Episodes

A conversation with Tim Bello, Managing Partner, Merchant Investment Management One of the key factors in the growth of the independent space is the burgeoning ecosystem that’s available to support those who make the leap—a virtual cottage industry that fills service and support gaps, and creates new pathways for those who have a desire to grow their own enterprises. Merchant Investment Management is one such firm within the space that was built to provide an end-to-end continuum for both brea...

A conversation with Ben Harrison, Managing Director for Advisor Solutions, BNY Mellon | Pershing Over the last few episodes, independent advisors have shared the challenges of managing both their businesses and client expectations. And while they’re are on the frontlines, it’s the custodians that are working in the background to provide the support these business owners need to build and grow successfully—regardless of the economic climate. So we turned to Ben Harrison, the Managing Director f...

A conversation with Bill Williams, Executive Vice President, Ameriprise Franchise Group Independent broker dealers are often a go-to landing spot for advisors who desire greater control and freedom in how they serve their clients and grow their businesses, yet welcome the addition of community, support and service. And it’s often these latter 3 components which serve as key differentiators—and have proven to be critical benefits as advisors navigate their clients and businesses through the COVI...

A conversation between Joseph Eschleman, President of Towerpoint Wealth, LLC and Special Guest Host Louis Diamond The freedom to creatively market to clients is one of the primary goals of most breakaway advisors. Because to create a unique brand, messaging and voice just isn’t possible as an employee advisor. In speaking with many independent advisors during this crisis, it is this ability to freely communicate – nimbly and without restrictions – that has proven to be pivotal in strengthening...

There’s a new wave of evolution coming in the post-crisis world which we expect will impact advisors no matter where they work. The good news is that many of these changes will be for the better. The onslaught of COVID-19 has given advisors a new lens through which to view and evaluate their business lives and the firms they work for—that is, the lens of crisis. In an industry that was already in the midst of great change, there are 10 key areas that are expected to further evolve as the crisis...

A conversation with Lee Korn, Principal, Opal Wealth Advisors When Lee Korn and his partners left Morgan Stanley in January of 2019 to launch their independent firm Opal Wealth Advisors, the thought of managing through an unprecedented health and financial crisis wasn’t even on his radar. And that’s a good thing—because as he shares, pulling together all the moving parts that go into building a firm is a task that takes time, energy and a good amount of learning as you go. So with over a year...

A conversation with David Bahnsen, Founder and Managing Partner of The Bahnsen Group A sudden bull market downturn driven by an insidious virus has left every advisor looking for novel ways to maintain continuity while providing value to clients. In such unprecedented circumstances, the freedom to be creative and follow one’s instincts – without being confined by a larger corporate agenda – has enabled many in the independent space to seize opportunities unavailable to their counterparts in the...

A Conversation with Matt Crow, President of Valuation Firm Mercer Capital M&A activity in the RIA space enjoyed a continual rise over the last several years, fueled largely by sellers looking to solve for scale, succession and monetary goals, and a cadre of well-funded buyers seeking to capitalize on potential opportunities. But, the big question on everyone’s mind – including prospective breakaways as well as independent business owners – is how this crisis will impact valuations and the M&A ...

A Conversation with Attorney David Gehn, Chairman of the Litigation Department at New York Law Firm Ellenoff, Grossman & Schole, LLP It’s impossible not to recognize how the business and personal lives of every one of us have changed—making the ability to gain clarity for today as well as prepare for tomorrow an imperative. With that in mind, Mindy invited attorney David Gehn to be a guest on this episode to share actionable advice on how to protect your business now and post-crisis. (David, y...

A conversation with speaker and co-author of The Go-Giver series, Bob Burg In the midst of an unprecedented health and financial crisis, advisors find themselves on the front lines—drinking from a firehose, balancing communication with clients and processing an abundance of information from their firms and the media. Yet now more than ever, communicating with clients and prospects in a way that is meaningful and adds value takes on a new level of importance. But with all that is going on, how ...

A few thoughts from Mindy Diamond Times like these are both unprecedented and challenging, to say the least. What all of us crave more than anything is stability. And a global pandemic, massive disruptions to business and personal lives, and volatile market conditions certainly provide anything but that. I’ve been grappling with one question, in particular, the last few days—and that is, “How can a recruiter for financial advisors add value at a time like this?” I’m neither a politician, nor...

The 10-minute download that takes a broader look at what’s going on in the wealth management world and the impact on an advisor’s business. In this episode, Mindy explores the “resurgence” of wirehouse recruiting and its impact on the industry at-large, including: The important signals firms are sending to advisors—and how recent high-profile hires and Morgan Stanley’s E*Trade acquisition are the strongest signals yet. Why the wirehouses are still the right fit for many advisors and their cli...

A conversation with the Founder and Managing Member of Hamburger Law Firm and Founder and CEO of MarketCounsel Few people in the wealth management space are as well-versed as Brian Hamburger. And no surprise as he wears many hats. He is the Founder and Managing Member of Hamburger Law Firm, a practice focused on the investment and securities industry, as well as the Founder, President and CEO of MarketCounsel, one of the industry’s leading business and regulatory compliance consulting firms. N...

The 10-minute download that takes a broader look at what’s going on in the wealth management world and the impact on an advisor’s business. In this episode, Mindy explores the industry landscape as a “continuum,” recent data on advisor movement and its impact on: Where advisors are going—and how movement is fueling the evolution of the landscape. The flow towards regionals and boutiques—and why these firms are winning the race for top talent. The movement of the “advisor elite”—and how that ...