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RIAcast is a podcast focused on the investment advisory community. In our episodes, we aim to provide interesting, provocative, and entertaining conversations with key players and thought leaders in the investment adviser space. Our goal at RIAcast is to provide a platform to present their stories and ideas. Matt Baum, RIAcast's host, is an active securities and commercial litigator with the law firm Ellenoff Grossman & Schole LLP. Please visit our website at http://www.riacast.com for more ...
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Ep. 1, Transition Success Series, featuring Fidelity: Wealth Alliance's Gary Decker and Fidelity's Andy Burgess
28:47
28:47
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28:47
On this first episode of a planned RIAcast Transition Success Series, featuring Fidelity, we speak with Gary Decker, RIA Wealth Alliance Advisory Group's President and CEO as well as Fidelity Vice President Andy Burgess. Gary and Andy discuss their successful collaboration after Gary and his colleague's breakaway from a traditional brokerage firm. …
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Special Edition Episode 1: No Protocol, No Cry
11:03
11:03
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11:03
This special edition episode of RIAcast was prompted by Morgan Stanley's departure from the Protocol this past Friday, November 3, 2017. Morgan Stanley's Protocol exit has caused considerable buzz and debate in the industry. In this episode, Matt provides an overview of some of the salient legal considerations for advisors facing non-Protocol trans…
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Episode 15: Interview with Trust Company of America CEO Josh Pace
23:06
23:06
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23:06
On RIAcast's 15th episode, we speak with Trust Company of America (TCA) CEO Josh Pace. TCA is an independent RIA custodian. Josh and Matt discuss, among other things: TCA's consultative approach * its MMX initiative * TCA's use of data to advise its clients * the biggest challenges facing custodians * what the next generation of advisors is going t…
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Episode 14: Redtail's Brian McLaughlin Discusses CRM
24:38
24:38
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24:38
On this episode, Matt chats with Brian McLaughlin, CEO and Founder of Redtail Technology. Redtail has the largest RIA market share for client relationship management solutions delivered on a web-based platform. Brian and Matt discuss, among other things: the founding of Redtail * Redtail’s mantra of “create raving fans” * Favorite war stories of RI…
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Episode 13: Ashland Partners' Richard Kemmling Discusses GIPS and Performance Standards
24:16
24:16
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24:16
On this episode, we speak with Richard Kemmling, President of Ashland Partners, an accounting firm that provides due diligence solutions to the financial services industry. Ashland Partners is the largest provider of Global Investment Performance Standards (GIPS) verification services. Richard and Matt discuss, among other things: Richard's backgro…
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Episode 12: eMoney Advisor's Ed O'Brien Discusses Fintech
24:38
24:38
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24:38
On this episode, Matt chats with Ed O’Brien, CEO of eMoney Advisor. Ed and Matt discuss, among other things: Ed's background in fintech * His vision as eMoney’s CEO * The greatest challenges currently facing eMoney * eMoney’s launch of its enterprise division * Where Ed sees digital advice in 5 years * His passion for National Parks…
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Episode 11: RightSize Solutions' Wes Stillman Discusses Cybersecurity
22:53
22:53
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22:53
On this episode, Matt chats with Wes Stillman, founder of RightSize Solutions, a cloud-based technology solution company servicing the wealth management industry. This episode provides tons of insight for RIAs to enhance their understanding of cybersecurity issues. Wes and Matt discuss, among other things: The most significant cybersecurity threats…
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Episode 10: Interview with Bill Van Law, President of Raymond James' Investment Advisors Division
24:31
24:31
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24:31
On this episode, we have an insightful conversation with Bill Van Law, President of Raymond James’ Investment Advisors Division. Bill and Matt discuss, among other things: Bill's vision as President of Raymond James’ Investment Advisors Division * The top bases for existing RIAs transitioning custodians to Raymond James * Common thinking in the inv…
