Marketing compliance
for small RIAs.
Turret pre-screens your advertising against the SEC Marketing Rule (Rule 206(4)-1), records a named approval of the exact version that goes out, and keeps each piece on file under Rule 204-2.
No setup fee · $99/mo · No email connection needed · Reviewers and approvers free · 15-day free trial
Read the transcript
Precise wording, where the narration summarises: under the SEC Marketing Rule an advertisement includes most communications that offer your advisory services to more than one person, and Rule 204-2(a)(11) requires advisers to keep a copy of each advertisement they disseminate. Turret keeps every version, comment and decision for the retention period Rule 204-2 requires.
Under the SEC Marketing Rule, almost everything your firm puts out is an advertisement.
Your posts. Your newsletters. Your pitch decks.
Turret gives you one place to review all of it.
Your team submits a piece. AI pre-screens it and points to the exact lines that need a look.
A benefit with no risk disclosure. Performance shown gross without net. A testimonial missing its disclosures.
A reviewer approves it, asks for changes, or rejects it, and signing off on your own work is blocked or put on the record.
Every version, comment and decision is kept, with the retention clock the rule requires.
Your website is archived too. See the website archive tool we have.
Turret Marketing. $99 a month.
Spend your time with your clients,
Not on compliance.
Turret. Start your fifteen-day free trial at getturret.com.
The SEC’s exam priorities for fiscal 2026 name Marketing Rule compliance and its books and records, and they single out advisers that have never been examined or have recently registered.[1]
AI drafts the checklist, you sign off.
Upload a PDF, a Word document (.docx) or a PowerPoint (.pptx), and Turret lists what a reviewer should check under Rule 206(4)-1, each item with the language that triggered it.
It cannot approve, reject or block anything.
Our risk-free income strategy delivers consistent results across market cycles.
Automated checks draft this list. They don’t approve or reject anything — a named reviewer signs off.
These checks are a starting point, not a verdict. Read the whole piece before you decide. Clearing every item above is not the same as the material being compliant, and your approval is the record — not this list.
Approval is bound to one version.
A named reviewer approves, requests changes or rejects, and their reasoning is recorded against that exact version.
Upload a new version and the approval clears; every earlier version stays on file.
Every version is kept. Approvals bind to the version they were given on, so an older version stays downloadable exactly as it was approved.
Remove “risk-free” on slide 2 and the return guarantee in the speaker notes.
Both flagged passages removed. Fee reference checked against the current ADV.
A retention clock for every piece.
Record when a piece went live and when it came down, and Turret works out its Rule 204-2(e)(3)(i) date: five years from the end of the fiscal year in which it was last used.
Retained until 2032-01-01 — SEC Rule 204-2(e)(3)(i), 5 years from fiscal year-end of last dissemination.
- First published
- 2025-10-06
- Last published
- 2026-03-31
- Retain until
- 2032-01-01
Currently live — the retention clock starts when it is retired.
- First published
- 2026-05-12
- Last published
- —
- Retain until
- —
This starts the five-year retention clock.
Your website is an advertisement, too.
Under the Marketing Rule your public website is an advertisement, so Turret captures its pages on a schedule and saves a dated version whenever one changes: the HTML and a full-page image. It is included in Marketing, with no email connection needed.
See Website archivingQuestions
Does the AI approve marketing?
No. The AI pre-screen reads a submitted piece and drafts findings against Rule 206(4)-1, each showing the language that triggered it. It cannot approve, reject or block anything. A named reviewer makes every decision, and approval is bound to the version they approved.
Which files can I submit?
PDF, Word (.docx) or PowerPoint (.pptx). Text is extracted where the format allows, and the pages are rendered for a visual pass. If Turret can't read a file as text, the review says so.
Get your marketing approved and on file.
Setup takes minutes, and there is nothing to connect. Your card is taken at the end of setup, and the first charge is on day 15.
Start Marketing free trial See all plansIncludes 5 submitters, then $15 each a month; reviewers and approvers are free. An Employee submits marketing without seeing client mail.
No setup fee · 15-day free trial · monthly or annual billing, cancel anytime · prices exclude tax
Need email archiving too? Complete is both products for $178 a month, $20 less than buying them separately. Compare plans