The RIA Compliance Collective

Tales from the Crypto Sep 29, 2021

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 that even possible?

Topic 5 - What makes people fall for the scams?

Topic 6 - Have scams negatively affected crypto, or is it just a phase that crypto will go past?

Outro

Speaker Bio:

Erica Stanford is the author of Crypto Wars: Faked Deaths, Missing Billions, and Industry Disruption about the biggest hacks and scams in crypto. She is also the Founder of the crypto community, the Crypto Curry Club, which publishes Blockchain Industry Review. She is a frequent speaker and commentator on both use cases and applications of cryptocurrency as well as on crypto scams. She is an Associate Guest Lecturer at Warwick Business School on crypto use cases. She is part of VC-backed crypto wallet and DEX startup Cent Finance. She also works part-time at CMS law firm advising on crypto and fintech strategy.

Erica Stanford's Linkedin:

https://www.linkedin.com/in/ericastanford/

Crypto Wars: Faked Deaths, Missing Billions and Industry Disruption about the biggest hacks and scams in crypto.

https://www.amazon.co.uk/Crypto-Wars-Billions-Industry-Disruption/dp/1398600687/?geniuslink=true

CyberSecurity Trends Dec 22, 2021

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 clients’ businesses.

Topic I - What are some of the lessons learned in 2021?

Topic II - What the responsibilities that RIAs have when it comes to IT and cybersecurity?

Topic III - From a practical standpoint, what is the most important best practice that people should use?

Topic IV - What is Predictive Ransomware Protection?

Topic V - Even the SEC was a target of cyber-criminals, how did the happen?

Topic VI - Finally, where do you see the future of IT management and cybersecurity as we enter 2022?

Guest Speaker Information:

Wes Stillman, CEO

LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/

Company Information:

RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/

In the News: https://www.rightsize-solutions.com/resources/in-the-news/

Tech Trends: https://www.rightsize-solutions.com/resources/tech-trends/

RightSize will be at the 2022 Investment Adviser Compliance Conference

https://investmentadviser.org/events/compliance-conference/

Schwab E&O Update Oct 29, 2021

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 below and put in the subject line – “Do I meet the Schwab requirements?”

RIAview@BoxProInsurance.com

Please attach a copy of the insurance coverage in place including the following.

E&O
Cyber
Crime / Crime Bond

FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM Sep 14, 2021

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/SusanDanzigLLC/

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

Go to www.financialadvisorsuccessquiz.com and take the quiz now.

E & O and Digital Assets Aug 17, 2021

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/

Client Onboarding in the Digital Age Aug 03, 2021

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---spectrum-input-llc-/

Fieldcraft - Cyber Security Training Jul 07, 2021

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://www.mtradecraft.com/

Phone: 210-264-2578

Email: info@mtradecraft.com

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

Here is the webpage for Fieldcraft:

https://www.mtradecraft.com/fieldcraft.html

Here is a Youtube video with a Demo:

https://youtu.be/jcGhpMeza0I

If firms are interested, that can request a free demo account here:

https://www.mtradecraft.com/fieldcraftdemo.html

How to Create a Podcast Jul 07, 2021

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=3CXXKPKMHZUHE&dchild=1&keywords=samson+go+mic+portable+usb+condenser+microphone&qid=1625673465&sprefix=samson+go+mic%2Caps%2C206&sr=8-5

Jabra Elite 85t

https://www.amazon.com/Jabra-Wireless-Bluetooth-Earbuds-Titanium/dp/B08HR78C46/ref=sr_1_1_sspa?dchild=1&keywords=jabra+elite+85t&qid=1625673593&sr=8-1-spons&psc=1&spLa=ZW5jcnlwdGVkUXVhbGlmaWVyPUExUlpLUVVFVDlMUTRDJmVuY3J5cHRlZElkPUEwMzEzMDEwM1BRN08wU0VUS1lZOCZlbmNyeXB0ZWRBZElkPUEwMjY0NTcxMlVMQlVNTEFFNkZMTCZ3aWRnZXROYW1lPXNwX2F0ZiZhY3Rpb249Y2xpY2tSZWRpcmVjdCZkb05vdExvZ0NsaWNrPXRydWU=

Fiverr

www.fiverr.com

Zencastr

https://zencastr.com/

Podcast.co

https://www.podcast.co/

Matchmaker

https://www.matchmaker.fm/home

Cryptocurrencies: What You Need to Know? Jun 30, 2021

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:

Jimmy Song

Linkedin: https://www.linkedin.com/in/jimmysong/

Bitcoin Fixes This Podcast

https://open.spotify.com/show/6jEPeE4yhsoZJrDRcs9dLN?si=etZGcr7sQReKYcYRop3o-Q&dl_branch=1

What the NFT? Jun 23, 2021

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/

Knowing Your Numbers Jun 09, 2021

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

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

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

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

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

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

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/

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

Truelytics podcast

https://blog.truelytics.com/topic/modern-financial-advisor-podcast

Social Financial (SoFin) podcast

https://www.finservmarketing.com/the-sofin-podcast

The Advisor Financing Forum

https://www.finservmarketing.com/the-advisor-financing-forum

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/

Clearing the Air IX Jun 29, 2020

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-alerts-and-bulletins/ib_wrapfeeprograms

Financial Planning: Why retainer fees pose question for regulators?

https://www.financial-planning.com/news/napfa-nasaa-discuss-retainer-fees

Podcast Vendor Information

Podacast.co

www.podcast.co

Company Information

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/

Host Information 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/

Clearing the Air VIII Jun 03, 2020

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-content/uploads/2019/06/2019-IA-Section-Report.pdf

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/

Host Information 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/

Protecting Your Firm During the Pandemic Era May 27, 2020

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 Ramberg, President of Box Professional Insurance Linkedin: https://loom.ly/coLCBzQ

Company Information: Box Professional Insurance Website:https://loom.ly/eziht3Y Company LinkedIn: https://loom.ly/wu8B7ck S&P 500 VS Claims Chart: https://loom.ly/Foniblg

Host Information 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/

Coronavirus Scam May 13, 2020

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/?viewAsMember=true Facebook: https://www.facebook.com/Identron.Protection/ Youtube: https://www.youtube.com/channel/UCnKQTPi2Td2Kx7m4-1hD2cA

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/

Host Information 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/

Clearing the Air VII May 01, 2020

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 Guidance PPP loan https://www.sec.gov/investment/covid-19-response-faq

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/

Host Information 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/

Clearing The Air VI Dec 18, 2019

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/investor-alerts-and-bulletins/ia_phonycds

SEC How to Protect Senior Investors https://www.sec.gov/files/how-the-sec-works-to-protect-senior-investors.pdf

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/

Host Information 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/

The Ownership Ladder - An Internal Succession Discussion Dec 11, 2019

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 until 2017. The RIA practice was mostly qualified plans with some wealth management. AUM was $250 million when he retired. It is now $400 million.

He sold and installed some of the first 401(k) plans ever written starting in 1985. His dad heard the “father of 401(k)” Ted Benna speak in 1984 at the Million Dollar Round Table and decided they were the next trend in business. He was right. They saw and participated in the childhood, teen years and now the maturity of 401(k) plans. They also had about $75 million in Defined Benefit Pensions under consultation and advisement.

Website: www.ownershipladder.com Youtube: https://www.youtube.com/channel/UChBaZhdmnczGW_7NmMyQX-A?view_as=subscriber Blogspot: https://ownershipladder.blogspot.com/ Bill's LinkedIn: https://www.linkedin.com/in/billheestand/ Contact info: bill@ownershipladder.com

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/

Host Information 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/

Clarifying Custody - Part II Dec 04, 2019

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 Information: DeMarco Sciaccotta Wilkens & Dunleavy, LLP Website:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I

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/

Host Information 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/

Clarifying Custody - Part I Nov 27, 2019

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:https://loom.ly/-K01JpU Company LinkedIn: https://loom.ly/0iET56I

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/

Host Information 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/

Insurance in the RIA World Nov 06, 2019

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 LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/

Other Links: S&P 500 vs. Claims Chart https://go.pardot.com/l/741133/2019-11-01/2smyd

RIA Compliance Concepts Website: www.riacc.io Email: info@riacc.io Phone: - 1-833-RIACCIO Linkedin: https://www.linkedin.com/company/25040493/ Facebook: https://www.facebook.com/RIAComplianceConcepts/ Twitter: https://twitter.com/RIAComplyCEP Instagram: https://www.instagram.com/riacomplianceconcepts/ Pinterest: https://www.pinterest.com/ivanbarretto/pins/

