Financial Advisors Want to Know: How to Build Trust Quickly with Prospects and Clients - Ep. 87

Welcome to the Financial Advisors Want to Know Podcast, I’m Catherine Tindall a CPA with Dominion where our focus is helping financial advisors navigate income tax planning and compliance for their firms.

Colleen Bowler, CFP®, spent over 25 years building and growing her planning firm - biggest impact on the lives of families under their care. Now using that wisdom in her new firm C&J Innovations. Coauthor, Generous Kids & coach w/Strategic Coach.

Episode Takeways:
Ask Questions to Build Trust Quickly – Shifting the conversation from “me” to “them” accelerates rapport and shows clients you care about their goals, not just their portfolios.

Listen to Both Voices in a Household – Engaging both partners in financial conversations ensures long-term retention and helps avoid surprises when life changes occur.

Mindset and Purpose Over Returns – Understanding clients’ aspirations and mindset allows advisors to qualify prospects quickly, saving time and preventing non-aligned relationships.

Team Members Are Your A-Plus Clients – Investing in your team’s growth, goals, and satisfaction directly impacts client service and retention, creating a healthier firm culture.

Leverage Structured Assessments – Using a short, repeatable assessment helps uncover client pain points and goals upfront, leading to more meaningful conversations and efficient practice management.

Connect with Colleen:
https://www.linkedin.com/in/colleen-bowler-cfp%C2%AE-09576796/
https://thepassportpackage.com/

Connect with Catherine:
https://www.linkedin.com/in/ctindallcpa/

Sign-up for our newsletter:
https://dominion-enterprise-services.kit.com/9944b047d9

Contact Catherine's Team:
admin@dominiones.com

Looking for a more holistic relationship with your taxes? Book 15 minutes to have a coffee chat with Catherine to see if you could be doing more: https://calendly.com/ctindall/podcast-getting-to-know-you

Sign-up for our newsletter for the only tax update you’ll need to read and future episodes here and how to get in touch with Catherine: https://dominion-enterprise-services.ck.page/9944b047d9

Visit us at DominionEs.com

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Financial Advisors Want to Know: Simplifying Health Insurance for Your Practice and Clients - Ep. 86

Welcome to the Financial Advisors Want to Know Podcast, I’m Catherine Tindall a CPA with Dominion where our focus is helping financial advisors navigate income tax planning and compliance for their firms.

On today's episode we have Christine Simone. Previous founder & CEO at Caribou, now leading Partnerships and Product at Move Health. At Caribou, Christine led the creation of the first technology-driven healthcare planning platform for financial advisors, helping define and establish a new category within wealth management. Under her leadership, Caribou’s flagship software, HealthPlanner, became a Wealthie Award-winning platform and was named a T3 “All-Star” in the Technology for Today survey two years in a row—an accolade achieved by few companies among hundreds.

The company’s acquisition by Move Health in January 2025 expanded its reach across health insurance enrollment, benefits guidance, and integrated financial planning. In addition to empowering a team to grow the company from inception to acquisition, Christine also assembled a distinguished Board and investor group, including leading voices from Silicon Valley and the wealth management industry.

Christine was recently recognized on Forbes 30 Under 30 in the Healthcare category and WealthManagement.com's Top 10 to Watch in 2024, a testament to the incredible work that her team does in these two areas!

Key takeaways from podcast:

• Health Planning is Critical but Often Overlooked: Advisors often miss health insurance and costs when building client financial plans, creating gaps in understanding and client confidence.
• Start With Yourself: Advisors should first explore their own health planning and administrative processes before offering insights to clients—this builds experience and credibility.
• Leverage Expert Partnerships: Advisors don’t need to be insurance experts; identifying opportunities and connecting clients with trusted partners ensures coverage and reduces operational drag.
• Holistic Financial Advice Boosts Client Relationships: Discussing health insurance and costs strengthens trust, deepens relationships, and differentiates advisors in a crowded market.
• Timing and Process Matter: Advisors can integrate health planning into client touchpoints (e.g., Medicare or marketplace open enrollment) using efficient workflows, portals, and checklists to streamline implementation.

Connect with Christine:
https://www.linkedin.com/in/christinesimone3/

Move Health's website:
https://movehealth.io/

Connect with Catherine:
https://www.linkedin.com/in/ctindallcpa/

Sign-up for our newsletter:
https://dominion-enterprise-services.kit.com/9944b047d9

Contact Catherine's Team:
admin@dominiones.com

Looking for a more holistic relationship with your taxes? Book 15 minutes to have a coffee chat with Catherine to see if you could be doing more: https://calendly.com/ctindall/podcast-getting-to-know-you

Sign-up for our newsletter for the only tax update you’ll need to read and future episodes here and how to get in touch with Catherine: https://dominion-enterprise-services.ck.page/9944b047d9

Visit us at DominionEs.com

Connect with Catherine on LinkedIn

Financial Advisors Want to Know: Key Compliance Missteps and How to Avoid Them Ep. 85 Kent Keister

Welcome to the Financial Advisors Want to Know Podcast, I’m Catherine Tindall a CPA with Dominion where our focus is helping financial advisors navigate income tax planning and compliance for their firms.

Kent Keister is the founder of Reliant Compliance, launched in 2020 to provide tailored, common-sense compliance solutions to RIAs across the U.S. With over 20 years in financial services compliance, Kent has served as a Senior RIA Consultant, CCO, Director of Compliance, and more—working with SEC- and State-Registered RIAs, hybrids, broker-dealers, and dual registrants.

Key Takeaways:
Understand Compliance vs. Business Growth: Compliance doesn't have to be an obstacle to growth; when properly managed, it can actually strengthen your firm.

Common Missteps: Advisors often make the mistake of not updating compliance manuals or documents, which can leave them exposed.

The Challenges of Going Independent: Transitioning from a wirehouse or broker-dealer to an independent RIA requires careful consideration, particularly when it comes to compliance responsibilities.

Off-Channel Communications: Texting, emails, and Zoom calls need to be documented properly to stay compliant with regulatory standards. Compliance doesn't mean restricting communication; it's about managing it correctly.

The Importance of Clear, Consistent Documentation: Inconsistent documentation—like mismatched terms between your website, ADV forms, and client agreements—can lead to significant compliance issues.

Connect with Kent:
https://www.linkedin.com/in/kent-keister/
https://reliantcompliance.com

Connect with Catherine:
https://www.linkedin.com/in/ctindallcpa/

Sign-up for our newsletter:
https://dominion-enterprise-services.kit.com/9944b047d9

Contact Catherine's Team:
admin@dominiones.com

Looking for a more holistic relationship with your taxes? Book 15 minutes to have a coffee chat with Catherine to see if you could be doing more: https://calendly.com/ctindall/podcast-getting-to-know-you

Sign-up for our newsletter for the only tax update you’ll need to read and future episodes here and how to get in touch with Catherine: https://dominion-enterprise-services.ck.page/9944b047d9

Visit us at DominionEs.com

Connect with Catherine on LinkedIn