FPA NE - Wicked Good Talks: Beyond the Plan

Protecting the Modern RIA with Joseph Caruso & Danny Streiff

This presentation is focused on the operational, cyber, regulatory, and professional liability issues that change as an RIA grows. As an RIA grows and adds more employees, introduces more services and diversifies their product mix, the RIA must address the evolving risk management needs of their practice. Failure to do so can result in hefty regulatory fines and sanctions.  

What you'll learn:

Growth Mismatch. A policy bought at launch may no longer fit after more AUM, more employees, new states, or new service lines. Cyber & Crime Policy Shortcomings.Email compromise, ransomware, and vendor exposures create legal, reputational, and client-notice costs that sit outside normal IT budgets. Documentation Gaps. Weak meeting notes, beneficiary instructions, trading rationale, and tax-coordination records make defensibility harder after a complaint.

The Art of Feedback: Building Trust, Strengthening Relationships, and Driving Results

In financial planning, success is built on relationships. Whether you're guiding clients through important financial decisions or leading a team, your ability to give and receive feedback directly impacts trust, engagement, and results.

Yet many people avoid feedback because it feels uncomfortable or confrontational. Research shows that when feedback is perceived as threatening, people become defensive rather than open to growth. The most effective feedback creates clarity, strengthens relationships, and inspires action.

In this engaging and practical session, participants will learn how to leverage feedback to improve client relationships, strengthen team performance, and create a culture of trust and accountability. Attendees will leave with practical tools they can immediately apply in conversations with both clients and employees.

Karla Driskill is President of the Cultures Division at The Hollister Group, where she helps organizations create workplace cultures that drive engagement, accountability, performance, and results. As a leadership development consultant, speaker, and facilitator, she works with executives, emerging leaders, and teams to create a common language for addressing conflict, giving and receiving feedback, and fostering psychologically safe environments that support creativity, innovation, and collaboration.



Known for her practical insights, authentic style, and ability to connect with diverse audiences, Karla brings a unique perspective that blends leadership effectiveness with authentic communication. She believes sustainable success is built on strong relationships, self-awareness, and intentional leadership.

Originally from Oklahoma and now based in the Boston area, Karla is a lifelong learner who values meaningful conversations and helping people align their work with their values, strengths, and purpose.

I Know What to Do, I'm Just Not Doing It! 5 Steps to Bust Through Procrastination & Overwhelm

Dr. Sarah Reiff-Hekking is the founder of True Focus Coaching Inc. She is a speaker, coach, and Productivity and Time Management Expert with over 20 years of experience empowering entrepreneurs, small business owners, professionals, and executives to get a grip on time so that they can get to the next level in their lives and businesses. As Dr. Sarah’s clients can attest, it’s not just about managing time – it’s about creating sustainable changes.

As a trained clinical psychologist and certified coach, Dr. Sarah really understands people and their behavior. Her signature method allows her to connect deeply with her clients so they can intensify their focus as she guides them to breakthrough and redefine productivity and success.

Marketing Doesn’t Set Your Goals; It Helps You Achieve Them

Will your firm reach its goals by doing what it’s doing today? FPA member Alison Simons, Chief Growth Officer at Sachetta, LLC, will share a behind-the-scenes look at how marketing is supporting firm growth goals, attracting more right-fit prospects, and helping the firm learn from what is working and what needs adjusting.



Alison will discuss Sachetta’s “Who We Help” pages, case studies, testimonials, specific articles, FAQ page built with AI search in mind, Second Opinion program, and client “family tree” efforts. She will also share how AI-sourced prospects are arriving with more research completed before the first conversation, and why firms may need to adjust their prospect process in response.

Alison Simons is Chief Growth Officer at Sachetta, LLC, where she focuses on strategic growth, marketing, business development, and client experience. Before joining Sachetta full time, Alison owned Simons Marketing, an agency that worked with public accounting and wealth management firms, including Sachetta, for many years. Her work now centers on helping the firm attract right-fit clients through clearer messaging, branding, and growth strategy.

A proud Double Eagle, Alison earned both her bachelor’s degree and MBA from Boston College’s Carroll School of Management. She is also a beekeeper and serves on the board of the Worcester County Beekeepers Association.