Warrant Featured in Proactive Advisor Magazine

One of the biggest bottlenecks for marketing teams at advisory firms are compliance reviews of marketing and advertising materials. A particular piece may need to undergo several rounds of revisions as reviewers chop out language or performance data that may be misleading or promissory.

This challenge is especially acute for smaller, independent RIAs that lack full-time advertising compliance reviewers and must rely on a designated compliance officer to review these materials.

A new generation of AI-driven marketing review tools is emerging to address this challenge.

Warrant is one of them. According to founder and CEO Austin Carroll, Warrant’s AI agent is fully trained in SEC, FINRA, and state-specific compliance and disclosure requirements as well as best practices in financial marketing.

Marketing teams or advisors can simply upload drafts or proofs of scripts, videos, images, podcasts, email messages, social media posts, disclosures, client agreements, or other client communications into the app.

“Warrant then reviews these submissions against the policies the firm has established either for national distribution or for their specific state. It then generates a report card flagging potentially non-compliant language and suggests alternative language. It can also provide suggestions based on past submissions,” says Carroll.

While Warrant and similar apps don’t replace compliance or legal officers in advertising reviews, they speed up these processes by providing a streamlined platform for submitting materials and eliminating language that could result in multiple revision rounds.

“And since Warrant stores all approvals and submissions, it can serve as a tool for providing documentation of these cases should the firm ever be audited,” says Carroll.

Full feature is available on Proactive Advisor Magazine.