The Synergy Compliance Podcast

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 phi...

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...

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,...

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 imp...

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 ah...

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 re...

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 Ponter...

In this episode, host Scott P. Gill is joined by special guest, Kent Keister of Reliant Compliance . As experienced compliance consultants, they share the opinion that a firm's Annual Compliance Review is one of the most important tasks for a firm to complete each year. You'll learn why this fundamental task is crucial in maintaining a strong compliance program, and assists with the operat...

Our host, Scott P. Gill, was recently featured on The Advisors Edge Podcast with Rob Jacomen & Chad Ramburg. They talk about going from being a solopreneur to building and scaling a successful firm, and the difficulties that business owners face when facing decisions they can't directly impact. Scott recommends having a strategy for the things you don't control and encourages swift and...

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...

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 entreprene...

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.

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 Complia...

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 decisio...

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 on the conversation with Scott, Eric, and Ashley...

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 yo...