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EP07 - Game Film: Where Modern Compliance Meets Results - Larry Shumbres on Building Archive Intel
“Don't try to do everything. Don't try to micromanage everything. Hire people that you trust to get the job done.”
In this episode of the Game Film Podcast, Dr. Jordan Hutchison sits down with Larry Shumbres, Founder and CEO of Archive Intel, to talk about how compliance is being rewritten with AI, speed, and Advisor-first innovation. Larry shares his journey from IBM to Wall Street, through building and selling Totum Risk, and now scaling one of the fastest-growing surveillance and archiving platforms in fintech.
Larry breaks down how Archive Intel aims to help Advisors streamline workflows, slash false positives, and stay ahead of SEC audits (without sacrificing the Advisor-client experience). From solving the iMessage archiving challenge to serving both solo Advisors and enterprise giants, this episode is packed with insights on leadership, culture, and creating tools that actually work.
What You’ll Learn:
Why legacy compliance tools are breaking (and how AI is fixing them)
The SEC enforcement trend every Advisor should be preparing for
What Larry looks for when building teams and scaling a fintech startup
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Please reach out to your advisor or visit our website if you have any questions!
RFG Advisory is an innovator in the wealth management industry that serves independent financial advisors and their clients. Founded in 2003, RFG Advisory provides advisors with a turn-key platform to maximize independence, including innovative technology, institutional-caliber investment management, marketing, compliance, business consulting, and operational support. We strive for excellence because Your Future is Our Priority!
RFG Advisory
1400 Urban Center Drive, Suite 475
Vestavia Hills, AL 35242
(205) 397-2450
https://www.rfgadvisory.com/
Full Disclosure: Nothing on this YouTube video should be considered advice, research, or an invitation to buy or sell securities. For a full disclaimer, please refer to the terms and conditions in our firm brochure.
This commentary reflects the personal opinions, viewpoints and analyses of RFG Advisory, LLC employees and should not be regarded as a description of advisory services provided by RFG Advisory, LLC or performance returns of any client. The views reflected in the commentary are subject to change at any time without notice. Nothing herein constitutes investment advice, performance data or any recommendation that any particular security, portfolio of securities, transaction or investment strategy is suitable for any specific person. Any mention of a particular security and related performance data is not a recommendation to buy or sell that security. RFG Advisory, LLC manages its clients’ accounts using a variety of investment techniques and strategies, which are not necessarily discussed in the commentary. Investments in securities involve the risk of loss. Past performance is no guarantee of future results.
Securities offered by Registered Representatives of Private Client Services (“PCS”). Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, a registered investment Advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No Advisory services may be rendered by RFG Advisory unless a Client agreement is in place.
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By RFG Advisory“Don't try to do everything. Don't try to micromanage everything. Hire people that you trust to get the job done.”
In this episode of the Game Film Podcast, Dr. Jordan Hutchison sits down with Larry Shumbres, Founder and CEO of Archive Intel, to talk about how compliance is being rewritten with AI, speed, and Advisor-first innovation. Larry shares his journey from IBM to Wall Street, through building and selling Totum Risk, and now scaling one of the fastest-growing surveillance and archiving platforms in fintech.
Larry breaks down how Archive Intel aims to help Advisors streamline workflows, slash false positives, and stay ahead of SEC audits (without sacrificing the Advisor-client experience). From solving the iMessage archiving challenge to serving both solo Advisors and enterprise giants, this episode is packed with insights on leadership, culture, and creating tools that actually work.
What You’ll Learn:
Why legacy compliance tools are breaking (and how AI is fixing them)
The SEC enforcement trend every Advisor should be preparing for
What Larry looks for when building teams and scaling a fintech startup
----------------------------------------------------------------------------
Please reach out to your advisor or visit our website if you have any questions!
RFG Advisory is an innovator in the wealth management industry that serves independent financial advisors and their clients. Founded in 2003, RFG Advisory provides advisors with a turn-key platform to maximize independence, including innovative technology, institutional-caliber investment management, marketing, compliance, business consulting, and operational support. We strive for excellence because Your Future is Our Priority!
RFG Advisory
1400 Urban Center Drive, Suite 475
Vestavia Hills, AL 35242
(205) 397-2450
https://www.rfgadvisory.com/
Full Disclosure: Nothing on this YouTube video should be considered advice, research, or an invitation to buy or sell securities. For a full disclaimer, please refer to the terms and conditions in our firm brochure.
This commentary reflects the personal opinions, viewpoints and analyses of RFG Advisory, LLC employees and should not be regarded as a description of advisory services provided by RFG Advisory, LLC or performance returns of any client. The views reflected in the commentary are subject to change at any time without notice. Nothing herein constitutes investment advice, performance data or any recommendation that any particular security, portfolio of securities, transaction or investment strategy is suitable for any specific person. Any mention of a particular security and related performance data is not a recommendation to buy or sell that security. RFG Advisory, LLC manages its clients’ accounts using a variety of investment techniques and strategies, which are not necessarily discussed in the commentary. Investments in securities involve the risk of loss. Past performance is no guarantee of future results.
Securities offered by Registered Representatives of Private Client Services (“PCS”). Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, a registered investment Advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No Advisory services may be rendered by RFG Advisory unless a Client agreement is in place.