Episodes

A conversation with Andy Harris, President and Wealth Manager of Evergreen Wealth Solutions Overview Andy Harris built a business from the ground up at ING, which he later transitioned to Commonwealth Financial Network as an independent broker dealer. Yet the desire for even greater independence led Andy and his team to transition to Commonwealth’s RIA platform in 2019. He shares key learnings for advisors considering both the IBD and RIA models, and the value each provides to the business and ...

Part 2 of a 2-Part Series with Louis Diamond Overview For advisors who are reviewing their firm’s retire-in-place program, considering a recruitment deal, or looking to launch an independent firm, understanding the value on the open market is critical. Part 2 of this 2-part series explores what drives value and how to build a business that will be “attractive” to acquirers and garner the highest valuation at the end of the day. Listen in… > Download a transcript of this episode… About this e...

Part 1 of a 2-Part Series with Louis Diamond Overview The excitement around M&A activity has many financial advisors considering their future. Is independence the right path? And if you build an independent firm, who will buy it? Part 1 of this 2-part episode compares and contrasts options, including recruitment deals and retire-in-place programs, and shares examples of breakaways whose firms were recently acquired and what made them attractive acquisitions. Listen in… > Download a transcript...

A conversation with Dan Katz, Managing Partner, Revolve Wealth Partners Overview Dan Katz, managing partner of Revolve Wealth Partners, talks about his role as the next gen of a business started by his father, the thought process around opting to build an RIA firm from scratch, their 2x growth since going independent, and how their past experiences at UBS and Oppenheimer shapes the vision of their firm today. Listen in… > Download a transcript of this episode… About this episode… We’ve spoke...

A conversation with John Bowen, Founder & CEO of CEG Worldwide Overview What’s the secret to the success of top financial advisors? John Bowen of CEG Worldwide, coach to elite financial advisors, shares the “real gamechangers” that help them break through to the next level and accelerate growth—and more. Watch… [video_embed embed_style=”default” url=”https://youtu.be/tgJPVhjORJQ” border=”0″ width=”100%” animation=”left-to-right” animation_delay=”2″ class=””] Listen in… > Download a transcri...

A conversation with Katherine Forrester Schneewind, Founder and CEO, High Note Wealth Overview Katherine Forrester Schneewind left a country music career behind to follow her dream of becoming a financial planner so she could help others take control of their financial destinies. In 2019, after building the practice to $500mm in AUM, she and brother Michael Forrester left Northwestern Mutual to launch RIA High Note Wealth. Listen in… > Download a transcript of this episode… About this episo...

A conversation with Brock Moseley, Founder and Managing Partner, Miracle Mile Advisors Overview For Brock Moseley, the choice to leave Morgan Stanley for a second time in 2007 to launch RIA Miracle Mile Advisors was about living true to his ethos. He built the independent firm from the ground up based on everything he couldn’t find anywhere else for his ultra-high net worth clients, at a time when independence was still a nascent concept. Listen in… > Download a transcript of this episode… A...

A conversation with Louis Diamond Overview Mindy Diamond and Louis Diamond explore 10 of the most common behaviors of elite wealth management teams based on their experiences in guiding many of the industry’s top players. These are practices that any team at any level can adopt, whether they work as employees at a big brokerage firm, are independent business owners, sole practitioners, or part of an ensemble group. Listen in… > Download a transcript of this episode… About this episode… Like ...

A conversation with Vincent Finney, Managing Director – Investments and Joseph P. Panfil, Managing Director – Investments, Bibler, Finney, Panfil Private Wealth Management Group of Wells Fargo Advisors Overview Vince Finney and Joe Panfil of Bibler, Finney, Panfil Private Wealth Management Group left UBS for Wells Fargo Advisors with partner Ryan Bibler in 2018. In a departure for our show which typically focuses on independence, it’s a candid conversation with a young team who didn’t break awa...

