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A conversation with Michael Outlaw, National Field Director of Rockefeller Global Family Office Rockefeller Capital Management has become one of the most sought-after options for advisors looking to deliver concierge-level service to ultra- and high net worth clients. National Field Director Michael Outlaw shares an insider’s perspective. Listen in…
 
A conversation with the Founder and CEO of Carson Group Overview Ron Carson joins the show to discuss the key drivers behind the rise of the Carson Group, sharing his journey from a Nebraska farm to his tenure with Private Ledger, and on to how he built a nearly $20B independent wealth management enterprise. Listen in… > Download a transcript of th…
 
Key insights shared by some of the top independent advisor interviews curated from the last 12-months of the series For many advisors and business owners, 2021 was a year to remember. Despite a pandemic that refused to morph into a memory, record breaking revenues in the wealth management industry prompted a positive outlook amongst many—and served…
 
A conversation with Louis Diamond 2021 was an extraordinary year for the wealth management industry. Despite the waning shadow of the pandemic, advisors set new trajectories on the revenue side, while creatively serving clients and managing their business lives. Yet this success was set amidst a confluence of events that positioned advisors securel…
 
A conversation with Richard Saperstein, Managing Director/Principal/Chief Investment Officer, Treasury Partners Overview Richard Saperstein rose out of the financial crisis of ’08 to build the now $20B+ Treasury Partners. Richard reminisces about that journey, discusses his decision to affiliate with a then nascent Hightower Advisors, and shares mo…
 
A conversation with Tom Sagissor, President, RBC Wealth Management–U.S. Overview So how did a bank out of Canada rise to the ranks in the US wealth management space? In this episode, we explore regional firm RBC Wealth Management–U.S. with President Tom Sagissor. Tom shares an insider’s perspective plus why their “Wall Street meets Main Street” cul…
 
A conversation with Richard Mullen, Founding Partner, CEO, Pallas Capital Advisors Some of the best stories we share on this show are from advisors who essentially grew up in the business. Those who started out in the brokerage firm training programs, taking advantage of all that the firm offered and making the most of it—and then some. Take, for e…
 
A Conversation with Tash Elwyn, President and CEO of Raymond James and Associates Advisors’ ever-increasing desire for greater agency in how they serve clients and grow their businesses has driven the growth of models and firms outside of the traditional wirehouse space—and spawned the popularity of regional firms like Raymond James. Because there …
 
A conversation with Louis Diamond. While this topic is specific to Merrill, it’s certainly not meant to be an indictment against the firm. It’s an example of the growing pains experienced at any of the larger bank-owned firms as they struggle to balance growth and revenue—while managing thousands of advisors and creating layers of guidance designed…
 
A conversation with Ron Kruszewski, Chairman and CEO, Stifel Financial Corp. When we started this series some 4 years ago, we expected to share a handful of episodes that explored the independent space—hence the name Mindy Diamond on Independence. But we came to a realization: There was a far bigger story to tell. That is, one that was not focused …
 
Monish Verma describes an instructive breakaway journey, from due diligence and decision-making, foregoing an outsized recruiting deal check, opting to sell equity and how his choice to go independent with Summit Financial is resonating today.By Mindy Diamond
 
To Greg Franks, the “bankifying” of Merrill, which he served at for nearly 3 decades, was nothing short of “tragic.” The former Merrill leader shares his experience and the story of his own leap to independence to the helm of Snowden Lane Partners.By Mindy Diamond
 
Next gen Tom Stadum realized that he had a long runway and greater opportunity beyond UBS. So once his partner/father fulfilled the obligations of his retirement agreement, Tom left to build independent firm Fjell Capital with Sanctuary Wealth.By Mindy Diamond
 
Ex-UBS $5B advisors, Rob Sechan and Jeff Kobernick found that servicing their UHNW clients became difficult at the wirehouse and wanted more than other firms offered. So they built RIA NewEdge Wealth with EdgeCo Holdings and other UBS veterans.By Minday Diamond
 
Few in the financial services media that have the experience and name recognition of Bob Veres—and less are as outspoken. He candidly discusses the advisory firm of the future, growth, client service, technology, and the role of financial advisors.By Mindy Diamond - Financial Advisor Recruiter and Consultant
 
Special Episode: A panel of 3 breakaway advisors share the details of their journeys—Lori Siegel, founding partner, Centrix Wealth Partners; Michael Henley, founder & CEO, Brandywine Oak Private Wealth; and Terry Cook, CEO, Parcion Private Wealth.By Mindy Diamond
 
Anders Jones discusses how Facet Wealth’s combination of a lower-asset client target, specially-designed technology, remote client services and unique subscription-based model is serving as a template for financial advice firms of the future.By Mindy Diamond
 
For Dan Johnson and his multi-generational team at Merrill it became apparent they each had different goals and timelines. He discusses why they chose different paths, opting for independence over a recruitment deal or inheriting a book and more.By Mindy Diamond
 
Paul Saganey’s 2016 decision to leave Lincoln Financial, build a multi-custodial hybrid RIA with LPL Financial and develop a CPA referral network has propelled the firm from $3.5B to $12B in 5 years. He shares how they achieved such growth and more.By Mindy Diamond
 
Gerry Goldberg, of GYL Financial Synergies, joins the show to share why he felt Wells Fargo FiNet wasn’t independent enough and how, as an RIA, his team tripled their assets and revenue, in partnership with Focus Financial Partners.By Minday Diamond
 
When it comes to building a strong business, nothing is better than a great partnership. Yet the shared mindset can change over time. Learn 10 questions to help determine if you’ve just hit a rocky patch or if breaking up may be the best path.By Minday Diamond
 
