Episodes

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

Oct 16

With Steve Davis, Founder & CEO, Madison & Elm Wealth Management Overview After more than a decade at Edward Jones, Steve Davis realized he’d outgrown the model. He wanted more control, flexibility, and the ability to serve clients his way. In this episode, Steve shares how he built a lean, focused, and highly efficient independent practice with LPL—and why success isn’t about size, but about designing a business that fits your life. 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 we talk about advisors “outgrowing the firm,” it often sounds theoretical. For this episode’s guest, it’s anything but. After more than a decade at Edward Jones, Steve Davis found himself limited—unable to market his CFP® credential, restricted on hiring, and frustrated by compliance that treated every advisor the same, regardless of experience. The breaking point came when he lost a major client relationship: not because of service, but because he simply couldn’t access the solutions that his client needed inside the Edward Jones model. That was when it became clear that Steve hadn’t just outgrown Edward Jones; he needed a platform that matched where he wanted to take his practice well into the future. Today, as the founder of Madison & Elm Wealth Management , an independent practice affiliated with LPL, he runs what he calls a “hyper-efficient, hyper-focused” solo practice. With 60 clients, $60M in assets, and a net payout that well-exceeds that of his time at Edward Jones, he’s proven that independence isn’t just about size: It’s about control, choice, and building a business aligned with your life. In this episode, Jason Diamond dives into Steve’s story, including: The limitations he experienced at Edward Jones—and the tangible things he can now do for his clients and business as an independent. The options he considered—and why he passed on a lucrative W-2 recruiting deal. The process of transitioning out of Edward Jones—and why independence with LPL was the right path. The real value of freedom—and how it was reshaped both his practice and his perspective. Creating a business that aligns with his lifestyle—and why that was not possible at the firm. It’s an honest look at life after the W-2 world and how one advisor built a business that works smarter, not harder, with relevant takeaways for advisors at all levels. 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 Post-Transition Survey: Checking in on Former Edward Jones Advisors Who Recently Moved Unfiltered, fresh, candid, and honest feedback straight from your Edward Jones peers who transitioned to another firm or model within the past 18 months. The Advisor Transition Playbook: Inside Baseball on Due Diligence, the Move, and Everything In Between From due diligence to culture fit, client communication to deal evaluation, there’s far more to moving than meets the eye. In this special Industry Update, Jason and Mindy unpack the real playbook behind advisor transitions – the triggers, misconceptions, and timelines – plus lessons from the recent $129B Merrill breakaway that prove why no advisor is “too big” for change. 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. Steve Davis Founder and CEO Steve Davis is the founder and CEO of Madison & Elm Wealth Management . Steve is a Certified Financial Planner (CFP®) with over 14 years of experience supporting clients in pursuing their financial goals. He meets with clients in-person or virtually, partnering with them and proactively sharing his expertise in order to help maximize their opportunities. He has the support of a team of professionals at LPL Financial who are specifically equipped to handle the sophisticated needs of higher net worth clients. As a former Division I athlete, Steve brings the same focus and dedication to his clients that allowed him to excel on the baseball field. Steve grew up in Cincinnati, Ohio before attending Kent State University on an athletic and academic scholarship. After graduating magna cum laude with a degree in finance and entrepreneurship, he spent two years as an equity trader. He has been serving clients nationwide ever since. Steve lives with his wife and three children in the western suburbs of Chicago. Also available on your favorite podcast app and other media sites

