The WealthStack Podcast: AI’s Role in RIA Growth with John Wernz

Wealth management firms are sitting on a goldmine of expertise, but how much of that valuable content is actually reaching clients? As artificial intelligence makes video production faster, cheaper and more accessible, financial advisors have a new opportunity to turn existing content into personalized client communications at scale. But can they do it without sacrificing authenticity? In this episode of The WealthStack Podcast, host Shannon Rosic talks with David Moricca, founder and CEO of Socialive, about how AI-powered video is transforming advisor marketing, client engagement, and communication strategies. David explains how firms can repurpose existing thought leadership into engaging video content, streamline production while maintaining compliance, and use personalization to strengthen client relationships. Plus, he demonstrates how Socialive’s AI-powered Catalyst platform turns static content into ready-to-share videos in minutes. Key takeaways: Why video is becoming essential for advisor marketing and client retention. How AI can turn existing firm content into personalized videos at scale. Why authenticity matters more than AI avatars in client communication. How RIAs can balance AI-powered content creation with compliance. Which metrics matter most when measuring video marketing ROI. Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with David Moricca: LinkedIn: David Moricca LinkedIn: Socialive Website: Socialive About Our Guest: David Moricca is the founder & CEO of Socialive, an enterprise video creation & live streaming SaaS platform. Trusted by organizations from startups to the Fortune 100, Socialive brings unprecedented ease and scale to high-quality video content creation for teams across the enterprise. With 15 years of leadership and innovation in digital media, David is helping drive and shape the video-first communications revolution in business. Before Socialive, David developed and launched Scholastic’s first digital learning platform and worked as a strategy consultant at McKinsey & Company.

You’ve grown your advisory firm, hired people, and invested in technology. So why does every important decision still seem to land on your desk? For many founder-led firms, adding software and automation hasn’t solved the bigger problem: too much of the business still depends on the founder.  In this episode of The WealthStack Podcast, host Shannon Rosic talks with Brad Johnson, co-founder at Triad Partners, about founder dependence, delegation, firm design, and how AI fits into a growing practice. Brad explains why being a great financial advisor and being a great business owner are two different skill sets, and how separating roles and documenting processes can create capacity before any new tool is added. Key takeaways: Why more technology doesn’t always translate into greater advisor efficiency. How RIAs can adopt AI responsibly while protecting sensitive client data. Why delegation and executive assistants can unlock advisor capacity. How to build repeatable processes that support scalable RIA growth. Why measuring the value of an advisor’s time can transform business decisions. Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Podcast: Do Business. Do Life with Brad Johnson Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Brad Johnson: LinkedIn: Brad Johnson LinkedIn: Triad Partners Website: Triad Partners Website: Brad Johnson About Our Guest: Brad Johnson is a co-founder of Triad Partners, where he helps independent advisors grow their businesses without sacrificing their lives along the way. He has spent almost 20 years in finance and began his career at 26, working alongside advisors decades older than he. Brad hosts the Do Business. Do Life podcast. A background in computer information systems informs his approach to technology. He is a husband and a father of three. He credits his experience coaching advisors on sales processes, delegation, executive assistants, and AI adoption with shaping how Triad helps firms build repeatable, people-first businesses.

As artificial intelligence makes phishing, impersonation and identity theft increasingly sophisticated, cybersecurity risks are extending far beyond financial institutions and into clients’ personal lives. For wealth managers, protecting client assets now means thinking beyond portfolios to safeguard digital identities, personal information and the trust at the center of the advisor-client relationship. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Ken Eiden, vice president at Redacted by IDIQ, to explore how AI is reshaping cyber threats, why traditional identity monitoring may not be enough for high-net-worth clients and how advisors can take a more proactive approach to protecting clients and their families. Key takeaways: How AI is fueling more sophisticated phishing, impersonation and identity theft Why wealthy clients and their families face unique cybersecurity risks How technology and human expertise enable proactive identity protection Why cybersecurity belongs in a holistic wealth management strategy How RIAs can use client protection to differentiate and strengthen relationships Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect With Ken Eiden: LinkedIn: Ken Eiden LinkedIn: IDIQ Website: IDIQ Website: Redacted by IDIQ Email: [email protected]  About Our Guest: Ken Eiden is Vice President at Redacted by IDIQ, where he focuses on identity protection, personal cybersecurity, and fraud prevention for executives, affluent families, and other individuals facing heightened risks. With more than two decades of experience in fraud prevention, including 13 years working with institutions and seven years at IDIQ, Ken brings both professional and personal experience to his work. After his five-year-old daughter’s identity was stolen, he became particularly committed to helping families recognize vulnerabilities and respond to identity theft. His work emphasizes proactive protection, personal guidance, and the role of human judgment alongside technology.

