How do you ensure marketing compliance?

Every campaign, piece of content, and advertisement goes through our compliance review process aligned with SEC, FINRA, and state regulations before launch. We maintain a 100% approval rate.

How do you measure financial marketing ROI?

We track key metrics including cost per lead, cost per client acquisition, client lifetime value, AUM growth, and marketing-influenced assets with detailed attribution across all channels.

What types of firms do you work with?

We work with RIAs, wealth management firms, fintech platforms, broker-dealers, and institutional asset managers across all stages of growth.

How much does compliant marketing cost?

Investment varies based on your firm size and goals. We offer packages starting at $15,000/month. Schedule a strategy session to get a tailored proposal.

Financial Services Marketing | Compliant Growth Strategies

Our Approach

Compliance-first marketing that drives growth

Every strategy is validated against SEC, FINRA, and state regulations before launch.

Audit

Comprehensive compliance review of your current marketing against SEC, FINRA, and state regulations.

Strategize

Build compliant growth strategies that maximize client acquisition while meeting all regulatory requirements.

Execute

Launch targeted campaigns with proper disclosures, approvals, and tracking infrastructure.

Optimize

Continuously refine based on cost per client, AUM metrics, and compliance performance.

What We Do

Financial Services Marketing

Three core capabilities that drive compliant growth for RIAs, wealth managers, and fintech companies.

Compliance-First Strategy

SEC and FINRA-compliant marketing strategies built from the ground up. Every campaign, piece of content, and advertisement goes through our regulatory review process before launch. We ensure 100% compliance while maximizing your growth potential.

High-Value Client Acquisition

Targeted campaigns across LinkedIn, Google, and strategic content channels to attract HNW individuals and institutional clients. Our multi-channel nurturing approach delivers 40-60% lower customer acquisition costs on average.

Trust & Authority Building

Thought leadership content, educational webinars, and strategic PR that positions your firm as the trusted authority. We build the credibility infrastructure that converts prospects into long-term clients with higher lifetime value.

Explore our services

Core Capabilities

Industries We Serve

Deep expertise across the entire financial services landscape.

Wealth Management

Growth strategies for RIAs and wealth advisors targeting HNW clients with compliant digital acquisition and nurturing programs.

Investment Advisory

Marketing for broker-dealers and investment advisory firms with proper disclosures and regulatory compliance built in.

Retirement Planning

Lead generation for 401(k), IRA, and retirement planning services with educational content that builds trust.

Fintech Platforms

User acquisition for robo-advisors and financial technology companies scaling in a regulated environment.

Commercial Banking

B2B marketing for commercial banking and lending services targeting business owners and CFOs.

Insurance Products

Compliant marketing for life insurance, annuity products, and comprehensive financial planning services.

Why Choose Us

Full-stack financial expertise

Comprehensive capabilities across the entire financial services marketing lifecycle.

SEC & FINRA Compliance

Every campaign meets regulatory standards with proper disclosures and documentation.

CRM Integration

Salesforce, Redtail, Wealthbox, and portfolio management system integrations.

AUM Growth Focus

Strategies designed to maximize assets under management and client lifetime value.

Multi-State Compliance

Navigate complex state-level financial marketing requirements across all 50 states.

Thought Leadership

Position your firm as an industry authority and trusted advisor through strategic content.

Marketing Automation

Lead nurturing, client communication, and referral programs that scale efficiently.

Challenges & Solutions

Navigating financial marketing complexity

The regulatory landscape has evolved dramatically. We help you overcome common obstacles while driving sustainable growth.

Regulatory Compliance Complexity

Our compliance-first methodology ensures every campaign meets SEC, FINRA, and state-level requirements with 100% approval rate.

High-Value Client Acquisition

Multi-channel nurturing campaigns combining educational content, thought leadership, and personalized outreach for 40-60% lower CAC.

Trust & Credibility Building

Strategic content marketing, case studies, research publishing, and social proof systems that establish digital-first authority.

Digital Transformation

Phased digital transformation that respects existing relationships while building modern acquisition channels.

Case Study

Wealth management firm transformation

How we helped a mid-market wealth management firm achieve explosive growth through compliant digital marketing strategies. 100% compliant marketing achieved across all channels.

400%

HNW Prospect Increase

$50M

New AUM

80%

Lower CAC

FAQ

Common questions

Everything you need to know about our financial services marketing.

Our clients typically see 2-4x growth in assets under management within the first 18 months. Results vary based on firm size and market, but we focus on sustainable, compliant strategies that compound over time.

From our blog

Financial Services Marketing Agency by city

Empire325 delivers financial services marketing agency programs across 25 metros where financial services demand is concentrated. Pick your market for location-specific positioning.

New York, NY