In this episode of the Advisors Edge Podcast, hosts Rob Jacomen and Chad Ramberg sit down with Thayne Gould, Director and Head of Marketing and Advertising Review Practice at Vigilant.

With over two decades of experience and a wealth of specialized expertise in the financial services industry, Thayne shares his insights on the intersection of compliance, marketing, and the evolving role of AI in the financial advisory space.

Join us as we explore:

✅ The challenges financial advisors face in navigating compliance while trying to grow their businesses.

✅ How AI is impacting compliance and marketing strategies within the financial services industry.

✅ The importance of establishing guardrails for marketing messages, especially in the age of social media.

✅ Practical strategies for advisors to effectively communicate with clients while adhering to regulatory requirements.

✅ The future of AI in compliance and the potential risks and rewards it brings to the industry.

Thayne emphasizes the need for collaboration between advisors, compliance teams, and marketing departments to create a successful and compliant marketing strategy.  He also discusses the importance of transparency and ethical practices in building trust with clients.

Whether you're a financial advisor looking to enhance your marketing efforts or simply interested in the evolving landscape of compliance and technology, this episode is packed with valuable insights and actionable advice.

Don't forget to subscribe to the Advisors Edge Podcast for more episodes that help you navigate the complexities of the financial services industry!

Connect with Thayne Gould:
LinkedIn: https://www.linkedin.com/in/thayne-gould/
Vigilant: www.vigilant.com

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Follow Us:
Advisors Edge Podcast:  https://www.linkedin.com/company/the-advisors-edge-podcast/

Rob Jacomen:  https://www.linkedin.com/in/rob-jacomen/
Founder, Alchemy Content Lab & Nichebuilders

Chad Ramberg:  https://www.linkedin.com/in/chad-ramberg-71278533/
President, Box Professional Insurance

Special thanks to Box Professional Insurance for sponsoring our show—because great leaders have a backup plan they can depend on.

Box Professional specializes in helping RIAs protect their businesses with tailored coverage, so you can focus on growing your firm while we handle the risks.

Learn more at www.boxproinsurance.com
Box Professional Insurance:  Be protected.  Feel empowered.

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Timestamps:
00:00 - Introduction
00:38 - The impact of AI on compliance
02:03 - Thane's background and expertise
05:13 - The role of compliance in marketing
10:06 - Overcoming compliance challenges
15:13 - The SEC's focus on social media
20:44 - Strategies for effective communication
30:06 - The future of AI in compliance
36:19 - Final thoughts and takeaways

Tune in now and gain insights that can help you thrive in the financial advisory world!

Welcome to the Advisors Edge Podcast!  In this exciting episode, host Rob Jacomen and co-host Chad Ramberg sit down with industry veterans Bob Fletcher and Mark Clemons from FiPar Financial. 

With decades of experience in the trust services industry, Bob and Mark share their insights on how FiPar is revolutionizing the way Registered Investment Advisors (RIAs) can offer Trust Services to their clients.

Join us as we dive into:

✅ The unique challenges faced by Trust Departments and how FiPar helps mitigate risks.

✅ The growing interest among RIAs to incorporate Trust services and the pitfalls to avoid.

✅ FiPar's innovative "Private RIA Trust" model, which provides a turnkey solution for RIAs without the regulatory headaches.

✅ The importance of personal relationships in the Trust industry and how FiPar connects RIAs with experienced Independent Professional Trust Counselors (IPTCs).

✅ Strategies for RIAs to retain clients and grow their business through Trust services.

Whether you're an RIA looking to expand your offerings or simply interested in the evolving landscape of trust services, this episode is packed with valuable insights and practical advice. Don't miss out!

To connect with Bob and Mark:

Bob Fletcher LinkedIn:  https://www.linkedin.com/in/bob-fletcher-ctfa-cisp-cfmp-bank-trust-consultant-973b9221/

Mark Clemons:  https://www.linkedin.com/in/mark-e-clemons-b4712719/

👉Subscribe to our channel for more episodes and insights from industry experts!

