The RIA Compliance Collective

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**The RIA Compliance Collective**

We discuss compliance topics that effect RIA firms from a former regulator’s perspective.

Hosted by: Ivan Barretto

Latest Episodes:

Knowing Your Numbers Jun 09, 2021

Show notes

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?

Topic 8 Is a valuation important for tax purposes?

Topic 9 - What are the top items you would suggest an RIA firm discuss immediately with their tax advisor in 2020?

Podcast guests:

Rick Wilkens, CPA

Co-Founder and Owner

Elevate CPA Group

Rick@elevatecpagroup.com

Brian Nuttall, CPA, J.D.

Co-Founder and Owner

Elevate CPA Group

Brian@elevatecpagroup.com

www.elevatecpagroup.com

Clearing the Air X Sep 09, 2020

Show notes

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

All things Cyber Security Aug 19, 2020

Show notes

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 – Problem with Basic Cyber Security Training

Topic II – Issues with the SEC guidance regarding Cyber Security

Topic III – Most significant Cyber Security Treats

Topic IV – Password hygiene?

Topic V – Brian’s superpower

MTradecraft

Website: https://www.mtradecraft.com/

Phone: 210-264-2578

Email: info@mtradecraft.com

LinkedIn: https://www.linkedin.com/company/mtradecraft/

Bills, Bills, Bills: A New Way to Help and Protect Your Senior Clients Aug 12, 2020

Show notes

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. SilverBills provides services throughout the United States and often partners with families, financial planners, attorneys, and social workers.

SilverBills has been featured in numerous national publications and Marci speaks frequently on a variety of topics. SilverBills is also listed by AARP as a trusted COVID resource: https://aarpcommunityconnections.org/helpful-resources/

Marci Lobel-Esrig

Founder and General Counsel

SilverBills

LinkedIn: https://www.linkedin.com/in/marci-lobel-esrig-73a19b1b/

SilverBills

Website: https://www.silverbills.com/

LinkedIn: https://www.linkedin.com/company/silverbills-llc/

Facebook: https://www.facebook.com/silverbills360/

Twitter: https://twitter.com/silverbills?lang=en

Understanding Succession and Valuation Aug 05, 2020

Show notes

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, entrepreneur, and active private investor. After a 29-year career in Financial services distribution as a Senior Executive with AIG, Lincoln Financial, and Sun Life, among others, Terry took his entrepreneurial spirit and founded Truelytics.

Terry's in-depth knowledge of financial services and the relationships he has built will enable Truelytics to help advisors continuously improve their practice. Using data analytics and benchmarking tools, Truelytics software shows financial advisors on how to easily value their business but, more importantly, identify and close any gaps they currently have.

Terry received a Bachelor's Degree in Business Administration and Finance from the University of Delaware. Terry lives in Pennsylvania and is the father of 7 children.

Terry's LinkedIn

https://www.linkedin.com/in/terry-mullen-6931a86/

Terry's Twitter

https://twitter.com/tmullen610?lang=en

Truelytics Company Info.

https://www.truelytics.com/

Phone: 1 800-834-7494

Email: info@truelytics.com

Linkedin: https://www.linkedin.com/company/truelytics/

Twitter: https://twitter.com/truelytics1

Facebook: https://www.facebook.com/truelytics1/

Youtube: https://www.youtube.com/channel/UCp5gVjuEBWciKIvKF_EL7AQ?sub_confirmation=1

Leading with Compassion and Clarity During COVID Jul 29, 2020

Show notes

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 increased discretionary effort and improved strategic execution. A partial list of clients includes Genentech, The Marines, Monsanto, NASA, Pfizer, Pratt and Whitney, Singapore Technologies and other companies in the biotech, aerospace, construction, oil and gas, military, utilities, and pharmaceutical industries.

He’s the author of Keeping People Safe: The Human Dynamics of Injury Prevention and co-editor of Keys to Behavior-Based Safety. Josh also has more than 40 book chapters and articles in leading publications. Josh received the Cambridge Center National First Prize for his research on behavioral safety feedback and earned his Ph.D. in Industrial/Organizational Psychology at Virginia Tech.

Company Info:

Propulo Consulting

Website: https://www.propulo.com/

LinkedIn: https://www.linkedin.com/company/propulo/

Youtube: https://www.youtube.com/c/Propulo/

Phone: 1-888-3-PROPULO

Josh Williams, Ph.D

Partner, Propulo Consulting

Mobile Phone: 540-239-5626

Linkedin: https://www.linkedin.com/in/josh-williams-ph-d-25a9184/

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/

Ivan Barretto, Managing Director

LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director

LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

It's about time! Modernizing the RIA advertising rules Jul 20, 2020

Show notes

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, Endorsements, etc.

Topic V - Pre-Review and Approval

Outro

SEC Proposes to Modernize the Advertising

https://www.sec.gov/news/press-release/2019-230

finservMarketing Website: https://www.finservmarketing.com/

Linkedin: https://www.linkedin.com/company/finservmarketing/

Facebook: https://www.facebook.com/finservMarketing/