing) for advisor marketing programs
Content ideas
- The compliance-safe content calendar: 52 weeks of approved topics
- LinkedIn for financial advisors: what you can (and can't) say
- Seminar marketing in 2026: digital-first strategies that fill seats
Shape the offer & delivery
These are example packages to adapt, not current market rates or promises of sales. Choose one deliverable, set a revision limit, and test the scope with a real buyer before expanding.
Starter
$597/mo example price
- Compliance-ready website with lead capture
- Monthly market commentary (AI-drafted, advisor-approved)
- Google Business Profile optimization
- Basic email templates (welcome, quarterly review reminder)
- 10 LinkedIn posts/month (pre-screened for compliance)
Growth
$1,197/mo example price
- Everything in Starter
- Full content marketing (blog + newsletter + social)
- Automated nurture sequences for prospects
- Client appreciation campaigns (birthdays, milestones)
- Seminar/webinar landing pages + registration
- COI referral tracking system
- Monthly strategy call
Enterprise
$2,497/mo example price
- Everything in Growth
- Paid advertising (Google + LinkedIn)
- AI chatbot with compliance guardrails
- Client portal with branded experience
- Custom compliance workflow integration
- Multi-advisor firm support
- Dedicated account manager
Build and deliver the offer
Service delivery
Packages
Name
Starter
Deliverables
- Compliance-ready website with lead capture
- Monthly market commentary (AI-drafted, advisor-approved)
- Google Business Profile optimization
- 10 LinkedIn posts/month (pre-screened for compliance)
Timeline
1-2 weeks setup, then ongoing monthly
Included in this example
- Compliance-ready website with lead capture
- Monthly market commentary (AI-drafted, advisor-approved)
- Google Business Profile optimization
- Basic email templates (welcome, quarterly review reminder)
- 10 LinkedIn posts/month (pre-screened for compliance)
Name
Growth
Deliverables
- Everything in Starter
- Full content marketing
- Automated nurture sequences
- Seminar/webinar landing pages
Timeline
Ongoing, monthly
Included in this example
- Everything in Starter
- Full content marketing (blog + newsletter + social)
- Automated nurture sequences for prospects
- Client appreciation campaigns (birthdays, milestones)
- Seminar/webinar landing pages + registration
Client onboarding
Step
Collect advisor branding, services, and compliance content guidelines
Who handles it
client
Step
Confirm the compliance-review workflow — who approves content before it publishes
Who handles it
client
Step
Connect lead-capture forms and CRM
Who handles it
client
Step
Deliver first website draft + commentary template for compliance review
Who handles it
you
Kickoff conversation
- Confirm services and compliance guidelines to reflect on the site
- Walk through the content-approval workflow end to end
- Set expectations on commentary and newsletter cadence
Your launch roadmap
Work through the phases at your own pace. Durations and task hours are estimates; client conversations, sales, and other outcomes depend on the response you receive. Growth and exit steps are optional later decisions.
0 of 17 tasks checked
01 · Foundation 2 weeks · suggested pace
AI builds compliance-ready marketing system
AI-led conversation captures AUM, niche focus, compliance requirements (BD vs RIA), custodian, and growth goals
Target deliverable: Complete advisor profile
Tool examples: Waymaker Intake
Planning allowance: 1 hours · AI can assist; review the output
Builder creates website with required disclosures, ADV links, compliant testimonial handling, and lead capture
Target deliverable: Draft website with compliance elements
Tool examples: Waymaker Builder
Planning allowance: 3 hours · AI can assist; review the output
AI generates 3 months of blog topics, LinkedIn posts, and newsletter content — all pre-screened for common compliance issues
Target deliverable: 90-day content calendar
Tool examples: Waymaker Content
Planning allowance: 3 hours · AI can assist; review the output
Prospect nurture, client onboarding, quarterly review reminders, and COI referral sequences
Target deliverable: 5 email sequences ready
Tool examples: Waymaker Email Builder
Planning allowance: 2 hours · AI can assist; review the output
02 · Launch 2 weeks · suggested pace
Compliance review and go-live
Advisor and/or compliance officer reviews all generated content, website copy, and email templates for regulatory approval
Target deliverable: Compliance-approved content
Tool examples: Waymaker Builder
Planning allowance: 4 hours
Link CRM (Redtail, Wealthbox, Salesforce), financial planning tools, and calendar for appointment booking
Target deliverable: All systems connected
Tool examples: Waymaker Integrations
Planning allowance: 3 hours
Optimize LinkedIn profile, begin posting schedule, connect with COIs and centers of influence
Target deliverable: LinkedIn presence active
Tool examples: LinkedIn, Waymaker Social
Planning allowance: 4 hours · AI can assist; review the output
