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Their conversation covers the most frequent missteps RIAs make: relying on outdated assumptions, using overly polished language or treating compliance as a separate function rather than a shared responsibility.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.

Joseph Reilly's name comes up often in family office circles and for good reason. As founder of Circulus Group and host of the Private Capital Podcast (ranked #5 globally among family office podcasts), Joe has created a space that combines intellectual content with professional connection.

In this episode of The Wealth Horizon Podcast, Rosemary Denney, CEO of Wealth Matters Consulting and Joe Reilly discuss the profound impact podcasting can have in the wealth management industry and why it stands out as a unique medium for sharing knowledge and building connections.

Joe reflects on the origins of his podcast, describing how a simple idea evolved into a respected platform for insightful, unscripted dialogue. Together, they examine how podcasting serves not only as a tool for knowledge sharing, but also as a powerful vehicle for building credibility, expanding professional networks and fostering authentic engagement in an increasingly digital landscape.

In this episode you'll learn:

• How podcasting became an entry point for relationship building in the family office space
• Why a clear audience and a strong point of view matter more than production bells and whistles
• The connection between intellectual content and credibility, and how it reshapes first meetings
• Why podcasting is a powerful tool in niche industries like wealth management
• What advisors should keep in mind when starting out (including what not to overthink)

For those thinking about starting a podcast or rethinking how they share their perspective, this episode offers a behind-the-scenes look at how meaningful content is made.

In this episode of The Wealth Horizon Podcast, host Rosemary Denney, CEO at Wealth Matters Consulting, talks with Naz Hassanein, founder of Worthy Circles, a Boston-based peer-to-peer networking group for professionals in the family office and UHNW advisory space. With over 25 years of industry experience, Naz shares the inside story of how and why she built a thriving community rooted in trust, authenticity and long-term relationship building.

In this episode, you'll hear helpful insights on:

• How to grow your family office business through COI (Centers of Influence) marketing and why lasting results come from consistent effort, authentic communication and real connection.
• The two critical reasons someone refers business to you and how Worthy Circles is structured to nurture both.
• Practical, tactical strategies for building referral networks without the hard sell, from content co-creation to thoughtful follow-up practices.
• How peer networking groups can support talent acquisition in a hard-to-hire market by opening the door to greater visibility and genuine relationships.
• Why defining your niche and showing up as your authentic self are key differentiators in today's bespoke advisory world.

If you're an advisor trying to crack the code on COI marketing—or just want to hear how one woman turned a powerful idea into a professional movement—this episode will provide clear ideas you can put into practice.

In this episode of The Wealth Horizon Podcast, host Rosemary Denney, CEO at Wealth Matters Consulting, sits down with Brian Hughes, president of Eton Advisors, for a conversation about what it takes to grow a modern advisory firm with clarity and discipline.

With a long track record of guiding some of the industry's top wealth management teams, Brian shares what he's learned about scaling intentionally, offering his perspective on client engagement, team development and the smart use of digital tools. He also touches on the most common mistakes firms make when trying to grow too quickly or without a clear strategy.

If you're building a boutique advisory practice or charting the next chapter for your multi-family office, this conversation offers perspective worth hearing.

Key Topics Discussed in This Episode:

1. Brian’s Journey to Eton Advisors

Brian shares his background in the wealth management industry and the path that led him to his current role at Eton Advisors. He discusses the evolution of his career, the lessons he’s learned and how those experiences shape his approach to leadership and firm growth today.

2. The Challenges of Firm Growth

Scaling a wealth management firm isn’t just about getting more clients—it’s about having the right infrastructure in place. Brian and Rosemary discuss:

• The differences between organic growth (referrals, client retention and internal development) vs. inorganic growth (acquisitions, mergers and partnerships).
• Why firms struggle to scale effectively without a clear strategic plan.
• How key performance indicators (KPIs) play a critical role in tracking progress and making data-driven decisions.

3. The Power of Digital Marketing and Thought Leadership

Marketing in the wealth management industry has changed dramatically. Brian emphasizes the importance of digital marketing, content creation and thought leadership as essential tools for growth. In this discussion, they cover:

• How firms can leverage content marketing to establish credibility.
• The role of social media, blogs and podcasts in client engagement.
• Why traditional sales tactics aren’t enough in today’s digital-first world.

4. The Role of Scalability and Systems in Growth

Many advisors reach a plateau because they don’t have the right systems in place. Brian shares insights on how firms can:

• Build a scalable client service model that allows for sustainable growth.
• Leverage technology and automation to improve efficiency.
• Create repeatable processes that free up advisors to focus on client relationships.

5. Common Pitfalls to Avoid in Wealth Management Growth

Brian and Rosemary discuss some of the biggest mistakes firms make, including:

❌ Failing to track key performance indicators (KPIs) and flying blind.

❌ Not having a defined growth strategy—relying too heavily on referrals without a proactive plan.

❌ Neglecting client engagement and retention while focusing too much on new acquisitions.

6. The Evolving Landscape of Client Acquisition and Engagement

Today’s clients expect more from their financial advisors. The conversation highlights:

• The shift in client expectations and how firms can adapt.
• The importance of building authentic relationships through digital and in-person interactions.
• Why transparency and trust are more critical than ever in client communications.

All episodes of The Wealth Horizon podcast are available on Apple Podcasts, Spotify and more. Subscribe today to receive new episodes as soon as they premiere.

In honor of Women's Month this March, the inaugural episode of The Wealth Horizon Podcast features a special conversation with Mel Lagomasino, wealth management industry leader and chief executive officer & managing partner at WE Family Offices. Host Rosemary Denney, chief executive officer at Wealth Matters Consulting, sits down with Mel for a deep and insightful discussion about her career, the evolving role of women in finance and the future of wealth management.

With over three decades of experience advising some of the world’s wealthiest families, Mel shares her personal journey—from immigrating from Cuba to leading major financial institutions like JP Morgan Private Bank. She reflects on how her early experiences shaped her passion for helping families navigate wealth transitions and make thoughtful financial decisions.

Key takeaways from this episode include:

• The Importance of Listening in Wealth Management: How successful wealth advisors focus on genuinely understanding clients' needs, with women excelling in this aspect due to their ability to ask insightful questions and listen attentively.
• The Growing Role of Women in Financial Decision-Making: How women are increasingly becoming the primary financial decision-makers, and why wealth management firms need to engage and educate them more effectively.
• Career Advice for Women in Finance: Mel's advice for women in wealth management to embrace their natural strengths and follow their passions to unlock incredible opportunities.
• The Value of Diversity in Financial Teams: Why a diverse team, with a balance of seasoned advisors and younger, tech-savvy professionals, is essential to meet the complex needs of clients and adapt to an evolving industry.
• The Impact of Technology on Wealth Management: How AI and digital advancements will reshape the industry, but why the human element of personalized, relationship-driven advice will remain essential to successful wealth management.

This conversation with Mel highlights the major shifts in wealth management—from the growing influence of women to the impact of technology. As the industry evolves, success will depend on embracing diversity, prioritizing relationships and empowering clients with knowledge. Mel's insights offer valuable lessons for women and anyone navigating the future of finance.

All episodes of The Wealth Horizon podcast are available on Apple Podcasts, Spotify and more. Subscribe today to receive new episodes as soon as they premiere.