Wes Stillman Bio: Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuance of his cl…

Schwab E&O Update Show Notes Topic I: Schwab E&O Update Topic II: Crypto ETF Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com Website: www.boxproinsurance.com Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/ Advisors can email that address belo…

Tales from the Crypto Introduction Topic 1 - Why are there so many crypto scams Topic 2 - What are the main types of crypto scams Topic 3 - How do some of them get so big? Topic 4 - Some of the biggest scams and Ponzi schemes in crypto are still going and still scamming people even after regulators have stepped in and labeled them as scams- how is …

FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM Podcast Show Notes I. Intro II. How do you define brand? III. Four Steps to up-leveling your brand IV. Where do you go from there? Susan Danzig, Business Development Expert Website: https://www.susandanzig.com/ Phone: (925) 954-1773 Email: susan@susandanzig.com Facebook: https://www.facebook.com/Sus…

E&O Digital Assets Intro Topic 1 - E & O trends Topic 2 - Digital Assets E & O Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com Website: www.boxproinsurance.com Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/…

Sebastian Skwarek is the Co-Founder of PreciseFP Company Website: https://precisefp.com/ 7 day Free trial: https://app.precisefp.com/signup Facebook: https://www.facebook.com/precisefp/ Twitter: https://twitter.com/PreciseFP LinkedIn: https://www.linkedin.com/in/sebastianskwarek/ PreciseFP LinkedIn: https://www.linkedin.com/company/precisefp---spec…

Brian Hahn Founder MTradecraft Linkedin: https://www.linkedin.com/in/jbrianhahn/ Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide. MTradecraft Website: https://ww…

Podcast outline I. Intro II. Equipment Needed III. Fiverr (Podcast name, Editing, Artwork) IV. Podcast Recording (Zencastr) V. Podcast Publishing (Podcast.co) VI. Audiogram (Headliner) VII. Podcast Guests (Matchmaker) VIII. Outro Samson Go Mic https://www.amazon.com/Samson-Mic-Portable-Condenser-Microphone/dp/B001R76D42/ref=sr_1_5?crid=3CXXKPKMHZUH…

Jimmy Song is a Bitcoin developer, educator and entrepreneur. He's an open source contributor to many different Bitcoin projects. He is the author of Programming Bitcoin from O'Reilly, The Little Bitcoin Book and Thank God for Bitcoin. Jimmy writes a weekly newsletter, Bitcoin Tech Talk and has a podcast Bitcoin Fixes This Speaker Information: Jimm…

What the NFT? Intro Topic - What is an NFT? Topic - Compliance and NFT Topic - NFT and Charity Outro Speaker Information: Marc Moglen Principal, AU3d.IO Website: https://www.au3d.io/ LinkedIn: https://www.linkedin.com/company/au3dio/about/ Marc's LinkedIn: https://www.linkedin.com/in/marcmoglen/By Ivan Barretto and Collin O'Bryant

Topic 1 - Why do I need to know my numbers? Topic 2 - What do the numbers tell me? Topic 3 - What's inside the numbers? Topic 4 - How do your numbers compare to others? Topic 5 - What is my Firm worth? Topic 6 - How do good numbers help throughout the year in the tax process? Topic 7 - What are the advantages of proactively planning the taxes? Topi…

Intro Topic I: Changes in DOL Topic 2: 5 Part Test Topic 3: Proposed exemptions Outro Department of Labor News Release https://www.dol.gov/newsroom/releases/ebsa/ebsa20200629

Show Notes Brian Hahn Founder MTradecraft Linkedin: https://www.linkedin.com/in/jbrianhahn/ Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide. Intro Topic I – Prob…

Marci is Founder and General Counsel of SilverBills.com which she launched in 2014. SilverBills receives, scrutinizes and stores clients’ household bills and ensures that bills are paid correctly and on time. SilverBills greatly reduces clients’ need for help writing checks and managing household bills, which can be a portal to fraud and theft. Sil…

Intro Topic I - Why do I need a succession plan if I don't plan on retiring? Topic II - How do I determine the value of my business / practice? Topic III - What should be considering if I am looking to break away from my current firm? Topic IV - Upcoming events Speaker Bio Terry Mullen, CEO Truelytics Terry is a seasoned executive, board member, en…

Intro Leading with Compassion and Clarity During COVID by Dr. Josh Williams RIACC Q&A and Discussion Dr. Josh Williams is a Partner with Propulo Consulting, a global management consulting firm specializing in operational excellence and safety culture improvement. For over 20 years, Josh has partnered with clients around the world to drive incre…

Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry. Outline: Topic I Intro Topic II - Mike's overview of modernizing the advertising rules Topic III - Marketing vs Advertising Topic IV - Testimonials, En…

Clearing the Air IX Intro Topic I – Remote Regulatory Examinations Topic II – Wrap Fee Program Update Topic III – Financial Planning Retainer Model Outro Helpful Links: 5 tips to prepare for an RIA exam https://www.riacc.io/post/2017/10/13/5-tips-to-prepare-for-an-ria-exam SEC Wrap Fee Programs Investor Alert https://www.sec.gov/oiea/investor-alert…

