Tag: Artificial Intelligence
AI, Compliance, and the New Rules of Advisor Marketing with Jared Margolies (Ep. 124)

AI, Compliance, and the New Rules of Advisor Marketing with Jared Margolies (Ep. 124)

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AI can help financial advisors create content and work more efficiently, but what happens when client data, advertising rules, and compliance enter the picture?

In this episode, Jeremy Houser speaks with Jared Margolies, Director of Compliance at Simplicity Group Holdings, about AI, cybersecurity, advertising, and advisor marketing. Jared explains what advisors should consider before sharing data with AI tools, how compliance teams can support content creation, and where testimonials, online reviews, performance claims, and social media can create regulatory concerns. 

Jared discusses:

  • How AI tools can create privacy concerns when advisors upload client information without reviewing data policies
  • Why free AI tools and note takers deserve additional scrutiny before they’re used with client information
  • How advisors can use AI as an initial content check while still relying on formal compliance review
  • Why testimonials, online reviews, and performance claims require careful disclosures and supporting context
  • How a regular content calendar and pre-reviewed materials can reduce friction between marketing and compliance
  • And more!

Connect with Jared Margolies:

Connect with Jeremy Houser:

About Our Guest:

Jared Margolies is Director of Compliance at Simplicity Group Holdings, where he has been part of the organization since 2019. Throughout his time with Simplicity, he has served in several compliance leadership roles, including Chief Compliance Officer for Simplicity Financial Investment Services, Simplicity Wealth, Simplicity Solutions, and RetireOne. Jared has also helped develop advertising workflows, cybersecurity processes, and technology initiatives across the organization. Before joining Simplicity, he worked with AXA Equitable, now Equitable, where he gained experience in front-facing supervision and retail sales oversight. Today, his work includes helping advisors address compliance considerations related to advertising, AI, cybersecurity, client communications, and emerging technology.

Disclosure #: 5928357 – 1026

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Preparing Your Advisory Practice for AI, Wealth Transfer, and Succession (Ep. 123)

Preparing Your Advisory Practice for AI, Wealth Transfer, and Succession (Ep. 123)

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Financial advisory firms are facing major changes in how clients find advisors, how practices grow, and who will serve the next generation of investors. Preparing early can make those changes easier to manage.

In this episode, Jeremy Houser explores how independent financial advisors can build stronger businesses through systems, team development, digital visibility, and succession planning. He examines the coming advisor retirement wave, the trillions of dollars expected to change hands, and how AI is changing advisor discovery. Jeremy also shares lessons from recent advisor events about leadership, client experience, content, and preparing a practice for long-term continuity.

Key points:

  • How advisor retirements and limited succession planning could put trillions of dollars of client assets in motion
  • Why independent advisors need systems and team structures that reduce dependence on the founder of the practice
  • How AI search, AEO, and website content are changing the ways prospective clients discover financial advisors
  • Why younger generations receiving transferred wealth may expect different communication and digital experiences
  • How consistent content, leadership development, and defined roles can prepare an advisory firm for future growth
  • And more!

Connect with Jeremy Houser:

Disclosure #: 5901513 – 0926

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Using AI to Build a More Efficient Financial Advisory Practice with Greg DuPont (Ep. 119)

Using AI to Build a More Efficient Financial Advisory Practice with Greg DuPont (Ep. 119)

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Financial advisors are under pressure to serve more clients, improve efficiency, and keep up with rapidly changing technology.

How do you use AI without losing the personal relationships that clients value most? And where should advisors begin if they want technology to improve their daily work instead of creating more complexity?

In this episode, Jeremy Houser sits down with Greg DuPont, JD, CFP®, CEO of Advocate Wealth Solutions and host of The March to a Million Podcast, to discuss how AI is reshaping advisory firms from the inside out. Greg shares how he’s built AI into his planning process, why he believes human relationships become even more valuable as technology improves, and how automation is helping him create better experiences for clients while operating a leaner business. They also explore estate planning, advisor productivity, and the growing need for tax education as more families prepare to transfer wealth.

Key takeaways:

  • Building AI systems that support advisors without replacing personal relationships
  • Using estate planning conversations to attract better-qualified prospective clients
  • Creating daily AI workflows that improve accountability and follow-through
  • Helping families understand retirement tax exposure before it becomes a surprise
  • Combining technology with human judgment to improve the client experience
  • And more!

Resources: 

Connect with Greg DuPont:

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About Our Guest:

Greg DuPont is the CEO of Advocate Wealth Solutions, an attorney, financial advisor, entrepreneur, and host of the March to a Million and Your Financial Advocate podcasts. Through his work, Greg helps attorneys, professionals, and business owners reduce lifetime tax costs, manage risk, and create financial strategies that support the lives they want to live.

