The Diamond Podcast for Financial Advisors

4d ago

With Brandon Ross, CFP® — Co-Founder and Co-CEO, Quotient Wealth Partners Overview Quotient Wealth Partners proves that enterprise-scale growth doesn’t require private equity or shortcuts. This episode breaks down how discipline, culture, and organic momentum drove the firm’s rise to $4.4B—without sacrificing independence or client experience. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… When you look at the most successful advisory firms in the industry, many grew through acquisition, capital partners, or transition deals. But there’s another version of growth: one built through discipline, culture, and a relentless focus on doing the work. Today’s guest, Brandon Ross , has lived that journey from every angle. Before launching Quotient Wealth Partners, he built Peak Capital. Peak merged with Joe Duran’s United Capital early in its rise and later experienced the shift to a large-firm environment when United was acquired by Goldman Sachs. After years of experience across the spectrum – from independent to aggregator to Wall Street firm – Brandon identified the best elements of each model. So, when Brandon and his partners launched Quotient , they were intentional about what they carried forward and what they left behind. Ultimately, they created a firm with the freedom of independence, the scale of a modern enterprise, and a culture where growth starts at the top (not with a checkbook). It’s a philosophy that’s paid off. In just two years, Quotient has grown from $2.5B to $4.4B in AUM , powered almost entirely by organic momentum. The elements of Quotient’s success—and how they combined the innovation of Goldman Sachs, the independence of an RIA, and the drive of a startup. Launching their RIA—and why they chose the Dynasty Financial Partners platform. Building a growth engine—and how they turned it into a repeatable playbook. Advisor training programs—and how they create an unwavering focus on the client experience. Their referral culture—and how that powers their organic growth. Plus, Brandon explains why they’ve resisted private equity, why “sweat equity is the best equity,” how they’ve scaled without losing their entrepreneurial edge, and more. Listen in for a valuable growth story, grounded by a transitional experience few can offer. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources The Good News on Marketing: An Industry Legend on How to Grow Bigger Faster A free session on accelerating growth via marketing with one of the leading firms in the wealth management industry. They offer advice on the value of content, the referral process, building strategic partnerships, CRMs and technology, and much more. A Strategic Guide to the Supported RIA Model While the model has become a go-to for advisors seeking independence, understanding the variety of types and options can be challenging. Here’s a breakdown of what advisors need to know. Brandon Ross Co-Founder and Co-CEO Brandon Ross is a Co-Founder and Co-CEO of Quotient Wealth Partners , an independent wealth management firm. Brandon, along with his dedicated partners, established the firm with a shared vision of delivering memorable client experiences while nurturing a thriving and positive employee culture. With over 26 years of expertise as a Certified Financial Planner, Brandon brings a wealth of experience to the firm, its advisors, and its clients. He is deeply committed to providing comprehensive financial planning and guidance tailored to each client’s unique needs and objectives. Prior to starting Quotient Wealth Partners, Brandon held key positions, Co-Founder of Peak Capital Investment Services, Managing Director/Head of Office at Goldman Sachs, PFM. Brandon holds a Bachelor of Science in Finance from Oklahoma State University. Beyond the firm, he finds joy in teeing it up on the golf course, watching sports, and cherishing moments with friends and family. Brandon and his wife Nicole are proud parents to two their two daughters, Sierra and Haley. Also available on your favorite podcast app and other media sites