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/

At A Glance - SEC Examination Priorities Part Deux Sep 24, 2019

**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/files/OCIE%202019%20Priorities.pdf**

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/

Host Information 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/

Clearing the Air V Oct 01, 2019

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/nasaa-releases-annual-enforcement-report-5/ SEC Clarifies Investment Advisers’ Proxy Voting Responsibilities and Application of Proxy Rules to Voting Advice https://www.sec.gov/news/press-release/2019-158 Form CRS Instructions https://www.sec.gov/rules/final/2019/34-86032-appendix-b.pdf

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

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/

Protect Your Clients - An Identity Theft Protection Discussion Aug 21, 2019

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, 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/?viewAsMember=true Facebook: https://www.facebook.com/Identron.Protection/ Youtube: https://www.youtube.com/channel/UCnKQTPi2Td2Kx7m4-1hD2cA

RIA Compliance Concepts Website: www.riacc.io Email: info@riacc.io Phone: - 1-833-RIACCIO Linkedin: https://www.linkedin.com/company/25040493/ Facebook: https://www.facebook.com/RIAComplianceConcepts/ Twitter: https://twitter.com/RIAComplyCEP Instagram: https://www.instagram.com/riacomplianceconcepts/ Pinterest: https://www.pinterest.com/ivanbarretto/pins/

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/

At a glance - SEC Examination Priorities Aug 13, 2019

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 Electronic Messaging Topic VIII Supervisory Review Topic IX Privacy / Reg SP and Third Party Security Topic X Safeguarding Customer Records and Information in Network Storage

SEC 2019 Examination Priorties https://www.sec.gov/files/OCIE%202019%20Priorities.pdf

NASAA 2017 IA Coordinated Examinations Report https://s30730.pcdn.co/wp-content/uploads/2011/10/2017-IA-Coordinated-Examinations.pdf

NASAA 2019 RIA Section Report https://s30730.pcdn.co/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf

Clearing the Air IV Jul 02, 2019

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/security-breach-notification-laws.aspx

SEC Senior Safe Act Press Release https://www.sec.gov/news/press-release/2019-75

A Deep Dive Into Reg BI Jun 25, 2019

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/UBKmzDE

Company Website: https://loom.ly/BoOjuZg Phone: (816) 858-7880 Company LinkedIn: https://loom.ly/sOV7X14 Company Twitter: https://loom.ly/utsslWk

Other informative links:

Form CRS Relationship Summary; Amendments to Form ADV https://loom.ly/0epzpSY

Regulation Best Interest: The Broker-Dealer Standard of Conduct https://loom.ly/ykOUOS0

Archive This! Jun 19, 2019

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.com/pulse/blockchain-compliance-archiving-sue-lemm/

Company Website: https://cobaltarchive.com/ Company LinkedIn: https://www.linkedin.com/company/cobaltarchive/ Company Facebook: https://www.facebook.com/cobaltarchive Company Twitter: https://twitter.com/CobaltArchive

Clearing The Air III Jun 03, 2019

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-representatives/

SEC Staff Issues Guidance Update and Investor Bulletin on Robo-Advisers https://www.sec.gov/news/pressrelease/2017-52.html

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/

Host Information 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/

Clearing the Air II May 28, 2019

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-association-022117-206-4.htm SEC IM Guidance No. 2017-01 https://www.sec.gov/investment/im-guidance-2017-01.pdf SEC Staff Responses to Questions About the Custody Rule - https://www.sec.gov/divisions/investment/custody_faq_030510.htm

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/

Host Information 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/

On The Move - A Mobile Cyber Security Discussion May 21, 2019

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 nuance of his clients’ businesses.

Topic I – Introduction Topic II – Concerns regarding the creation of customized mobile apps Topic III – Mobile cybersecurity challenges Topic IV - Best practice recommendations Topic – Closing Remarks

Guest Speaker Information:

Wes Stillman, CEO LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/

Company Info:

Company Information: RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Insurance - It's Not Just For Your Clients! May 14, 2019

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 risk transfer solutions. Thayer and the Starkweather Financial Institutions Risk Solutions team are specialists in Directors & Offices Liability, Errors & Omissions, Fidelity, Cyber Security, Employment Practices Liability, and Fiduciary Liability.