Ryan DeVore, of William Blair, joins the show to discuss the success of the boutique model, and talk about the amazing growth of the firm and how it compares to others like First Republic and Rockefeller, and much more.By Mindy Diamond
 
Ex-UBS advisor Robert Harris felt that the firm no longer allowed his team to serve their clients’ best and greater potential existed elsewhere. His partner didn’t agree. It’s a common thread amongst many partnerships who reach this crossroads.By Mindy Diamond
 
Next gen advisor Bryan Garris wanted what other independent advisors had: The freedom and control to serve clients as true fiduciaries. After careful due diligence and planning, he and his partners left UBS to launch RIA TriaGen Wealth Management.By Mindy Diamond
 
Mindy Diamond discusses how harnessing the power of content marketing has proven to be a powerful growth engine for her firm. She shares tips and advice for employee and independent financial advisors on how to build your own “marketing machine.”By Mindy Diamond
 
Lori Van Dusen shares a perspective that spans over 3 decades—a career that started with Shearson Lehman Brothers in 1987, a bold breakaway from Citigroup Smith Barney to independence in 2008, followed by a second leap to build her current firm LVW Advisors.By Mindy Diamond
 
Kurt Miscinski shares how a serendipitous meeting with billionaire entrepreneur Howard Milstein led to the 2009 launch of HPM Partners. After starting from zero, the firm now Cerity Partners, manages over $31B in assets for ultra-high net worth clients and corporate executives.By Mindy Diamond
 
Avy Stein, Founder and Co-Chairman of Cresset, talks about how the firm fills a gap in the landscape for advisors who serve high net worth clients, how Cresset compares to firms like Rockefeller, what’s driving recent growth and much more.By Mindy Diamond
 
After building a $1.2B business at UBS, Matt Kilgroe and his team found they were limited in what they could do for their clients. So in June of 2020, amidst the pandemic, they launched RIA Cyndeo Wealth Management and haven’t missed a beat.By Mindy Diamond
 
One of the major motivations for advisors who choose independence is to build an enterprise via recruitment and M&A. But inorganic growth opportunities are not exclusive to independent firms. Although more limited, wirehouse advisors have options too.By Mindy Diamond
 
Andy Schwartz went from selling insurance at Northwestern Mutual to managing $3.5B in assets and leading one of the firm’s largest groups. In 2014 they left to go independent as Bleakley Financial Group, now managing $8B in assets as a hybrid RIA.By Mindy Diamond
 
Changing firms or models comes with some risk, one of the most critical being client portability. It was a risk that this 26-year UBS veteran and his $530mm team found was worth taking to better serve their clients without conflict and limitations. Guest Steven Tenney, Founding Partner and CEO, Great Diamond Partners.…
 
If you’re at a wirehouse or independent broker dealer, compliance is managed for you. But what if you want to launch your own RIA firm? Chris Winn of AdvisorAssist makes the topic less daunting in this conversation that dives into policy setting, how risk differs as an RIA, the relationship to workflow management, a changing regulatory environment …
 
Industry rockstar Michael Kitces shares his thoughts on building a thriving practice, why scale isn't everything, marketing, organic and inorganic growth strategies and much more. It's a must-listen for every financial advisor and business owner.By Mindy Diamond
 
While comfortable at UBS a decade ago, Ahmie Baum started to see things a bit differently when his son Brian joined the business. It was an awakening that made this wirehouse veteran reevaluate everything, and propelled his leap to independence.By Mindy Diamond
 
First Republic Private Wealth Management grew from $14.5B in AUM to more than $190B in the past decade. President Bob Thornton discusses what’s driving this remarkable success and making it one of the most attractive destinations for top advisors.By Mindy Diamond
 
In a wealth management landscape with more options for financial advisors than ever before, the need for a “strategic” due diligence process has become imperative. Mindy Diamond and Louis Diamond present 10 tips to guide the exploration journey.By Mindy Diamond
 
Attorney Tom Lewis of Stevens & Lee shares advice for financial advisors on navigating transition, avoiding termination, Protocol vs non-Protocol moves, and what you need to know before signing a binding retire-in-place agreement with your firm.By Mindy Diamond - Financial Advisor Recruiter and Consultant
 
The conversation on “increased advisor movement” may seem anecdotal at times, yet it’s anything but. Scott Gorham, Vice President of Competitive Intelligence at Fidelity Institutional digs into key data from the Fidelity 2020 Advisor Movement Study, with Louis Diamond.By Mindy Diamond
 
Multi-channel models are one of the hottest options for financial advisors, providing a path from employee to independence without changing firms. John Peluso, president of Wells Fargo’s First Clearing talks about the benefits, innovation and more.By Mindy Diamond - Financial Advisor Recruiter and Consultant
 
Advisors considering a change of firms or models often have a lot of questions. This episode tackles the 10 most frequently asked by advisors and dispels some of the myths and misperceptions that often stop them from realizing their true potential.By Mindy Diamond - Financial Advisor Recruiter and Consultant
 
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 - Financial Advisor Recruiter and Consultant
 
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 - Financial Advisor Recruiter and Consultant
 
The goal of succession planning is to “future-proof” the business, developing a strategic guide built upon the leader’s vision, sustainable scale and continual growth for the future of the firm. Mindy and Louis Diamond share key lessons from their succession planning journey, the art of “co-leadership,” choosing a successor, and more.…
 
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 - Financial Advisor Recruiter and Consultant
 
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 - Financial Advisor Recruiter and Consultant
 
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 - Financial Advisor Recruiter and Consultant
 
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