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May 1, 2020

Tony Woodard - Chief Compliance Officer of Prime Capital on Every Dollar Counts with Josh and Jay

Welcome to the “Leadership in a Time of Crisis” series, where Josh & Jay have a series of conversations with the executive leadership of Prime Capital Investment Advisors, the independent RIA where Josh holds his Series 65 securities license. Tune in to hear behind the scenes details about how a large independent investment company navigated the most volatile month in market history while also dealing with pivoting quickly to staff and advisors having to start working remotely. It’s a fascinating story about how Prime Capital moved quickly to provide high-level attention and communication to its advisors & clients during a time of unprecedented upheaval.

In this episode, Josh & Jay welcome Tony Woodard, the Chief Compliance Officer at Prime Capital Investment Advisors. Tony gives a behind the scenes look at the compliance decisions facing the compliance department of a large independent RIA in an unprecedented time of crisis. We discuss how critical client communications by both the advisor and the advisory firm are during a situation like this, particularly as it relates to Prime Capital’s business continuity plan. Tony also details how Prime Capital’s portfolio managers and investment advisory committee identified market imbalances and acted quickly to rebalance pretty nearly all of its client portfolios, with the Trading Team placing a significant number of trades over the past few weeks in a remote environment without a hitch.



Prime Capital Investment Advisors

Gulf Coast Financial Advisors

Qualified Plan Advisors

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