The RIA Compliance Collective

Tales from the Crypto Introduction Topic 1 - Why are there so many crypto scams Topic 2 - What are the main types of crypto scams Topic 3 - How do some of them get so big? Topic 4 - Some of the biggest scams and Ponzi schemes in crypto are still going and still scamming people even after regulators have stepped in and labeled them as scams- how is that even possible? Topic 5 - What makes people fall for the scams? Topic 6 - Have scams negatively affected crypto, or is it just a phase that crypto will go past? Outro Speaker Bio: Erica Stanford is the author of Crypto Wars: Faked Deaths, Missing Billions, and Industry Disruption about the biggest hacks and scams in crypto. She is also the Founder of the crypto community, the Crypto Curry Club, which publishes Blockchain Industry Review.  She is a frequent speaker and commentator on both use cases and applications of cryptocurrency as well as on crypto scams. She is an Associate Guest Lecturer at Warwick Business School on crypto use cases. She is part of VC-backed crypto wallet and DEX startup Cent Finance. She also works part-time at CMS law firm advising on crypto and fintech strategy. Erica Stanford's Linkedin: https://www.linkedin.com/in/ericastanford/ Crypto Wars: Faked Deaths, Missing Billions and Industry Disruption about the biggest hacks and scams in crypto. https://www.amazon.co.uk/Crypto-Wars-Billions-Industry-Disruption/dp/1398600687/?geniuslink=true

Wes Stillman Bio:   Wes Stillman is the Chief Executive Officer of RightSize Solutions. After 30+ years of managing technology in high-level positions, Wes began RightSize Solutions in 2002 because RIAs needed a technology partner who really understood their needs. More than 13 years later, he remains committed to understanding every nuance of his clients’ businesses.   Topic I - What are some of the lessons learned in 2021?   Topic II - What the responsibilities that RIAs have when it comes to IT and cybersecurity?   Topic III - From a practical standpoint, what is the most important best practice that people should use?   Topic IV - What is Predictive Ransomware Protection?   Topic V - Even the SEC was a target of cyber-criminals, how did the happen?   Topic VI - Finally, where do you see the future of IT management and cybersecurity as we enter 2022?   Guest Speaker Information:   Wes Stillman, CEO LinkedIn: https://www.linkedin.com/in/wes-stillman-ba2a75/ Company Information:   RightSize Solutions Website: http://www.rightsize-solutions.com/ Company LinkedIn: https://www.linkedin.com/company/right-size-solutions/ In the News: https://www.rightsize-solutions.com/resources/in-the-news/ Tech Trends: https://www.rightsize-solutions.com/resources/tech-trends/ RightSize will be at the 2022 Investment Adviser Compliance Conference https://investmentadviser.org/events/compliance-conference/  

 Schwab E&O Update Show Notes Topic I: Schwab E&O Update Topic II: Crypto ETF Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com  Website: www.boxproinsurance.com  Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/  Advisors can email that address below and put in the subject line – “Do I meet the Schwab requirements?”  RIAview@BoxProInsurance.com Please attach a copy of the insurance coverage in place including the following.  E&OCyberCrime / Crime Bond

FINANCIAL ADVISOR SUCCESS TRAINING (FAST) PROGRAM Podcast Show Notes I. Intro II. How do you define brand? III. Four Steps to up-leveling your brand IV. Where do you go from there? Susan Danzig, Business Development Expert Website: https://www.susandanzig.com/ Phone: (925) 954-1773 Email: susan@susandanzig.com Facebook: https://www.facebook.com/SusanDanzigLLC/ LinkedIn: https://www.linkedin.com/in/susandanzig/ Go to www.financialadvisorsuccessquiz.com and take the quiz now.

E&O Digital Assets Intro Topic 1 - E & O trends Topic 2 - Digital Assets E & O Guest Speaker Info: Chad Ramberg, President Box Professional Insurance, LLC Phone: 817-865-1519 Email: Chad.Ramberg@boxproinsurance.com  Website: www.boxproinsurance.com  Chad's LinkedIn: https://www.linkedin.com/in/chad-ramberg-71278533/

Sebastian Skwarek is the Co-Founder of PreciseFP Company Website: https://precisefp.com/ 7 day Free trial: https://app.precisefp.com/signup Facebook: https://www.facebook.com/precisefp/ Twitter: https://twitter.com/PreciseFP LinkedIn: https://www.linkedin.com/in/sebastianskwarek/ PreciseFP LinkedIn: https://www.linkedin.com/company/precisefp---spectrum-input-llc-/