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Episode 9: Interview with Gino DeRango, Managing Director of Institutional Sales for TD Ameritrade
23:16
23:16
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23:16
On this episode, we have an engaging conversation with Gino DeRango, Managing Director of Institutional Sales at TD Ameritrade Institutional. Gino and Matt discuss, among other things: Gino’s leadership role at TD Ameritrade * RIAs and fee flexibility * Gino’s favorite aspect of working with investment advisers * Growth vs. retention of clients * A…
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Episode 8: Interview with Shirl Penney, CEO of Dynasty Financial Partners
24:22
24:22
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24:22
On this episode, we gain insight into Dynasty Financial Partners through our conversation with its CEO and Co-Founder, Shirl Penney. Among other topics, Shirl and Matt discuss: Dynasty's service model * Shirl’s predictions about a Trump administration’s impact on the RIA space * Why Dynasty offers its employees equity * The biggest challenges facin…
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Episode 7: Fidelity's David Canter Provides Key Practice Management Insights
26:15
26:15
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26:15
In this episode, we have an in-depth conversation with David Canter, Executive Vice President and Head of the Practice Management & Consulting Group at Fidelity Clearing & Custody. David provides invaluable practice management insights useful for any RIA. Among other topics, David and Matt chat about: David's primary vision for Fidelity’s Practice …
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Episode 6: Interview with Evan Roth of BBR Partners, Ranked #6 Independent Advisory Firm by Barron's
29:10
29:10
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29:10
On this episode, we have an entertaining and insightful chat with Evan Roth, co-founder and co-Managing Partner of BBR Partners. In August of this year, Barron's ranked BBR Partners as the #6 Independent Advisory Firm. BBR Partners currently serves more than 120 clients and over $11.5 billion in assets under management. Among other topics, Evan and…
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Episode 5: Interview with Bob Oros, Head of Fidelity's RIA Segment
29:45
29:45
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29:45
In this episode, we have the privilege of speaking with Bob Oros. For almost 5 years, Bob has served as the Executive Vice President, Head of the RIA Segment for Fidelity Clearing & Custody Solutions. Among other things, Bob addresses: His general vision for Fidelity in the RIA space * What the most successful investment advisers are doing differen…
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Episode 4: Interview with Veteran Recruiter Mindy Diamond of Diamond Consulting
26:14
26:14
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26:14
In this episode, we speak with veteran financial services industry recruiter Mindy Diamond of Diamond Consultants. Mindy discusses, among other things: *Best Business Life *How she approaches difficult clients * Placing financial advisors today versus 10 years ago * Transitional mistakes in thinking she commonly encounters * How the Department of L…
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Episode 3: Interview with Raj Udeshi of HiddenLevers
26:06
26:06
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26:06
In this episode, we have a lively chat with Raj Udeshi, the co-founder of HiddenLevers, a cloud-based software company that provides a client facing stress testing platform. Among other things, Raj discusses: HiddenLevers’ Mission * Fee attribution and stress testing * His opinion of the Department of Labor's Conflict of Interest Rule * How the Rul…
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Episode 2: 7 Rules on How to Breakaway from Brokerage and Avoid Getting Burned
8:12
8:12
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8:12
For the broker contemplating breaking away from brokerage and "going RIA," this episode is one you don't want to miss. Matt actively counsels clients on transitions from one firm to another and has advised and assisted over 75 clients in connection with their transitions. Through that experience, Matt developed several principles that, if adhered t…
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Episode 1: Interview with Andrew Cooper of A.J. Wealth, Ranked 9th Fastest Growing RIA by FA Magazine
24:46
24:46
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24:46
In our inaugural episode, we sit down for an in-depth discussion with Andrew Cooper, co-founder and co-Managing Partner of A.J. Wealth. For the past two years in a row, FA Magazine named A.J. Wealth a Top 10 Fastest Growing RIA Firm. This episode is packed with best practices for existing investment advisers as well as aspiring ones. In this episod…
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