Oct 9

With Adam Malamed—CEO, Sanctuary Wealth Hosted by Louis Diamond Overview Supportive independence has become one of the most dynamic segments of wealth management, offering advisors the freedom of independence with the scale and resources of a major firm. In this episode, the CEO of Sanctuary Wealth joins Louis Diamond to discuss Sanctuary 2.0: how the firm doubled in size, its vision for advisor autonomy, and the future of growth, technology, and partnership in the independent space. 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 considering independence often wrestle with a key question: “Do I want to go it alone—or have the backing of a platform?” That question gave rise to the concept of supportive independence —one of the most dynamic corners of the wealth management ecosystem. It bridges the gap between the turnkey structure of the wirehouses and the full autonomy of running your own RIA. The model offers ownership and freedom while surrounding teams with the infrastructure, technology, and expertise to accelerate growth and achieve scale. And it comes with an added advantage: a community built on accessible leadership and shared talent. It’s in this space that Sanctuary Wealth has carved out its niche. Since its founding, Sanctuary has become a top destination for elite wirehouse teams seeking greater freedom and control—without giving up the benefits of scale. With CEO Adam Malamed at the helm, the firm has entered what he calls “Sanctuary 2.0” —a new era of growth, innovation, and partnership designed to help advisors not only transition successfully but thrive long after the move. Building on his experience scaling Ladenburg Thalmann into a multi-billion-dollar enterprise, Adam is now leading Sanctuary into its next chapter with a sharp focus on growth, technology, and long-term sustainability. In just two years, he has helped the firm nearly double in size, expanded its reach through the acquisition of Tru Independence, and solidified its standing as one of the industry’s most compelling platforms for elite advisors. In this episode, Louis Diamond and Adam discuss: How Sanctuary doubled in size—and why its growth strategy continues to resonate with elite advisors. The balance of autonomy and support—and what makes Sanctuary’s formula work. Advisors’ long-term goals—and how the firm continues adding value well beyond the transition. The future of wealth management—and how technology, data, and AI are reshaping the platform. Sanctuary’s long-term strategy—and how succession planning, equity monetization, and access to capital remain central components. It’s a candid look at where one of the fastest-growing firms is headed and the value it offers advisors seeking a path to independence. 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 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. Firms That Win in 2025: What Advisors Are Really Looking For With advisor expectations evolving, not all “good firms” are winning the talent. Mindy and Louis Diamond share what today’s top advisors really value—and why some firms are standing out while others fall short. 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. Alan Malamed Chief Executive Officer Adam Malamed is the Chief Executive Officer of Sanctuary Wealth, where he leads the firm’s strategic vision, long-term growth initiatives, and commitment to innovation in the wealth management industry. Since assuming the role in 2023, Adam has focused on building the platform of the future investing in top talent, advanced technology, and scalable growth resources. His mission is to drive value for Sanctuary’s Partner Firms by helping them grow, operate more efficiently and build equity. Under Adam’s leadership, Sanctuary continues to solidify its position as the premier destination for sophisticated and elite financial advisors and wealth management firms. He oversees the firm’s long-term strategy with an emphasis on business expansion ensuring Sanctuary remains a leader in the Hybrid RIA space. With over 25 years of experience in financial services, Adam is a seasoned executive, entrepreneur, and board director. Prior to joining Sanctuary, he served as Executive Vice President, Chief Operating Officer, and Board Director at publicly traded Ladenburg Thalmann Financial, where he was instrumental in growing the firm’s revenue from $35 million to $1.5 billion. Adam earned a B.A. in Business Management from the University of Massachusetts Amherst and completed the General Management Program at Harvard Business School. Also available on your favorite podcast app and other media sites

Oct 2

A guide to advisor transitions: due diligence, culture, deals, client comms,and lessons from the $129B Merrill breakaway.

Sep 29

A $129B team left Merrill to launch OpenArc Corporate Advisory, the largest breakaway in industry history. In this special episode, Dynasty’s Shirl Penney joins Louis Diamond to share an inside perspective on why the deal is about more than scale, what drove the move, and how it signals a new era for independence and the industry at large.

Sep 25

Few advisors build a multi-billion-dollar RIA. John Krambeer has done it twice. In this candid conversation, the Validus Capital CEO reflects on his journey, how independence has evolved, and the hard-won lessons that guide him now.

Sep 18

The CEO of Cetera Financial Group shares insights on independence, private equity, and balancing scale with service, plus what the future holds for advisors and firms.

Sep 11

A special mid-year update with Jason and Louis Diamond on deals, transitions, and recruiting trends shaping 2025—and what advisors can expect in the months ahead.

Aug 28

Julia Healey, CEO of United Charitable, shares insights on DAFs, their value to clients, and the potential positive impact they can have on an advisor’s business.

Aug 21

Ben Valore-Caplan, founder of Syntrinsic, shares how he built a $2.9B mission-driven RIA to serve foundations, endowments, and values-driven institutions, the evolution of impact & ESG investing, why he sold to IMA Financial Group, and more.

Aug 14

Cary Carbonaro learned from her own experience that there was both a gap and an opportunity in attracting and retaining women clients and advisors. In this episode, Cary shares specific advice on what firms are doing wrong and how they can get it right.

