We hold ourselves to the same standard your clients expect of you.
WiseNest Connect is structured to work with your compliance obligations — not around them.
⚖️ SEC Rule 206(4)-1 — The Marketing Rule
WiseNest operates on subscription fees only — never placement fees. Advisors are never charged based on whether a client engages or invests. This structure is designed to comply with SEC Rule 206(4)-1 (the Marketing Rule) by removing any financial incentive to favor one advisor over another.
Built for Compliance from the Start
A formal security audit early in development — not after launch — drove the controls and engineering conventions we build to today. Encryption, access controls, audit logging, and MFA enforcement are native to the architecture. Every line of code is written against documented compliance rules. Controls built in, not bolted on.
Data Privacy
WiseNest does not sell, rent, or share client financial data with third parties. Revenue comes from advisor subscriptions — not data. AES-256 encryption covers all data at rest and in transit.
Advisor Duty
Only SEC/state-registered investment advisers and CFP®s are listed. No commission-based advisors, no insurance-only agents. Every consumer sees a clear Rule 206(4)-1 disclosure before any match.
Audit Logging
SOC 2 — observation underwayFull immutable audit trail on all data access, plan transfers, and advisor actions. SOC 2 Type II observation period is underway — evidence collected from day one.
Access Controls
ISO 27001 — controls implementedRole-based access controls enforce advisor/client separation. Read-only account linking — you never hold client credentials. ISO 27001 technical controls implemented.
Explicit Consumer Opt-In
Families request introductions from inside their own plan — after running projections and seeing real gaps. No cold outreach. No bait-and-switch. 100% opt-in, always.
ADV-Safe Language
Our disclosures are designed to complement your Form ADV Part 2. Questions about your specific compliance setup? Email advisors@getwisenest.com — we'll work through it with you.
Compliance officer doing due diligence? Request our Security & Compliance Trust Packet — shared under NDA. Includes our Information Security Policy, Statement of Applicability, risk register, sub-processor list, and a completed security questionnaire.
Questions about compliance?
Email us. We'll work through every detail with your compliance officer — no gatekeeping, no sales pitch.