Topic I - Intro Topic II - SEC 8 major areas Topic III - Digital assets and electronic investment advice Topic IV - NASAA IA Section report Topic V - Outro SEC 2020 Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf NASAA 2019 Investment Adviser Section Report https://www.nasaa.org/wp-cont…

RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Guest Speaker Information: Chad…

Guest Speaker Info: Dana Mantilia, Founder Identity Protection Planning Email: dmantilia@identityprotectionplanning.com Identity Protection Planning Website: https://www.identityprotectionplanning.com/ Phone: 1-833-345-SAFE Identron Website: https://www.identron.com/ LinkedIn: https://www.linkedin.com/company/identity-protection-planning/?viewAsMem…

Clearing the Air VII Show Notes I. Introduction II. Form CRS update / Covid-19 Update III. BCP/Disaster Recovery Plan Overview IV. PPP disclosure discussion V. Outro NASAA Covid-19 Updates page https://www.nasaa.org/industry-resources/covid-19-updates/ FINRA FAQ PPP loans Form U-4 https://www.finra.org/rules-guidance/key-topics/covid-19/faq SEC Gui…

Introduction Topic I - Form CRS Update Topic II - CD Spoofiing Websites Topic III - Protecting Senior Investors Topic IV - Calculating Regulatory AUM Outro Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf SEC Risk Alert: Beware of Spoofed Websites Offering Phony Certificates of Deposit https://www.sec.gov/oiea/inve…

Introduction Topic I - Bill's own experience with internal succession Topic II - Tips to find own internal successor Topic III - Red flags during the internal succession process Topic IV - Superpower and why? Outro Speaker Bio: Bill Heestand He owned Heestand Company, a qualified retirement plan and employee benefits advisory company from 1992 unti…

Intro Topic I - Inadvertant Custody Topic II - Custody via Asset Transfer Authorization Topic III - Agreement with a CPA Topic IV - Suprise Examination Process and Prep Topic V - Super Power and Why? Outro Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I Company …

Intro Topic I - Custody Rule Topic II - Subject to Suprise Examination Topic III - Agreement with a CPA Topic IV - Definition of Custody Outro Guest Speaker Information: Rick Wilkens, CPA, CVA, Partner DeMarco Sciaccotta Wilkens & Dunleavy, LLP Linkedin: https://loom.ly/TXtOS0I Company Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website…

Topic I - Instroduction Topic II - RIA Business Insurance Topic III - Review your business needs Topic IV - Common Mistakes that are seen be insurance brokers Topic V - Outro Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com Website: www.boxproinsurance.com Chad's…

Intro Topic I – Recent News Topic II – Form CRS update Topic III – Compliant Process Topic IV – Proxy Voting Topic V – Outro Other Links: XY Planning Network sues SEC over Reg BI https://www.investmentnews.com/article/20190910/FREE/190919988/xy-planning-network-sues-sec-over-reg-bi NASAA 2019 Annual Enforcement Report https://www.nasaa.org/52518/na…

**Intro Topic I: Retail Investors, Senior and those saving for retirement Topic II: Conflicts of interest Topic III: Senior Investors and Retirement Accounts and Products Topic IV: Portfolio management and Trading Topic V: Cybersecurity Topic VI: Digital Assets Topic VII: AML Outro Other Links: 2019 SEC Examination Priorities https://www.sec.gov/fi…

An Identity Theft Protection Discussion with Dana Mantilla, Founder of Identity Protection Planning - Identron Intro Topic I - Is identity theft a really a big deal? Topic II - Is credit monitoring sufficient? Topic III - B2B opportunities for advisers Topic IV - Should this be offered as servies to clients? Outro Guest Speaker Info: Dana Mantilla,…

Intro Topic I Preventing Fraud, Topic II Indentifying and Montioring Risk Topic III Informing Policy Topic IV Promoting Compliance Topic V Compliance Issues Related to Best Execution Topic VI Advisory Fee and Expense Compliance Issues Identified in Examinations of Investment Advisers Topic VII Obersevations from IA Examination relating to Electroni…

Intro Topic I - Vendor Breach - Now What? Topic II - Questions to ask regarding the vendor breach? Topic III - Example of reporting requirements Topic IV - Senior Safe Act Discussion Outro National Conference of State Legislatures State Security Breach Notifcation Laws http://www.ncsl.org/research/telecommunications-and-information-technology/secur…

Intro Topic I – Overview Of The New Regulation Best Interest Topic II – Best Interest Obligation and Key Areas of Obligation Topic III – Books and Records Requirements Topic IV – Next Steps To Remain in Compliance Outro Guest Speaker Information: Mary Ellen Storey, Vice President Cerulean Securities Compliance Mary Ellen’s Linkedin: https://loom.ly…