Aug 7

With advisor expectations evolving, not all “good firms” are winning the talent. Mindy and Louis Diamond share what today’s top advisors really value—and why some firms are standing out while others fall short.

Jul 31

Brian Pultman discusses why he chose independence over taking a wirehouse transition deal. However, as he candidly shares, building your own RIA is not always a smooth process, yet it resulted in aligning his values while building $1B+ Correct Capital Wealth Management.

Jul 24

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.

Jul 17

Joel Guth shares how stepping out from under the Hightower umbrella to become a fully independent RIA opened up a new world of opportunity for his firm Gryphon Financial Partners. He shares how that transition allows them to create a $3B firm designed around turning client problems into opportunities.

Jul 10

Tony Parr shares the journey of Parr McKnight Wealth Management Group, a team that built their practice at Wells Fargo Private Client Group and leveraged the firm’s independent channels to achieve a “frictionless” launch of their RIA.

Jun 26

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.

Jun 19

The co-founder of F2 Strategy, Doug Fritz, offers a mini-masterclass on how the best advisory businesses utilize technology to create efficiencies and deliver a better client experience. Discover how strategic choices in building a tech stack, incorporating AI, and other key elements can future-proof your business and serve as a distinct differentiator.

Jun 12

What drives valuations—and what mistakes kill deals? M&A advisor Ted Jenkin joins Louis Diamond to share practical insights on maximizing value, understanding multiples, avoiding seller pitfalls, and the critical prep work every advisor should be doing now.

Jun 5

Brett Oley and Ryan Kinser demonstrate how the power of friendship and a shared focus on the client contributed to their early success in making the leap from UBS to Raymond James, building a growing business under the independent broker dealer umbrella.

May 29

The ultimate survival guide for employee advisors, offering essential advice on navigating the realities of control. Learn actionable points to consider should you find yourself dealing with the impact of mergers and acquisitions, new mandates, heightened vulnerability, and more.

May 22

John Thiel offers a unique perspective on the evolution of the wealth management industry and his former leadership role at Merrill. Plus, he shares how his new independent firm, Indivisible Partners, is carving a new path for those seeking a firm with a greater focus on the advisor.

May 15

In an episode that serves as a free coaching session on the key techniques that the most successful advisors use to build and grow their practices, Dave shares proven strategies honed from his tenure at Merrill, his three bestselling books, and his advisor coaching practice.

May 8

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.

May 1

A download on M&A for the advisor who has an interest in building a business designed to be an attractive prospect for sale at maximum enterprise value. Identifies options to consider, the risks, and potential rewards.

Apr 24

Shaun Hauser offers a unique perspective on how our northern neighbors perceive the wealth management industry, drawing comparisons to practices and firms in the US, and providing insights into creating an independent firm that has achieved extraordinary growth.

Apr 17

Glenn Israel reached a point where he recognized that, as an employee, he was limited in his ability to serve clients and grow his business. So he left Edward Jones to launch GFI Wealth Partners and shares what he learned in the transition process, what he can do differently in independence, and more.

Apr 10

The industry thought leader shares insights on the factors that impact efficiency and growth, citing research from his latest Productivity study, and weighs in on launching a firm, building a team, the role of technology and AI, and much more.

Apr 3

Steven Jarvis, the founder and CEO of Tax Retirement Services, offers advice on how a CPA can help increase the growth and enterprise value of an advisor’s business by providing tax planning strategies and more.

Mar 29

LPL Financial, the largest independent broker dealer, is set to acquire Commonwealth Financial Network. Louis Diamond shares a perspective for Commonwealth advisors and LPL advisors alike and what the acquisition means for the industry at large.

Mar 27

Scott Pinkerton of FourThought Private Wealth offers a perspective on outgrowing the independent broker dealer model, transitioning to an independent RIA, and the extraordinary growth realized as a result of the change. Scott unpacks the difference between the models, shares why he opted to sell equity to Focus Financial, and more.

Mar 20

In this companion guide to the annual Advisor Transition Report, Jason Diamond and Louis Diamond share key findings and post-publication insights from the annual state of the industry, with updates on advisor movement, transition deals, and more.

Mar 13

A special episode designed for firms with their sights set on enhancing recruiting efforts and advisors looking to attract new team members, offering the steps to craft an effective Employer Value Proposition (EVP), with examples on usage and potential impact on hiring success and retention.