Advisor's Edge Podcast:  https://www.linkedin.com/company/the-advisors-edge-podcast
Rob Jacomen LinkedIn:  https://www.linkedin.com/in/rob-jacomen/
Chad Ramberg LinkedIn:  https://www.linkedin.com/in/chad-ramberg-71278533/

Join us for an insightful episode of the Advisors Edge Podcast as host Rob Jacomen and co-host Chad Ramberg welcome Greg Severinghaus from Markel. 

With over a decade of experience in the insurance industry, Greg shares his journey from economics and financial services to becoming an underwriting manager specializing in financial institutions.

In this episode, we dive deep into the evolving landscape of insurance for financial advisors, discussing the increasing aggressiveness of the SEC, the rise of social engineering claims, and the importance of having the right coverage in place.

Greg emphasizes that you don't have to do anything wrong to get sued, making it crucial for advisors to understand their risks and the importance of insurance.

We also explore best practices for advisors to protect themselves, the significance of clear client agreements, and the value of working with industry niche specialists.

Greg shares valuable insights on how to proactively manage risks and the benefits of thorough insurance applications.

Whether you're an advisor, broker, or simply interested in the financial services industry, this episode is packed with valuable information and practical tips to help you navigate the complexities of insurance.

Key Takeaways:

✅ The importance of insurance in protecting financial advisors
✅ Understanding the risks associated with unregistered securities
✅ Best practices for client agreements and disclosure
✅ The value of working with specialized insurance brokers

Don't miss this opportunity to learn from one of the best in the industry!

Connect with Greg on LinkedIn:  https://www.linkedin.com/in/greg-severinghaus-1922b623/

Connect with Chad Ramberg, Owner of Box Professional Insurance:  https://www.linkedin.com/in/chad-ramberg-71278533/

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We've created a simple FREE Guide and Checklist, "Top 10 Cybersecurity & Risk Management Best Practices for RIAs" that you can download here 👉 https://go.boxproinsurance.com/ria-risk-management-free-guide

Subscribe to the Advisors Edge Podcast for more expert insights!

In this episode, we dive deep into the importance of celebrating wins within our teams and how asking better questions can transform our relationships and business outcomes.

Our Mission and Purpose:

At Advisors Edge, our mission is to make a meaningful difference in the financial advisory and financial services world.

We believe that by sharing real stories, actionable strategies, and insights from industry leaders, we can empower advisors to elevate their practices and serve their clients better.

Our vision is to create a community where financial professionals can learn, grow, and thrive together.

In This Episode, We Discuss:

✅ The significance of celebrating wins, no matter how big or small, and how it fosters a positive team culture.
✅ The power of asking better questions to build trust and strengthen relationships with clients and team members.
✅ The importance of patience in the sales process and how it can lead to more meaningful connections and successful outcomes.
✅ Real-life examples of how our team members have achieved significant wins and the steps they took to get there.
✅ The value of creating a structured sales cadence that focuses on quality over quantity, ensuring that every outreach is impactful.

Key Takeaways:

→ Winners ask better questions and celebrate every win, creating a culture of recognition and motivation.

→ Building trust is a gradual process that requires consistent effort and genuine engagement.

→ Patience is a critical skill in sales; it allows for deeper connections and better understanding of client needs.

→ Quality outreach, even in smaller quantities, can yield better results than a high volume of generic interactions.

→ Every team member contributes to the overall success of the organization, and their wins deserve recognition.

Join us as we explore these themes and more, providing you with the tools and insights you need to enhance your practice and make a lasting impact in the financial services industry.

If you find value in our message, please subscribe to our channel and share your thoughts in the comments. We are here to serve you and help you gain the edge you need to succeed.

Thank you for being part of our journey!

Follow Us:

Advisor's Edge Podcast:  https://www.linkedin.com/company/the-advisors-edge-podcast

Rob Jacomen LinkedIn:  https://www.linkedin.com/in/rob-jacomen/

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

Key Moments (timestamps):

Welcome to the Advisor's Edge Podcast!

