Financial Advisors Want To Know Podcast

Dominion Enterprise Services
  • 5.0 (4)
  • BUSINESS
  • UPDATED SEMIWEEKLY

Welcome to the Financial Advisors Want to Know Podcast Hosted by Catherine Tindall, CPA.Each short episode is a targeted topic for advisors looking to scale intelligently, save taxes, and build their practice to 7-8 figures the right way the first time. Join Catherine and the experts she brings on as you grow and scale your practice.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/9944b047d9Visit us at DominionEs.comConnect with Catherine on LinkedIn - https://www.linkedin.com/in/ctindallcpa/Connect with Catherine on Twitter - https://x.com/CTindallCPA

  1. Ep 100: Maximize Your Value: The Accounting & Tax Foundation of Business and Succession Planning

    13H AGO

    Ep 100: Maximize Your Value: The Accounting & Tax Foundation of Business and Succession Planning

    Maximize Your Value: The Accounting & Tax Foundation of Business and Succession Planning | Financial Advisors Want to Know Podcast with Catherine Tindall 👉 Access PPT slides here: https://www.dropbox.com/scl/fi/v82ojsq2oim0hosqujwgl/100th-Episode-Maximize-Your-Value-2026.pdf?rlkey=6zxg6iv2iukezikci7uplcrbo&e=1&st=oymxh1hi&dl=0 👉 Access video podcast here: https://youtu.be/rkpDdkkIK0o On this special 100th episode of Financial Advisors Want to Know, I’m walking through the accounting, tax, and strategic foundations that ultimately drive the long-term value of your firm. This episode is structured as a four-part framework—from building the right financial infrastructure, to implementing tax strategy, to preparing for succession both today and in the future. In this first release, we’re covering Parts 1 and 2, focused on getting your foundation right and understanding the tax strategies that actually move the needle. Part 1: Essential Accounting Infrastructure 🕒 0:00 – 24:00 Part 2: Common Tax Planning Opportunities 🕒 25:00 – 55:00 Key Takeaways: Part 1: Essential Accounting Infrastructure -Strong recordkeeping isn’t just compliance—it’s what enables real-time decision-making and accurate tax planning -Forecasting your income and tax liability during the year is critical to avoiding surprises and making proactive decisions -A systemized relationship with your numbers (and your CPA) matters more than any single tax strategy -Treat accounting like a routine business function—not a fire drill you revisit once a year Part 2: Common Tax Planning Opportunities -The biggest tax savings don’t come from tricks—they come from intentional, strategic reinvestment into your business -Start with “cashless” strategies (entity structure, PTE, QBI optimization) before deploying capital-heavy tactics -Always weigh the opportunity cost—don’t spend $1 just to save $0.35 in taxes -Your growth strategy and tax strategy should work together, not against each other 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

    57 min
  2. Ep 99: How to Prepare for an SEC Exam

    MAR 16

    Ep 99: How to Prepare for an SEC Exam

    Financial Advisors Want to Know Podcast: How to Prepare for an SEC Exam | Ep. 99 Chris Stanley 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 this episode, I sat down with Chris Stanley of Beach Street Legal to talk about how advisory firms can get their compliance systems in order for the year ahead. We discussed preparing for SEC exams, building processes that scale as firms grow, and the compliance habits that can prevent problems down the road. Key Insights: SEC Exams Are Ultimately “Books and Records” Exams Most SEC examinations come down to documentation. If policies, procedures, and compliance tasks aren’t documented, regulators will treat them as if they never happened. Compliance Should Be a System, Not a Fire Drill Firms should build recurring compliance processes—like a compliance calendar or checklist—so tasks become routine rather than rushed reactions when regulators ask for documents. Delegation and Technology Reduce Compliance Burden Chief Compliance Officers don’t need to personally execute every compliance task. Firms can use workflow tools, compliance software, and team delegation to manage responsibilities efficiently. Referral Compensation Comes with Regulatory Requirements Advisors can compensate CPAs and other professionals for referrals, but they must follow SEC marketing rule requirements, including written agreements, disclosures to clients, and regulatory checks on referral partners. Data Security and Incident Response Are Now Major Compliance Priorities Recent updates to Regulation S-P require firms to implement incident response programs, notify clients of breaches within specific timelines, and ensure vendors notify advisors within 72 hours if client data is compromised. Connect with Chris: https://www.linkedin.com/in/cdstanley/ Check out Chris's website: https://beachstreetlegal.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

