Compliance framework
A regulated channel, run the regulated way.
Lead generation sits at the intersection of carrier regulation and securities law. As an SEC-registered investment adviser ourselves (File No. 801-126825), our framework addresses both — before the first message is ever sent.
Four pillars
What every Kailix program includes.
10DLC registration & standing
Every program runs on properly registered 10-digit long codes with approved campaign use cases — no grey routes, no shared traffic, no snowshoeing.
- Brand registration with accurate legal entity data
- Campaign use cases drafted to pass carrier review
- Third-party vetting managed for higher throughput
- Registration health monitored continuously
TCPA & CTIA alignment
The Telephone Consumer Protection Act and CTIA messaging principles define the rules of consumer messaging. Our workflows are built around both.
- Prior express written consent before any marketing text
- Clear program disclosures at every opt-in point
- Instant STOP opt-out and HELP support keywords
- Quiet-hours enforcement — 8 a.m.–9 p.m. recipient local time, stricter where state law requires (e.g., Florida 8 a.m.–8 p.m.)
SEC & FINRA awareness
Adviser marketing is regulated marketing. Copy and workflows are prepared for review under SEC Marketing Rule 206(4)-1 and FINRA Rule 2210.
- No performance promises, guarantees, or misleading claims
- Balanced presentations reviewed before launch
- Hypothetical and testimonial rules respected
- Your CCO approves final copy — always
Archiving & supervision
Business-related texts are books-and-records. Every thread is preserved and exportable to your archiving platform of choice.
- Full-thread capture, inbound and outbound
- Consent timestamps and source records retained
- Smarsh and Global Relay compatible exports
- Supervisory review workflows available
The lifecycle
How a compliant campaign comes to life.
Intake
Use-case review, list provenance check, disclosure requirements mapped.
Registration
Brand and campaign registration, vetting, and number provisioning.
Review
Copy drafted, disclosures placed, your compliance team approves.
Launch
Consented audiences only, quiet hours enforced, opt-outs instant.
Archive
Threads, consent, and reports preserved for examination readiness.
Evidence chain
TCPA consent you can prove — record by record.
Every opt-in becomes a complete, exportable evidence package — captured at the point of consent and preserved beyond TCPA's four-year statute of limitations.
Capture
Disclosure version, timestamp, source form/URL, IP address and device recorded at opt-in.
Confirm
Double opt-in confirmation message retained with the full thread.
Store
Tamper-evident WORM storage with 5+ year retention.
Sync
Opt-outs and revocations suppressed across every channel instantly.
Export
Per-lead consent certificate for audits, examinations, or litigation defense.
Advertising review
SEC Marketing Rule review, built into the pipeline.
Review is a step in the workflow, not an afterthought — nothing sends until it clears our checklist and your CCO's sign-off.
Draft
Copy written to adviser-marketing standards from the start.
Pre-review
Truthfulness, substantiation, fair and balanced; testimonial and hypothetical-performance rules applied.
CCO approval
Your compliance team signs off — no approval, no send.
Archive
Approvals, versions, and final creatives preserved exam-ready.
Business-line separation. KAILIX ADVISORS LLC's lead generation and marketing operations are conducted as a distinct, non-advisory business line under separate written agreements. Marketing clients are not advisory clients, and engaging these services does not create an investment advisory relationship.
Opt-in standards
The consent language we stand behind.
Every opt-in point we deploy — web forms, paper forms, verbal scripts — carries disclosures like these:
Web form disclosure (example):
By checking this box and providing your mobile number, you agree to receive recurring automated marketing text messages from or on behalf of [Firm] at the number provided. Consent is not a condition of purchase. Message frequency varies. Message and data rates may apply. Reply STOP to cancel, HELP for help. View our Privacy Policy and Terms.
Confirmation message (example):
[Firm]: You are now subscribed to receive account updates and offers. Msg frequency varies. Msg&data rates may apply. Reply STOP to cancel, HELP for help.
Questions about how these standards apply to your program? Talk to our team or review our Privacy Policy and Terms of Service.