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The Synergy Compliance Podcast
Welcome to The Synergy Compliance Podcast where we discuss regulatory compliance for registered investment advisers, while remaining focused on empowering advisers to operate their business the way they want to run it.
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01 Advisory Fee Schedules
In this episode of the Synergy Compliance Podcast, host Scott P. Gill sits down with industry expert Eric Moeller to explore the ins and outs of RIA advisory fee schedules. They dive into the pros and cons of different pricing models—including AUM, flat fees, retainers, and hybrids—and discuss how firms can align their fee structures with both regulatory expectations and client value.
Whether you're refining your current model or building from scratch, this conversation offers practical insights and compliance considerations every RIA should know.
02 The Dos and Don'ts of CRM Management
In this episode of The Synergy Compliance Podcast, host Scott P. Gill sits down with Eric Moeller and Ashley Hunter to discuss the dos and don'ts of CRM management. Your CRM can either be an operational tool for compliance program management, or it can be a representation of the extent in which your compliance program lacks organization.
Listen in to learn practical tips and why keeping your CRM up to date benefits your compliance program.