Show Notes Intro Topic 1 – The Dawn of Cobalt Archive Topic 2 – Archiving meets Books and Records Requirement Topic 3 – Supervision Topic 4 – Features of Cobalt Archive and Benefits Topic 5 – Superhero Question Outro Guest Speaker Info: Sue Lemm, Linkedin: https://www.linkedin.com/in/suelemm/ Blockchain and Compliance Archiving https://www.linkedin…

Intro Topic I - Continuing Education for IARs? Topic II - Robo Adviser FAQs Topic III - Correspondence vs. Advertising Clarification NASAA - Survey Regarding Continuing Education for investment adviser representatives http://www.nasaa.org/industry-resources/investment-advisers/nasaa-survey-regarding-continuing-education-for-investment-adviser-repre…

Clearing the Air II Intro Topic 1 - Solicitors Topic 2 - Net Cap Requirements Topic 3 - Custody, More Custody SEC Risk Alert - Solicitation https://www.sec.gov/files/OCIE%20Risk%20Alert%20-%20Cash%20Solicitation.pdf SEC - Custody Gudiance Links SEC No Action Letter - 2/21/17 https://www.sec.gov/divisions/investment/noaction/2017/investment-adviser-…

Show Notes: Wes Stillman Bio: Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuan…

Show Notes: Jessica Thayer Bio: Jessica Thayer is the Senior Vice President and Practice Leader of Starkweather Financial Institutions Risk Solutions, an industry specific practice group focused solely on assisting and guiding Investment Advisors, Mutual Funds, Private Funds, Broker Dealers and Private Equity Firms towards successful and efficient …

Show Notes: Mike Langford Bio: Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry. Topic I – Introduction Topic II – The Importance of digital marketing and engagement Topic III – What is Social Sentimen…

Allison Brecher Bio: Allison is the General Counsel at Vestwell, where she leads the legal, compliance, and data privacy operations at the company. She has practiced in the ERISA, employee benefits, and privacy areas for more than 20 years. She brings her prior experience as in-house counsel at global Fortune 200 companies to a startup and she enjo…

Thibaud Clément Bio: Thibaud is the CEO of Loomly, a collaborative brand success platform that helps marketing teams create better content for their audience. He’s a self-taught programmer and has, over the years, created and been part of some very interesting startups. Topic I – Introduction Topic II – The Birth of Loomly Topic III – Social Media …

Matt Meyer Bio: Matt currently serves as Founder and Managing Partner of The BluePrint Insurance Services, a partner of a leading life insurance and annuity marketing company in the country, AimcoR Group. Matt specializes in working with financial advisors on complex estate and business planning issues. He takes a holistic planning approach and pri…

Guest Speaker: John Anderson - John Anderson is a Managing Director and Head of Practice Management for SEI’s Advisors Solutions network. John has over 30 years of experience in various roles in the financial services industry, has been with SEI for over 20 years, and is also the lead author of SEI’s practice management blog, Practically Speaking©,…

Understanding a UMA platform and How it Can Assist with the Fiduciary Standard Topic I – Introduction Topic II - Model vs. Customized of Portfolios Topic III - Aggregation Topic IV - Technology Trend Topic V – Closing Comments Guest Speaker Information Mark Boothe, Regional Vice President of Sales TCA by E*Trade Website: https://www.trustamerica.co…

You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney Topic I - Introduction Topic II - 14 Standards of admission Topic III - Surprises during the New Member Application (NMA) process Topic IV - FINRA fees and ongoing Fees Topic V - Other regulatory bodies to consider Topic VI - Closing Comments Guest Speaker Information…

Guest Speaker: Rob Erwin - Rob is a Information Security Architect working at a top 50 fortune 500 Food and Consumer Goods company for the past two years. Prior to that, his Architecture and Security career spanned over 16 years span in the defense industry. He is a Certified Information Systems Security Architect Professional (CISSP-ISSAP) and a S…

Topic 1 - Structural part of a business continuity plan overview Topic 2 - Analysis, solution design, implementation Topic 3 - Testing, acceptance, and maintaince Topic 4 - Tips for a strong BCP SEC - https://www.sec.gov/investment/im-guidance-2016-04.pdf Hurricane Florence Relief American Red Cross https://www.redcross.org/ To give blood: Make an …

Clearing the Air - OBAs, Fees, and Custody Topic 1 - OBAs Topic 2 - Fees Topic 3 - Custody RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ …

You Get an Audit and You Get an Audit! Everybody Gets an Audit! Topic: Audit tips and tricks Resources: SEC 2018 National Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2018.pdf NASAA 2017 Investment Adviser Coordinated Exams Report http://www.nasaa.org/wp-content/uploads/2011/10/2017-IA-Coordi…

Topic 1 – Stan Lee Case Topic 2 – Regulatory Compliance Guidance Topic 3 – Financial Exploitation Reporting Financial Services Institute https://financialservices.org/elderabuse/ AARP Foundation ElderWatch https://www.aarp.org/aarp-foundation/our-work/income/elderwatch/ Consumer Financial Protection Bureau https://www.consumerfinance.gov/ Internet …