How do financial advisors get clients?

Ascent Vision · Published October 31, 2026

Financial advisors usually get clients through referrals from accountants and attorneys, seminars and workshops, a plain website with useful content, and the families of existing clients. Google's Local Services Ads list financial planning services. For investment advisers, the SEC's Marketing Rule covers advertisements and the use of testimonials and endorsements, with required disclosures. This is a plain summary, not legal advice.

Referrals from accountants and attorneys

Accountants see a client's finances change, and attorneys see estates, divorces and business sales, so both meet people who may need an advisor. The related answer on getting referrals from other businesses covers how to ask and keep track. If you pay anyone for a referral, read the Marketing Rule section below first.

Seminars, workshops and a plain website

A seminar or workshop for a defined group, such as business owners, people nearing retirement or new parents, is a usual way to meet people in person. As general advice, give each invitation its own tagged link or sign-up so that attendees are recorded as the campaign channel, not guessed at later.

A plain website helps people who were referred check you out. It usually does best with who you serve, what you do, how you are paid and how to book a first conversation. Clear, useful articles can help, but the related answer on claims a service business can make in its ads is worth reading before you promise anything.

Existing clients' families

Spouses, adult children and parents of existing clients are often a natural next conversation. Ask the client whether they would like to make an introduction, and let them decide.

Paid route

Google's page on getting started with Local Services Ads lists "Financial planning services" among its United States categories and points to an eligibility check for your area. The related answer on what Google Local Services Ads are covers how the ads work.

The SEC's Marketing Rule in brief

The SEC's page "Investment Adviser Marketing" says the final rule (Release IA-5653) was issued on December 22, 2020 and took effect May 4, 2021. The SEC's Marketing Compliance FAQ describes rule 206(4)-1 under the Investment Advisers Act of 1940 and discusses advertisements, including performance presentations, and the use of testimonials and endorsements, including when an adviser may compensate a person for one. It describes disclosures that apply to several of these. The FAQ also says it represents staff views, is not a Commission rule and has no legal force.

Whether the rule applies to you depends on whether you are an investment adviser. As general advice, ask your compliance officer or a securities attorney before you post client reviews, pay for a referral or show results. This is a plain summary, not legal advice.

Sources

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