Dec 11

With Eden Ovadia, Co-Founder of FINNY Overview FINNY Co-Founder Eden Ovadia shares how AI is transforming advisor prospecting: automating outreach, matching advisors with ideal clients, and freeing time for deeper human connection. A forward-looking conversation on what growth will look like in the next era of wealth management. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… Growth is every advisor’s goal—but it’s also one of the biggest challenges. Traditional prospecting requires time, effort, and often a readiness to do things most advisors prefer to avoid: networking, cold outreach, or endless follow-ups. Eden Ovadia and her co-founders developed FINNY to change that. Using artificial intelligence, FINNY automatically identifies and matches advisors with ideal prospects (those who share their values, interests, and financial needs) and even reaches out on the advisor’s behalf with personalized messages across multiple channels. The result? A platform that helps advisors grow while doing less work. It’s what Eden calls the “holy grail of growth.” Eden joins Louis Diamond in this episode to explore how AI is transforming client acquisition and what it means for the future of advice, including: Eden’s background—and what she learned at Y Combinator and BCG that shaped FINNY’s vision. FINNY’s data engine—and how it works to match clients and advisors “like a dating app for wealth management.” Using AI to scale personalized outreach—and why the next generation of advisors is embracing this concept. AI and its impact on human connection—and why she believes technology will free advisors to actually spend more time doing what AI cannot do. The biggest myth around AI—and how tools like FINNY will help create better and more relevant connections. It’s a fascinating look at how the next wave of innovation is making growth smarter – and more human – than ever before. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Human Intelligence in the Age of AI: Why Recruiters Still Matter Artificial intelligence can analyze firms and deals. It can’t replace the insight and advocacy that help advisors make the right move. The Best of the Best: 10 Ways Top Advisors Are Growing Their Businesses A “Top 10” list of firm-level innovations and grassroots methodologies from some of the most successful advisors, teams, and firm in the business. Listen in to spark ideas designed to drive greater growth. Top Tips for Setting Your Business Up for Success Years Before a Move Whether you’re just exploring what’s out there or actively conducting due diligence, these insights will help you position your business and team for success, whenever the time is right. Eden Ovadia Co-Founder Eden launched FINNY alongside her co-founders in May 2024 to tackle the organic growth challenge facing RIAs. FINNY’s AI technology automates lead identification, prioritizes high-potential prospects and streamlines how advisors connect with clients. Under Eden’s leadership, FINNY has seen early success—earning acceptance into the Y Combinator startup accelerator program and raising a $4.3 million seed round in December 2024. She brings a deep background in AI, software engineering and entrepreneurship to her work, combining technical expertise with a strategic lens. Before co-founding FINNY, Eden was an Associate at Boston Consulting Group, where she primarily worked in the technology, financial institutions, and private equity practices. She holds a Bachelor of Engineering from McGill University with a specialization in Machine Learning. While at McGill, Eden also worked as a Cybersecurity Advisory Associate at EY and KPMG. Also available on your favorite podcast app and other media sites

