Client Acquisition
Marketing
Client Retention
Firm Management
Professional Development
SmartReads
SmartAsset AMP
About
Press
Terms of Service
Privacy Policy
Back to SmartAsset Home

Client Acquisition
Prospecting
Referrals
Strategies & Tools
Marketing
Marketing Strategies
Digital Marketing
Traditional Marketing
Client Retention
Engagement
High-Net-Worth Clients
Ideas & Tips
Firm Management
Starting Out
Running a Firm
Best Practices
Professional Development
Exam Prep
Education
More Resources
SmartReads
SmartAsset AMP
About
Press
Terms of Service
Privacy Policy
Back to SmartAsset Home

SmartAsset Home Grow Your AUM

Search

SmartReads/Advisor Resources/Compliance & Legal

Compliance & Legal

1...7

Share

More from SmartAsset

Compare Financial Advisor Matches Today
How to Find and Choose a Financial Advisor
The Top Financial Advisors in the U.S.
How Much Do I Need to Save for Retirement?
Mortgage Calculator
Compare Mortgage Rates

Subscribe to our Newsletter

Join 200,000+ other subscribers

Categories

Advisor Resources
Auto
Career
Checking Account
Credit Cards
Credit Score
Data Studies
Debt
Estate Planning
Financial Advisor
Insights
Insurance
Investing
Life Insurance
Mortgage
Personal Finance
Personal Loans
Refinance
Retirement
Small Business
Student Loans
Taxes

Get in touch

SmartAsset

Advisor Testimonials

SmartAdvisorMatch

Get Social

Like on Facebook

Follow on LinkedIn

Legal Stuff

Terms of Service

Online Tracking Opt-Out Guide

SmartAsset Advisors, LLC ("SmartAsset"), a wholly owned subsidiary of Financial Insight Technology, is registered with the U.S. Securities and Exchange Commission as an investment adviser. SmartAsset's services are limited to referring users to third party advisers registered or chartered as fiduciaries ("Adviser(s)") with a regulatory body in the United States that have elected to participate in our matching platform based on information gathered from users through our online questionnaire. SmartAsset receives compensation from Advisers for our services. SmartAsset does not review the ongoing performance of any Adviser, participate in the management of any user's account by an Adviser or provide advice regarding specific investments.

We do not manage client funds or hold custody of assets, we help users connect with relevant financial advisors.

This is not an offer to buy or sell any security or interest. All investing involves risk, including loss of principal. Working with an adviser may come with potential downsides, such as payment of fees (which will reduce returns). Past performance is not a guarantee of future results. There are no guarantees that working with an adviser will yield positive returns. The existence of a fiduciary duty does not prevent the rise of potential conflicts of interest.

© 2026 SmartAsset, all rights reserved.

Latest Articles

A financial advisor on the phone discussing how to build a client service agreement template for financial planning.

Compliance & Legal

Client Service Agreement Template for Financial Planning

April 7, 2026Read More

An advisor ensuring her firm follows financial advisor social media compliance rules.

Compliance & Legal

Financial Advisor Social Media Compliance Checklist

April 7, 2026Read More

SEC Marketing Rule Frequently Asked Questions (FAQs) for Adv...April 7, 2026
SEC Email Compliance Rules for Financial Advisors and RIAsApril 7, 2026
Guide to FINRA Securities Licenses and How to Earn ThemMarch 31, 2026
Form 56, Notice Concerning Fiduciary RelationshipMarch 18, 2026
Financial Advisor Marketing Compliance ChecklistMarch 18, 2026
What Is the CFP® Code of Ethics?March 18, 2026
How to Register With the SEC as an Investment AdvisorMarch 11, 2026
Ultimate Guide to SEC Compliance for Financial AdvisorsMarch 6, 2026
How to Conduct a Mock Compliance Audit for Your RIAMarch 4, 2026
Website Compliance Rules for Financial AdvisorsFebruary 25, 2026