Private markets may be attracting more capital, but the infrastructure behind those investments is still highly fragmented. As firms scale their alternatives businesses, managing data, documents, capital calls and reporting across disconnected systems is creating growing operational complexity. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Ryan Eisenman, CEO and co-founder of Arch, to explore how better data, automation and AI can modernize the private markets experience. Key takeaways: How better look-through data can help firms identify concentration and underlying exposures How centralized, structured data can create a stronger foundation for artificial intelligence Why human judgment remains central to investment decisions while technology helps surface relevant information Why private markets still require so much manual work behind the scenes What RIAs and family offices should consider as they scale their private markets programs Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Ryan Eisenman: LinkedIn: Ryan Eisenman  LinkedIn: Arch Website: Arch [email protected]  About Our Guest: Ryan Eisenman is the Co-Founder and CEO of Arch, a technology platform focused on simplifying the management of private market investments. Arch helps advisors, family offices, institutions, and other allocators centralize investment documents and data while streamlining workflows around K-1 collection, capital calls, distributions, and reporting. Through his work at Arch, Ryan focuses on reducing the administrative burden associated with private investments and giving investment teams more organized, accessible data to support their decision-making.

Wealth management firms are being asked to support more assets, deliver greater personalization and provide clients with increasingly real-time experiences. But behind the scenes, many investment teams are still operating across disconnected portfolio management, trading, CRM, accounting, compliance and reporting systems. As artificial intelligence moves from copilots and chatbots toward agents that can actually perform work, that fragmented infrastructure may become an even bigger constraint. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Sterling Perkins, director of solutions consulting at Ridgeline, to explore what happens when the investment management tech stack is rebuilt around a single system of record. Key takeaways: Why embedded AI with access to client, portfolio and transaction context could have an advantage over bolted-on tools Why AI could allow firms to grow AUM without increasing headcount How Ridgeline moves portfolio workflows from modeling through compliance, trading, accounting and billing How firms should think about governance, permissions and human oversight as AI agents take on more responsibility  Why the capacity created by AI can be reinvested in client relationships  Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Sterling Perkins: LinkedIn: Sterling Perkins LinkedIn: Ridgeline Website: Ridgeline About Our Guest: Sterling Perkins is the Director of Solutions Consulting at Ridgeline, where he works at the intersection of wealth management and financial technology. He began his career as a financial advisor at Baird, helping grow a book of approximately $100 million across roughly 100 client relationships before transitioning into wealth technology. Sterling later spent six and a half years at InvestCloud, where he served as Global Head of Product and Global Head of Sales Engineering, before joining Ridgeline. His experience as both an advisor and technology leader gives him a practical perspective on investment management operations, AI, portfolio technology, and how firms can use connected systems to support growth and client service.