Dec 4

With Pete Tiboris, CEO and Partner, Park Avenue Capital Overview Park Avenue Capital CEO Pete Tiboris shares how he and his partners built a $4B enterprise inside Northwestern Mutual through intentional design, a pod-based advisor structure, a culture built on fit and alignment, and an unwavering focus on the client experience. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… What does it take to build and sustain a $4B enterprise within a broker dealer ecosystem? For most advisors, that kind of scale might seem out of reach. But Peter Tiboris and his partners at Park Avenue Capital have done just that—reimagining what a fully integrated, high-performing advisory business can look like within the Northwestern Mutual network. At Park Avenue Capital, Pete and his team have created a structure that balances both organic and inorganic growth, guided by a clear philosophy: focus on people, process, and client experience. From building an advisor pod system that doubles advisor capacity to hiring a former general manager from St. Regis Hotels to elevate every client interaction, Pete has turned operational excellence into a competitive advantage. Pete joins Louis Diamond in this episode to discuss all that, plus: Building a business at Northwestern Mutual—and why it’s still the right home for Park Avenue Capital. The upfront work around creating a business designed to scale—and how that’s allowed them to grow organically in ways that few advisory firms can. Their corporate philosophy—and how the lens of culture, fit, and client alignment influences their work. Their approach to acquisitions—and why some of their best decisions involved walking away from opportunities. Their “hyper-focus on the client experience”—and how it fuels their incredible growth. Plus, Pete shares why he still considers Park Avenue Capital “a startup at heart.” It’s a rare look inside a $4B firm—and a fascinating conversation about scale, leadership, and how the right design can fuel extraordinary growth even within an independent broker dealer model. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources IBD vs. RIA – Which Model Fits Your Future This guide offers a clear, side-by-side view of the two models—including distinctions between the DIY route of building an RIA from scratch and opting for a supportive independence platform to help align your business goals with greater options and opportunities. Is Scale a Necessary Evil in Wealth Management? Scale can provide a competitive advantage. Yet there might be scenarios in which bigger isn’t always better. The Best of the Best: 10 Ways Top Advisors Are Growing Their Businesses A “Top 10” list of firm-level innovations and grassroots methodologies from some of the most successful advisors, teams, and firm in the business. Listen in to spark ideas designed to drive greater growth. Peter Tiboris CEO and Partner Peter Tiboris started with Northwestern Mutual in 2002 straight out of college. Since then, he’s a 13-time Forum Qualifier and is a 5-star Pathfinder. He ranks in the top 150 in career insurance production in the history of Northwestern Mutual, is a Barron’s Top 1200 Advisor, Forbes Top Security Professional and a Forbes Best in State Advisor. In 2022, Peter announced partnering with Ben Feldman to form Park Avenue Capital . Their team of 50 represents one of the fastest-growing enterprises at Northwestern Mutual nationally. Through organic growth and developing strategic succession solutions for NM advisors on the doorstep of retirement, Ben and Peter’s goal is to become the first NM enterprise to reach $100 million in revenue. Peter prides himself on his ability to prospect in social environments. Nick Murry has called Peter “the best networker I have ever known – or even known of – in a half century in this business”. He lives in New Jersey with his wife Christy and four children, Dessa, Ernie, Susana and Selene. He’s an avid golfer, traveler and lover of food experiences and red wine. Also available on your favorite podcast app and other media sites

Nov 20

Overview Four top advisors who each left a major firm share how they built successful independent businesses on their own terms. Originally recorded as a live webinar, this candid roundtable explores the real fears, challenges, and opportunities of transition, and what advisors wish they’d known before making the leap. Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… Advisors considering independence often ask the same questions: What finally pushes someone to leave a major firm? How do you handle the fear of losing clients? What would you do differently if you could do it again? In this special episode (a replay of one of our most engaging webinars), Louis Diamond moderates a discussion with four advisors who’ve been there and built thriving firms after leaving Merrill, UBS, Wells Fargo, and Morgan Stanley: Trent Leyda, SpirePoint Private Client (formerly of Morgan Stanley) Jordan Raniszeski, Carnegie Private Wealth (formerly of Wells Fargo Advisors) Rebecca Baker, Marble Wealth (formerly of UBS) Jerry Davidse, Presilium Private Wealth (formerly of Merrill Lynch) Together, they offer rare, first-hand insight into what independence really looks like beyond the headlines: the risks, rewards, surprises, and decisions that shaped their journeys. Listeners will learn: What drove each advisor to leave their firm—and what ultimately tipped the scales. How they managed the fear of client loss—and what actually happened next. The biggest surprises of running their own business—and the lessons they’d share with others. How independence reshaped their client relationships—and their lives. And much more from our guest-submitted questions. It’s an unfiltered, practical look at transition from those who’ve lived it and a powerful resource for any advisor exploring what could be next—whether currently at a wirehouse or already an independent business owner. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Activating Plan B: Wirehouse Breakaways Build a Legacy Family Wealth Office Trent Leyda and Kay Campione offer a unique perspective on their time at Morgan Stanley, how it had come to diverge from their vision of building a family office they would entrust with their own families’ wealth, and how they are better equipped to realize that vision as an independent firm. Outgrowing the Employee Model: How an ex-Merrill Advisor Found Autonomy & Abundance in Independence Jerry Davidse discusses his transition from Merrill to building RIA firm Presilium Private Wealth with partner Brook Hart. He shares how they gained the freedom to communicate and create an exceptional experience for their clients, their outstanding portability ratio, uptick of referrals, and more. Seeing the Future Through the Eyes of the Client: A $770mm UBS Breakaway Story Matthew Murphy and Rebecca Baker of Marble Wealth discuss their choice to leave UBS and opt for independence early in their careers, the impact of signing on to the firm’s retire-in-place program ALFA, their age as a competitive advantage, and much more. A $1B+ Wells Fargo Breakaway Team Gets Re-Energized in a New Model In building a $1B business at Wells, Angie Ostendarp and Jordan Raniszeski realized they had outgrown the model, which limited their ability to serve their clients and continue their growth trajectory. They share why supported independence was the right fit and how it’s changed their path toward the future. Also available on your favorite podcast app and other media sites

