Growing an advisory business can create a new set of pressures. More clients can mean less capacity, more operational work, and harder decisions about what comes next.

In this episode, Jeremy Houser speaks with Mike Nimmo, CFP®, Senior Vice President of Simplicity Wealth, about how advisors can approach growth, scale, and succession planning. Mike explains how marketing, planning, trading, operations, tax planning, and compliance support can extend an advisor’s team while preserving their brand and independence. They also explore a $17.5 million client case, tax-loss harvesting, risk scoring, and combining wealth and insurance planning.

Mike discusses:

• How advisors can pursue growth through lead generation, marketing support, and stronger brand visibility
• Why rapid growth can strain an advisor’s capacity and create a need for additional operational support
• How back-office planning, trading, operations, and compliance teams can give advisors more time
• How a $17.5 million client case used tax planning and a white-labeled proposal to address client needs
• How advisors can retain ownership of their brand and book while gaining access to broader infrastructure
• And more!

Connect with Mike Nimmo:

• LinkedIn: Mike Nimmo
• Website: Simplicity Wealth
• Website: Simplicity Group

Connect with Jeremy Houser:

• jeremy.houser@simplicitygroup.com
• 713-808-8548
• Schedule a Call
• Our Teams Website
• Connect with Jeremy
• @jeremyhouser_amp
• @jeremyhouserAMP

About Our Guest:

Mike is a partner at Simplicity working with financial professionals and Simplicity Partner Offices to help grow their wealth management business. His career in financial services began back in 2012. Mike previously served as Head of Sales for an IMO-owned RIA and prior to this spent seven years at Allianz Life. Mike is a CFP® professional and earned his bachelor’s degree from Saint John’s University.

Disclosure #: 5928367 – 1026

AI can help financial advisors create content and work more efficiently, but what happens when client data, advertising rules, and compliance enter the picture?

In this episode, Jeremy Houser speaks with Jared Margolies, Director of Compliance at Simplicity Group Holdings, about AI, cybersecurity, advertising, and advisor marketing. Jared explains what advisors should consider before sharing data with AI tools, how compliance teams can support content creation, and where testimonials, online reviews, performance claims, and social media can create regulatory concerns.

Jared discusses:

• How AI tools can create privacy concerns when advisors upload client information without reviewing data policies
• Why free AI tools and note takers deserve additional scrutiny before they’re used with client information
• How advisors can use AI as an initial content check while still relying on formal compliance review
• Why testimonials, online reviews, and performance claims require careful disclosures and supporting context
• How a regular content calendar and pre-reviewed materials can reduce friction between marketing and compliance
• And more!

Connect with Jared Margolies:

• LinkedIn: Jared Margolies
• Website: Simplicity Group

Connect with Jeremy Houser:

• jeremy.houser@simplicitygroup.com
• 713-808-8548
• Schedule a Call
• Our Teams Website
• Connect with Jeremy
• @jeremyhouser_amp
• @jeremyhouserAMP

About Our Guest:

Jared Margolies is Director of Compliance at Simplicity Group Holdings, where he has been part of the organization since 2019. Throughout his time with Simplicity, he has served in several compliance leadership roles, including Chief Compliance Officer for Simplicity Financial Investment Services, Simplicity Wealth, Simplicity Solutions, and RetireOne. Jared has also helped develop advertising workflows, cybersecurity processes, and technology initiatives across the organization. Before joining Simplicity, he worked with AXA Equitable, now Equitable, where he gained experience in front-facing supervision and retail sales oversight. Today, his work includes helping advisors address compliance considerations related to advertising, AI, cybersecurity, client communications, and emerging technology.

Disclosure #: 5928357 – 1026

Financial advisory firms are facing major changes in how clients find advisors, how practices grow, and who will serve the next generation of investors. Preparing early can make those changes easier to manage.

In this episode, Jeremy Houser explores how independent financial advisors can build stronger businesses through systems, team development, digital visibility, and succession planning. He examines the coming advisor retirement wave, the trillions of dollars expected to change hands, and how AI is changing advisor discovery. Jeremy also shares lessons from recent advisor events about leadership, client experience, content, and preparing a practice for long-term continuity.

Key points:

• How advisor retirements and limited succession planning could put trillions of dollars of client assets in motion
• Why independent advisors need systems and team structures that reduce dependence on the founder of the practice
• How AI search, AEO, and website content are changing the ways prospective clients discover financial advisors
• Why younger generations receiving transferred wealth may expect different communication and digital experiences
• How consistent content, leadership development, and defined roles can prepare an advisory firm for future growth
• And more!

Connect with Jeremy Houser:

• jeremy.houser@simplicitygroup.com
• 713-808-8548
• Schedule a Call
• Our Teams Website
• Connect with Jeremy
• @jeremyhouser_amp
• @jeremyhouserAMP

Disclosure #: 5901513 – 0926