The mock exam is already a search.

SEC work lives in Form ADV, 13F, and the gap between the manual and what examiners actually ask. Referrals still come from existing counsel and auditors. Those channels work until they do not. The CCO already looking at a mock exam does not wait for that auditor.

Writing to CCOs and fund principals is the outbound program. It is not this page. We do not write into the exam. The job is to be findable in the days the CCO or the fund GC is already looking, and to be the name referring counsel already has when the last three relationships are the wrong three.

Financial regulatory is financial regulatory compliance. Bank and broker-dealer exams live there.

How These Deals Actually Work

Form ADV, 13F, and the gap between the compliance manual and what an examiner actually asks: that gap is where this work lives. The trigger is almost always a mock exam that failed, a real exam notice, or a deficiency letter from a prior exam that needs remediation before the next one. Existing counsel and auditors are real referral sources, and they work fine until the relationship runs its course, a change in counsel, an auditor who does not do this specific work.

The CCO staring at an exam notice or a failed mock exam does not wait for that relationship to resolve itself. They search, because the exam date is fixed and does not move.

Financial regulatory compliance, bank and broker-dealer exams, is a distinct leaf entirely. Adviser and fund exams under the Investment Advisers Act are a different rulebook and a different examiner than bank regulatory exams, even when the underlying institutions overlap.

What a Buyer Is Actually Searching

The CCO preparing for an exam searches specifically: SEC exam preparation, mock exam consultant, Form ADV review, compliance manual gap analysis. They usually have an exam date or a recent deficiency letter driving the search.

A fund principal building a compliance program for the first time searches differently: registered investment adviser compliance consultant, compliance program build. The urgency is foundational rather than tied to a specific exam.

A generic "SEC consultant" campaign misses the difference between a firm preparing for an imminent exam and one building a program from scratch, which are very different first conversations.

Objections We Hear

Our outside counsel already handles compliance. Counsel advises on the rules. A mock exam and hands-on manual remediation ahead of a real exam is more operational work than most counsel relationships are built to deliver on a tight timeline.

Our auditor already reviews this. An auditor tests the books. Preparing the compliance program itself to survive an SEC exam is a different deliverable.

We just had an exam, we are fine for a while. A prior exam without documented remediation of every finding is exactly what turns a routine follow-up exam into a harder one.

Who This Is Actually For

Firms that actually run mock exams and remediate compliance programs for advisers and funds, with the capacity to work against a fixed exam date. The lead worth the spend is a CCO or fund principal with a real exam, deficiency letter, or program gap.

This is a poor fit for a firm whose real book is bank or broker-dealer exams, a different regulator, or one without adviser-specific exam experience. Bid the adviser and fund exam work you actually run.

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How the campaign runs

Google ads for the people already looking. Not one generic “SEC consultant” campaign. CCOs at advisers searching a mock exam or an ADV gap. Fund GCs and principals searching outside help, in the firm types you actually work. Keywords are always custom to the work you do. Brand bidding and competitor-brand bidding only when the strategy calls for it. Details: paid search.

Foundational work in parallel: the website, local directories, and general search appearance, so the click lands on an SEC shop and not a volume mill. Bios and listings in the language of the exam and the manual. A landing page may be included; a full website is quoted separately. Directories and bios: online profile development.

LinkedIn ads aimed at referring counsel: lunch-and-learns for securities lawyers who send the file after they already know three shops. Paid ads only. We do not offer LinkedIn message outreach (InMail, connection sequences, or DMs). That is a different channel, we do not run it, and it is not part of this program.

Ads produce inbound while the search is live. Foundation is why a CCO, a fund GC, or a referring lawyer trusts the shop enough to call.

Why we're not generalists

Generalist marketing agencies will not take the time to understand how this practice actually wins work. The practice is too specialized, the file count is too small, and the work of understanding it bores them. They want large spend and a lot of traffic to a landing page. We will run a tight campaign for a shop that closes fewer files at a higher value. That is the point of this page.

Most agencies do not understand specialized industries well enough to advertise them honestly. We take the time to learn how the work is sold so the keywords and the page the click lands on match the work you actually take. A complex practice deserves that. A generic landing page does not.

How fast this can run

We can get ads live in under a week. What usually slows that down is approval on your side: the keywords, the spend, the page the click lands on. Directories, bios, and a site a buyer will trust take longer to finish. The website and listings are why the person who clicks trusts you. It is not the same as going live on search.

How this is billed

This is Visibility Program work, not the outbound program. You pay ad spend directly to the platforms (Google and, where we run it, LinkedIn). ROI Wire is billed on a retainer that scales with that spend. That is not a flat project fee, not a percentage of closed files, and not an outbound retainer.

A landing page may be included at no additional cost. A full website build is always quoted and billed separately. Foundational services (copywriting, CRM, multichannel sequences, web design) sit under this track as the credibility layer, not as a correspondence program.

Scope is on the Visibility Program. Search mechanics are on paid search. Surfaces are on online profile development.

What is not included

We do not build a solicitation list of RIAs, funds, or CCOs. We do not write, mail, or phone principals who did not ask. We do not sit the exam or write the manual. We make the shop findable. The shop does the work.

This is not financial-regulatory. Bank and broker-dealer exams live on that leaf.

Program pages

Visibility Program

How this work is scoped and billed.

Paid search

Google ads. You pay the ad spend. We bill a retainer that scales with it.

Online profile development

Directories, bios, and reputation surfaces a buyer checks after they see you.