Nov 13

With Neil Rubinstein, Private Advisor and Managing Director, RSA Family Wealth, Rockefeller Global Family Office Overview After 18 years at Merrill, Neil Rubinstein and his team joined Rockefeller Global Family Office, finding a platform purpose-built for ultra-high-net-worth clients and redefining what “exclusive access” and extraordinary growth can look like for elite advisors. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… Advisors often assume that staying at a wirehouse means access to the best products, the strongest brand, and the most “exclusive” opportunities. But what happens when you discover that “exclusive” can mean something very different – and far more powerful – outside the walls of a big firm? That’s the story of Neil Rubinstein , an 18-year Merrill veteran who made the move to Rockefeller Global Family Office in 2019. It was a decision driven by the realization that things were changing at Merrill. As Neil describes it, he and his team were spending more time checking mortgages and credit cards than they were managing their clients’ wealth potential. Diamond Consultants had the privilege of helping guide Neil on his journey to identify what could be “better enough” to take on the hassle of moving a practice managing $600mm in assets. And while independence was intriguing, Rockefeller checked off many more boxes than Neil could have imagined. Since then, Neil’s practice has more than doubled in both revenue and assets under management. In this episode with host Mindy Diamond, Neil offers a perspective on life after Merrill, including: What changed at Merrill to prompt Neil to explore—and what options they considered in the process. The decision not to go independent—and why they instead opted for a firm that allowed them to be “independent enough.” The decision to join Rockefeller—and how the firm’s name and value proposition create a powerful connection with clients and prospects. The value of Rockefeller’s platform—and how being “purpose-built” for high and ultra-high net worth clients has unlocked avenues of growth Neil hadn’t imagined. The perception of what’s considered “exclusive” at a wirehouse—and how that definition shifted at Rockefeller. More than 2X growth—and why Neil believes he’s in a better position than ever before to continue that trajectory . For advisors considering their next chapter, this is a grounded look at access, alignment, and growth told by someone who’s lived on both sides—with a candid look at the heralded Rockefeller brand. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Rockefeller Revisited: What’s Driving the Success of this 3-Year-Old “Modern” Multi-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. Wealth Management Landscape at a Glance The wealth management industry offers more options than ever, making it challenging to identify and compare the various models. We created this “at a glance” continuum infographic—to help you navigate the different models and understand how their features stack up. Neil D. Rubinstein Private Advisor & Managing Director Neil is a founding partner of RSA Family Wealth and joined Rockefeller Capital Management in June 2019. He is dedicated to providing financial planning, investment management, and wealth structuring services to successful families in North Texas and across the United States. Along with all members of RSA Family Wealth, Neil is committed to delivering a high-touch, professional service and enjoys working with great families every day. Neil has more than twenty-six years of experience in the field of finance. He obtained his undergraduate degree in accounting and MPA (Master of Professional Accounting) from the University of Texas at Austin. Neil began his career in public accounting as a C.P.A. with PricewaterhouseCoopers. Neil was named to Forbes “Best-in-State Wealth Advisors” list in 2018, 2019, 2023, and 2024. Neil is a Certified Investment Management Analyst® (CIMA), awarded by the Investments & Wealth Institute™ (formerly Investment Management Consultants Association) through the Wharton School of Business. Neil and his family reside in Plano, Texas. Neil and his wife, Dafna, are involved in the community, both serving on community Boards of Directors and committees. He is a graduate of Leadership Plano and a Past President of the Board of both Congregation Anshai Torah and Akiba Yavneh Academy of Dallas. Both Neil and his family enjoy staying active and spending time in Breckenridge, CO, skiing in the winter and hiking in the summer. Also available on your favorite podcast app and other media sites

