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Private Wealth Daily
Running an RIA · Podcast

Creating A (Compliant) Testimonial And Google Review Strategy, With Whit Lanier And Kent Keister

For advisors running a firm, online reviews can serve as social proof in a trust-sensitive business, but the episode focuses on the compliance issues that come with collecting and publishing them. It may be useful for those weighing a review strategy against marketing-rule requirements and common pitfalls.

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Summary

By the running an ria desk

This episode features Whit Lanier, CEO of Amplify Reviews, and Kent Keister, founder of Reliant Compliance, discussing how financial advisors can use testimonials, endorsements and third-party ratings under the SEC's modernized marketing rule. It covers the compliance considerations around online reviews, how those review types differ, and how advisors can build a review strategy that gives clients an equal opportunity to provide feedback while reducing friction in collection.

  1. The SEC's modernized marketing rule affects how advisors use testimonials, endorsements and third-party ratings.
  2. Online reviews can be particularly valuable in an industry where trust is critical.
  3. Advisors can give clients an equal opportunity to provide feedback and reduce friction when collecting reviews.
  4. The episode discusses common compliance pitfalls and practical ways to approach online reviews without overcomplicating the process.

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Videos and podcasts are embedded from their publishers. Selections and summaries are editorial and are not investment advice.

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