Profile
“Being true to who we are is key; we are purely a referral-based business. There is zero marketing or advertising”
Adam Rakowski,
Ortus Financial
Shawn Washington Bostic, DM, is the director for regulatory compliance of Kestra Financial. In her role, Dr. Bostic serves as regulatory contact for the firm and an adjudicator for the disciplinary review committee, responding to regulatory requests, exams, inquiries, customer complaints, and more.
Some of her contributions to the firm include implementing a risk rank tool for the review of financial professionals and the restructure of the disciplinary process for escalated issues.
Dr. Bostic has spent approximately 30 years as a compliance professional for mutual fund companies, consulting firms, investment advisers, and various broker-dealers. She is a published writer, speaker for the financial services industry, as well as a former columnist addressing modern social issues and ethics.
In 2018, Dr. Bostic received her Doctor of Management in Organizational Leadership. Her dissertation proposal entitled “Compliance with FINRA Regulations” was presented at Cambridge University in London and won an Advanced Degree Scholarship.
5707 Southwest Pkwy, Ste. 400, Austin, TX 78730
(737) 443 2471
shawn.bostic@kestrafinancial.com
linkedin.com/in/liz-miller-cfa-cfp-5100096
kestrafinancial.com
Shawn Bostic
Director, Regulatory Compliance
Kestra Financial
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Milestones
“You can’t control the outcome, but you can always control what version of you turns up every day”
Adam Rakowski,
Ortus Financial
2012–2015
2016–2017
2017–2019
2020–present
2015–present
Due Diligence Analyst at American Beacon Advisors
2012–
2015
Owner at Compliance Diagnostics
2016–
2017
Risk Consultant/Auditor at HD Vest Financial Services
2017–
2019
Director Regulatory Compliance at Kestra Investment Services LLC
2020–
present
2015–present: Founding Board Member at DCALTA - Defined Contribution Alternatives Association
2019–present: Chief Executive Officer at StepStone Private Wealth
2015–
present
Milestones
Milestones
ELITE WOMEN 2024 JUDGE
“You can’t control the outcome, but you can always control what version of you turns up every day,” he says.
While at the helm of a rapidly growing business and a family that includes two young children at home, Rakowski has learned to manage what he calls a “never-ending list of commitments” that consists of a new team member each month, a new interstate office and two to three new referral partners monthly.
“Our business is a human business, so investing genuine time in every person can be draining on a personal level. Balancing it all is a challenge,” he says. “Simply put, do what you say you will do, and act at all times with honesty and integrity, being respectful and empathetic. The financial outcomes are a byproduct of the human interactions we have.”
Attracting, retaining and delivering exceptional client outcomes and service starts with a sincere interest in their journey and remaining relevant to them as their lives and needs evolve, notes Rakowski. He points out that he and his team put in most of the work upfront in building meaningful relationships, which is a testament to its 99% client retention rate.
He says, “We are clear in the types of clients we work best with and our value proposition. We also look for a cultural alignment with all of our referral partners, and we are acutely aware of our strengths and how different we are from our industry peers.”
Rakowski recently opened a Queensland business and plans a foot in every other capital city. He strives to establish the brokerage as a national business with on-the-ground representation in every state by the end of 2025.