Keep the website record before anyone asks.
SEC-registered investment advisers must make and keep copies of the advertisements they disseminate, and much of a public advisory website can fall within that definition. This service creates a monthly archive, a plain-English change log, and disclosure checks.
Compliance Site Care
Available with an active TMN Site Care plan. Site Care starts at $50 per month.
What gets kept each month.
Each month I capture a dated archive of every public page, log what changed since the last capture, and check the disclosure links a prospect or examiner would look for. Includes up to 2 total studio hours for fixes the checks surface.
- Dated monthly archive of every public page, delivered to the firm on request
- A written change log your compliance reviewer can read in one pass
- ADV Part 2, Form CRS, and privacy notice links checked monthly
- No legal or compliance advice, and no examination outcome is promised
Websites not built or previously archived by TMN begin with a one-time $750 baseline archive and disclosure audit.
Ask about compliance careA website record your reviewer can actually use.
Plenty of tools archive a firm's email. This covers the website: what it said, when it said it, and whether the required documents were reachable at the time.
Page archives, dated and kept
Every public page captured monthly as rendered HTML with a capture date, retained for the engagement and delivered to the firm on request. The books and records obligation stays the firm's. The archive gives your reviewer something to point to.
A change log in plain English
What changed, where, and when, written so a CCO can read it in one pass. Copy edits, disclosure moves, new pages, removed claims. No diff files to decode.
Disclosure links that stay current
ADV Part 2 brochure, Form CRS, and privacy notice links checked every month. When the firm refiles, the site gets the new document promptly after the firm provides it.
Reviewer-first publishing
When the firm requires pre-approval, site changes are prepared for compliance review before they publish, and required disclosures go where your reviewer places them. Approved copy comes from your firm.
A public advisory website can be advertising.
Under the SEC Marketing Rule, a communication that offers an adviser's services to prospective clients can be an advertisement. A public website can change between reviews, which makes dated copies useful.
“Investment advisers must make and keep copies of all advertisements they directly or indirectly disseminate.”SEC small entity compliance guide for the Investment Adviser Marketing Rule.
An archive is not compliance.
I am not a lawyer or a compliance consultant, and nothing here is advice. Your CCO or compliance consultant stays the authority on what the rules require of your firm. This service makes the record exist and keeps it retrievable.
- A dated archive of every public page, every month
- A plain-English change log, cumulative across the engagement
- Monthly checks on ADV Part 2, Form CRS, and privacy notice links
- Archive files delivered to the firm whenever requested
- A clean trail when your reviewer or an examiner asks
- Legal or compliance advice of any kind
- That any record satisfies any particular examiner
- Examination outcomes
- A substitute for the firm's own books and records program
- Approval of your copy. Review stays with your firm
What the monthly record contains
- Kept
Rendered HTML of each public page with its capture date, stored off the production server and retained for the engagement.
- Logged
Change entries naming the page, the section, the nature of the change, and the date it shipped.
- Checked
Disclosure link status for the ADV Part 2 brochure, Form CRS, and privacy notice, with the fix applied when a link breaks.
- Delivered
The firm's copy. Archives and logs are the firm's records. They are delivered on request and at the end of the engagement.
What I will not sell you
Peace of mind by subscription. Buying an archive does not make anyone compliant with anything, and a vendor who says otherwise is selling past his lane. What this buys is narrower and more useful: the record exists, the disclosures stay reachable, and your reviewer gets a clean trail instead of a shrug.
This studio already works inside the constraint.
TMN builds advisory sites with compliance review in the workflow, and the founder previously held securities licenses. On recent financial-services work, a compliance consultant returned 11 items and every one went in, with the required disclosures placed word for word where requested.
I do not give compliance advice and I do not replace your reviewer. I build so your reviewer has less to fix.
Start with the baseline.
I will archive the site as it stands, audit the disclosure links, and hand your reviewer the first change log. If your existing process already covers this, I will say so.