Driven by his mission, “The March to a Million,” Greg aims to positively impact one million U.S. families by 2030 by helping them preserve more of their wealth through thoughtful tax planning, estate planning, and comprehensive financial guidance. He believes true financial planning extends beyond today’s tax return and focuses on reducing lifetime tax exposure while improving wealth preservation and transfer.

In addition to leading Advocate Wealth Solutions, Greg has mentored financial professionals across the country, is a contributing author to The Recipe for Success, and is an Expy Award-winning presenter for Business on Broadway. Outside of work, he’s a passionate supporter of The Ohio State Buckeyes and the Columbus Blue Jackets, enjoys cooking, and unwinds with a glass of red wine or a Bombay Sapphire martini.

Disclosure #5717546 – 0826

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AI, Investing, and the Future of Financial Planning with Benjamin Shiller (Ep. 117)

AI, Investing, and the Future of Financial Planning with Benjamin Shiller (Ep. 117)

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Technology is advancing quickly, and investors, business owners, and retirees are all trying to understand what it means for their future.

Will artificial intelligence create new opportunities, change career paths, reshape investing, or alter retirement planning? Understanding how innovation influences markets and personal finances may become increasingly important in the years ahead.

In this episode, Jeremy Houser welcomes Benjamin Shiller, Associate Professor of Economics at Brandeis University and Author. They explore how artificial intelligence could affect jobs, productivity, investing, and financial planning. Benjamin shares insights on market narratives, valuation concerns, the CAPE ratio, and the risks of chasing popular investments. 

The conversation also examines retirement planning, global investment opportunities, AI-related market enthusiasm, and why disciplined decision-making may matter more than reacting to headlines and trends.

Key takeaways:

  • How AI may reshape careers, productivity expectations, and long-term job stability for many workers
  • Why market narratives often influence investment decisions more than company fundamentals
  • How valuation metrics can help identify opportunities overlooked by popular market trends
  • Why diversification remains important during periods of enthusiasm around emerging technologies
  • How financial planning helps connect investment decisions to personal goals and risk tolerance
  • And more!

Resources: 

Connect with Benjamin Shiller:

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About Our Guest:

Benjamin Shiller is an Associate Professor in the Department of Economics at Brandeis University and the author of AI Economics: How Technology Transforms Jobs, Markets, Life, & Our Future.

His research primarily focuses on the economic impacts of digitization and new technologies. Within this domain, he has analyzed questions relating to personalized pricing, resale, and supplier coordination. His research has been covered in notable publications including The Atlantic, The Conversation, The Economist, Forbes, Fortune, The Guardian, VOX EU, and The Washington Post.

Disclosure #: 5566633 – 0726

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Using AI to Move Faster, Connect Deeper, and Win More Clients with Matt Halloran (Ep. 112)

Using AI to Move Faster, Connect Deeper, and Win More Clients with Matt Halloran (Ep. 112)

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Speed matters more than ever, but does faster mean less personal?

What if technology could actually help you build stronger relationships instead of replacing them?

In this episode, Jeremy Houser interviews Matt Halloran, Chief Evangelist at Zocks, about how AI is reshaping the way advisors operate and communicate. They explore how faster follow-ups, smarter systems, and better listening can transform client relationships. Matt also shares practical ways advisors can use video, social media, and AI tools to grow their business while staying human and present.

Key takeaways:

  • How rapid follow-up using AI can instantly set you apart from other advisors in competitive situations
  • Why thoughtful gestures, supported by AI insights, can strengthen relationships and build long-term trust
  • How simple, real-time video content after meetings can become your most effective marketing strategy
  • Why talking less and listening more creates stronger connections and better outcomes with clients
  • How integrating AI tools into your workflow can free up time and improve both efficiency and client experience
  • And more!

Resources: 

Connect with Matt Halloran:

Connect with Jeremy Houser:

About Our Guest:

Matt Halloran, widely known as MattGPT, is the Chief Evangelist for Zocks and a trusted voice at the intersection of communication, leadership, and technology in financial services. A seasoned keynote presenter, three-time author, TEDx speaker, and industry expert, Matt brings more than 15 years of experience as an advisor coach and practice management consultant, helping professionals transform the way they connect with clients, teams, and themselves.

Known for his warmth, authenticity, and signature “nice-guy rebellion,” Matt challenges outdated ideas of leadership built on pressure, perfection, and posturing. Instead, he champions a more human approach rooted in empathy, curiosity, and intentional listening. Over the course of his career, he has helped thousands of advisors and business leaders build deeper relationships, create more meaningful impact, and rediscover the joy in their work through genuine human connection.

