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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.
07 Leveraging Sub-Advisers and Third-Party Managers
The use of sub-advisers and third-party managers can be a major value add for firms that offer portfolio management. However, if not implemented correctly, using an outside service could lead to regulatory examination deficiencies.
Listen in as host Scott P. Gill and compliance consultant, Eric Moeller, talk about the three areas of compliance to consider before making changes to your firm's operations.
06 Risk vs Security
In this episode, small business and IT expert, Marc Gibson, joins host, Scott P. Gill, to talk about the difference between risk and security. It's critical for business owners to understand their separate functions, and how they each relate to a firm's compliance program.
Marc is the CEO and Lead Strategist of DThree Technologies. Founded in 2019, their mission is to empower entrepreneurs through technology.
05 Structure Through Process, Power Through Data
Episode 5 of The Synergy Compliance Podcast is chock full of valuable insights from Synergy's Business Process and Systems Manager, Darian Powell. She recently sat down with host Scott P. Gill to talk about how to effectively run your firm by creating alignment between data collection and evaluation, and core processes and workflows that drive your businesses operations.
04 Fostering a Culture of Compliance
Tune in to hear Scott P. Gill chat with his long time friend and fellow compliance industry expert, Kristen Guerrero, as they talk about everything from navigating the registration process, to creating tailored compliance solutions for RIAs. Scott and Kristen share a similar consulting philosophy: ask the right questions to understand and support their clients.
Kristen is the owner of RIA Compliance Key and recently collaborated on Beyond the Broker: Navigation Financial Advisory Independence, a guide to building a thriving, independent advisory practice.
03 Borrowing Insights from Non-Financial Industries
Host Scott P. Gill sits down with David Gill in this episode of The Synergy Compliance Podcast to learn what valuable lessons we can learn from non-financial industries.
Tune in as they discuss lean operations and continuous improvement inspired by manufacturing and logistics industries; customer journey mapping and experience optimization inspired by the hospitality industry; data driven decision making and using KPIs inspired by startup culture; and cross-functional agility and internal collaboration inspired by the software development industry.
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.
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.