See which advisers are missing Form ADV before the consultation
Ask advisory prospects whether they manage client money, have a current Form ADV, or already received an SEC or state exam notice, and collect regulator correspondence upfront so you can see the compliance posture before agreeing to a consultation.
The exact intake your investment adviser compliance leads complete
This is the real 8-question guided intake for Investment Adviser Compliance — the same flow your customers finish before you ever pick up the phone.
What a qualified investment adviser compliance lead should tell you
Ongoing regulatory compliance work for registered investment advisers, covering Form ADV and disclosure obligations, written compliance programs, advertising/marketing rule issues, and responses to SEC or state examinations.
- Investment Adviser (Or Work
- Seeking Help With Compliance
- Manage Client Money Or
- Have Clients Or Plan
- Received Notice, Inquiry, Or
- Missing Or Unsure About
- Have Questions Or Issues
- Know Name Firm And
The questions your team needs answered
Every investment adviser compliance intake asks these — and why each one matters.
| Question | Why it matters |
|---|---|
| Are you an investment adviser (or do you work for one) that provides investment advice for a fee in the United States? | Confirms the prospect is actually a regulated investment adviser subject to compliance obligations, filtering out inquiries that fall outside this practice area entirely. |
| Are you seeking help with compliance (rules, filings, policies, audits, or an exam) rather than suing someone for investment losses? | Separates prospects who need regulatory/compliance work from those pursuing an investment-loss lawsuit, which is a different type of matter. |
| Do you currently manage client money or have authority to trade in client accounts? | Advisers actively managing client money or holding trading authority carry higher regulatory exposure and typically need more immediate compliance attention. |
| Do you have clients or plan to take clients within the next 90 days? | Plans to onboard clients within 90 days signal near-term deadlines for registration, disclosures, or agreements that need to be in place first. |
| Have you received a notice, inquiry, or exam request from the SEC or a state securities regulator in the last 12 months? | A recent SEC or state regulator notice or exam request is the strongest urgency indicator in the catalog and often requires a fast response window. |
| Are you missing or unsure about required documents like Form ADV, client agreements, disclosures, or a written compliance program? | Identifies concrete, billable work such as drafting a Form ADV, client agreements, or a written compliance program when the firm is missing these documents. |
| Do you have questions or issues involving advertising/marketing (including social media), performance claims, or testimonials/referrals? | Flags advertising, performance claims, or testimonial/referral issues as a distinct compliance area tied to marketing rule obligations. |
| Do you know the name of your firm and the state(s) where you do business or have clients? | A "yes" flags a higher-value, higher-urgency lead you’ll want to reach first. |
How Cliont scores investment adviser compliance leads
Every answer is weighted automatically — no manual review required.
Value signals
- Investment Adviser (Or Work: yes
- Seeking Help With Compliance: yes
- Manage Client Money Or: yes
- Have Clients Or Plan: yes
- Received Notice, Inquiry, Or: yes
- Missing Or Unsure About: yes
See the lead your team receives
Investment Adviser Compliance Lead
From first click to qualified lead
Follow people and businesses seeking counsel through one smooth, guided flow.
They land & meet you
Your video greeting plays instantly — a real face instead of a blank form.
They explain the matter
Smart questions adapt to their matter and capture the full scope.
They share the documents
The facts, dates, and any paperwork come attached, so you can assess the matter before the consultation.
You get a ready lead
Scored and qualified — waiting for you to win it.
Built for investment adviser compliance workflows
| Cliont capability | Investment Adviser Compliance application |
|---|---|
| Conditional branching | Routes prospects who indicate they want to sue over investment losses, rather than get compliance help, away from the compliance consultation flow based on their answer to the compliance-vs-litigation question. |
| Document upload | Collects a current or draft Form ADV, written compliance policies, and any SEC or state regulator correspondence before the consultation so the file is prepared, not requested after the call. |
| Lead scoring | Weights an active SEC/state exam notice and missing Form ADV or compliance program as the top signals, so exam-driven and registration-gap matters rise above general inquiries. |
| CRM field mapping | Sends firm name and the state(s) where the adviser does business straight into CRM record fields, supporting jurisdiction checks and conflict screening ahead of the consultation. |
Common investment adviser compliance lead scenarios
Active SEC exam notice
An adviser received an SEC or state exam inquiry in the last 12 months and needs a review of their compliance posture fast, not a general intake conversation.
New RIA about to onboard clients
A firm plans to take clients within 90 days but is unsure whether it has a Form ADV or written compliance program in place, signaling registration work ahead of the consultation.
Marketing rule question
An adviser has questions about performance claims, testimonials, or social media advertising, which the intake flags as a distinct compliance area from exam or filing work.
Investment-loss dispute, not compliance
A prospect is actually looking to sue over investment losses rather than get compliance help; the intake separates this early so it doesn't consume consultation time meant for compliance matters.
Not yet a registered adviser
Someone isn't currently an investment adviser providing advice for a fee in the US, a lower-weight answer that lets the firm decide whether the matter is even in scope.
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More securities law intake templates
Investment Adviser Compliance lead-intake FAQs
How does the intake keep investment-loss lawsuits from landing on a compliance consultation calendar?
One question directly asks whether the prospect wants compliance help (filings, policies, audits, exams) rather than suing over losses, so litigation-only leads score lower and can be routed differently instead of taking a compliance-focused consultation slot.
What happens when a lead mentions an active SEC or state exam?
A disclosed SEC or state regulator notice or inquiry within the last 12 months is weighted as one of the highest-value signals in the catalog, so those leads surface as high priority ahead of routine document-drafting requests.
Can the intake tell me if a prospect doesn't have a Form ADV yet?
Yes, one question asks directly whether the firm is missing or unsure about required documents like Form ADV, client agreements, disclosures, or a written compliance program, flagging concrete deliverable work before the call.
Does the intake capture whether the adviser actually manages client money?
It asks whether the prospect currently manages client money or has trading authority in client accounts, which is a meaningfully higher-weight signal than someone still in a planning stage.
How are advertising and social media issues handled differently from other compliance questions?
A dedicated question asks about advertising/marketing, performance claims, or testimonials and referrals, so marketing-rule matters are identifiable separately from filing or exam-driven work.
What if the person filling out the form isn't a registered investment adviser at all?
The first question checks whether the prospect is (or works for) an investment adviser providing advice for a fee in the US; a 'no' answer carries the lowest weight in the catalog and helps you spot out-of-scope inquiries quickly.
Turn investment adviser compliance visitors into qualified cases
Give every investment adviser compliance visitor a guided intake instead of a dead contact form — and get a scored, qualified lead before you book a consultation.