Northstar Financial Uses Smarsh to Stay Connected to What Matters Most — Customers The Challenge: Starting Over In the spring of 2020, Northstar Financial Companies was in a unique situation. The longstanding financial advisory firm decided to make the switch from operating under a broker-dealer to operating as an independent Registered Investment Advisor (RIA). At the same time, a pandemic was quickly spreading across the world, dramatically disrupting business as we know it. Julia Randall, Advisor and Chief Compliance Officer at Northstar, was tasked with crafting a compliance program for the newly minted RIA. And, she had to do this while navigating the pressures of serving clients while working from home and significantly expanding her firm’s size. “Recently, we have gone throug

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