Mar 6

Rich Steinmeier offers a candid perspective of LPL’s journey and how the founding core principles remain a pillar of the business today, even as evolutionary changes have made it one of the hottest firms in the industry.

Feb 27

Gideon Drucker shares a multi-generational growth story, evolving from the insurance world, to independent broker dealer HTK, and most recently, to fully independent as an RIA. Now CEO, Gideon shares insights on his own evolution from next gen to leader, the advantages of independence, and their transition.

Feb 20

Chris Griffith and Henry Wheelwright, rising stars in the wirehouse world, share their growth story and motivations to leave Morgan Stanley and launch their own independent firm on the Goldman Sachs custody platform.

Feb 13

Bryan Sweet of Sweet Financial Partners shares the ultimate independent business growth story, starting with 32 years under the Raymond James BD umbrella, then as an RIA, and most recently selling to Carson Wealth.

Feb 6

What drives the industry’s top advisors and teams? This special episode with Jason and Mindy Diamond explores the traits that drive their success, as well as the challenges they face.

Jan 30

Gerry Spitzer of Questar Capital Partners discusses leaving the wirehouse world after 30 years to launch an independent firm, sharing a perspective of building a business at Merrill and, more recently, UBS, and why focused, niche businesses may be better served in the independent space.

Jan 23

Michael Nathanson shares his vision for Focus, offering a unique insider’s perspective on the firm’s evolution and differentiators, and how that plays into the future of independence. Plus, he offers thoughts on his own transition to CEO and advice for advisors and business leaders.

Jan 16

Tony Smith of Stonegate Investment Group discusses transitioning from UBS after 14 years and $4.4B in AUM to independence and building the business to $6B, including the motivations to make a change at this stage of his career, how they achieved such extraordinary growth in a short time, and much more.

Jan 9

A compendium of advice extracted from 48 episodes of the 2024 season of the Diamond Podcast for Financial Advisors, including the importance of your “Why,” the most compelling reasons for change, being a “true” fiduciary, unique value propositions, and more.

Dec 26, 2024

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.

Dec 19, 2024

Mindy and Louis Diamond’s annual review is designed to provide guidance on the most impactful wealth management industry trends anticipated for 2025 including transitions, deals, comp, private equity, the wirehouse recruiting race, and more.

Dec 12, 2024

Mike Quin, a former Market Manager at Wells Fargo, left the wirehouse world to launch DayMark Wealth Partners. Mike offers a candid perspective on his experience and how it motivated him and his team to build an independent firm that is focused on their clients, the strategies behind their extraordinary growth from $1B to $4B, and other valuable lessons for employee advisors and business owners alike.

Dec 5, 2024

Steve Brennan, Managing Director and Head of Private Wealth Solutions from one of the leading private markets firms offers a unique perspective on the space, including how democratized access has helped foster growth beyond the wirehouses, the impact on an advisor’s business, innovations and trends, and much more.

Nov 26, 2024

Louis Diamond offers a perspective for UBS advisors on the firm’s compensation plan changes announced on November 21. It’s an episode for advisors who are curious about the updates and how they can use this knowledge to make informed decisions.

Nov 21, 2024

Jason and Louis Diamond explore strategies for maximizing enterprise value, whether or not an advisor plans to move. Learn actionable insights, key business practices, short-term vs. long-term tactics, and real-world examples.

Nov 14, 2024

Allan Boomer, the CIO of Momentum Advisors, shares his journey from a working-class background to an internship at Merrill and later landing at Goldman. In this episode, he discusses leaving Goldman to gain the ability to act as a true fiduciary in independence, the role of diversity as his “superpower,” his vision for a “100-year business,” his focus on long-term growth, and more.

Nov 7, 2024

Susan McKenna, CEO of eMoney, explores the fintech firm’s evolution, competitive edge, and the role of technology in wealth management. She discusses how eMoney’s tools foster client conversations and enhance experiences, shares insights on the future, and more.

Oct 31, 2024

Dylan O’Shea offers a unique perspective from a growing advisor with a long runway who could have easily opted for a transition check but instead chose independence. He discusses why he joined Quorum Private Wealth, the value of their shared vision, infrastructure, and more.

Oct 24, 2024

Advisors often face the fear of the unknown, feeling dissatisfied but stuck in “what ifs.” Erin Rocchio, coach and Managing Partner at Evolution, joins Mindy Diamond to share strategies that help advisors break free of this inertia, acknowledge fear, and open their minds to transformational change.