Create first seminar/webinar registration page and email invitation sequence
Target deliverable: Seminar funnel ready
Tool examples: Waymaker Builder
Planning allowance: 3 hours · AI can assist; review the output
03 · Scale 3 months · suggested pace
Build authority and systematic client acquisition
Publish weekly blog + newsletter, monthly market commentary, and LinkedIn articles building authority in advisor's niche
Target deliverable: Content engine running
Tool examples: Waymaker Content, LinkedIn
Planning allowance: 6 hours · AI can assist; review the output
Build systematic referral program with CPAs, estate attorneys, and insurance agents — automated tracking and thank-you sequences
Target deliverable: Referral system active
Tool examples: Waymaker Automation
Planning allowance: 4 hours · AI can assist; review the output
Launch Google Ads for "financial advisor [city]" and LinkedIn ads targeting business owners and executives
Target deliverable: Ad campaigns running
Tool examples: Google Ads, LinkedIn Ads
Planning allowance: 8 hours
Build dashboard showing leads, consultations booked, new AUM, and marketing cost per acquired dollar of AUM
Target deliverable: Live ROI dashboard
Tool examples: Waymaker Analytics
Planning allowance: 4 hours · AI can assist; review the output
04 · Exit 60 days · suggested pace
Prepare your financial advisor AI growth platform for sale, acquisition, or hands-off operation
Create comprehensive standard operating procedures covering every repeatable process in your financial advisor AI growth platform — client onboarding, delivery workflows, billing, and support. A buyer needs to run this without you.
Target deliverable: Complete SOP handbook with video walkthroughs
Tool examples: Notion, Loom, Google Docs
Planning allowance: 12 hours · AI can assist; review the output
Record the questions this step raises for your business, location, and circumstances. Confirm requirements and assumptions with current official sources and a qualified professional before acting.
Target deliverable: Valuation estimate with supporting financials
Tool examples: Google Sheets, ChatGPT
Planning allowance: 6 hours · AI can assist; review the output
Organize all financial records, contracts, customer data, IP documentation, and legal documents into a virtual data room that a buyer or their advisor can review.
Target deliverable: Organized virtual data room
Tool examples: Google Drive, Google Sheets
Planning allowance: 10 hours
Identify every area where the business depends on you personally. Delegate, automate, or document each one. Test by taking 2 weeks off and measuring impact.
Target deliverable: Owner dependency scorecard (before/after)
Tool examples: Notion, Zapier, Slack
Planning allowance: 20 hours
Create a teaser document (blind profile) for your financial advisor AI growth platform and either list on marketplaces (Acquire.com, Flippa, Quiet Light) or reach out directly to 5-10 potential acquirers.
Target deliverable: Teaser document + 5-10 buyer conversations started
Tool examples: Acquire.com, Google Docs, Email
Planning allowance: 8 hours · AI can assist; review the output
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Tools, budget & effort
These are tools named in the original playbook, offered as examples to evaluate. Check current capabilities, pricing, licensing, and data handling with the provider before subscribing. Start with the tools you already have.
- Waymaker Builder
- HubSpot
Tools to evaluate
Item
Waymaker Builder (compliance-ready website + lead capture)
Why consider it
Core deliverable across every tier
Make the numbers your own
Include setup, subscriptions, selling, fulfillment, revisions, support, and your time. Use your actual inputs and compare a cautious case with a better case.
Open the experiment calculator →AI roles & prompt templates
Assign a clear job, provide approved inputs, and review the result. These are role and prompt ideas; this page does not run AI or connect your accounts.
Content Writer
Draft this month's market commentary outline for advisor review
Marketing Strategist
Draft a webinar registration landing page outline for this advisor's next event
Use the first task above as your opening prompt. Include your audience, desired output, constraints, and how you will judge quality.
Your first small test
- Choose one customer. Find five people who have the problem described in this guide.
- Show one useful sample. Ask about their current process, priorities, and objections.
- Offer a clearly scoped pilot. Agree on deliverables, a price to test, and what success means.
- Record the evidence. Track responses, costs, hours, and what the buyer actually used. Decide whether to continue, change, or pause.
Explore related ideas
Adapted from Ashley’s Waymaker side-hustle playbooks, imported October 15, 2026. This is a published snapshot, not a live connection to your Waymaker account. Source examples are planning material, not verified customer outcomes. Explore Waymaker.