Topic I – Introduction Topic II – What is E&O and the common claims? Topic III – What is covered by a Cyber Security Policy? Topic IV - Your Super Power and Why? Topic – Closing Remarks

Guest Speaker Information:

Jessica Thayer, Senior Vice President LinkedIn: https://www.linkedin.com/in/jessica-thayer-198764/

Company Info:

Company Information: Starkweather & Shepley Website: https://loom.ly/oUUZfxk Company LinkedIn: https://loom.ly/1XcQztk Facebook: https://loom.ly/ughjJpk Twitter: https://loom.ly/EfRdmWA

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Engagement in the Social Media Age May 07, 2019

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 Sentiment? Topic IV – Dangers of Social Sentiment Topic – Closing Remarks

Guest Speaker Information:

Mike Langford, Founder and CEO Mike Langford LinkedIn: https://www.linkedin.com/in/mikelangford2/

Company Info:

finservMarketing Website: https://www.finservmarketing.com/ Company Linkedin: https://www.linkedin.com/company/finservmarketing/ Facebook: https://www.facebook.com/finservMarketing/ Twitter: https://twitter.com/finsrvmarketing?lang=en SoFin & SXSW2019: https://www.linkedin.com/groups/12207304/

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Plan Fiduciary 101 May 01, 2019

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 enjoys using her expertise to educate plan sponsors, advisors, and others about the legal and compliance issues involved with operating their retirement plans.

Topic I – Introduction Topic II – Fiduciary Duties of ERISA Topic III – Can a plan sponsor delegate all of its fiduciary duties? Topic IV – Plan considerations to account for when selecting the investment options for the plan Topic V – Current litigation issues Topic VI – Closing Remarks

Guest Speaker Information: Allison Brecher, General Counsel Allison Brecher LinkedIn: https://www.linkedin.com/in/allisonbrecher/

Company Info: Vestwell Website: https://vestwell.com/ Company Linkedin: https://www.linkedin.com/company/vestwell-advisors/ Facebook: https://www.facebook.com/vestwell401k/ Twitter: https://twitter.com/Vestwell United of State Department of Labor Employee Benefits Security Administration Seminars and Webcasts https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/seminars-and-webcasts

401(k) plans https://www.dol.gov/agencies/ebsa/key-topics/retirement/401k-plans

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/

Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/

Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/

Social Media: Friend Not Foe Apr 16, 2019

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 Workflow process Topic IV – Closing Comments

Guest Speaker Information: Thibaud Clément, CEO Thibaud Clément LinkedIn: https://www.linkedin.com/in/thibaudclement/

Company Info: Loomly Website: https://www.loomly.com/ Company Linkedin: https://www.linkedin.com/company/loomly/ Facebook: https://www.facebook.com/Loomly Twitter: https://twitter.com/LoomlySocial Instagram: https://www.instagram.com/loomlysocial/ Pinterest: https://www.pinterest.com/LoomlySocial/ Tumblr: http://loomlysocial.tumblr.com/

The Times Are A Changin' - Insurance Services In The RIA World with Matt Meyer Dec 03, 2018

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 prides himself on speaking the same language as RIAs and comprehensive financial advisors.

He’s able to so because he’s been in the insurance and financial services business for the last two decades. He’s gained extensive experience consulting large organizations on their employee benefit programs, He’s also assisted high net worth families in the estate planning process, and provides overall guidance to advisors, CPAs, and estate planning attorneys. Matt works with advisors and clients to structure and model transactions, general financial strategies, as well as to examine the short and long-term products utilized for risk mitigation.

Topic I – Introduction Topic II – How the comprehensive client experience addresses fiduciary responsibility for an advisor? Topic III – Integration of insurance and risk management into the advisor’s planning process Topic IV – Creation of insurance solutions for the RIA community Topic V – Closing Comments

Guest Speaker Information: Matt Meyer, Co-Founder Email: MMeyer@tblueprint.com Matt Meyer LinkedIn: https://www.linkedin.com/in/mmeyerinsurance/ Phone: 424-387-4143

Company Info: The Blue Print Insurance Services Website: www.tblueprint.com Company Linkedin: https://www.linkedin.com/company/the-blueprint-insurance-services/ Twitter: https://twitter.com/insuranceria?lang=en

Understanding a UMA platform and How it Can Assist with the Fiduciary Standard with Mark Boothe Nov 12, 2018

