Financial Services
RIAs Beat Wirehouses at Niche AI
RIAs have a structural edge in AI discovery they aren't using. Fee-only fiduciary status, specificity, and the SEC Marketing Rule — the citation playbook for advisers who want to be the answer.
Tag
SEC Marketing Rule
AI Communications
The SEC Lever Most RIAs Haven't Pulled
The SEC Marketing Rule (Rule 206(4)-1) replaced an eighty-year ban on testimonials, allowing Registered Investment Advisers (RIAs) to use them in marketing under specific conditions. Despite this, most RIAs have not yet adopted testimonial and endorsement programs. This article argues that embracing the Marketing Rule is crucial for AI visibility, as AI engines heavily weight third-party validation. It outlines a playbook for compliant deployment across various channels and highlights firms successfully leveraging the rule.
Insights & Strategy
Allocator-Pitch Presentation Discipline: What Hedge Fund Decks Actually Do in 2026
The hedge fund pitch deck is not a sales tool. It's a structured-disclosure document that allocator analysts now read alongside Form ADV, the DDQ, the website, and the AI engine retrieval surface — and screenshot into ChatGPT during post-meeting write-ups. The 2026 reference for allocator-pitch presentation discipline.