Oct 17, 2024

Many advisors are drawn to independence for the control and equity-building potential it offers, yet find themselves wondering if monetization in the short term might be the better way to go. Jason Diamond and Mindy Diamond provide insights and guidelines to help advisors navigate these choices with strategies to assess factors like growth, profitability, succession planning, and short- vs. long-term goals.

Oct 10, 2024

Realizing common behavior gaps led Carl Richards to explore ways to simplify financial concepts and processes for clients. As a result, he’s become an industry thought leader who offers a unique perspective on the true value of an advisor and how to access that to better serve clients and foster growth.

Oct 3, 2024

Nate Harris recognized that the firm he first built his business at no longer aligned with what he deemed as his North Star. After extensive soul searching and due diligence, he decided to leave his team at Merrill and opted for the independent broker dealer model, which he felt would allow him to achieve all he desired and then some.

Sep 26, 2024

Justin Berman shows that change is constant. After leaving Goldman Sachs in 2010 and growing his business from $1B to $5B in 10 years, he sought greater impact. He merged with Cresset Asset Management, boosting revenue from $17M to $27M in just 3 years.

Sep 19, 2024

Three Merrill breakaways offer unique perspectives on the process of considering change, life outside the wirehouse, and filling the gaps that one might experience when leaving a big brand name behind to become an independent business owner.

Sep 12, 2024

Jason Diamond turns the tables on Mindy who offers a first-hand glimpse into her book, Should I Stay or Should I Go?, created specifically for financial advisors who are looking to optimize their businesses or thinking through the biggest decision of their lives.

Aug 29, 2024

Gordon “Gordy” Abel from Dynasty Financial Partners offers perspectives on why marketing matters, how to create and leverage a brand, the key aspects of an effective value proposition, and more for employees of an established firm or someone just launching a new independent entity.

Aug 22, 2024

The “affiliation channel slide” has become a common path for many employee advisors seeking independence. Jason Andrews and Ross Bauer of Merritt Point Wealth Advisors share a story demonstrating how their transition from Wells Fargo PCG to FiNet resulted in tremendous growth opportunities.

Aug 15, 2024

Industry coach John Bowen demonstrates how building and fostering the development of your “Dream Team” can be the game changer your business is waiting for. It’s an episode that serves as a free coaching session with actionable advice for employee advisors and business owners alike.

Aug 8, 2024

Using the Diamond Consultants trademark data-driven analysis and insights on recruiting and deals, Louis and Jason Diamond share a “state of the recruiting industry” report for the first half of 2024, with perspectives on what to expect for the rest of the year.

Aug 1, 2024

Matt Brown discusses the founding of CAIS and his vision to democratize alternatives (alts) investing and open up access to firms of all sizes. He shares how technology helped transform the independent space and provides an extraordinary growth engine for firms. Plus, he offers his thoughts in the inaugural Founder’s Blueprint segment.

Jul 25, 2024

The first breakaway team to join Beacon Pointe Advisors offers a perspective on change at the wirehouses, the value of being a true fiduciary, the responsibility to a client and advisor’s business on serving an expanding list of client needs, taking a long-term look at the business, and much more.

Jul 18, 2024

Succession and monetization are hot topics for advisors in every model. LPL Financial’s Liquidity and Succession program representatives discuss what advisors, independent business owners, and next gens need to consider as they grow their businesses and explore long-term and short-term options, plus best practices to prepare for a transition and maximize business value.

Jul 11, 2024

Jeff Brown wore many hats in his career as he transitioned his book of business from the wirehouses to independence. Yet a nagging “what if” feeling inspired him to conduct strategic due diligence, leading him first to sell a minority stake in his business and later a majority stake. Now, as President of Stratos Private Wealth, he shares a unique journey.

Jun 27, 2024

Duncan MacPherson from Pareto Systems offers actionable advice for financial advisors looking to unlock greater value in all that they do to build their business. It’s like having a free session on growth with one of the best coaches in the business.

Jun 20, 2024

Dustin Cali and Daniel Ventura of Praetego Private Wealth broke away to: Build a business designed for the future, poised for growth and scale, with the freedom to serve clients’ unique needs.

Jun 13, 2024

Expert industry attorney Corey Kupfer offers advice to all advisors, whether considering change or not, including perspectives on contractual obligations and potential landmines one might encounter in a move, plus how to prepare your business for change, with actionable best practices to adopt today.

