Tag: Advisor Marketing
How Financial Advisors Can Use Testimonials Without Compliance Trouble with Brian Thorp (Ep. 18)

How Financial Advisors Can Use Testimonials Without Compliance Trouble with Brian Thorp (Ep. 18)

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Online reviews can shape whether a prospect reaches out or keeps scrolling. But for financial advisors, testimonials come with compliance concerns, disclosure requirements, and questions about where reviews should live.

In this episode, Andrew Evans speaks with Brian Thorp, Founder and CEO of Wealthtender and Editor-in-Chief, about how advisors can use client testimonials while staying aligned with SEC marketing rules. They break down disclosure requirements, common compliance mistakes with Google reviews, and why many advisors still hesitate to ask for feedback. 

Brian also explains how SEO, AI search visibility, and review platforms are changing how advisors get found online.

Key takeaways:

  • Why advisors still hesitate to ask clients for reviews despite strong client relationships
  • The 3 disclosure requirements tied to publishing client testimonials online today
  • How review policies can help filter out non-client or outdated public feedback issues
  • Why Google reviews can create compliance concerns for financial advisory firms
  • How SEO and AI visibility can help advisors appear more often in online searches
  • And more!

Connect with Rossby Financial: 

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Connect with Brian Thorp: 

About our Guest: 

Brian Thorp is the founder and CEO of Wealthtender and Editor-in-Chief.

Brian believes everyone deserves help with money matters from someone they can trust, no matter their income or stage of life.

Brian is a member of the National Society of Compliance Professionals (NSCP) and its SEC Marketing Rule Working Group. Brian authored an article on the topic of advisor testimonials published by the NSCP in the February 28th, 2022, issue of Currents, the industry’s premier publication for 2,000+ compliance professionals. 

Brian was recognized by WealthManagement.com as one of its top 10 innovators and influencers set to change the wealth management industry in 2024.

Brian has positioned Wealthtender as the first financial advisor review platform designed to be compliant with the SEC Marketing Rule. Brian has also published a testimonial marketing playbook to help advisors and wealth management firms succeed with online reviews and has been featured on multiple podcasts and quoted in major publications discussing the topic.

Prior to founding Wealthtender, Brian spent nearly 22 years in multiple leadership roles at Invesco. In his most recent role, Brian served as Head of Financial Advisor Platforms with oversight for Invesco’s largest strategic partnerships with wealth management firms representing over $100 Billion in assets under management.

With over 25 years in the financial services industry, Brian is applying his experience and passion at Wealthtender to help more people enjoy life with less money stress.

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Why Advisors Struggle with Video (and How to Fix It) with Laura Garfield (Ep. 14)

Why Advisors Struggle with Video (and How to Fix It) with Laura Garfield (Ep. 14)

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Creating content can feel overwhelming, especially when time and skills don’t seem to align.

What actually works when it comes to video, and how can professionals stay relevant without burning out?

In this episode, Andrew Evans interviews Laura Garfield, Co-Founder of Idea Decanter, about why many advisors struggle with video content and how to approach it more effectively. They explore the pitfalls of doing everything yourself, the rise of AI-generated content, and the importance of authenticity. Laura shares insights from her State of Advisor Video Report, including how top advisors build simple, repeatable systems. The conversation also highlights trends like short-form attention grabbers and long-form depth for niche audiences.

Laura discusses:

  • Why many advisors waste hours editing video instead of focusing on client-facing work that drives value
  • How AI-generated content can appear convincing while delivering inaccurate or misleading information
  • The importance of building a simple, repeatable content system that saves time each month
  • Why specific, niche-focused content performs better in a crowded digital environment
  • The balance between short-form videos for attention and long-form content for deeper engagement
  • And more!

Connect with Rossby Financial: 

Connect with Andrew Evans: 

Connect with Laura Garfield: 

About our Guest: 

Laura Garfield spent her teenage years idolizing Jane Pauley and Katie Couric. A thirst for learning and a love of writing had her hooked on broadcast journalism – where you didn’t have to know everything except how to ask the right questions. After graduation, Laura landed her first news gig at a tiny TV station in Hastings, Nebraska. Over the span of more than a decade, she worked her way up through stations in Omaha and New Orleans to a position at CBS News in New York and then CNN in Atlanta. 

Along the way, she has written a book, worked as a foreign correspondent, and has lately been drawn to the emerging possibilities of digital storytelling. Instead of a company relying on a big ad spend, with the Internet, you can be a broadcaster of your own brand. Laura believes that all you need to pull it off is a talented content marketing team (like Idea Decanter!) to help you craft your message.

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