The Efficient Advisor: Tactical Business Advice for Financial Planners
Ever wish you knew an Advisor who built a 7-figure practice--while only working 3 days a week--that was willing to share her systems, processes, and business hacks with you? Meet the Efficient Advisor Podcast host Libby Greiwe. Her specialty? Breaking down the functions of a financial planning practice into actionable step-by-step processes designed to get you results and get you out of overwhelm. Expert interviews, done-for-you templates, and easy to implement solutions… all tied together by her MISSION to create ease in your business. She promises to deliver actionable step-by-step solutions you can implement right away to save time, money, and frustration. The goal--to lead you from overwhelm to efficiency. She started her own financial planning business in 2004. And, over the years she scaled into a 7-figure single-advisor firm while working only 25-hours a week so she could be super involved while raising her kiddos and loving on her hubby. She knows what it takes to build a 100% referral-only practice and to not have to GRIND out the hours to be successful. She ran her own planning business for 16 years culminating in a sale to an enterprise firm in 2019. Now, she’s simply just obsessed with helping other amazing advisors do the same thing. So if you’re an advisor who’s got the hang of planning and is now looking to grow to that first 500k of take-home pay… you are in the right place!
The Efficient Advisor: Tactical Business Advice for Financial Planners
264: Compliance Made Simple: What You Need to Know & Do!
Are you haunted by your past compliance experiences? You're not alone! In this episode, we sit down with Kent Keister, compliance consultant and founder of Reliant, to demystify the world of compliance for RIAs. Kent brings humor, clarity, and loads of practical wisdom to a topic that usually makes advisors cringe. Whether you're thinking about going independent, already running your own firm, or just want to understand what your Series 7 really does for you (or doesn’t), this conversation is packed with insight and “ah-ha” moments 🙌.
Here’s what you’ll learn in this episode:
🔍 The truth about the SEC vs. state regulation (and what that means for you)
📅 What needs to be on your compliance calendar and how often you should update your ADV
💼 Why you might not need your Series 7 anymore—and what you give up if you drop it
💡 How outsourcing compliance can actually free up your time and reduce risk
🔥 Real talk on what happens if you neglect your compliance responsibilities (hint: probably not jail—but still not good)
Kent’s approach to compliance is refreshingly practical. He shares how he helps advisors stay ahead of the game without feeling overwhelmed or bogged down in legal jargon 💬. Plus, we wrap with a few of his top productivity hacks as a business owner—including how turning off Outlook can be a game-changer ⏳.
Compliance doesn’t have to be scary. It can actually be your firm’s secret weapon for long-term success. Tune in and find out why Kent is the compliance person you actually want to talk to 🤝
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Looking for all the resources from this episode? Check out this episode’s webpage for show notes, transcripts, downloads and more!