Jun 6, 2024

In a world managed to the lowest common denominator and driven by heavy-handed compliance, every employee advisor is vulnerable. In this episode, Mindy and Louis break it all down, share warning signs all advisors should pay attention to and proactive steps an advisor can take to protect themselves.

May 30, 2024

Building a firm from $120mm in assets to over $7.5B in just 6 years is an incredible feat. Mike Dolberg describes how he and the team at Apollon recognized the value of culture, partnership, and the freedom to serve clients—and how that realization ultimately drove their astounding success.

May 23, 2024

After a dozen years in the wirehouse world, Reza Zamani began to recognize the limitations inherent to the model. So in 2012, he left to launch SteelPeak Wealth with $250mm in AUM. Today, they manage $3B and have 20 advisors on their team. Reza discusses how the decision to break away led to tremendous growth.

May 16, 2024

Since his last visit on the show 5 years ago, Rob Nelson’s NorthRock Partners has grown exponentially, serving a high net worth client base of professional athletes, entrepreneurs, and corporate executives. Rob offers valuable lessons derived from finding the “clearest path to excellence” for his clients and the NorthRock team.

May 9, 2024

The Director of Business Development and Growth, Ed Friedman, shares the secret sauce driving Summit’s growth surge. It’s a perspective on the evolved independent space, with actionable advice on culture, outsourcing, the value of minority investors, and other essential insights for advisors and business owners.

May 2, 2024

Attorney Matt Baum breaks down the facts on the latest FTC Noncompete Rule, the potential impact on an advisor’s business, current agreements, the ability to transition, and more.

Apr 25, 2024

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.

Apr 18, 2024

In looking for “better ways” to foster growth and solve for other long-term goals, advisors need to weigh the value of pain vs. gain when it comes to a transition. In this special episode, Mindy and Louis Diamond share a process for answering the seminal question: Is change really worth it?

Apr 11, 2024

Brent and Brad Chappell share unique perspectives as next gens of a business conceived by their father decades ago at Merrill. They offer insightful thoughts about family dynamics and succession, the value of mentors and education, what it takes to build a $1B wealth management business, and more.

Apr 4, 2024

Listen in for an insightful and revealing look into advisors’ minds and what really makes them happy, based on data from the latest Kitces survey. Learn the motivations and drivers that lead not only to success but to a better quality of life.

Mar 28, 2024

In a more competitive and commoditized world, it’s critical to leverage any advantage available to be more intentional and thoughtful in managing and growing your business. This episode takes a deep dive into John Bowen’s latest report to identify action items to help advisors get started on a new path to thinking about delivering exactly what clients want.

Mar 21, 2024

What motivated the founders of Holistic Planning to leave Edward Jones, a firm their family built a business at over more than four decades? They discuss their thought process, the transition, and the growth opportunities they are now experiencing.

Mar 14, 2024

Dan Seivert of ECHELON Partners offers perspective to help advisors better understand their business’s value drivers and how to maximize each, even if you aren’t interested in going independent or selling your business.

Mar 7, 2024

In the Advisor Transition Report’s companion podcast episode, Louis and Jason Diamond explore the key takeaways and their anticipated influence on activity during 2024 and beyond.

Feb 29, 2024

Brett Bernstein realized that he could not achieve his vision and goals within the wirehouse world. So he set out to build his own practice. When he outgrew that, he built a firm. Now, he’s building an enterprise.

Feb 22, 2024

A breakdown of the steps advisors can take to prepare for change and enhance business processes, equally effective for those at the curiosity stage or even deep into due diligence, and whether you ultimately make a move or not.

Feb 15, 2024

Former President of First Republic Private Wealth Management Bob Thornton talks about the fallout from the banking crisis and his new chapter building an RIA backed by private equity firm Summit Partners.

Feb 8, 2024

Former UBS advisor Barry Mitchell discusses why he messed with success in the quintessential narrative for financial advisors around how to think about change, due diligence, the transition process, and more.

Feb 1, 2024

Gary Furukawa and Erik Morgan of Freestone Capital share how their success is driven by creating unique solutions for clients, training their team, and managing investments.

Jan 25, 2024

Top firm leader, Onur Erzan discusses how a growth mindset transcends AllianceBernstein’s culture, from its enhanced value proposition to its blend of proprietary and open architecture solutions.

