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A conversation with Christopher Winn, CEO and Lead Consultant, AdvisorAssist There are few words in wealth management’s lexicon that draw greater consternation amongst advisors. And that word is “compliance.” Yet it’s the very fabric by which financial advisory businesses operate, serving as the proverbial guard rails that all advisors work within—…
 
With Louis Diamond It might seem odd for a show called Mindy Diamond on Independence to have an episode discussing the reasons why independence might not be right for you. But the truth of the matter is, there are plenty of reasons why independence isn’t for everyone. And it’s the mission of this series to be honest and balanced—and share what we’r…
 
A conversation with the industry thought-leader, financial planner and host of the popular blog and podcast series It was almost 2 years ago when Michael Kitces last visited this show. And much has changed since that conversation. Even his own business life took a new turn, having joined Buckingham Wealth Partners in March of 2020—right when the pa…
 
A conversation with Ahmie Baum, Founder and CEO, Interchange Capital Partners What if we all had the chance to take a “mulligan” at least once in our business lives? That is, use the proverbial golf do-over rule as a way to reset our goals and expectations—and take that shot one more time, but this time from a whole new perspective. That’s exactly …
 
A conversation with Robert Thornton, Executive Vice President & President of Private Wealth Management This is a story that truly exemplifies how much the wealth management landscape – and advisor mindset – has changed in recent years. Because even in a world where “choice” has become the new norm, there are only a few firms that have captured the …
 
A conversation with Louis Diamond We talk a lot about the expanded industry landscape—and how, ultimately, an advisor has much more to consider than ever before. As such, there is tremendous value in periodically conducting due diligence – whether you’re thinking of moving or not – if for nothing more than to become familiar with a host of options …
 
A conversation with Tom Lewis, Certified Civil Trial Attorney at Stevens & Lee There’s no doubt that changing firms or models is a complex process. And even the thought of doing so often brings advisors to their knees with concerns over everything from portability to Protocol—and all that lies in between. Yet it’s the contractual obligations adviso…
 
A conversation with Scott Gorham, Vice President of Competitive Intelligence at Fidelity Institutional, and Louis Diamond The conversation around “increased advisor movement” might seem anecdotal and obtuse at times, yet it’s anything but. The proof of such commentary comes from many of the industry’s leading reports—one most commonly referenced is…
 
A conversation with John Peluso, President, First Clearing Multi-channel models have become one of the hottest options for advisors considering change in recent years—fueling growth in the channel with some of the biggest names in the business jumping on board. This “choose your path” concept has been around for a while, designed largely to accommo…
 
A conversation with Louis Diamond Advisors who are considering a change of firms or models often have a lot of questions—and they should. Because the reality is no decision this big should be made without digging deep and looking closely at how one’s goals align with that of either their current firm or another firm or model they might be thinking …
 
After building a $1B business at Morgan Stanley, Jeff Thomas found he could only pursue the vision of “doing more and better” for clients by launching an RIA firm. So he and his team left 75% of their assets behind to form Archetype Wealth Partners.By Mindy Diamond
 
An exploration of the 2020 Schwab RIA Benchmarking Study with Lisa Salvi of Schwab Advisor Services. Beyond key trends, she shares the drivers and habits of top RIA firms, with actionable information for both advisors and independent business owners.By Mindy Diamond
 
The real intent of succession planning is to “future-proof” the business—by developing a strategic guide that builds upon the leader’s vision with a focus on sustainable scale and continual growth for the future of the firm. Mindy and Louis Diamond share key lessons from their succession planning journey, plus the art of “co-leadership,” choosing a…
 
How did Buckingham Wealth Partners become a $50B+ mega-RIA enterprise? CEO Adam Birenbaum shares his M&A strategy, the role of an investment partner, plus advice for prospective breakaways and independent advisors, dealmaking red flags and more in this interview with Louis Diamond.By Mindy Diamond
 
As a wirehouse advisor, Terry Cook found it became too difficult at UBS to meet the increasing demands of his high net worth clients. The only way to act as a true fiduciary meant "taking the ankle weights off" by making the leap to independence.By Mindy Diamond
 
