Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa

Stop Selling & Start Showing Up

Paul Winkler started out so broke he "couldn't pay attention" (his words, not ours) — and built one of Nashville's most respected RIAs by doing the one thing nobody else was willing to do: teach. In this episode of Regulate THIS!, Leila and Tracie sit down with Paul Winkler — founder of Paul Winkler, Inc., SEC-registered RIA, multi-degreed scholar, licensed therapist, rock musician, and one of the few advisors out there who actually gets it. Paul shares the unfiltered truth about how he built a multi-office firm from the ground up, why hustle without heart will get you nowhere, and the marketing philosophy that took him from selling ad slots on a big band radio station to a thriving practice with clients who treat him like family. We get into: * Why "teach, don't sell" is the most underrated growth strategy in financial services * The mindset shift that turns prospecting fear into client magnetism * How systems (not hustle) actually scale a firm * Why compliance isn't a sales killer — it's a credibility builder * The E-Myth principle every RIA owner needs to hear before they burn out Paul also shares the moment a mentor told him "you're a teacher — teach" and changed the entire trajectory of his business. If you've ever wondered whether you have what it takes to build something real in this industry, this one's for you.

Does Your CCO Know What They're Doing?? Part-2

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?   Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't). Join Leila & Tracie for part 2 on "Does your CCO know what they are doing?".

Does Your CCO Know What They're Doing?? Part-1

Your CCO's resume looks impressive. But can they actually build a defensible compliance program, navigate an SEC exam, or implement policies that withstand regulatory scrutiny?   Because when regulators show up, you'll find out exactly what your CCO knows (or doesn't).

Beyond Checkbox Compliance- Pt.2 with Kenji Kawa

What does a former SEC enforcement turned My RIA Lawyer senior attorney have to say?? Dive into Regulate THIS where Kenji Kawa joins to share what RIA's are getting wrong and right.

Beyond Checkbox Compliance Pt.1 - with guest Kenji Kawa

What does a former SEC enforcement attorney and Goldman Sachs VP know about regulatory exams that you don't?   Everything. 🎯   Kenji Kawa joins Regulate THIS! to share what regulators are ACTUALLY looking for when they examine your firm—and why most RIAs get it wrong. Part 1 drops now, and stay tuned for part 2!