Compliance · How the approval gates work
How we screen LinkedIn messages for financial advisors before anything sends
Your name and your firm's standing are on every message. This page describes the gates a message passes before it is sent, in order. It describes our process. It is not a legal opinion.
Flat monthly feeNo % of AUMNothing sends without your written approval
Read this first
Our prohibited-language screen is our own internal review. It is not an approval by FINRA, the SEC, any broker-dealer, or LinkedIn. It does not replace your firm's own compliance review.
Nothing on this page is investment, legal, or compliance advice. We do not quote rules here, because we are not describing what any rule requires. We are describing what we do.
The eight gates, in order
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Draft
A four-touch sequence is written in your voice, from your positioning. It begins as a numbered draft version.
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Prohibited-language screen
Every template is checked before you see it. The screen looks for performance promises, fabricated proof, and pressure tactics.
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Internal approval
The screened draft is reviewed and signed internally before it reaches you.
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Your written sign-off
The gate that cannot be skipped. Nothing sends in your name until you approve the template in writing.
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Version rule
Any later edit creates a new version. The new version re-enters the gates. Every send is traceable to a version you signed off.
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Pacing
Sends run at a measured, human pace inside LinkedIn's limits, with daily caps. Invites are blank or trigger-led, with no pitch inside the invite and no mass automation.
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Suppression list
A master suppression list is honored on every batch, with no exceptions.
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Per-client list isolation
Your prospect list is never shared with or reused for any other client.
Where your own compliance review fits
A written sign-off leaves a record, and it leaves room for review. You can send a draft to your firm's compliance reviewer before you approve it, and approve it only when your firm is satisfied.
If your firm asks for changes, the change is made as a new version. The new version goes back through the screen and internal approval before it returns to you. Nothing skips a gate because a change was small.
The sign-off is yours. We do not treat our screen as a substitute for it.
What the screen is, and is not
What it looks for
- Performance promisesNo promised returns, outcomes, or results
- Fabricated proofNo invented results, testimonials, or claims we cannot source
- Pressure tacticsNo false urgency and no pressure to reply
What it is not
A screen is a filter. It catches language we have decided we will not send. It cannot decide what your firm may say. That decision stays with you and your compliance reviewer.
It is also not a guarantee. A message that passes our screen can still need changes at your firm's review, and the version rule exists for that case.
One change, traced through the gates
Say you read the second touch and want it warmer. You ask for the change. The edit is saved as a new version, V2. V2 goes through the prohibited-language screen again, then internal approval, and then it returns to you.
Until you sign V2 in writing, the sequence keeps running on the last version you approved, or does not run at all if nothing has been approved yet. Nothing in V2 sends early. When you sign, the record shows which version you approved and when, so a later send can be traced to it.
That is the whole version rule. It is dull on purpose.
Why the order matters
The gates run from the cheapest place to catch a problem to the most expensive. A draft is easy to change. A sent message is not. So the screen runs before internal approval, internal approval runs before your sign-off, and your sign-off runs before any send.
Pacing, the suppression list, and list isolation come after approval because they govern how and to whom an approved template goes out. A signed-off template is still held back if a prospect is on the suppression list or if a daily cap has been reached.
Intro call
Twenty minutes.
We'll walk you through how the process works for a firm like yours — the list, the sequence, the approval gate — and you can judge the fit.