Investment teams have access to more data than ever, but more information does not necessarily mean better insight. Analysts still spend enormous amounts of time gathering filings, reading disclosures, comparing earnings calls and reconciling information across disconnected systems. At the same time, market volatility, geopolitical risk and rapidly changing investor expectations are making traditional, backward-looking portfolio analysis increasingly difficult to rely on alone. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Af Malhotra, Founder and CEO of ReN, to explore how AI can help investment teams move from backward-looking analysis toward more forward-looking risk intelligence. They discuss ReN’s approach to analyzing portfolios, why domain-specialized AI matters in financial services, how automation could reshape investment research and what the future of embedded, agentic investment intelligence could look like. Key takeaways: How AI can help uncover portfolio risks hidden across filings, disclosures and earnings calls Why investment research is moving beyond backward-looking performance data How ReN uses AI to identify inconsistencies, anomalies and changing risk signals Why domain-specialized language models may be better suited for high-stakes financial decisions How automation and agentic AI could reshape the future of investment research and advisor workflows Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Podcast: StraightTalk (ST) with Af Malhotra Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Aftab (Af) Malhotra:  LinkedIn: Aftab (Af) Malhotra Instagram: Af Malhotra (@afmalhotra) X: Af Malhotra (@AfMalhotra) LinkedIn: ReN Website: ReN Website: Af Malhotra About Our Guest: Af Malhotra is a tech founder, active investor, and dedicated philanthropist. He has an illustrious career in technology, having held leadership roles in global companies including Amstrad, Fujitsu, and most recently Gartner.  Af is a regular contributor in the media, having been featured as a ‘technology entrepreneur and visionary ’ on the BBC News, CNBC Live, HuffPost, Financial Express Magazine, The Times, Raconteur, Bloomberg, International Finance Magazine and the Entrepreneur Magazine. Af has acquired graduate and post-graduate degrees from Goldsmiths College, University of London (Anthropology), Kingston Business School (MA in Business), Harvard Business School (Executive Education). He is also a guest lecturer at London Business School (LBS)  and Queen Mary’s, University of London.

Financial advisors are investing in more technology than ever, but many are questioning whether traditional software pricing models actually align with the value those platforms create. As artificial intelligence changes what software can deliver, many firms are reconsidering how technology providers should be connected to the growth they help create. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Eden Ovadia, CEO and co-founder of FINNY AI, to explore the firm’s shift from traditional software subscriptions to a pay-as-you-grow model. They discuss how AI is changing expectations for technology providers, why outcome-based pricing may create stronger alignment between vendors and advisors, and how FINNY is approaching growth attribution, advisor partnerships and the future of wealth technology. Key takeaways: How FINNY moved away from traditional seat-based pricing toward an outcome-based approach Why AI is changing the relationship between advisors and the technology platforms they use How pay-as-you-grow pricing connects technology costs with advisor growth Why attribution and measurement are important parts of technology partnerships How FINNY is building a platform around helping advisors identify growth opportunities Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Eden Ovadia: LinkedIn: Eden Ovadia LinkedIn: FINNY Website: FINNY Email: [email protected]  About Our Guest: Eden Ovadia is the CEO & Co-Founder of FINNY, a technology platform designed to help financial advisors grow their firms through AI-powered tools, data, and marketing capabilities. Eden focuses on how advisor technology companies can better align their success with the growth outcomes advisors are trying to achieve. Through FINNY’s pay-as-you-grow model, Eden is helping rethink how wealth technology companies approach pricing, partnerships, and measurable advisor growth.

As artificial intelligence adoption accelerates across wealth management, enterprise RIAs are becoming an important proving ground for what it actually takes to move from experimentation to scale. The conversation has shifted to be more about the foundation required to make AI useful across an entire wealth management business In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Leslie Norman, chief technology officer at Dynasty Financial Partners, to explore what it takes to move AI beyond experimentation and into the everyday operating system of an RIA. They discuss why advisors can still find themselves acting as the “human integration layer” between disconnected systems, how Dynasty is building a more unified technology and data foundation, and what has to happen behind the scenes for AI to become truly useful at scale. Key takeaways: Why connected data and integrated systems are critical to getting more value from AI Why Dynasty Labs was created as a dedicated innovation arm How change management affects whether advisors actually adopt new technology How Dynasty is prioritizing AI use cases based on business impact and ROI rather than chasing technology for technology’s sake How virtual assistants and AI agents could prepare work for advisors before the day begins Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Leslie Norman: LinkedIn: Leslie Norman LinkedIn: Dynasty Financial Partners Website: Dynasty Financial Partners About Our Guest: As Chief Technology Officer, Leslie Norman is responsible for the strategy and delivery of technology solutions that benefit the hundreds of independent financial advisors and professionals across the Dynasty Network. She oversees the Product and Engineering, Information Technology, Cyber Security, and Technology Services teams who help Dynasty’s community get the most from their tech stack. She also leads Dynasty Labs, the firm’s dedicated innovation arm, where emerging technologies are explored and developed into practical capabilities for advisors. Her leadership has focused on building an integrated platform that supports independent advisors at scale, with a strong emphasis on AI and data-driven capabilities. Leslie has spent her career at the intersection of technology and financial services, leading initiatives that modernize operations and put better tools in the hands of advisors and their clients. Her work spans product development and operational transformation — building systems that simplify complexity, automate the back office, and create more meaningful client experiences. Leslie holds a Master of Business Administration and a Master’s in International Business from the University of Florida, as well as a Bachelor of Science in Finance. A proud Tampa Bay native, Leslie brings a personal connection to the region’s growth and to the mission of developing the next generation of business and technology leaders.

