When it comes to regulatory risk, few areas are more visible, or more scrutinized, than marketing.

In this episode of The Wealth Horizon Podcast, Rosemary Denney is joined by Ted McCutcheon, founder of Securities Law Counsel, to explore how registered investment advisors can communicate with confidence while staying in bounds with the SEC. With more than two decades of experience spanning enforcement, in-house roles and outsourced compliance, Ted offers a rare 360-degree view of what good marketing compliance actually looks like.

Their conversation covers the most frequent missteps RIAs make: relying on outdated assumptions, using overly polished language or treating compliance as a separate function rather than a shared responsibility. Ted also breaks down the current SEC rules on testimonials, third-party rankings and performance advertising, clarifying what firms can do and where caution is still needed.

Ted offers a practical perspective on how marketing and compliance can support one another when approached thoughtfully to help firms communicate clearly while minimizing regulatory risk.

In the episode, Ted and Rosemary go over:

• Why compliance shouldn't be siloed, and how to integrate it across functions
• How to approach marketing materials without attracting regulatory scrutiny
• What's really allowed when it comes to testimonials, ratings and performance claims
• Where AI fits into the SEC's focus (and where it might be headed next)
• How to use the SEC's April 2024 Risk Alert as a practical guide for your team

This episode offers clear guidance for advisors who want to communicate effectively without crossing regulatory lines, especially when developing websites, pitch materials or broader messaging.

What makes a great leader in today's multifamily office landscape? Strategy still counts, but the leaders making the biggest impact are also strong communicators, good listeners and thoughtful storytellers.

In this episode of The Wealth Horizon Podcast, host Rosemary Denney of Wealth Matters Consulting sits down with Kristen Oliveri, senior family office advisor at The UHNW Institute and founder of Wealth Reimagined. With a background in financial journalism and over two decades of experience in the wealth management space, Kristen brings a people-centered approach to a constantly changing industry.

Their conversation examines how leadership is responding to demographic shifts, growing generational divides and rising expectations from clients and team members. From succession planning and reverse mentorship to marketing in a digital-first world, Kristen shares what today's advisors need to understand and what tomorrow's leaders can't afford to overlook.

In the episode, Kristen and Rosemary discuss:

• The modern traits of effective leadership in multifamily offices
• Why EQ and communication are now non-negotiables
• How firms can adapt to serve women, next-gen clients and new wealth creators
• What marketing gets right, and wrong, about connecting with modern audiences
• How the most successful firms handle growth, succession and visibility
• Lessons from remarkable leaders who blend professional excellence with personal generosity

For advisors and executives dealing with growth, transitions or generational change, this episode offers a renewed take on what it means to lead with purpose.

In this episode of The Wealth Horizon Podcast, Rosemary Denney is joined by filmmaker, author and founder of StoryQ, Dr. Rick Stevenson, for a powerful conversation about the role of storytelling in family legacy, emotional intelligence and multi-generational wealth planning.

With insights gained from more than 7,500 interviews across six continents, Rick explains how storytelling goes beyond connection. It's a way to spark reflection, deepen relationships and preserve wisdom. He also speaks directly to wealth advisors, with a reminder that, while numbers may be familiar territory, they rarely create lasting loyalty. As Rick puts it:

"It's not the thing your client needs most, and it's not the thing that ultimately holds the client."

Rick shares more insight during the episode, including:

• Why wisdom, not wealth, is the cornerstone of lasting family legacy
• How StoryQ's method turns interviews into revelation
• What families gain when all generations have a voice
• Why emotional connection matters more than ever in advisor-client relationships
• How legacy storytelling can shift the conversation and strengthen retention

This episode is for anyone thinking about how to preserve more than just assets and how real connection, built through storytelling, helps families understand and carry forward what matters most.

Learn more at storyq.com.