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"If you can't find the firm you want, build your own." with Chuck Failla, CFP
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The Journey to RIA Success: From Cold Calling Cowboy to Independent Innovator
In this episode of the Kick It Open podcast, host Shelby Nicholl interviews Chuck Failla, a financial advisor with over 25 years of experience. Chuck shares his journey from being a 'cold calling cowboy' in the 90s to founding Sovereign Financial Group, an SEC-registered RIA. The conversation covers Chuck's career milestones, the advantages of the RIA model, and the resources and community support available for advisors considering going independent. They also discuss the impact of client demand for fiduciary services and transparency, as well as the importance of attending conferences to stay updated with industry innovations.
Produced by Shelby Nicholl. Edited by Aaron Sherman. Marketing by Sabrina Portnoy. Graphic Design by John Gallagher.
Music from #Uppbeat (free for Creators!): https://uppbeat.io/t/ra/let-good-times-roll License code: EV5ON7Y3CSESDSEU
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Chapters
1. Coming Up... "Challenge to the Audience" (00:00:00)
2. Meet Chuck Failla: From Cold Calling Cowboy to Wealth Planner (00:01:07)
3. The Journey to Independence and the RIA Space (00:01:37)
4. The GoRIA Initiative and Its Impact (00:07:21)
5. Navigating the RIA Transition (00:16:56)
6. Tuck-In Options and Sovereign's Unique Approach (00:18:45)
7. The Sovereign Platform Explained (00:21:56)
8. Client Demand and Fiduciary Responsibility (00:24:15)
9. Marketing and Creative Freedom in RIA (00:26:42)
10. Innovative Solutions in FinTech (00:28:37)
11. Encouraging Women in Wealth Management (00:32:51)
12. Resources for Going RIA (00:39:08)
13. Conclusion (00:42:04)
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