Plotbook

Free tool, no signup

Would compliance send this back?

Paste a LinkedIn post, a bio, or a website section. You get the things a reviewer typically flags under the SEC Marketing Rule, each with the rule area it touches, why it matters, and what to change. It will not rewrite your copy and it will not tell you that you are compliant.

Paste the marketing text itself, not a description of it. Remove any client names before you paste.

The same sentence carries different risk in a public post than in a one-to-one email.

Registered representatives are also subject to FINRA Rule 2210, which has its own approval and filing requirements.

Paste marketing copy only. Remove client names and any personal information first. Your text is sent to our AI provider to produce the review and is not used to build a profile of anyone.

Paste your copy and you will get the things a compliance reviewer typically flags, each with the rule area it touches, why it matters, and what to change.

Why this one is different

It cannot invent a rule number

Every finding is tagged from a fixed list of rule areas that ships with the page, and the citation is attached by the application rather than written by the model. An AI asked to cite a regulation will produce a confident and wrong subsection, and on a compliance page that is worse than saying nothing.

It never says you are compliant

A clean result means nothing common was flagged in the text you pasted. It is not an approval, and the tool is built so it cannot claim to be one. Anything that reads on your disclosures, your ADV, or your firm's policies is outside what it can see.

It reviews, it does not rewrite

Findings describe the change to make. The tool will not produce replacement marketing copy, by design. A rewrite you did not review is how a problem gets published with more confidence than before.

It knows which regime you are under

A registered representative is subject to FINRA Rule 2210 as well, with pre-approval and filing requirements the Advisers Act rule does not have. Say how you are registered and the review accounts for it.

How to use it

  1. 01

    Paste the actual copy

    The post, bio, or section as it will publish. Not a summary of it. Strip client names first: the tool does not need them and you should not paste them anywhere.

  2. 02

    Say where it goes and how you are registered

    A sentence in a public ad and the same sentence in a one-to-one email carry different risk, and a registered rep has a second rulebook. Both change the findings.

  3. 03

    Take the findings to your CCO

    Use it to catch the obvious things before review, so the review is about judgement calls rather than testimonials with no disclosure. It is a first pass, not the last word.

The four things that get flagged most

The first is a client quote with no disclosure. Since the 2020 amendments an adviser may publish a testimonial, and a great many now do, but the disclosure obligation travels with it: whether the speaker is a client, whether they were paid, and what conflicts exist. The disclosure has to be clear and prominent, which means with the testimonial rather than in a footer.

The second is an award or ranking used as a badge. Third-party ratings carry their own conditions, including the date of the rating, the period it covered, who produced it, and whether the adviser paid to be considered or to advertise it. A logo on a homepage rarely carries any of that.

The third is performance shown gross. Net of fees must appear with at least equal prominence, over the same period and on the same methodology. And the fourth is language implying certainty. Safe, secure, guaranteed, consistent, protected. It is usually written without much thought and it is the easiest thing in an examination to point at.

Why an outbound tool is a compliance question and a research tool is not

Marketing rules govern communications. The exposure sits in what you send, publish, and say, which is why the tools that automate sending are the ones that create the review burden, and why a firm's approved-vendor process asks first about what a tool transmits on the adviser's behalf.

Plotbook is deliberately on the other side of that line. It has no sending, no dialing, and no sequencing. It maps property and owner information from public records and runs research that identifies the human behind an entity, and then it stops. What you do with what you find is your outreach, under your firm's rules, through your firm's approved channels. That is a narrower product on purpose, and it is why this checker sits on this site rather than a message generator.

What this tool does not do

  • It is not legal advice, not a compliance review, and not an approval of anything.
  • It reads only the text you paste. It cannot see your Form ADV, your disclosures, or the page the copy will sit on.
  • It does not know your firm's own marketing policies, which are usually stricter than the rule and are what governs you.
  • It does not check state-specific adviser advertising rules, which vary and can be stricter than the SEC rule.
  • It does not verify any factual claim in your copy, including performance figures, credentials, or client counts.
  • It will not rewrite your copy, produce replacement wording, or draft disclosure language for you.
  • It cannot tell you whether a specific disclosure is clear and prominent, which depends on placement and design it cannot see.

Questions

More free tools

Liquidity Event Playbook

Pick the kind of wealth event and get the public-record trail it leaves, how long the record takes to appear, and what looks like confirmation but is not.

Open tool

Net Worth Percentile Calculator

Enter a household net worth and see where it sits among all US households, using Federal Reserve survey data.

Open tool

Stop doing this by hand

Plotbook is a map of who owns the wealth around you, with research that names the human behind an LLC or trust. Seven day trial, 100 credits, no demo call.

Start a free trial