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Wealth Management Marketing Operations

A fee-only RIA automated post-meeting client surveys while staying SEC-compliant

A registered investment advisor automated client feedback and prospect nurture journeys in Marketing Cloud Account Engagement without breaking SEC supervision requirements.

35+
Surveys auto-sent in months
The challenge

The firm manually sent feedback surveys and follow-ups after every annual review, a principal had been overwhelmed trying to configure MCAE alone, and any automation had to satisfy strict SEC archiving and supervision rules.

What we did
  • A flow-triggered journey that sends a feedback survey three days after a financial-planning meeting is marked complete
  • Native survey forms mapped to client records, replacing Google Forms
  • Separate templates and journeys per advisor, plus a six-email prospect priming sequence
  • BCC-to-advisor configuration integrated with the firm’s archiving system for SEC compliance
The results

The automation sent 35+ feedback surveys in its first months with strong response rates, eliminated hours of manual email work weekly, and kept every automated message archived and supervised.

This is the coolest thing ever — something I’ve been wanting to have for a very long time.

Client, Wealth Management