Nov 6

With Alex Markowitz – Founding and Managing Partner, Alteri Wealth Overview After more than a decade at Merrill, Alex Markowitz wanted to serve clients differently, without quotas or constraints. He launched Alteri Wealth, an independent firm built on empathy, teamwork, and what he calls a “financial physician” approach to client care and growth. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… Not every advisor aims to work in wealth management—and even fewer begin in medical school. However, for this episode’s guest, the similarities between medicine and financial advice are strong: empathy, the desire to help, and the commitment to “do no harm.” Alex Markowitz couldn’t imagine taking on the debt of medical school. But he could envision serving those who needed his help another way: as a financial advisor. That belief would ultimately lead him from the world of medicine to Merrill Lynch, and later, from Merrill to independence. After more than a decade in the wirehouse environment, Alex found that the rules, quotas, and bureaucracy left little room to be a true fiduciary. He couldn’t thrive in a profession where corporate structures dictated both his future and the outcomes of those he served. The turning point came when he began asking a simple question: “If I were fully independent, how would I serve my clients differently?” A year and a half later, as Founding Partner of Alteri Wealth , Alex is answering that question every day. Built around a “financial physician” approach to client care, the firm’s growth comes entirely through referrals—no marketing, no lead generation, just radical candor and results. In this episode, Louis Diamond speaks with Alex about his journey, including: Recognizing misalignments with the wirehouse—and how that reality set his thoughts on independence in motion. Leaving Merrill to build an independent firm—and how that unlocked the ability to merge multiple solo practices into a unified team. The value of hiring a COO—and why they saw the role as “essential” from day one. The “clients first” approach—and how it serves as both their guiding principle and a powerful growth strategy. The “gathering assets” mindset of the wirehouses—and how being free of that allows him to think of his business as a business. It’s a candid look at what life after the wirehouses can look like—and how independence can transform not just a business, but the very way an advisor defines success. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Diamond Consultants Merrill Advisor Transition Report This annual “firm-focused report” takes a closer look at advisor movement to and from Merrill during the first half of 2025. The Advisor Transition Playbook: Inside Baseball on Due Diligence, the Move, and Everything In Between A guide to advisor transitions: due diligence, culture, deals, client comms,and lessons from the $129B Merrill breakaway. Mindset Shift: Why Advisors are Forgoing a Recruiting Deal and Leaping Right to Independence 6 reasons why more advisors are choosing to bet on themselves before monetizing their businesses. Alex Markowitz Founding Partner Alex Markowitz is a Founding Partner of Alteri Wealth , where he leads with a singular focus: his clients and their families. With a background in Biological Anthropology and Chemistry from UC San Diego, graduating Cum Laude, Alex initially pursued a medical degree before discovering his true calling in financial services. This pivot led to a distinguished 13-year career at Merrill Lynch, where he rose to the rank of Senior Vice President and was honored on the Forbes Best-In-State Next-Generation Wealth Advisor List in 2023. Driven by a desire to serve clients more holistically, Alex co-founded Alteri Wealth to build the Family Office of the future. One that integrates every aspect of a client’s financial life with innovation, care, and purpose. Known as a “financial physician,” Alex takes a comprehensive and diagnostic approach to wealth management, ensuring that each client’s unique needs are addressed with precision and empathy. Alex’s passion for helping others extends beyond his professional life. He is deeply involved in his community, volunteering with his local Temple, The Friendship Circle—an organization supporting families of children with disabilities—and the City of Hope in the fight against cancer. A proud resident of Westlake Village, Alex shares his life with his wife Michelle and their beloved rescue dogs, Dom and Bon Jovi. Outside of work, he’s an avid Miami Dolphins fan, LEGO enthusiast, and bourbon aficionado. His ideal evening includes a glass of bourbon, a classic Carole King or James Taylor record spinning on the turntable, and the challenge of constructing intricate LEGO masterpieces. Also available on your favorite podcast app and other media sites