Matt is the author of Shut the F Up and Listen, a practical and deeply relatable book that blends real-world stories, actionable exercises, and proven tools to help people reconnect in an increasingly noisy and distracted world. His widely viewed TEDx talk expands on this philosophy and introduces the HOPE framework, Helping One Person Every Day, illustrating how small, intentional acts of presence and compassion can compound into lasting personal, professional, and cultural change.

With appearances on more than 1,000 podcasts, Matt is a natural storyteller who brings a rare mix of wisdom, humor, and heart to every stage, conversation, and audience. Whether speaking to advisors, entrepreneurs, or leadership teams, his message consistently resonates because it is practical, honest, and deeply human.

At the core of everything Matt does is a simple but powerful mission: to help people communicate better, listen deeper, and lead with love—proving that in a world increasingly driven by automation, humanity remains the ultimate competitive advantage.

Disclosure #: 5366622 – 0426

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From Practice to Enterprise: Scaling with Intention with Duncan MacPherson (Ep. 91)

From Practice to Enterprise: Scaling with Intention with Duncan MacPherson (Ep. 91)

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Growth in financial advising demands a balance between serving current clients effectively and exploring transformative strategies for business development.

This week, Jeremy Houser engages Duncan MacPherson, founder and CEO of Pareto Systems, to uncover principles for scaling a financial advisory practice while enhancing client relationships. From mastering practice management to leveraging technology like AI, Duncan provides actionable insights to redefine value and elevate advisory practices.

Duncan discusses:

  • Strategies to strengthen client advocacy by focusing on existing relationships
  • The evolution from organic growth to scalable, team-oriented practices
  • The significance of creating structured processes to enhance business efficiency
  • The importance of balancing emotional intelligence with technological advancements
  • Steps for crafting a robust exit strategy that maximizes business value and legacy
  • And more!

Resources: 

Connect With Duncan MacPherson:

Connect with Jeremy Houser:

About Our Guest:

Driven by a deep passion for unlocking potential, Duncan MacPherson steers Pareto Systems in his role as CEO. Together with financial professionals and visionary firms, he is committed to designing businesses that achieve both profitability and purpose.

Duncan, alongside his team, leverages the unique ‘The Blue Square Method’ – a methodology inspired by best practices – to guide professionals toward discovering their ‘Blue Square.’ This represents the ideal state where their business activities are in perfect harmony with their passion and purpose.

As a speaker in high demand, he travels extensively throughout North America and around the world, conveying dynamic and fact-rich presentations that have made him a popular spokesperson for the Financial Services industry.

His expertise in demystifying business development and marketing in the financial world has universal appeal, from the high-level advisor to the successful wholesaler, to corporate financial institutions. His primary goal is to help Professionals achieve liberation and order in their businesses through step-by-step methodology and execution.

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FEATURE
Athene’s Strategy for Innovation and Customer Satisfaction with Mitch Anderson, CLU®, RICP®, CSSCS® (Ep. 40)

Athene’s Strategy for Innovation and Customer Satisfaction with Mitch Anderson, CLU®, RICP®, CSSCS® (Ep. 40)

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We all know that the insurance industry is facing challenges in the current market environment, but what are the solutions, and what does the future look like?

In this episode, Jeremy Houser speaks with Mitch Anderson, the VP/ Senior Relationship Manager at Athene USA. Mitch talks about Athene’s growth within the annuities space and their portfolio of volatility-controlled indexes. Additionally, Mitch shares the firm’s mission to continue providing innovative product solutions to their clients.

Mitch discusses: 

  • What you should know about Athene’s partnership with InsurMark
  • The awards that Athene won in 2022
  • The importance of volatility control indices and ways the firm selects their index partners
  • Some of the challenges Athene faced in scaling up their business and how they overcame them
  • Athene’s Roth conversion program
  • The value of educating clients on the differences between banks and insurance companies
  • What the future holds for the company
  • The importance of fixed index annuities in volatile markets and the benefits they offer for clients in drawdown situations
  • And more!

Connect with Mitch Anderson:

Book Time with Jeremy Houser: 

Connect with Jeremy Houser:

About Our Guest:

Mitch Anderson is a VP/Senior Relationship Manager for Athene USA and works with a number of our Key Distribution Partners.  Besides managing NMO relationships, Mitch frequently speaks at training events and helps educate advisors on the benefits of Fixed Indexed Annuities.  

For over 30 years, Mitch has worked in the insurance and financial services industry in a number of different roles, from wholesaling to sales management.

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