    36 min
  3. Ep 98: Building the Right Legal Foundation for Your RIA

    MAR 2

    Ep 98: Building the Right Legal Foundation for Your RIA

    Financial Advisors Want to Know Podcast: Building the Right Legal Foundation for Your RIA | Ep. 98 Richard Chen 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. In this episode of Financial Advisors Want to Know, I sit down with RIA attorney Richard Chen to walk through the legal foundation every advisory firm needs—from entity selection and operating agreements to adding equity partners and planning for succession. We discuss the common structural mistakes advisors make early on, how S-Corp vs. partnership decisions impact future flexibility, and what firm owners should consider before pursuing internal or external exit strategies. Key Takeaways: Your Operating Agreement Is More Than Paperwork Governance, economics, and buy-sell provisions form the backbone of a multi-owner RIA. Without clarity upfront, disputes later get messy and expensive. Entity Choice Impacts Future Flexibility S-Corp elections may offer tax advantages—but they limit flexibility when adding equity, profit interests, or complex compensation structures. Have the “Fire Drill” Conversations Early Death, disability, voluntary exits, and terminations are uncomfortable topics—but far easier to plan for before there’s an actual crisis. Growth Changes the Structure Conversation Adding partners or equity later can expose structural limitations. Decisions made at formation can either enable or restrict future expansion. Internal vs. External Succession Are Fundamentally Different Internal transitions require long-term planning and financing creativity. External deals move faster but introduce integration, cultural, and employment considerations. Connect with Richard: https://www.linkedin.com/in/richardlchenesq Richard's Website: https://brightstarlawgroup.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

    29 min
  4. Ep 97: The RIA Lifecycle: From Launch to Growth to Exit

    FEB 16

    Ep 97: The RIA Lifecycle: From Launch to Growth to Exit

    Financial Advisors Want to Know: The RIA Lifecycle: From Launch to Growth to Exit | Ep 97. Patrick Burns 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. In this episode, I’m joined by Patrick Burns—managing attorney at the Law Offices of Patrick J. Burns and former president of Advanced Regulatory Compliance—to walk through the full lifecycle of an RIA. We cover what to get right in the early stage (foundational legal + people documents), what can go wrong in the growth stage (especially in M&A), and what firms should be doing years before an exit to protect valuation and reduce risk. Key Takeaways: Compliance isn’t the full foundation. Employment agreements, operating agreements, and HR policies prevent expensive disputes later. Partnership misalignment is predictable. Production gaps, role expectations (CCO/CFO/ops), and work-hour imbalance should be addressed before launching. In M&A, “fit” matters as much as numbers. Bad personality + messy earnouts can create major buyer’s remorse—even if the deal looks good on paper. Exit prep should start 2–3 years early. Clean financials, reduced liabilities, and organized documentation protect valuation and speed diligence. Internal succession is harder for 100% owners. Without equity, non-competes, capital, and next-gen leadership, internal buyouts are often riskier than expected. Connect with Patrick  Patrick's Website 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

    52 min
  5. Ep 96: Why Profitability Problems Aren’t Productivity Problems

    FEB 2

    Ep 96: Why Profitability Problems Aren’t Productivity Problems

    Financial Advisors Want to Know: Why Profitability Problems Aren’t Productivity Problems | Ep 96 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. In this episode of Financial Advisors Want to Know, I sat down with Stephanie Bogan to unpack one of the most common—and least understood—problems I see in advisory firms: growth that looks successful on the surface but feels exhausting underneath. Stephanie and I talk about what really happens when firms hit their capacity ceiling, why more revenue doesn’t automatically fix margin or time issues, and how misaligned pricing, service models, and leadership decisions quietly compound over time. We also explore why so many advisors try to solve profitability problems with productivity tools—and why that almost never works. This conversation is about moving from successful but stretched to successful and sustainable—with clarity, intention, and leadership that actually supports the next stage of growth. Key Takeaways Most growth problems aren’t growth problems—they’re capacity problems. Firms often outgrow their structure long before they realize it. You can’t fix profitability with productivity alone. Pricing and service-model misalignment is usually the real issue. Technology leverages teams, not advisors. Without the right client and team structure, tech only moves the needle marginally. Overdelivering to misaligned clients creates invisible weight. Providing “Four Seasons” service at “Holiday Inn” pricing erodes margins, morale, and joy. The real signal to pay attention to isn’t revenue—it’s how the business feels. If success doesn’t feel good, something is out of alignment—and ignoring it compounds the problem. Connect with Stephanie: https://www.linkedin.com/in/sbogan/ https://limitlessfa.life/ 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