For many business owners, the company represents far more than a line item on a balance sheet. It is their largest source of wealth, income, identity and legacy. Yet critical questions around valuation, succession, equity risk, tax planning and an eventual exit often remain disconnected from the broader financial plan. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Jason Early, founder and CEO of RISR, to explore how technology and artificial intelligence are helping advisors bring greater clarity to business owner planning. They discuss how advisors can capture and analyze business data, identify risks hiding inside legal and financial documents, and begin building trusted relationships long before a liquidity event. Key takeaways: How advisors can bring privately held businesses more fully into the financial planning process How AI-powered document analysis can uncover gaps in buy-sell agreements, operating agreements and insurance policies Why valuation is only the starting point for conversations around wealth, risk, succession and exit planning How understanding business value changes retirement, tax and wealth planning conversations Why advisors who intentionally serve business owners often build stronger long-term relationships Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Jason Early: LinkedIn: Jason Early LinkedIn: RISR Website: RISR About Our Guest: Jason Early is the Founder and CEO of RISR, a technology platform that helps financial advisors better serve business owners through business valuation, succession planning, risk analysis, and AI-powered planning tools. Throughout his career, Jason has worked at the intersection of financial advice, business owner planning, and technology, with a focus on helping advisors gain deeper insight into privately held businesses. Drawing on years of experience working alongside advisors and business owners, he is passionate about equipping financial professionals with the tools and information they need to deliver more meaningful planning before, during, and after a business transition.

Private markets are moving closer to the core of the wealth management conversation, but the experience around accessing, evaluating and explaining those opportunities remains highly fragmented. As advisors face growing client interest in alternatives, pre-IPO companies and more personalized investment opportunities, the need for better education, due diligence, transparency and portfolio context has never been greater. In this episode of The WealthStack Podcast, host Shannon Rosic sits down with Anna Joo Fee, CEO and founder of Goodfin, to explore how AI is changing the private markets experience. They discuss why access alone is not enough, how agentic AI can help advisors and investors navigate complex information, and why the future of private wealth may bring investing, tax, planning and private markets into a more connected ecosystem. Key takeaways: How AI can help address opacity, fragmentation and information gaps in private markets Why access to private markets can become a source of alpha, but only when paired with education and context What makes applying AI to private markets different from applying it to public markets How agentic AI can support research, document analysis, investor education and investment workflows Why advisor judgment, guardrails and trust become even more important as AI becomes more powerful Resources: Listen to WealthStack on Wealth Management Subscribe and listen to WealthStack on Apple Podcasts Subscribe and listen to WealthStack on Spotify Connect with Shannon Rosic: Shannon Rosic WealthStack website Wealth Management Connect with Anna Joo Fee:  LinkedIn: Anna Joo Fee Website: Goodfin Email: [email protected]  About Our Guest: Anna Joo Fee is the CEO and Founder of Goodfin, an AI-native wealth platform focused on private market investing. A former attorney at Sullivan & Cromwell, she brings a background in financial services, private markets, and fintech to her work building technology that helps advisors and investors better understand, access, and manage private investments. Through Goodfin, Anna is focused on using artificial intelligence to improve investment research, education, tax planning, and portfolio decision-making while keeping human expertise at the center of the wealth management experience.