Tag: Compliance
The WealthStack Podcast: How AI Is Reshaping the Advisor Experience with Mark Gilbert

The WealthStack Podcast: How AI Is Reshaping the Advisor Experience with Mark Gilbert

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The rise of AI is creating a pivotal shift in wealth management—streamlining operations, enhancing client engagement, and helping advisors scale. While some firms remain hesitant, the future belongs to those embracing AI not as a replacement but as a co-pilot that empowers them to serve clients better and grow more efficiently.

In this episode of The WealthStack Podcast, host Shannon Rosic, director of WealthStack content and solutions, sits down with Mark Gilbert, founder and CEO of Zocks, to explore how AI is redefining client intelligence, product reliability, and compliance in the advisor tech stack. 

Shannon and Mark discuss:

  • How AI is being used to automate emails, capture meeting dat,a and reduce manual tasks
  • Why the first 60 days of tech adoption are crucial for long-term success
  • How client intelligence tools can surface key life events and strengthen relationships
  • The critical importance of data privacy, complianc,e and advisor control in AI systems

Connect with Shannon Rosic:

Connect with Mark Gilbert:

About Our Guest:

Co-founding and leading Zocks for over two and a half years, they’ve pioneered a privacy-first AI platform for financial services that revolutionizes data capture from conversations. This role has allowed Mark Gilbert to leverage his skills in AI, enterprise, and fintech Platforms, as well as Go-to-market Strategy. 

Prior to Zocks, he held executive product and technology roles at Twilio, Hearsay Social, and Microsoft after graduating with a Bachelor of Applied Science (B.A.Sc.) focused in Electrical Engineering from the University of Waterloo.

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The WealthStack Podcast: How Digital Vaults Empower Advisors and Families with Martha Underwood

The WealthStack Podcast: How Digital Vaults Empower Advisors and Families with Martha Underwood

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Digital vaults are revolutionizing legacy planning by providing a secure, centralized and accessible solution for managing critical documents and assets. In an era where families are geographically dispersed, and financial lives are increasingly complex, digital vaults enable the seamless organization and sharing of important information, such as wills, insurance policies, deeds and health directives. By empowering individuals to grant controlled access to trusted advisors and family members, these tools bridge communication gaps and ensure that wishes are respected during life’s critical moments. 

Born out of a personal crisis during Hurricane Irma, Prismm was Martha Underwood’s solution to a pressing problem: secure, centralized access to critical documents. Join host Shannon Rosic, director of WealthStack content and solutions, as she speaks with Prism’s founder about: 

  • The pressing need for seamless access to critical documents and assets
  • How Prismm differentiates itself with customer ownership of data 
  • The significance of client engagement in comprehensive financial planning 
  • Insights on leveraging AI for secure and effortless document management 
  • How evolving data regulations are shaping the landscape of digital vault offerings

Connect with Shannon Rosic:

Connect with Martha Underwood: 

About Our Guest:

Martha Underwood boasts over 8 years of extensive experience as a founder, leader, and speaker within the realms of technology and innovation. She is the visionary behind GetPrismm.com, a pioneering platform designed to facilitate the secure storage and accessibility of vital documents in anticipation of unforeseen circumstances. Her overarching goal is to spearhead the evolution of seamless wealth transfer processes, equipping individuals with the tools to meticulously plan their legacies.

Her fervor for disseminating insights and expertise regarding women’s leadership in the spheres of technology and innovation is palpable, making her a sought-after figure in the business landscape.

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Harnessing the Power of Testimonials for Business Growth with Andrew Johnson of Testimonial IQ

Harnessing the Power of Testimonials for Business Growth with Andrew Johnson of Testimonial IQ

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The use of testimonials creates a powerful opportunity to amplify the potential reach of positive experiences through word-of-mouth sharing to new audiences. For financial advisors, online reputation is becoming increasingly important as clients turn to digital channels for information. Understanding how to leverage testimonials effectively can be a game-changer for business growth.

In this episode of WealthStack, Shannon Rosic, Director of WealthStack Content & Solutions, chats with Andrew Johnson, CEO, and Co-founder of Testimonial IQ, about why financial advisors should care about Google reviews, the role of compliance in managing testimonials, and how to align online presence with real-world client relationships.

Shannon and Andrew discuss:

  • Understanding testimonials vs. endorsements
  • Overcoming the fear of feedback
  • What advisors need to know about SEO
  • Future trends in online reputation management and the role of AI in compliance

Connect with Shannon Rosic:

Connect with Andrew Johnson:

About Our Guest:

An experienced FinTech entrepreneur, Andrew previously co-founded Datalign Advisory, an RIA referral platform where he serves as a board advisor. Before Datalign, he worked in management consulting with a focus on B2C marketing and in product/operations strategy with Meta (Facebook). Andrew served for five years in the Navy as a Surface Warfare Officer, including two deployments on the world’s finest Destroyer, USS O’Kane. Andrew earned his MBA from the University of Virginia and his BS from Davidson College. He resides with his family in Denver, CO.

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