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AI for RIAs: From Admin Burden to Strategic Growth

September 10 @ 11:00 am - 11:20 am EDT
Virtual Event
AI for RIAs

Registered investment advisors (RIAs) are heading into one of the busiest stretches of the year – tax-loss harvesting, RMDs, and year-end client reviews all land in the same few months.

In this 20-minute virtual event, Teal cofounders Gar Whaley and Reid Johnston walk through where RIAs and wealth managers are using AI today and the four-step governance plan firms are using today.

 

Reserve Your Seat

 

You’ll leave able to:

  • See where AI is being used inside firms like yours, and which of those uses regulators are starting to ask about.
  • Name the three sources of exposure that adoption creates before a client or examiner brings them to your attention.
  • Understand what the SEC’s 2026 exam priorities and Reg S-P vendor oversight require once an AI tool touches client data.
  • Explain the four-step governance plan Teal’s cofounders use with clients today.
  • Learn why AI governance now shows up on buyer and succession diligence checklists, and what an unanswered question does to your firm.

 

Who should attend

  • RIA Principals & Managing Partners
  • Financial Advisors & Wealth Managers
  • Operations & Compliance Officers

 

Register Now

 

Speakers

Reid Johnston, Teal Chief Intelligent Transformation Officer & Cofounder

Reid has over 25 years guiding SMBs through modernization, with deep expertise in Microsoft 365, automation, and secure AI adoption. Reid also leads Teal’s CMMC practice, built for defense contractors under CMMC Level 2 – so he’s applying the same governance discipline to RIAs that he already built for a harder-regulated industry.

 

Gar Whaley, Teal Chief Revenue Officer & Cofounder

Helps leadership teams turn AI capability into measurable pipeline, productivity, and business outcomes, and into a firm that reads as well-run. He brings more than 30 years of experience helping regulated organizations strengthen cybersecurity, governance, and risk management practices. He holds multiple industry certifications, including CISSP, CISM, CGEIT, CISA, and CMMC Registered Practitioner, and works closely with defense contractors navigating NIST, DFARS, and CMMC requirements.

 

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