Jan 18, 2024

Jack Ginter, CEO and Partner of Callan Family Office, discusses how understanding the unique needs of clients and delivering upon those needs are the key to building a world-class advisory business. The 30-year industry veteran shares his journey and offers actionable advice to advisors of all levels.

Jan 11, 2024

A compendium of the best advice from top advisors on eliminating limitations and bureaucracy, fostering growth, maximizing business value, and ensuring your firm is the right place for your clients and business for the long term.

Dec 21, 2023

A review of the most influential trends that impacted advisors in 2023, plus predictions and actionable guidance for 2024 to help advisors think more strategically and set longer-term goals to grow, protect, and future-proof their businesses.

Dec 14, 2023

The founder of AdvicePeriod, Vanilla, and others, offers a unique perspective on how an advisor’s entrepreneurial DNA can drive their ability to serve clients and grow untethered, particularly in the independent space.

Dec 7, 2023

What motivated this $1.6B multi-generational Wells Fargo team to leave the wirehouse world for supported independence with a relatively unknown broker dealer? Chris and Brian Cooke of Cooke Financial discuss their decision, growth, and more.

Nov 30, 2023

The founder of Boulevard Family Wealth revisits the show 6 years later to share an insider perspective on what he wishes he knew before breaking away from Merrill, including greater access to everything his UHNW clients needed and the positive impact on client service and growth.

Nov 16, 2023

Mark Copeland, Founder of $19B Signature Estate & Investment Advisors (SEIA) and Ben Prigal, Vice President of Reverence Capital Partners, discuss the value of partnership between private equity and RIAs, practice valuation, PE’s attraction to the wealth management space, and more.

Nov 9, 2023

Ghislain Gouraige, a 15-year UBS “culture carrier” shares what made him “start listening” to what was going on outside of the four walls of the firm at which he built a $3B practice, the value he saw in leaving to join NewEdge, tips on building an extraordinary business, and more.

Nov 2, 2023

Richard Lofgren, the Managing Director of Goldman Sachs Advisor Solutions, provides inside baseball on Goldman’s custody offering, including how they differentiate from other established custodians and their ideal advisor profile.

Oct 26, 2023

Mindy Diamond and Louis Diamond share ideas from 25 years of experience to help advisors navigate the daunting process of transition and advice on how to better cope with what can feel like a tumultuous ride.

Oct 19, 2023

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.

Oct 12, 2023

The founders of Beverly Hills Private Wealth discuss their motivations to leave Merrill after building a billion-dollar business, their transition to independence and experience as one of the first RIAs to choose Goldman Sachs Advisor Solutions as their custodian.

Oct 5, 2023

With 2023 mega-advisor moves already outpacing 2022, this episode explores case studies to answer: What was needle-moving enough to leave the firms where they built phenomenal businesses? What can we all learn from this activity? What is the impact on recruiting and the industry at large? And more…

Sep 28, 2023

The outgoing CEO of the wealthtech powerhouse shares his journey from the founding of Orion, the firm’s growth over the years, and perspectives on the future of wealth management, technology and AI, and much more.

Sep 21, 2023

The Barclays breakaway discusses his 2015 landmark leap with 5 partners, 3 offices, and $3B in AUM, plus shares why he feels UHNW clients are best served in independence, what they do to drive extraordinary growth, and much more.

Sep 14, 2023

Rare access to one of the top-of-the-food-chain leaders who discusses the direction of Wells, how it compares to its peers, the value to HNW and UHNW clients, a perspective on recruiting and the ideal advisor type, the future of the industry, and much more.

Sep 7, 2023

In an active recruiting environment, advisors are eager to understand where deals are at and where they’re headed. Beyond a transition deal, how can advisors monetize their business over time – thinking about the short-, mid- and long-term – whether they are in an employee or independent model?

Aug 24, 2023

Evan Mayer started in the bank channel and, over time, came to the realization that he could do more to support his clients and grow the business in the independent model. Evan proved that by growing more than 3x in just 4 years.

Aug 17, 2023

Private equity firms are showing an enhanced interest in wirehouse breakaways, investing directly in these teams on day one. Learn what’s driving this new trend, which teams are most appealing, how it will impact movement, and more.

Aug 10, 2023

Marc Horner discusses how his leap to independence allowed him to think and act more creatively, connect with clients and prospects on a new level, and ultimately grow his business in ways he could not in the wirehouse world.

