The Synergy Compliance Podcast

What does cybersecurity compliance look like when regulators expect more than just policies and procedures?

In this episode, Scott P. Gill sits down with Brian Hahn, Founder of MTradecraft, to discuss how cybersecurity examinations are evolving and what RIAs need to do to stay ahead. Drawing on decades of experience in trading, compliance, intelligence analysis, and cybersecurity consulting, Brian explains why firms must move beyond documentation and focus on demonstrating real-world implementation.

Together, they explore common cybersecurity gaps, the risks of relying too heavily on managed service providers, the value of thinking like an attacker, and how advisory firms can responsibly adopt AI while maintaining compliance. If you're looking to strengthen your firm's cybersecurity posture and prepare for future SEC examinations, this episode delivers practical insights you can apply immediately.

On June 9, 2026, the SEC Division of Examinations published a risk alert reminding advisers of their fiduciary duty to their clients. On this episode of The Synergy Compliance Podcast, we hear from former SEC Examiner, Andrew Schuster, on what regulatory exams look like from the other side of table, particularly in the context of the recent SEC risk alert. 

Andrew left the Commission to launch ClearView Regulatory Compliance, where he helps advisers prepare for SEC examinations through mock exams, exam support, and remediation built on how examiners actually assess risk in practice.

Whether you've already been through an exam, or are anticipating one in the future, this is a must listen for independent RIAs. Hone your compliance strategies by listening to advice from Andrew's nearly 30 years of experience.

What does it really take to turn charitable giving into an effective, compliant strategy?

In this episode, Scott P. Gill sits down with Theresa Curry, SVP of Charitable Gift Planning at Heifer International Foundation, to break down the real-world challenges behind philanthropic planning. Theresa shares practical insights on giving strategies, IRS rules, and how advisors can confidently bring philanthropy into client conversations.

Along the way, they unpack why so many donors misunderstand key rules around qualified charitable donations, how last-minute giving can create unnecessary risk, and what advisors should be doing earlier in the year to stay ahead. You’ll also walk away with simple, actionable tips for navigating complex regulations, building stronger donor trust, and aligning charitable intentions with meaningful impact.

Your firm’s tech stack may be creating compliance and cybersecurity exposure, even if everything looks fine on the surface.

In this episode of The Synergy Compliance Podcast, host Scott P. Gill is joined by David Gill and Darian Powell to unpack the hidden risks of fragmented advisory firm tech stacks. Together they discuss why risks often surface at the worst possible time: during a cybersecurity incident. This conversation highlights practical lessons about visibility, ownership, and governance as firms scale. 

On this episode of The Synergy Compliance Podcast, host Scott P. Gill is joined by the founder of reframeRIA, Ryan Dau. Their conversation touches on Ryan's own journey in finding his client niche and why it mattered to the growth of his business.

Creating a niche isn't about limiting your business, it's about dialing in your message and operations in order to gain traction faster, differentiate with purpose, and build a brand that resonates. This is a must listen episode for business owners that are interested in sharpening their focus and scaling their practice.

In this episode of the Synergy Compliance Podcast, Scott P. Gill and guest Eric Moeller, explore how operational workflows and compliance requirements are deeply interconnected. They discuss real challenges firms face when managing tasks such as mutual fund share class reviews, state client‑count tracking, and maintaining advisory contracts and IPS documentation.

Scott and Eric break down the impact of internal vs. external control systems, highlight common pitfalls, and offer practical insights for building stronger operational structures that support accurate, efficient, and regulator‑ready compliance programs.

In this episode, Scott P. Gill is joined by Synergy's Director of Strategic Management, David Gill, to discuss the Artificial Intelligence revolution. The one big takeaway from their conversation? AI is essential for businesses at all levels to foster growth, process enhancements, and efficiency. Scott and David share practical advice on embracing new technology and the benefits of staying ahead of inevitable change.

As we step into January 2026, many financial advisers face the annual hustle of tax season. In the latest episode of the Synergy Compliance Podcast, host Scott P. Gill emphasizes the critical compliance considerations that Registered Investment Advisers must keep in mind when offering tax services. Eric Moeller is a featured guest and offers critical insights to this complex service offering.

In this conversation, Scott P. Gill and Eric Moeller discuss the complexities of managing tiered service offerings and the potential impact on client relationships.

This episode highlights how the widening gap between service tiers can lead to feelings of undervaluation among lower-tier clients, emphasizing the importance of maintaining balance and visibility across all tiers to foster positive relationships.

In this episode, Scott P. Gill interviews Ben White, Senior Director of Public Policy at ⁠Pontera⁠, about the role of third-party platforms in financial services, regulatory scrutiny, and the importance of data aggregation for investment advisors.

Together they discuss the implications of Texas guidance on data aggregation, the principles-based compliance approach, and the future of Pontera in providing holistic financial planning solutions for clients.