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.com/ Phone: 972-658-9503 Email: mark.boothe@etrade.com Mark BootheLinkedIn: https://www.linkedin.com/in/markboothe/ Company Linkedin: https://www.linkedin.com/company/tcabyetrade/

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Show Your Work - Vendor Management Discussion with John Anderson Nov 20, 2018

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©, which is designed to help financial advisors improve client relationships and develop more effective marketing programs. LinkedIn: https://www.linkedin.com/in/seijohna/ Twitter: https://twitter.com/SEIJohnA

Topic 1: Practice Management and TAMPs Topic 2: Vendor Management Due Diligence Topic 3: How to Chose the Right Vendor for Your Firm Topic 4: Choosing a TAMP – Product, Capabilities, & Cost Topic 5: Practice Management Tips

Resources: Sign up for SEI’s free Independent Financial Advisors: An Evaluation Tool https://seic.com/knowledge-center/outsourcing-independent-financial-advisors-evaluation-tool?cmpid=ADV-LG-PODCAST-OUTSOURCING

SEI https://seic.com/

SEI Practically Speaking https://seicblogs.com/advisor-practice-management/ LinkedIn: https://www.linkedin.com/company/sei/ Facebook: https://www.facebook.com/SEICorporateHeadquarters/

You Don't Know What You Don't Know - BD Registration Discussion with Kim McEnaney Oct 31, 2018

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 Kim McEnaney, President Cerulean Securities Compliance Website: http://www.ceruleancompliance.com/ Phone: (816) 858-7880 Company LinkedIn: https://www.linkedin.com/company/cerulean-securities-compliance-llc/ Linkedin: https://www.linkedin.com/in/kimberly-mcenaney-cams-09305848/ Twitter: https://twitter.com/ceruleancomp

Cyber Security - Where's my data? Oct 03, 2018

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 SABSA Chartered Security Architect Practioner (SCP). Most of his current focus is on developing secure architectures for new cloud based systems as well as on-prem migrations to the cloud.

LinkedIn Bio - https://www.linkedin.com/in/robert-erwin-6442528/

Topic 1: Intro Topic 2: Important Terms Topic 3: Security Issues with SaaS Topic 4: Soutions

Resources:

Cloud Security Alliance https://cloudsecurityalliance.org/

CSO by IDG https://www.csoonline.com/

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Business Continuity - Hope the best, plan for the worst! Sep 17, 2018

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 appointment by using the Red Cross Blood Donor App, visiting redcrossblood.org or calling 1-800-733-2767. To donate money: Visit redcross.org, call 1-800-733-2767 or text the word FLORENCE to 90999 to make a $10 donation. Food Bank of North Carolina The food bank’s website to donate funds. https://secure2.convio.net/fbnc/site/Donation2;jsessionid=00000000.app274b?df_id=11202&mfc_pref=T&11202.donation=form1&s_src=lpage&s_subsrc=fbcenc&NONCE_TOKEN=7D840A92EEB326AF3BF73952BDB70D44 To donate food, visit a distribution centers in Durham, Raleigh, New Bern, Greenville, the Sandhills/Southern Pines or Wilmington. http://www.foodbankcenc.org/site/TR?px=1395030&fr_id=1122&pg=personal The Salvation Army To give, visit give.helpsalvationarmy.org/give/166081/#!/donation/checkout or mail a check to The Salvation Army-Disaster Relief, P.O. Box 1959, Atlanta, GA 30301. Include the name of the disaster relief effort on the check. To donate by phone, call 1-800-725-2769.

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/

Host Info. 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/

Clearing the Air - OBAs, Fees and Custody Sep 08, 2018

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/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

You Get an Audit and You Get an Audit! Everybody Gets an Audit! Aug 26, 2018

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-Coordinated-Examinations.pdf

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

Host Information 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/

Senior Vulnerability and Financial Exploitation Jul 31, 2018

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 Crime Complaint Center

https://www.ic3.gov/default.aspx

NASAA Serve Our Seniors

http://serveourseniors.org/

U.S. Administration on Aging

https://www.acl.gov/about-acl/administration-aging

FINRA www.FINRA.org

National Fraud Information Center fraud.org Toll Free: 800-876-7060

Call the Abuse Hotline, 24 hours a day, 7 days a week, toll-free 1-800-252-5400 from anywhere in the US to report abuse or neglect that occurred in Texas.

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/ Google+: https://aboutme.google.com/b/118267280728866485410/

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/

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