Brian Hahn Founder MTradecraft Linkedin: https://www.linkedin.com/in/jbrianhahn/   Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide.       MTradecraft Website: https://www.mtradecraft.com/ Phone: 210-264-2578 Email: info@mtradecraft.com LinkedIn: https://www.linkedin.com/company/mtradecraft/     Here is the webpage for Fieldcraft: https://www.mtradecraft.com/fieldcraft.html   Here is a Youtube video with a Demo: https://youtu.be/jcGhpMeza0I   If firms are interested, that can request a free demo account here: https://www.mtradecraft.com/fieldcraftdemo.html    

Podcast outline I.                    Intro II.                  Equipment Needed III.                Fiverr (Podcast name, Editing, Artwork) IV.               Podcast Recording (Zencastr) V.                 Podcast Publishing (Podcast.co) VI.               Audiogram (Headliner) VII.              Podcast Guests (Matchmaker) VIII.            Outro Samson Go Mic https://www.amazon.com/Samson-Mic-Portable-Condenser-Microphone/dp/B001R76D42/ref=sr_1_5?crid=3CXXKPKMHZUHE&dchild=1&keywords=samson+go+mic+portable+usb+condenser+microphone&qid=1625673465&sprefix=samson+go+mic%2Caps%2C206&sr=8-5 Jabra Elite 85t https://www.amazon.com/Jabra-Wireless-Bluetooth-Earbuds-Titanium/dp/B08HR78C46/ref=sr_1_1_sspa?dchild=1&keywords=jabra+elite+85t&qid=1625673593&sr=8-1-spons&psc=1&spLa=ZW5jcnlwdGVkUXVhbGlmaWVyPUExUlpLUVVFVDlMUTRDJmVuY3J5cHRlZElkPUEwMzEzMDEwM1BRN08wU0VUS1lZOCZlbmNyeXB0ZWRBZElkPUEwMjY0NTcxMlVMQlVNTEFFNkZMTCZ3aWRnZXROYW1lPXNwX2F0ZiZhY3Rpb249Y2xpY2tSZWRpcmVjdCZkb05vdExvZ0NsaWNrPXRydWU= Fiverr www.fiverr.com Zencastr https://zencastr.com/ Podcast.co https://www.podcast.co/ Matchmaker https://www.matchmaker.fm/home  

Jimmy Song is a Bitcoin developer, educator and entrepreneur. He's an open source contributor to many different Bitcoin projects. He is the author of Programming Bitcoin from O'Reilly, The Little Bitcoin Book and Thank God for Bitcoin. Jimmy writes a weekly newsletter, Bitcoin Tech Talk and has a podcast Bitcoin Fixes This Speaker Information: Jimmy Song Linkedin: https://www.linkedin.com/in/jimmysong/ Bitcoin Fixes This Podcast https://open.spotify.com/show/6jEPeE4yhsoZJrDRcs9dLN?si=etZGcr7sQReKYcYRop3o-Q&dl_branch=1

What the NFT? Intro Topic - What is an NFT? Topic - Compliance and NFT Topic - NFT and Charity Outro Speaker Information: Marc Moglen Principal, AU3d.IO Website: https://www.au3d.io/ LinkedIn: https://www.linkedin.com/company/au3dio/about/ Marc's LinkedIn: https://www.linkedin.com/in/marcmoglen/

Topic 1 - Why do I need to know my numbers? Topic 2 - What do the numbers tell me? Topic 3 - What's inside the numbers? Topic 4 - How do your numbers compare to others? Topic 5 - What is my Firm worth? Topic 6 - How do good numbers help throughout the year in the tax process? Topic 7 - What are the advantages of proactively planning the taxes? Topic 8 Is a valuation important for tax purposes? Topic 9 - What are the top items you would suggest an RIA firm discuss immediately with their tax advisor in 2020? Podcast guests: Rick Wilkens, CPA Co-Founder and Owner Elevate CPA Group Rick@elevatecpagroup.com Brian Nuttall, CPA, J.D. Co-Founder and Owner Elevate CPA Group Brian@elevatecpagroup.com www.elevatecpagroup.com

