How to Manage Compliance as an RIA Firm Owner

Corey Beal, CFP® is the CEO and Director of Joy of Empowering Finance. After more than a decade of experience in financial planning and wealth management, she decided to take the leap to launch her own firm so she could work with the bold, the ambitious, and the bad asses of the world. Empowering Finance helped her finally chase her own rainbow—the goal of using her authenticity, financial knowledge, and a dash of glitter to connect with people and enable them to pursue their own passions and goals. When she is not working with her amazing clients, she loves traveling, is obsessed with crystals, and always looking to try a new pop-up restaurant in sunny Portland, OR where she currently resides. 

David McPherson, CFP®, founded Four Ponds Financial Planning in 2007 to provide sound, objective financial advice to clients looking for help with their investments, retirement planning and other money-related needs. The firm works with clients from offices on Cape Cod and in Boston. It also serves clients long distance via online technology.

The firm grew out of David's earlier career as a financial journalist when he gained an up-close view of the shenanigans in some segments of the financial services industry. He concluded there is an unmet need for sound financial advice from objective sources.

The firm’s name is derived from the Four Ponds Conservation Area located a short walk from David McPherson’s home in the Pocasset section of Bourne on Cape Cod. Four Ponds features miles of walking trails that make it a popular destination for short hikes and a favorite place for mountain bikers and trail runners. A silhouette of the ponds that give the area its name is the centerpiece of the Four Ponds logo.