A conversation with Jerry Lombard, President, Private Client Group, Janney Montgomery Scott Overview Jerry Lombard, President of Janney’s Private Client Group talks about the regional firm’s exponential growth over recent years, how their unique balance of freedom and flexibility makes the employee model an attractive alternative for advisors looking beyond the wirehouses but see independence as a bridge too far and much more. Listen in… > Download a transcript of this episode… About this ep...

A conversation with Jim DeCota, President & Principal, Enso Wealth Management Overview Jim DeCota started his career in wealth management in the financial advisor training program at Edward Jones back in 2003, building his business to $85mm in AUM in just over a decade. But much like many independent-minded advisors, he felt like he had outgrown the model and wanted more autonomy. So he left Ed Jones to launch what would later become Enso Wealth Management, a firm that today manages some $2B in...

A conversation with Louis Diamond Overview Many advisors are coming off their best years ever, driven by increased client demands and a run-up in the financial markets. Yet movement is at record-breaking levels. So why are they disrupting momentum and taking-on the risk and hassle of a move, to change jerseys or break for independence when things are good? Listen in… > Download a transcript of this episode… About this episode… Many advisors are coming off their best years ever, driven by inc...

A Conversation with Matt Liebman, Founding Partner and Chief Executive Officer, Amplius Wealth Advisors Overview Matt Liebman, Founding Partner and CEO of RIA firm Amplius Wealth Advisors discusses the complexity of considering change with a multi-generational team, the difficulty of walking away from a big brand name, the concept of clients being the real “boss” and how that influenced his choice to build an independent firm—and much more. Listen in… > Download a transcript of this episode… ...

A conversation with Kimberly Sanders – SVP Advisor Solutions, LPL Strategic Wealth Services Overview Kimberly Sanders, Senior Vice President of Advisor Solutions for LPL Strategic Wealth Services discusses the evolution of the supported independence space and dives into how models like LPL’s address the changing needs of advisors and their clients. Kimberly also helps to answer the question: What drives an advisor’s decision of one model vs. another in an industry landscape replete with just ab...

A conversation with Josh Brown, CPFA, CFP® – Private Wealth Advisor, Managing Partner, NorthEnd Private Wealth Overview Josh Brown transitioned from mechanical engineer to the Merrill Lynch training program, building a business from zero to $650mm over nearly 2 decades. Firm changes prompted him and his team to consider their options, launching NorthEnd Private Wealth on LPL Strategic Wealth Services channel. Listen in… > Download a transcript of this episode… About this episode… Just over ...

A conversation with Michael Outlaw, National Field Director of Rockefeller Global Family Office Overview 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… > Download a transcript of this episode… About this episode… Few names in the financial world have greater recognition than Rockefeller...

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 this episode… About this episode… It’s hard to believe that the founder and CEO of a nearly $20B enterprise got his start in life as the son of hard...

Key insights shared by some of the top independent advisor interviews curated from the last 12-months of the series. Overview Key insights shared by recent breakaway advisors and independent business owners curated from the 2021 season of the podcast series for financial advisors. Topics include why they chose independence, motivations to change, impact to clients and more. Listen in… > Download a transcript of this episode… About this episode… For many advisors and business owners, 2021 wa...

What can advisors expect as they head into 2022? In this episode we explore 11 key areas – including deals, advisor movement, evolving models, and more – and the impact each might have on advisors and the wealth management industry at large.

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 more about Treasury Partners’ unique business model, the secret to the firm’s success and much more. Listen in… > Download a transcript of this episo...

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” culture is attracting some of the industry’s top advisor talent, and much more. Listen in… > Download a transcript of this episode… About this episod...

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 example, our guest on this episode, Richard Mullen. Rich started out cold calling at Lehman Brothers and then moved onto a training program at Prude...

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 was a time in years past when an advisor might otherwise have eschewed the thought of leaving one of the wirehouses – the biggest and best names in ...

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 to serve many. For example, in an attempt to stave off increasing advisor attrition by addressing some of the frustrations expressed by their advis...