    37 min
  6. Ep 95: Navigating Consolidation, RIAs, and Advisor Control

    JAN 19

    Ep 95: Navigating Consolidation, RIAs, and Advisor Control

    Financial Advisors Want to Know: Navigating Consolidation, RIAs, and Advisor Control Ep. 95 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. In this episode of Financial Advisors Want to Know, we sit down with returning guest Shelby Nicholl to unpack what’s driving advisor movement right now. From industry consolidation and growing interest in the RIA model to the operational and emotional realities of breaking away, this conversation takes a practical look at how advisors are evaluating independence—and what it actually takes to do it well. Shelby shares what she’s seeing on the ground, common missteps advisors make during transitions, and why clarity around structure, messaging, and roles matters more than ever. Key Takeaways: Consolidation is accelerating advisor movement Large acquisitions are prompting advisors to rethink control, client ownership, and long-term fit. The shift to RIAs is about freedom—not just economics Advisors want flexibility in technology, custodians, services, and how they run their firms. Transitions fail when branding and messaging are an afterthought Clear, consistent communication is critical to client confidence during a move. Multi-partner breakaways require an equity mindset—not a split mindset Moving from income splits to shared ownership introduces complexity that must be addressed early. Going independent isn’t always the right answer Build vs. join decisions should be driven by team size, personality, risk tolerance, and which “buttons” an advisor actually wants to push. Connect with Shelby:  https://www.linkedin.com/in/shelbynicholl/ Shelby's Website: https://www.murielconsulting.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

    31 min
  7. Ep 94: Why Client Reviews Are No Longer Optional

    JAN 5

    Ep 94: Why Client Reviews Are No Longer Optional

    Financial Advisors Want to Know: Why Client Reviews Are No Longer Optional | Ep. 94 Whit Lanier 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. In this episode we are with Whit Lanier, CEO and co-founder of Amplify Reviews, to unpack how online reviews are reshaping trust, visibility, and growth for advisory firms. The conversation explores the post–SEC Marketing Rule landscape, why review adoption is accelerating fast, and how advisors can implement testimonials in a compliant, authentic way. Key Takeaways: Online reviews are becoming inevitable — prospects expect them, even when referrals start the relationship. Adoption is accelerating fast — top RIAs saw 400% growth in review usage year-over-year. Fear of bad reviews is largely unfounded — dissatisfied clients rarely leave public reviews while staying clients. Reviews strengthen trust and visibility — especially for SEO and AI-driven search results. Done right, reviews deepen relationships — asking clients for feedback reinforces partnership, not ego. Connect with Whit: https://www.linkedin.com/in/whitlanier/ Amplify Reviews Website: https://amplifyreviews.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

    24 min
  8. Ep 93: What Women Want From Their Financial Advisor

    12/22/2025

    Ep 93: What Women Want From Their Financial Advisor

    Financial Advisors Want to Know: What Women Want From Their Financial Advisor | Ep. 93 Dr. Barbara Provost & Maggie Nielsen, MBA 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. In this episode, we explore how financial advisors can build deeper trust, improve retention, and better support women clients—especially during major life transitions—by listening more intentionally and designing a client experience that truly meets their needs. Key Takeaways: Women aren’t a niche—they’re the majority decision-makers. Advisors who fail to intentionally serve women risk losing assets during major life transitions like widowhood or divorce. Trust is built through listening, not expertise alone. Women clients value being heard, understood, and included in the conversation just as much as technical competence. Life transitions are the critical moments that define retention. How advisors show up during emotionally complex events often determines whether a client stays or leaves. Process matters more than product. Clear communication, thoughtful planning frameworks, and consistent follow-through create confidence and long-term loyalty. Advisors who adapt their approach gain a real competitive edge. Firms that design their experience with women in mind don’t just retain assets—they grow through deeper relationships and referrals. Visit Purse Strings website:  https://pursestrings.co/ 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

    27 min
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About

Welcome to the Financial Advisors Want to Know Podcast Hosted by Catherine Tindall, CPA.Each short episode is a targeted topic for advisors looking to scale intelligently, save taxes, and build their practice to 7-8 figures the right way the first time. Join Catherine and the experts she brings on as you grow and scale your practice.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/9944b047d9Visit us at DominionEs.comConnect with Catherine on LinkedIn - https://www.linkedin.com/in/ctindallcpa/Connect with Catherine on Twitter - https://x.com/CTindallCPA

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