Oct 30

With Jarrod Malone & Michael Bressan, Partners at Shumaker Overview As TROs and lawsuits make headlines, two top attorneys who represented Merrill breakaways OpenArc, share how advisors can minimize risk, protect client relationships, and make a clean move with confidence. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… If you’ve been keeping up with recent industry headlines, you’ve likely noticed a concerning trend: a growing number of TROs (temporary restraining orders) being filed by wirehouses and large firms against advisors who leave. Firms like Merrill and UBS are increasingly using TROs to restrict advisors from contacting clients or moving accounts immediately after resignation. For those caught in the crosshairs, the consequences can be serious: reputational damage, legal fees, and weeks of uncertainty at exactly the wrong time. Yet for those who are moving with guidance from attorneys experienced in advisor transitions, and are coloring within the lines, it can seem that these legal actions are more show than substance. To help us unpack what’s happening and, more importantly, how to avoid becoming a headline yourself, Louis Diamond is joined by Jarrod Malone and Michael Bressan, two leading attorneys who represent financial advisors in transitions and disputes. Their firm, Shumaker, has handled thousands of advisor-related cases—including defending the recent OpenArc transition from Merrill, which drew national attention when a judge quickly ruled in favor of the breakaway team. Together, they explore: The recent uptick in TROs—and what’s driving the resurgence. The firms that have been the most aggressive—and who they are targeting. The biggest mistakes advisors can make in a transition—and how to limit your legal risk. Merrill’s lawsuit against recent breakaways OpenArc—and what key lessons other transitioning advisors can learn. The best practices advisors should implement before, during, and after a move—and why having the right legal plan in place can make all the difference.It’s an eye-opening conversation on the legal side of advisor transitions—and how to make your next move with clarity and confidence. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Top Tips for Setting Your Business Up for Success Years Before a Move Even if a move is years away—or just a possibility—it’s never too soon to start preparing. In this guide, we’ve gathered the most impactful tips from 20+ years of working with advisors navigating transitions. Whether you’re just exploring what’s out there or actively conducting due diligence, these insights will help you position your business and team for success, whenever the time is right. The Missing Narrative of the $129B Merrill Breakaway Story The largest (and quite possibly most significant) advisor breakaway in industry history made news this week. Yet instead of leading with the scale or significance of the move, headlines centered on Merrill’s lawsuit alleging corporate raiding. The $129B Blockbuster Move: Shirl Penney on Why This Transition Marks a New Era for the Industry The $129B OpenArc breakaway marks a watershed moment for wealth management. In this Rapid Reaction episode, Louis Diamond and Shirl Penney unpack what it means for the RIA model, advisors, and the future of industry competition. Michael D. Bressan Partner Michael is a member of a team of lawyers who represent large financial institutions and high-net-worth individuals regarding employment transitions and violations of contractual covenants. His practice primarily focuses on securities law, restrictive covenants, trade secrets, corporate change in control issues, mergers and acquisitions, commercial litigation, arbitration, and high-level negotiation. Jarrod J. Malone Partner Jarrod focuses his litigation practice on representing financial and investment advisors transitioning from firm to firm and has advised on some of the largest transitions in the country. He has significant litigation experience in State and Federal Courts, FINRA arbitrations, and has been class counsel in numerous class actions. Jarrod is one of the few lawyers in the United States who have successfully brought Racketeer Influenced and Corrupt Organizations claims in federal court and has handled dozens of TRO cases, both prosecuting and defending, throughout the country. He has substantial knowledge in electronic discovery and has assisted numerous corporations in data breach incidents. Also available on your favorite podcast app and other media sites