In this episode, hosts Rob Jacomen and Chad Ramberg sit down with special guest Emil Ali from McCabe Ali, a law firm specializing in representing investment advisors and broker-dealers.

Join us as we dive into the complexities of compliance, the challenges advisors face in marketing and business development, and the importance of effective communication in navigating regulatory landscapes.

Emil shares his insights on the evolving role of compliance, the impact of off-channel communication, and the significance of having a solid business continuity plan.

Whether you're an investment advisor looking to grow your firm or simply interested in the legal aspects of the financial industry, this episode is packed with valuable information and practical advice.

Key Topics Discussed:

✅ Understanding client complaints and the importance of personality in client relationships

✅ The intersection of legal and compliance services

✅ Common challenges advisors face in marketing and business development

✅ The impact of remote work and off-channel communication on compliance

✅ Insights into the current state of RIA consolidation and M&A activity

Don't miss this opportunity to learn from Emil's extensive experience and expertise in the field. Be sure to like, subscribe, and hit the notification bell for more insightful episodes!

Follow Us:

Advisor's Edge Podcast:  https://www.linkedin.com/company/the-advisors-edge-podcast

Rob Jacomen LinkedIn:  https://www.linkedin.com/in/rob-jacomen/

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

Emil Ali LinkedIn:  https://www.linkedin.com/in/emilali/
McCabe Ali website:  https://mccabeali.com/
Emil Ali email:  [email protected]

Listen to the full episode now!

In this episode of the Advisors Edge podcast, host Rob Jacomen and co-host Chad Ramberg welcome Scott Smith, CEO of Buckler, to discuss the critical intersection of cybersecurity and regulatory compliance in the financial services industry.

Scott shares his journey from practicing law to leading Buckler, a company dedicated to simplifying compliance processes for firms navigating complex regulations.

He explains how Buckler creates streamlined policies that satisfy multiple regulatory requirements, making it easier for firms to demonstrate compliance and protect client data.

The conversation delves into the challenges firms face in aligning IT and compliance efforts, the importance of having a Chief Information Security Officer (CISO), and how Buckler's innovative solutions, including OpenVRM, are transforming vendor risk management.

Join us as we explore the evolving landscape of cybersecurity, the significance of regulatory compliance, and the future of financial services. Whether you're a financial advisor, compliance officer, or simply interested in the intersection of technology and finance, this episode is packed with valuable insights!

Key Topics:

• Scott's background and the founding of Buckler

• The importance of regulatory compliance in cybersecurity

• How Buckler simplifies compliance processes

• The role of IT and compliance in financial services

• Insights on vendor risk management with OpenVRM

Don't forget to like, subscribe, and hit the notification bell for more episodes!

In this very first episode of the Advisor's Edge podcast, hosts Rob Jacomen and Chad Ramberg are honored to sit down with Tim Chaves, COO and co-founder of Jump, an innovative AI meeting assistant designed specifically for financial advisors.

Join us as we dive into the challenges faced by financial advisors in managing meeting administration and how Jump aims to reduce the time spent on these tasks by up to 90%. Tim shares insights on the importance of enhancing client experiences through efficient communication and follow-ups, and how AI can transform the way advisors interact with their clients.

We explore the dual benefits of Jump: improving operational efficiency and ensuring compliance in a heavily regulated industry. Tim discusses the customizable features of Jump that allow advisors to tailor the tool to their specific needs, making it a valuable asset in their tech stack.

Whether you're a small advisory firm or a larger organization, this episode offers valuable advice on integrating AI tools into your practice to enhance productivity, improve client retention, and ultimately increase your firm's value.

Key Topics:

• The role of AI in financial advisory
• Reducing administrative overhead for advisors
• Enhancing client experiences with efficient follow-ups
• Customizability and integration of Jump with existing tech stacks
• The importance of specialization in the financial services industry

Don't miss this insightful conversation that could change the way you approach your advisory practice!

Email Tim:  [email protected]
LinkedIn:  https://www.linkedin.com/in/timchaves/
Jump: https://jumpapp.com/

If you found value in this episode, please like, share, and subscribe for more insights into the world of the Financial Services Industry!