Advice from the top 10 independent advisors featured in 2020, a special episode representing the 100th in this podcast series for financial advisors. It’s a distillation of key commentary that answers the threshold question: Why independence?By Mindy Diamond
 
In a year nobody could have predicted, financial advisors are reporting the best years of their careers and we're seeing the greatest amount of movement in a decade. Mindy Diamond explores that phenomenon, plus reveals 10 emerging trends for 2021 destined to reshape the industry for financial advisors and firms.…
 
Jon Kuttin reveals how he built a $2.4B independent practice on the Ameriprise Financial platform—a strategy that includes a unique referral engine, the decision to transition from a client-facing advisor to CEO, plus great mentors and hard work.By Mindy Diamond
 
Former Merrill Lynch Resident Director Melissa Bouchillon shares what it takes for an RD to consider independence, Merrill’s push to sell bank products, how they compensated a partner who signed onto CTP, why they chose Focus Financial and more.By Mindy Diamond
 
20 years ago, CAPTRUST launched with just $2.5mm in revenue and $400mm AUA. Today the firm reports $400B AUA and a valuation of $1.25B. Rush Benton discusses the firm’s growth methodology in an episode that demonstrates the potential of independence.By Mindy Diamond
 
In part 2 of 2, Mark Sear and David Hou pick up where their story left off after the 2008 break from Merrill, the sale of their RIA Luminous Capital to First Republic in 2012, and their decision to go back to independence as RIA Evoke Advisors.By Mindy Diamond
 
Mark Sear and David Hou, Managing Partners of Evoke Advisors, talk about their 2008 breakaway from Merrill Lynch to form RIA Luminous Capital, why they chose to sell Luminous to First Republic, their decision to leave First Republic for independence again, and much more in part 1 of a 2-part podcast episode.…
 
There have been reports of some significant changes brewing at Goldman Sachs that seem to indicate that the firm is going all-in on the RIA custody business. What does that mean for Goldman Private Wealth Advisors and the industry at large?By Mindy Diamond
 
Wirehouse veteran Bob Mulholland shares his experience at Merrill and UBS, plus perspective on changes at the wirehouses, the drivers towards independence, stemming advisor attrition at big brokerages, changing advisor sentiment and much more.By Mindy Diamond
 
A look at how financial advisors can take a giant leap in growth, for example, going from managing assets of $500mm to $5B or more. Financial advisor coach, podcast host and New York Times bestselling author Steve Sanduski joins the show.By Mindy Diamond
 
With nearly 60% of advisors currently working from home, how is that impacting their client relationships? And how are so many advisors still choosing to move in these uncertain times? Mindy Diamond discusses that and more in this Industry Update.By Mindy Diamond
 
What’s driving the acquisition appetite of mega-RIAs? Peter Mallouk of $55B RIA Creative Planning has been driving inorganic growth like never before. He talks about his latest deals, his formula for growth, tips for buyer and sellers, and more.By Mindy Diamond
 
Who are the investors? How are deals structured? Why would an advisor choose to sell all or a portion of his business? What’s the downside? When to monetize? The answers to those questions and more for wirehouse and independent advisors.By Mindy Diamond
 
Why would a $6B team choose to leave behind the safety of Morgan Stanley - not to mention two-thirds of their assets - to make the leap to independence? Breakaway Jason Fertitta explains how he and his team decided to make the leap, forming RIA Americana Partners, how their high-net worth clients reacted to the news, and much more.…
 
Many advisors wonder whether their business value can be maximized under a brokerage umbrella. Louis Diamond shares 3 valuation scenarios, as well as sheds light on why so many advisors choose to go independent on the back 9 of their careers.By Mindy Diamond
 
Lawrence Calcano of iCapital Network discusses how their alternative investments (alts) platform helped close the gap for advisors who previously could not go independent without losing some, if not all, of their private fund access.By Mindy Diamond
 
The 3rd of a 3-part series on the landscape of the wealth management industry explores today's boutique firms – a quasi-independent model – focusing on the top 2 firms in particular: Rockefeller Capital Management and First Republic Wealth Management.By Mindy Diamond
 