Oct 23

With Joe Duran – Managing Partner, Rise Growth Partners Overview He’s built and rebuilt some of the industry’s most successful firms and now he’s helping others do the same. In this episode, Joe Duran, the founder of Rise Growth Partners shares lessons from building, selling, and starting again, and how staying curious and adaptable fuels lasting success. Watch… Listen in… > Download a transcript of this episode… NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation. About this episode… Joe Duran’s career has always been about reaching new heights—and then helping others climb on their own. A proverbial mountain climber himself, Joe built and sold two of the most successful firms in the RIA space: Centurion Capital and United Capital. Today, Joe sees himself as a sherpa—guiding the next generation of entrepreneurs through his latest venture, Rise Growth Partners. His story is one of constant reinvention, relentless curiosity, and the humility to keep asking one simple question: “What if I’m wrong?” Joe first joined us on the show back in 2020 , shortly after the sale of United Capital to Goldman Sachs. Now, with the benefit of both hindsight and foresight, Joe revisits that experience and explores the mindset behind building truly world-class firms, including: The Goldman experience—and what he learned from the sale of United Capital. The development of Rise—and how he sees it helping to shift the narrative in the industry. Learning from your clients instead of your competitors—and why that’s the real key to building a world-class firm. Finding an investor that can “really help you—and why you need to look beyond “financiers.” Adding services without adding staff—and when you shouldn’t look in-house for solutions. Challenging your assumptions—and how to stay relevant in an industry that never stops changing. And why being great doesn’t necessarily mean being the biggest. Joe also reflects on how the industry can avoid the risk of mega-RIAs repeating the mistakes of the wirehouses. It’s a candid and thought-provoking conversation about reinvention, leadership, value creation, and what it means to evolve from mountain climber to sherpa from one of the industry’s trailblazers. Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002. Related Resources Why Settle for “Good Enough” When Great is Possible? In a vastly expanded industry landscape with more high-quality options than ever before, some advisors settle for “good enough” when the potential for “great” is often within reach. What’s holding them back? Limitless Growth: Building the Business You Want and the Life to Match Stephanie Bogan, founder of Limitless Advisor, offers a glimpse into the advice and perspective she shares with advisors and business leaders in the wealth management world, focusing on mindset and methods, and their relationship to achieving one’s best business life. Wealth Management Landscape at a Glance The wealth management industry offers more options than ever, making it challenging to identify and compare the various models. We created this “at a glance” continuum infographic—to help you navigate the different models and understand how their features stack up. Joe Duran Managing Partner Joe Duran is a serial entrepreneur and an industry visionary in wealth management and wealthtech. Early in 2024, Joe and his team launched Rise Growth Partners (‘Rise’), the industry’s first harmonious financial partner. With firsthand experience in building nationally recognized registered investment advisers (RIAs), Rise’s team partners with middle-market RIAs, providing capital and strategic expertise. Previously, Joe was a Partner at Goldman Sachs, serving as Co-Head of the Workplace and Personal Wealth business. He founded and served as CEO of United Capital, one of the nation’s largest independent wealth management firms, which Goldman Sachs acquired in July 2019. Prior to that, he built and sold Centurion Capital–one of the first turnkey asset management platforms–to General Electric, where he served as President of GE Private Asset Management (now listed as NYSE: AMK). Joe is the author of three bestselling books on investing and entrepreneurship. He is a sought-after conference and podcast speaker and appears frequently on a broad spectrum of media, ranging from CNBC to Goop. Joe has MBAs from Columbia University and UC Berkeley, as well as an undergraduate degree from Saint Louis University. He is a CFA Charterholder and a member of the Young President’s Organization (YPO), the world’s largest leadership community of chief executives. A Yogi for decades, he meditates daily and is an avid beach volleyball player. Joe and his wife Jennifer cherish their three daughters and share a love of frequent travel, dining, dancing and live concerts. Also available on your favorite podcast app and other media sites