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/

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admin@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/

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Contact Catherine's Team:
admin@dominiones.com

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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/

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Contact Catherine's Team:
admin@dominiones.com

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Financial Advisors Want to Know: How to Serve More Clients Without Sacrificing Quality or Time - Ep. 84 Stephanie Bogan

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.

Stephanie Bogan is a leading practice expert, consultant, coach, speaker and author with 30 years of field-tested experience building, growing, and selling advisory firms. After selling her firm to a Fortune 200 company she retired to the beach in Costa Rica, and then un-retiring to share how she learned to create "high-performance happiness" for herself and her clients.

Key Podcast Takeaways:
Scaling with Intent: Scaling a wealth management practice is about optimizing the core functions (client base, staffing, and operations) before expanding. This ensures sustainable growth and avoids burnout.

P&L Mindset Shift: Advisors need to adopt a strategic mindset that prioritizes profitability, leveraging people, processes, and technology, rather than getting stuck in a personal P&L mindset that limits growth potential.

Client Segmentation: The practice of categorizing clients based on profitability and service needs is essential. Adjusting service models and pricing based on this segmentation allows for higher profitability and better client experiences.

Service Inflation vs. Fee Compression: Rather than lowering fees to compete, advisors should focus on offering a more specialized service, increasing the value provided, and justifying their fees through clear and consistent deliverables.

Aligning Growth and Fulfillment: Successful growth isn’t just about increasing revenue; it’s about aligning your practice’s business model with your personal values and ensuring that you deliver high-quality service while maintaining a work-life balance.

Connect with Stephanie:
https://www.linkedin.com/in/sbogan/
https://limitlessfa.life/

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

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Financial Advisors Want to Know: Key Insights on Buy-Sell Agreements and Succession Planning Ep. 83 Paul Hood, Jr.

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.

Paul Hood Jr., JD, LLM, is a nationally recognized estate and tax planning attorney, author, and speaker with decades of experience helping families and advisors navigate complex legal and financial matters. He has written over 500 professional articles and several books, including Yours, Mine & Ours: Estate Planning for People in Blended or Step-Families. Known for combining deep technical expertise with practical insights, Paul is a sought-after thought leader in the fields of estate planning, tax law, and family governance.

Key Takeaways:
Buy-Sell Agreement Pitfalls: Over 90% of the buy-sell agreements reviewed by Paul are defective in some form, often due to unclear language or lack of consideration for real-world scenarios.

Importance of Regular Review: Many advisors fail to revisit and test their buy-sell agreements regularly, often leaving critical aspects like triggering events, valuations, and payouts unaddressed.

Fire Drill Method: Paul recommends doing a "fire drill" by walking through your buy-sell agreement as if a triggering event has just occurred. This exercise will highlight potential gaps or issues in your agreement that need to be addressed.

The Role of CPAs in Succession Planning: CPAs play a crucial role in ensuring that a buy-sell agreement aligns with tax considerations, especially for closely held businesses, S Corps, or LLCs, to avoid unnecessary tax consequences like wasted basis.

Client Education and Value: Using tools like the Buy-Sell Options Grid can add immense value to your clients by giving them a clear understanding of their buy-sell agreement and facilitating better planning and communication.

Connect with Paul:
https://www.linkedin.com/in/lpaulhoodjrjdllm
https://paulhoodservices.com/

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https://www.linkedin.com/in/ctindallcpa/

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Financial Advisors Want to Know: How Video Can Build Your Brand and Attract Clients - Ep. 82 Laura Garfield

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.

Laura started her career in broadcast journalism learning how to ask the right questions to get to the heart of the story. In 2014, she co-founded Idea Decanter to help advisors leverage digital content to build authority and grow their businesses.

Key Takeaways:
Video is Essential for Modern Client Engagement
Advisors who use video marketing effectively are seeing significant results in building relationships and gaining client trust, especially as more consumers prefer to watch rather than read.

The First 5 Seconds Matter
When creating videos, the first few seconds are critical in grabbing the viewer's attention. Advisors should focus on delivering value immediately rather than introducing themselves or giving a general background.

Video Builds a Stronger Connection
Including video on key pages like your website's homepage and bio page helps prospects connect with you more effectively, fostering a stronger relationship even before they meet you in person.

Use Video as Part of Your Lead Funnel
Video should be integrated into your email lead funnel. Advisors who use videos to introduce themselves or explain key topics have prospects arriving feeling like they already know them, making for smoother, more productive meetings.

