# Educational guides and client booklets for financial advisers Financial advisers use Chapbook to draft general education: a guide to preparing for a first meeting, a retirement-paperwork workbook, a booklet on how the practice works. Chapbook gives no financial advice and does no compliance review. Treat each draft as advertising copy that still needs your firm's review, and put no client data in it. Last reviewed 30 October 2026. Web page: https://chapbook.ink/for/financial-advisers/ ## What financial advisers make with Chapbook - Lead magnet: General education for a prospect, such as questions to ask before hiring an adviser. It carries no recommendations or returns and goes through your firm's review before anyone sees it. - Workbook: A paperwork organizer a client fills in at home: where the accounts are, who the beneficiaries are, which documents to find. No client's data is ever typed into Chapbook. - Brochure: A booklet on how your practice works: the first meeting, what happens next and how you are paid, in words your firm has approved. - Nonfiction book: A longer book on how you think about planning, written as education, with your compliance team reading the outline before the chapters are drafted. ## Made with Chapbook: Five Pricing Mistakes Five Pricing Mistakes: A ten-minute read for founders, by Jane Founder. Lead magnet, 3,735 words, 17 pages. A sample generated from one brief and exported unedited; it is not a customer's book. Read every page: https://chapbook.ink/examples/lead-magnet/ The brief: > The five pricing mistakes that cost early software companies customers, and what to do instead. Promise: In ten minutes you will recognise which of the five mistakes you are making and know the first step to fix each one. Reader: A technical or product-minded founder who set the price by copying a competitor or guessing, and suspects it is wrong. Voice: Short paragraphs, concrete examples with realistic fictional companies, no invented statistics or studies; reason from mechanics and examples. The outline the planner proposed: 1. Introduction (291 words) 2. Mistake 1: Copying a competitor (558 words) 3. Mistake 2: One tier for everyone (588 words) 4. Mistake 3: Never asking (608 words) 5. Mistake 4: Anchoring on your costs (641 words) 6. Mistake 5: Never revisiting the number (606 words) 7. What to do instead (411 words) ## What stays with you: compliance, every time Chapbook is not a compliance tool and doesn’t know your firm’s rules. It adds no disclosures, doesn’t screen for promissory language and keeps no record of who approved what. Treat every draft as unreviewed copy from a fast junior writer who has never met your compliance officer. The rules depend on how you are registered, so check them with your firm. These are the two most likely to come up: - **Registered investment advisers.** The [SEC’s marketing rule](https://www.law.cornell.edu/cfr/text/17/275.206(4)-1) sets conditions on testimonials and endorsements in an advertisement, and it bars hypothetical performance unless you meet its conditions. A book that collects sign-ups is worth treating as an advertisement until someone qualified says otherwise. - **Broker-dealer representatives.** [FINRA Rule 2210](https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210) says a registered principal must approve each retail communication before the earlier of its use or filing, with listed exceptions. FINRA [asked for comment in July 2026](https://www.finra.org/rules-guidance/notices/26-14) on replacing that with risk-based procedures, so read the current text. State rules and your firm’s own policies may go further. Nothing on this page is legal advice. ## “A model will invent a number.” It can. The brief on this page forbids returns, products and statistics, and that lowers the risk without removing it. Read every figure and every “typically” yourself. If you want an illustration, give the assumptions yourself, label it as fictional, and have your reviewer read it. The read-through points to places worth checking, but it doesn’t replace a reviewer and has no idea what your firm allows. ## “How does this fit our review process?” Decide what you review, then freeze it. Show your reviewer the outline first, since a problem found there costs nothing to fix. Export a PDF or a Word document for sign-off, because that file won’t change. A reading link shows the live draft, which is fine for a colleague’s opinion but wrong for an approval. Publish only the approved text, and know which parts of a live page hold still. The reader text and the PDF are a snapshot, and later manuscript edits stay private until you press **Update page**. The page’s headline, description, bullets