PLUMB
Sample record · read only

What Plumb keeps for a two-person firm.

Sample Advisers LLC is made up. Everything else on this page is laid out the way Plumb records it and the way the exam binder prints it: one review with its decision, the registers, the calendar, the evidence chain and the binder index.

01 / Marketing review log

One review, as an examiner would see it.

  • Item Website home page, October refresh
  • Channel website
  • Submitted 02 Oct 2026, 14:12 UTC
  • Decision Approved with changes
  • Decided by cco@sampleadvisers.example
  • Decided at 03 Oct 2026, 09:40 UTC
  • Content fingerprint sha256 4e1f9a0c2b7d3e85…
Content reviewed (excerpt)
"Rated a Five Star Wealth Manager." ... "Our clients say: Sarah and her team made retirement planning simple. (J. P.)" ... Form CRS: footer link.
Pre-review found
  • high TR-1, TR-2 Rating shown without the date given or the period it covers.
  • high TE-1 Testimonial does not say, next to the quote, whether J. P. is a current client.
CCO decision notes

Added "awarded Sept 2026, based on Jan 2025 to Jun 2026 data, Five Star Professional; a fee was paid to use the award" under the rating. Added "J. P. is a current client and was not paid" beside the quote. Ratings register entry #3 and testimonial #2 updated the same day.

Locked once decided. A later change is a new review linked to this one, so the history stays intact.

02 / Promoters, testimonials and ratings

The register behind every quote and award.

Who or whatKindCompensationAgreementDisclosure
Five Star Wealth Manager awardThird-party ratingFee to use, $1,290n/aDate, period, provider, fee shown
J. P. (client)TestimonialNon/aClient, not paid, no conflicts
Coastal CPA GroupEndorsement, paid referral$2,400 in 12 months14 Oct 2026Not a client, paid, conflicts stated
03 / Compliance calendar

Built from the firm profile, completed with evidence.

DueDeadlineSourceStatus
15 Sep 2026Annual compliance programme reviewRule 206(4)-7Done: "Report v2 in shared drive /Compliance/2026"
15 Nov 2026IARD renewal: preliminary statementFINRA IARD (approximate date)Open
30 Nov 2026Quarterly marketing log self-reviewRule 206(4)-1 · PlumbOpen
31 Dec 2026IAR continuing education, 12 creditsNASAA IAR CEOpen
30 Jan 2027Code of ethics quarterly transaction reportsRule 204A-1Open
31 Mar 2027Form ADV annual updating amendmentRule 204-1Open
04 / Service providers (Reg S-P)

The vendor list an examiner asks for.

ProviderServiceDue diligence72-hour notice evidenceNext review
CustodianCustody, client accounts12 Jun 2026Vendor termsJun 2027
CRM providerClient contact records20 Jun 2026Contract addendumJun 2027
Email archivingRule 204-2 email retention20 Jun 2026None yet: attestation requestedDec 2026
PlumbCompliance records, no client account data01 Oct 2026Vendor terms (security page)Oct 2027
05 / Evidence chain

Every change, in order, each one hashed with the one before.

Change or back-date any row and every hash after it stops matching. The hashes on the right are computed in your browser from the rows, the same way Plumb computes them.

DateItemDecisionHashPrev
03 Sep 26Website home pagewebsiteWith changes9f2c41ae00000000
11 Sep 26Q3 client letternewsletterApproved3b07d8e19f2c41ae
22 Sep 26LinkedIn post, Forbes featuresocialRejectedc51a0f963b07d8e1
23 Sep 26LinkedIn post, revisedsocial · supersedes #3Approved07e3b2d4c51a0f96
02 Oct 26Retirement income deckdeckWith changese8d4196c07e3b2d4
14 Oct 26Coastal CPA, promoter agreementregisterRecorded4a6f0c3be8d4196c
28 Oct 26October newsletternewsletterApprovedb2190e7f4a6f0c3b
Chain verified · 7 of 7 linkshash = sha256(prev + event)
06 / Exam binder

One ZIP when the letter arrives.

The printable index.html opens with the chain verification result. The folder also carries a short Python script that re-verifies the chain without Plumb, so an examiner does not have to take our word for it.

index.htmlCompliance record: Sample Advisers LLCGenerated 30 Oct 2026 by Plumb · all times UTC
  1. 1. Evidence chain128 events · chain verified · re-checked when the binder is generated
  2. 2. Firm profileRegistration, fiscal year end and the inputs the calendar is built from
  3. 3. Marketing review logEvery review with decision, reviewer, time and the SHA-256 of the exact content
  4. 4. Promoters, testimonials, endorsements and ratingsWho, paid or not, agreement date, disclosure text, rating date and period
  5. 5. Service providers (Regulation S-P)Due diligence date, evidence of 72-hour breach notice (contract, vendor terms or attestation), next review
  6. 6. Compliance calendarEach deadline with its source, and completion notes
  7. 7. Filesreviews.csv, reviews/<id>.txt, promoters.csv, vendors.csv, calendar.csv, evidence_chain.jsonl, verify_chain.py
Your firm's record

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