✦Case study · Financial advisors · Toronto

A compliance-clean rebuild that tripled qualified prospect inquiries.

Fee-only positioning, CFP credential surfacing, compliance-reviewed copy, and lead-gen flows that respect KYC obligations from first contact.

IndustryFinancial advisor

LocationToronto (Financial District)

ScaleFee-only CFP with $80M+ AUM

Duration4 months from kickoff (extra time for compliance review cycles)

The challenge

The advisor's existing website had copy flagged by their firm's compliance officer multiple times. Marketing language drifted into outcome implications that violated CIRO marketing rules. Lead forms asked for AUM and investment timeline at first contact, creating KYC obligations before the prospect was qualified. Credentials (CFP, CIM, Fellow of CSI) were buried below generic 'experienced advisor' copy.

The approach

Rewrote every page against current CIRO and OSC marketing rules. Removed performance language, outcome implications, and comparative claims.
Surfaced credentials (CFP, CIM, FCSI) and fee-only positioning above the fold on every page.
Redesigned lead forms to capture qualifying data (timeline, asset range, planning vs investment management) without triggering KYC obligations on first contact.
Built a clear page distinguishing fee-only vs commission-based advisors, the differentiator that converts informed prospects.
Coordinated all copy review with the advisor's compliance officer before publish. Made the review easier rather than replacing it.
Added AI workflows for compliance-safe meeting prep (pulling public-record context on prospects) and post-meeting summary drafting in the advisor's voice.