PLUMB
Guides

Compliance answers for the small adviser.

Plain answers to the questions owners of one to five person investment advisers ask most, each dated and linked to the SEC rule text, FAQ or risk alert it relies on. General information, not legal advice.

  1. SEC Marketing Rule checklist for small RIAs (2026)A paragraph-by-paragraph SEC Marketing Rule checklist for small RIAs: general prohibitions, testimonials, ratings, performance, records and Form ADV 5.L.Updated 30 October 2026
  2. Testimonials and endorsements: the SEC December 2025 risk alertWhat SEC examiners found on testimonials and endorsements in the 16 Dec 2025 risk alert, what Rule 206(4)-1(b) requires, and what to keep on file.Updated 30 October 2026
  3. How to disclose a Five Star Wealth Manager awardWhat Rule 206(4)-1(c) requires before you show a Five Star, Forbes or Barron's award: survey due diligence, date, period, provider and fees paid.Updated 30 October 2026
  4. Do I need to post Form CRS on my website?Rule 204-5(b)(3) and Form CRS Instruction 10.A: who must post the relationship summary, where to put the link, and how updates, filing and delivery work.Updated 30 October 2026
  5. Books and records for marketing: what a 1-person RIA must keepRule 204-2 marketing records for a solo adviser: copies of each advertisement, testimonial and rating files, performance backup, and the five-year clock.Updated 30 October 2026
  6. Reg S-P vendor oversight for small advisers (June 2026)The 2024 Reg S-P amendments for SEC-registered advisers under $1.5 billion: incident response, 72-hour vendor notice, 30-day client notice, vendor inventory.Updated 30 October 2026
  7. New RIA compliance calendar: first-year deadlinesFirst-year deadlines for a newly SEC-registered adviser with a 31 December year end: Form ADV, brochure, code of ethics, 13F, Form PF, IARD renewal and IAR CE.Updated 30 October 2026
  8. Plumb vs RIA in a Box vs Smartria vs a compliance consultantOctober 2026 comparison of compliance options for a one to five person RIA: Comply for RIA (formerly RIA in a Box), Smartria, Hadrius, consultants and Plumb.Updated 30 October 2026
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Plumb reads up to eight pages of your website and reports testimonials, third-party ratings, performance figures and Form CRS links against the December 2025 risk alert, with the rule each point comes from. No account needed.

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