Intro Topic I: Changes in DOL  Topic 2: 5 Part Test Topic 3: Proposed exemptions Outro Department of Labor News Release https://www.dol.gov/newsroom/releases/ebsa/ebsa20200629  

Show Notes Brian Hahn Founder MTradecraft Linkedin: https://www.linkedin.com/in/jbrianhahn/ Speaker Bio: Brian is founded of MTradecraft in 2009. Mtradecraft serves all financial institutions, with focused expertise in the RIA, broker-dealer, hedge fund, and family office space. MTradecraft supports over 180 clients nationwide.   Intro Topic I – Problem with Basic Cyber Security Training Topic II – Issues with the SEC guidance regarding Cyber Security Topic III – Most significant Cyber Security Treats Topic IV – Password hygiene? Topic V – Brian’s superpower MTradecraft Website: https://www.mtradecraft.com/ Phone: 210-264-2578 Email: info@mtradecraft.com LinkedIn: https://www.linkedin.com/company/mtradecraft/

Marci is Founder and General Counsel of SilverBills.com which she launched in 2014. SilverBills receives, scrutinizes and stores clients’ household bills and ensures that bills are paid correctly and on time. SilverBills greatly reduces clients’ need for help writing checks and managing household bills, which can be a portal to fraud and theft. SilverBills provides services throughout the United States and often partners with families, financial planners, attorneys, and social workers.  SilverBills has been featured in numerous national publications and Marci speaks frequently on a variety of topics. SilverBills is also listed by AARP as a trusted COVID resource:  https://aarpcommunityconnections.org/helpful-resources/ Marci Lobel-Esrig Founder and General Counsel  SilverBills LinkedIn: https://www.linkedin.com/in/marci-lobel-esrig-73a19b1b/ SilverBills Website: https://www.silverbills.com/ LinkedIn: https://www.linkedin.com/company/silverbills-llc/ Facebook: https://www.facebook.com/silverbills360/ Twitter: https://twitter.com/silverbills?lang=en

Intro Topic I - Why do I need a succession plan if I don't plan on retiring? Topic II - How do I determine the value of my business / practice? Topic III - What should be considering if I am looking to break away from my current firm? Topic IV - Upcoming events  Speaker Bio Terry Mullen, CEO Truelytics Terry is a seasoned executive, board member, entrepreneur, and active private investor. After a 29-year career in Financial services distribution as a Senior Executive with AIG, Lincoln Financial, and Sun Life, among others, Terry took his entrepreneurial spirit and founded Truelytics.   Terry's in-depth knowledge of financial services and the relationships he has built will enable Truelytics to help advisors continuously improve their practice.  Using data analytics and benchmarking tools, Truelytics software shows financial advisors on how to easily value their business but, more importantly, identify and close any gaps they currently have.  Terry received a Bachelor's Degree in Business Administration and Finance from the University of Delaware. Terry lives in Pennsylvania and is the father of 7 children.   Terry's LinkedIn https://www.linkedin.com/in/terry-mullen-6931a86/  Terry's Twitter https://twitter.com/tmullen610?lang=en Truelytics Company Info.  https://www.truelytics.com/ Phone: 1 800-834-7494 Email:  info@truelytics.com   Linkedin: https://www.linkedin.com/company/truelytics/ Twitter: https://twitter.com/truelytics1 Facebook: https://www.facebook.com/truelytics1/ Youtube: https://www.youtube.com/channel/UCp5gVjuEBWciKIvKF_EL7AQ?sub_confirmation=1

Intro Leading with Compassion and Clarity During COVID by Dr. Josh Williams RIACC Q&A and Discussion Dr. Josh Williams is a Partner with Propulo Consulting, a global management consulting firm specializing in operational excellence and safety culture improvement. For over 20 years, Josh has partnered with clients around the world to drive increased discretionary effort and improved strategic execution. A partial list of clients includes Genentech, The Marines, Monsanto, NASA, Pfizer, Pratt and Whitney, Singapore Technologies and other companies in the biotech, aerospace, construction, oil and gas, military, utilities, and pharmaceutical industries. He’s the author of Keeping People Safe: The Human Dynamics of Injury Prevention and co-editor of Keys to Behavior-Based Safety. Josh also has more than 40 book chapters and articles in leading publications. Josh received the Cambridge Center National First Prize for his research on behavioral safety feedback and earned his Ph.D. in Industrial/Organizational Psychology at Virginia Tech. Company Info: Propulo Consulting Website: https://www.propulo.com/ LinkedIn: https://www.linkedin.com/company/propulo/ Youtube: https://www.youtube.com/c/Propulo/ Phone: 1-888-3-PROPULO Josh Williams, Ph.D Partner, Propulo Consulting Mobile Phone: 540-239-5626 Linkedin: https://www.linkedin.com/in/josh-williams-ph-d-25a9184/ RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io   Website: www.riacc.io   LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/   Twitter: https://twitter.com/RIAComplyCEP   Facebook: https://www.facebook.com/RIAComplianceConcepts/   Instagram: https://www.instagram.com/riacomplianceconcepts/   Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

