Referral rewards when your employer is an advisory firm: how to get approval

Can an employee of an advisory firm accept a referral reward?

Often not without written approval, and in many firms the firm itself must be the partner. If you work at a CPA firm, consulting practice, bank, wealth advisory or similar employer, assume your employment agreement, code of conduct and outside-activity policy cover any paid side arrangement tied to clients or contacts you met through work. Ask first, in writing, before you register.

This page explains how to raise it internally. It cannot tell you what your employer's policy says. This is general information, not legal, tax or financial advice.

What is actually true

• Anyone can join the program from any supported country, but joining as an individual does not override your employer's rules.
• Rewards are paid to the registered partner after SourceX receives the buyer's payment. If your firm registers as the partner, the firm receives the reward, not you.
• Registered representatives have an extra layer. FINRA reported that the SEC approved new Rule 3290 on outside activities in September 2026, replacing Rules 3270 and 3280 once the effective date is announced. Until then your firm's current written procedures govern, and industry commentary is a reminder that FINRA registrants stay subject to their firm's outside-activity policies. Tell compliance before you register.
• Introducing a client you serve at work creates a conflict whether or not the firm cares about the money.

Which route fits your employer

How to raise it, step by step

1. Read your offer letter, handbook and code of conduct for "outside activities," "conflicts of interest," "gifts" and "client relationships."
2. Write one paragraph describing the arrangement: you would introduce a US company to a program, make no representations about its data, and receive a share of the program's fee only if a deal closes and is paid.
3. Send it to your manager and compliance contact, and ask whether the firm prefers to be the partner, to allow you to be the partner, or to decline.
4. If the firm approves, ask for the approval in writing with the date and any conditions on disclosure to clients.
5. If clients are involved, follow the structure in how to document client consent before an introduction.

What to say to your manager

If the answer is no

A no is not a loss. You can still point owners you meet outside work to the public company fit checker, or let the company apply directly at sourcex.si/apply. You simply will not be credited unless a partner referral link is used, so do not use a link if your employer has declined.

Where the question gets harder

• Non-solicitation or client-ownership clauses may make the contact the firm's, not yours.
• Fiduciary roles, such as board seats or trust duties, add duties of their own; see how a peer advisory group chair handles confidences.
• Passing a reward to a client is a separate question, covered in whether to pass a referral fee through to your client.

How rewards work

Partners earn 25% of the eligible platform fees SourceX actually collects from the referred company's licensing deals, capped at $100,000 per referred company. The reward is payable only after the buyer pays and SourceX receives its fee, and no reward is guaranteed. See the program terms and the explainer on the referral fee agreement before registering through a firm.

Next step

Send the paragraph above to your manager this week. When you have written approval, register as a partner, either as yourself or through the firm, and introduce one company that meets the 50+ full-time employees at peak baseline.