and next step link go live as soon as you save them, and the page always shows the book’s current title, subtitle, cover and Next step link, and your current pen name, bio and photo. Treat a change to any of those as new copy for review. Keep your own copy of what was approved, since your records are yours to keep. ## “What about client data?” Leave it out. Text you add goes to the AI providers named in the [privacy policy](/privacy/), and the policy tells you not to include sensitive personal data. The sign-up form takes only a name and an email address, and the terms bar a page from collecting financial details. A workbook a client fills in stays on their device or their paper, not in Chapbook. ## The sample on this page Five Pricing Mistakes is a short guide for software founders, not advisers. We show it because the shape fits: each section names one mistake and one first step, and it reasons from fictional examples, with no statistics or studies. It was generated from one brief and exported without editing. The brief beside this text starts a version for your readers, and it needs the same review as anything else you publish. ## What it does not do Chapbook doesn’t give advice, run projections, connect to custodians or planning software, archive communications for you or send email to your list. It writes nonfiction in English, Spanish, German, French, Portuguese (Brazil), Italian and Dutch. ## A brief for financial advisers > A short guide for people within five years of retirement: the questions to ask any financial adviser before hiring one, what each question is meant to reveal, and which documents to bring to a first meeting. Promise: the reader walks into a first meeting prepared, whoever they end up hiring. Reader: someone in their late fifties who has saved steadily and never worked with an adviser. Voice: second person, plain and fair to every kind of adviser. General education only: no recommendation of any product, security or strategy, no past or projected returns, no tax advice, no testimonials, no invented statistics. Any example is fictional and says so. Open it in Chapbook: https://chapbook.ink/start/?type=lead_magnet&topic=A+short+guide+for+people+within+five+years+of+retirement%3A+the+questions+to+ask+any+financial+adviser+before+hiring+one%2C+what+each+question+is+meant+to+reveal%2C+and+which+documents+to+bring+to+a+first+meeting.+Promise%3A+the+reader+walks+into+a+first+meeting+prepared%2C+whoever+they+end+up+hiring.+Reader%3A+someone+in+their+late+fifties+who+has+saved+steadily+and+never+worked+with+an+adviser.+Voice%3A+second+person%2C+plain+and+fair+to+every+kind+of+adviser.+General+education+only%3A+no+recommendation+of+any+product%2C+security+or+strategy%2C+no+past+or+projected+returns%2C+no+tax+advice%2C+no+testimonials%2C+no+invented+statistics.+Any+example+is+fictional+and+says+so.&ref=for-financial-advisers ## Questions ### Does Chapbook give financial advice? No. Chapbook is a writing and typesetting tool. Nothing it drafts is financial, investment, tax or legal advice, and its drafts can be wrong. A qualified person has to check every figure and statement before a book reaches anyone. ### Does Chapbook review a book for SEC or FINRA compliance? No. Chapbook does not check a book against any rule, add required disclosures or record an approval. Compliance review stays with you, your chief compliance officer and your firm's supervisory procedures. ### Can I add client information or portfolios to a Chapbook book? No. Chapbook sends your brief, sources and manuscript to AI providers, and its privacy policy tells you not to include sensitive personal data. Keep client names, accounts and holdings out of it. ### Can compliance read a fixed version of the book? Yes. Send the exported PDF or Word document, which stays as it was when you downloaded it. A private reading link shows the live draft, so it changes whenever the text does. ### Can a published page change after my firm approves it? Yes. The reader text and the PDF are a snapshot until you press Update page, but saved page copy and its next step link go live at once, and the page always shows the book's current title, cover and your current name and bio. Have those reviewed before you change them. ## Sources - [17 CFR 275.206(4)-1, the SEC's investment adviser marketing rule (Cornell LII, read 30 October 2026)](https://www.law.cornell.edu/cfr/text/17/275.206(4)-1) - [FINRA Rule 2210, Communications with the Public (read 30 October 2026)](https://www.finra.org/rules-guidance/rulebooks/finra-rules/2210) - [FINRA Regulatory Notice 26-14, request for comment on Rule 2210 (July 9, 2026)](https://www.finra.org/rules-guidance/notices/26-14)