Mike Langford is the founder and CEO of finservMarketing, a consulting firm that specializes in providing best in class marketing strategies and content creation for the financial services industry.   Outline:  Topic I Intro  Topic II - Mike's overview of modernizing the advertising rules  Topic III - Marketing vs Advertising  Topic IV - Testimonials, Endorsements, etc.  Topic V - Pre-Review and Approval  Outro  SEC Proposes to Modernize the Advertising https://www.sec.gov/news/press-release/2019-230  finservMarketing Website: https://www.finservmarketing.com/  Linkedin: https://www.linkedin.com/company/finservmarketing/  Facebook: https://www.facebook.com/finservMarketing/  Twitter: https://twitter.com/finsrvmarketing?lang=en  Truelytics podcast  https://blog.truelytics.com/topic/modern-financial-advisor-podcast   Social Financial (SoFin) podcast https://www.finservmarketing.com/the-sofin-podcast   The Advisor Financing Forum  https://www.finservmarketing.com/the-advisor-financing-forum  RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io  Website: www.riacc.io  LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/  Twitter: https://twitter.com/RIAComplyCEP  Facebook: https://www.facebook.com/RIAComplianceConcepts/  Instagram: https://www.instagram.com/riacomplianceconcepts/  Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

Clearing the Air IX Intro Topic I – Remote Regulatory Examinations Topic II – Wrap Fee Program Update Topic III – Financial Planning Retainer Model Outro Helpful Links: 5 tips to prepare for an RIA exam https://www.riacc.io/post/2017/10/13/5-tips-to-prepare-for-an-ria-exam SEC Wrap Fee Programs Investor Alert https://www.sec.gov/oiea/investor-alerts-and-bulletins/ib_wrapfeeprograms Financial Planning: Why retainer fees pose question for regulators? https://www.financial-planning.com/news/napfa-nasaa-discuss-retainer-fees Podcast Vendor Information Podacast.co www.podcast.co Company Information RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io  Website: www.riacc.io  LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/  Twitter: https://twitter.com/RIAComplyCEP  Facebook: https://www.facebook.com/RIAComplianceConcepts/  Instagram: https://www.instagram.com/riacomplianceconcepts/ Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

Topic I - Intro Topic II - SEC 8 major areas Topic III - Digital assets and electronic investment advice Topic IV - NASAA IA Section report Topic V - Outro SEC 2020 Examination Priorities https://www.sec.gov/about/offices/ocie/national-examination-program-priorities-2020.pdf NASAA 2019 Investment Adviser Section Report https://www.nasaa.org/wp-content/uploads/2019/06/2019-IA-Section-Report.pdf RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/

RIA Compliance Concepts Toll Free: 1-833-RIACCIO Email: info@riacc.io Website: www.riacc.io LinkedIn: https://www.linkedin.com/company/25040493/admin/updates/ Twitter: https://twitter.com/RIAComplyCEP Facebook: https://www.facebook.com/RIAComplianceConcepts/ Instagram: https://www.instagram.com/riacomplianceconcepts/ Guest Speaker Information: Chad Ramberg, President of Box Professional Insurance Linkedin: https://loom.ly/coLCBzQ Company Information: Box Professional Insurance Website:https://loom.ly/eziht3Y Company LinkedIn: https://loom.ly/wu8B7ck S&P 500 VS Claims Chart: https://loom.ly/Foniblg Host Information Ivan Barretto, Managing Director LinkedIn: https://www.linkedin.com/in/ivanbarretto30/ Megan Campbell, Managing Director LinkedIn: https://www.linkedin.com/in/megan-campbell-5016a442/ Collin O’Bryant, Senior Consultant LinkedIn: https://www.linkedin.com/in/collin-o-bryant-485416a1/