Consistency is Key to Success
Advisors who have embraced video marketing for several years and remained consistent have seen their businesses grow. Success comes from making the decision to start, and then sticking with it. The more you do it, the better you get at it.

Connect with Laura

Laura's Website

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Financial Advisors Want to Know: Is Going RIA the Right Move for You? Ep. 81: Shelby Nicholl

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.

About Shelby Nicholl:
Guiding Financial Advisors to a More Fulfilling Future: If you’re feeling stuck or underwhelmed at your current firm, let’s talk. We help you envision your dream practice, explore your options, and launch the practice you truly deserve. Specializing in helping advisors break away from firms like Edward Jones, Merrill Lynch, and large RIA conglomerates.

Host of the Kick It Open podcast: We interview top advisors and corporate leaders in wealth management who are excelling in both business and life. It’s time to open the doors to advisor success.

Founder of the Muriel Network Community: After reaching top leadership ranks at two broker-dealers and often being the only woman in the room, I founded Muriel Network. It’s a place for women in wealth management to connect, inspire, and build confidence. Let’s break open doors to women’s success.

Fun Fact: The name "Muriel" honors Muriel Siebert, the first woman member of the NYSE and the original Fearless Girl, who broke away to form her own firm when others wouldn’t pay her what she was worth.

5 Key Podcast Takeaways:
Understand Your Practice’s Needs: To determine whether going RIA is right for you, start by evaluating your functional, financial, and personal needs. This includes identifying what services you need, your current financials, and your own values and goals.

Tech Stack and Compliance Are Key: The foundational elements like your tech stack, custodians, and compliance partner are essential to getting the transition right. Sticker shock can be a reality, but understanding these costs upfront will help with decision-making.

When to Go RIA: While you can technically start your own RIA with minimal assets, a practice typically becomes ready when you have over $100 million in assets, allowing you to register with the SEC and simplify the process.

The Importance of Team Engagement: If you're transitioning with a team, involving them early in the decision-making process is crucial. Change can be overwhelming, and ensuring your team feels part of the journey will help with smoother integration and retention.

The Emotional Component: Advisors may struggle with the emotional attachment to the broker-dealer model, especially when giving up long-held industry credentials. It’s important to recognize the emotional side of the transition and be ready to embrace the future.

Connect with Shelby:
https://www.linkedin.com/in/shelbynicholl
https://www.murielconsulting.com/

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

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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

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Financial Advisors Want to Know: How to Scale Your Team for Growth in Wealth Management - Ep. 80 Michael Connaughton

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.

Michael Connaughton is a founding partner of Lead Advisor, LLC, a firm specializing in talent attraction and professional development within the wealth management industry.

Michael entered the wealth management field in 2007 and has held leadership positions at Fortune 500 financial services firms. His passion for working with advisors and leaders of growing wealth management businesses led him to establish Lead Advisor, allowing him to make a broader impact on the industry.

He has been quoted in publications such as Barron’s and The Daily Upside and featured on industry podcasts. A Certified Financial Planner, Michael serves on the board of the Financial Planning Association of New England and is a host of the chapter’s podcast.

Michael is a graduate of Providence College and lives in the Greater Boston area with his wife, daughter, and two sons.

Key Takeaways:
Hiring is Key to Scaling: Once you solve the client acquisition problem, the next big challenge for wealth management firms is building the right team to scale. Hiring the right talent is critical for creating more capacity and achieving long-term growth.

Turnkey Models Can Ease the Transition: Many advisors fear the unknown when moving into independent practice, but turnkey models provide a way to smoothly transition by offering support in areas like compliance, operations, and strategy consulting.

The Rise of Service Advisor Roles: A growing trend in wealth management firms is the creation of service advisor roles, where advisors support clients post-meeting and help move the sales process along, allowing lead advisors to focus on business development and high-level client interactions.

Balancing Lifestyle and Growth Goals: Whether a firm is aiming for massive growth or focusing on a lifestyle business, it’s important to have a clear structure in place. Building infrastructure and having the right talent in place will help a firm move from one plateau to the next.

The Importance of Onboarding and Retention: A structured onboarding process for new hires is essential for their long-term success. Firms should focus on creating a clear path for career advancement and ensure new hires feel integrated and valued from the start.

Connect with Michael:
https://www.linkedin.com/in/michael-p-connaughton-cfp%C2%AE-clu%C2%AE-chfc%C2%AE-5601535/
https://www.lead-advisor.com/
https://jobs.lead-advisor.com/

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https://www.linkedin.com/in/ctindallcpa/

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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

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