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Are you haunted by your past compliance experiences? You're not alone! In this episode, we sit down with Kent Keister, compliance consultant and founder of Reliant, to demystify the world of compliance for RIAs. Kent brings humor, clarity, and loads of practical wisdom to a topic that usually makes advisors cringe. Whether you're thinking about going independent, already running your own firm, or just want to understand what your Series 7 really does for you (or doesn’t), this conversation is packed with insight and “ah-ha” moments.
Here’s what you’ll learn in this episode:
- The truth about the SEC vs. state regulation (and what that means for you)
- What needs to be on your compliance calendar and how often you should update your ADV
- Why you might not need your Series 7 anymore—and what you give up if you drop it
- How outsourcing compliance can actually free up your time and reduce risk
- Real talk on what happens if you neglect your compliance responsibilities (hint: probably not jail—but still not good)
Kent’s approach to compliance is refreshingly practical. He shares how he helps advisors stay ahead of the game without feeling overwhelmed or bogged down in legal jargon. Plus, we wrap with a few of his top productivity hacks as a business owner—including how turning off Outlook can be a game-changer.
Compliance doesn’t have to be scary. It can actually be your firm’s secret weapon for long-term success. Tune in and find out why Kent is the compliance person you actually want to talk to