Merrill next gen inheritor Elizabeth "Lizzie" Evans discusses her decision to leave the firm on the heels of her father’s CTP agreement and cautions how Merrill's sunset package means buying something the next gen doesn't truly own.By Mindy Diamond
 
Beginning her deep dive into the ever-changing landscape of the wealth management industry, Mindy Diamond explores the defining characteristics of wirehouse and regional firms, how they've changed in recent years, and much more.By Mindy Diamond
 
Mega-RIA firms are setting the pace of massive growth through ambitious acquiring practices and smart recruiting. Marty Bicknell, of Mariner Wealth Advisors, talks about his firm’s successes, shares advice for firm owners and breakaways, and more.By Mindy Diamond
 
3 “ex-wirehouse-turned-independent-industry-leaders” in a rare single forum: Shirl Penney of Dynasty Financial Partners, Jim Dickson of Sanctuary Wealth and Rich Steinmeier of LPL Financial. They join Mindy Diamond to share an “insider’s view” of the wirehouse world, wealth management, independence, and more.…
 
Jeff Concepcion of Stratos Wealth Partners shares why he chose Emigrant Partners as a capital partner, what independent firm owners need to do when preparing for an acquisition, how he grew his firm from zero to $14B AUM in just 12 years, and more.By Mindy Diamond
 
Part 1 of 2 on M&A: Karl Heckenberg, president and CEO of Emigrant Partners, discusses how the firm's value proposition, plus the well-established clout of the Milstein family, is representative of a “new breed of acquirers” in the RIA space.By Mindy Diamond
 
Former UBS advisor Lori Siegel CFP of Centrix Wealth Partners talks about her first year of independence, forming Centrix Wealth Partners with Raymond James Financial Services, and how the ability to control their own destiny was a powerful driver.By Mindy Diamond
 
Justin Berman left Goldman Sachs 10 years ago to build his own independent firm, at a time when such a move was much less common. How did he find the courage to leave the Goldman imprimatur, brave the firm's 60-day Garden Leave, and build the now $3B Berman Capital Advisors? He explains all this and more with Mindy Diamond in this podcast episode.…
 
Tim Bello of Merchant Investment Management discusses the growth of the independent space and the burgeoning cottage industry that fills capital, service and support gaps, creating new paths for those who have a desire to grow their own enterprises.By Mindy Diamond
 
Ben Harrison from BNY Mellon’s Pershing discusses the role a custodian plays in the lifecycle of an independent business, taking over for retiring industry icon Mark Tibergien as the head of Pershing’s RIA custody unit, the COVID-19 crisis, and more.By Mindy Diamond
 
Bill Williams of Ameriprise Franchise Group discusses how dramatic shifts in recruiting practices, plus improvements in infrastructure, support, technology and marketing have resulted in great success for the century-old independent broker dealer.By Mindy Diamond
 
Joe Eschleman, president of Towerpoint Wealth, tells Louis Diamond how leaving Wells Fargo – with the help of Dynasty Financial Partners – to launch his own independent firm now allows him to fully engage with clients and prospects, freely and creatively.By Mindy Diamond
 
There's a new wave of evolution coming which we expect will impact advisors no matter where they work. The good news is much of these changes will be for the better. Mindy Diamond shares 10 predictions for what the wealth management world will look like.By Mindy Diamond
 
Lee Korn, who launched the independent firm Opal Wealth Advisors in January of 2019, shares how pulling together all the moving parts that go into building an RIA is a task that takes time, energy and a good amount of learning as you go—but worth it!By Mindy Diamond
 
The freedom to be creative and follow one’s instincts without a larger corporate agenda has enabled many independent advisors to successfully navigate the COVID-19 crisis. David Bahnsen of The Bahnsen Group shares his story and advice.By Mindy Diamond
 
Matt Crow, President of Mercer Capital, a leading authority on firm valuations in the wealth management space, shares his perspective on the future of valuations, M&A and potential changes in the RIA space as a result of the COVID-19 crisis.By Mindy Diamond
 
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