Regulate THIS!

What does it take to show that your compliance program works in practice? Leila Shaver and Tracie Behr discuss preparing for an SEC examination, documenting supervision, and connecting written policies to meaningful testing.

In this episode:

Learn more about My RIA Lawyer.

Have you just launched your RIA?

Join Tracie & Leila in this part 2 episode of Regulate This! where they finish off the discussion of " you don't know what you don't know".

Tune into this series of Regulate THIS! Where Tracie & Leila take a deep dive into starting your business. You don't want to miss out, these ladies will guide you on all the in's and out's of business, compliance, hiring, firing and everything in-between!

Paul Winkler started out so broke he "couldn't pay attention" (his words, not ours) — and built one of Nashville's most respected RIAs by doing the one thing nobody else was willing to do: teach.

In this episode of Regulate THIS!, Leila and Tracie sit down with Paul Winkler — founder of Paul Winkler, Inc., SEC-registered RIA, multi-degreed scholar, licensed therapist, rock musician, and one of the few advisors out there who actually gets it. Paul shares the unfiltered truth about how he built a multi-office firm from the ground up, why hustle without heart will get you nowhere, and the marketing philosophy that took him from selling ad slots on a big band radio station to a thriving practice with clients who treat him like family.

We get into:

Paul also shares the moment a mentor told him "you're a teacher — teach" and changed the entire trajectory of his business. If you've ever wondered whether you have what it takes to build something real in this industry, this one's for you.

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?

Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't).

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?

Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't).

What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?

Everything. 🎯

Kenji Kawa joins Regulate THIS! to share what regulators are ACTUALLY looking for when they examine your firm—and why most RIAs get it wrong.

Part 1 drops now, and stay tuned for part 2!

Think your firm's compliance is "basic"? Think again. 👀

In this episode, Leila and Tracie sit down with compliance officer Michaela — who started at the firm as an admin for all of three hours before being promoted — to break down the compliance mistakes that even experienced professionals are getting wrong.

From inconsistent documentation and copy-pasted client agreements to overloaded superstars and the dangerous over-reliance on ChatGPT, Michaela brings a refreshingly honest, ground-level perspective on what it actually takes to build a solid compliance foundation.

Whether you're a solo RIA, a growing firm, or a CCO who's been winging it — this one's for you.

Amber Davis joins Regulate THIS! to talk about what actually happens during compliance testing—and what she finds when firms think they're compliant but really aren't. From email supervision gaps to advertising violations hiding in plain sight, Amber's seen it all.

Learn what gets missed, why it matters, and how thorough testing protects your firm BEFORE regulators show up asking questions.