Aug 3, 2023

Caitlin Douglas, the head of transition services at Dynasty, shares the details about transitioning to independence. What advisors need to know about the supported independence model, tips on preparing for a move, key milestones, and much more.

Jul 27, 2023

As a former Merrill ACTM chairperson, Andy Ferguson had an acute view of the changes taking place at the firm. He shares how that influenced his decision to opt for independence over Merrill’s retire-in-place program CTP and more.

Jul 20, 2023

One of the most influential people in the financial planning and investment management profession discusses what fueled his firm’s growth, the importance of financial education, the value of embracing technology, and more.

Jul 13, 2023

Independence allows advisors to create an unlimited menu of innovative value-add services for their clients. Employee advisors are finding ways to get in on the action. Learn specific examples of the various services offered by some of the industry’s leading independent firms.

Jun 29, 2023

Growing a sustainable wealth management business relies on attracting new clients while engaging current ones. The leader of the award-winning integrated marketing firm shares advice on what it takes to impact organic growth via marketing.

Jun 22, 2023

Craig Savage shares his journey from Goldman Sachs to Credit Suisse, why joining William Blair ultimately won out over launching an RIA, how finding the right culture has enhanced his team’s growth, and more.

Jun 15, 2023

Alan Zafran and Eric Harrison, 2 of the 3 Co-CEOs and Founding Partners of IEQ Capital, discuss making 2 leaps to independence from Merrill to Luminous then First Republic to IEQ and share their journey and formula for growth they mastered along the way.

Jun 8, 2023

R. Scott Bills considered himself a Merrill Lifer. But as the firm changed and the desire to build a brand and better serve their clients grew stronger, he and his team decided to make the leap to independence, launching Nilsine Partners.

Jun 1, 2023

The co-founder of Gerber Kawasaki weighs in on everything from what it takes to build a $2.2B mega-RIA and the power of freedom in the independent space, on to crypto, digitization, and ETFs, plus Elon Musk and Tesla.

May 25, 2023

What does an advisor need to know when embarking upon due diligence? In the second of this 2-part series, Mindy Diamond and Jason Diamond provide the key steps to a strategic process with focused outcomes.

May 18, 2023

What is it that advisors need to be aware of before jumping into due diligence? In the first of a 2-part series, Mindy Diamond and Louis Diamond share advice on the threshold questions to ask yourself before taking meetings or calls.

May 11, 2023

CEO Brad Bueermann discusses key aspects of M&A and succession, the most important factors around multiples, valuations, and maximizing enterprise value, the future of M&A, and much more.

May 4, 2023

Amir Monsefi describes “conflicts of interest” with the ability to serve clients and grow the business at Merrill. The former RD shares how building their own RIA allowed them the freedom to innovate and remove conflicts.

Apr 27, 2023

Matt Blocki left the insurance broker dealer world to build independent firm Equilibrium Wealth, allowing him to step away from being “product-driven” and focus instead on being “client-driven.” Hear how he tripled his revenue as a result.

Apr 20, 2023

The industry legend shares a glimpse of life back-in-the-day at Goldman Sachs, his early leap to independence, plus his prescription for the incredible organic growth at Hirtle, Callahan & Co., the impact of the OCIO model, and much more.

Apr 13, 2023

Mindy Diamond and Louis Diamond share perspectives from their unique vantage point on the impact of the banking crisis on advisor movement, their clients, and the wealth management industry at large.

Apr 6, 2023

David Pulcini of SixPoint Financial Partners discusses the value of being a student of the industry and how that helped him to pave a new path from insurance broker dealer to independent broker dealer, and ultimately on to hybrid RIA, RFG Advisory.

Mar 30, 2023

Ray Sclafani of ClientWise discusses the key areas that employee advisors and independent business owners can impact to influence sustainable growth, enhance client relationships, and ultimately build “exit” value.

Mar 23, 2023

Rory O'Hara founder of Ausperity Private Wealth discusses his journey from cold-calling trainee at Merrill, to building a business managing $500mm in client assets, to making the leap to independence as a young team.

Mar 16, 2023

James Hughes of Live Oak Bank discusses debt financing for prospective breakaway advisors looking to de-risk a leap to independence or payoff a note balance, or business owners seeking funds for acquisitions or succession planning.

Mar 9, 2023

What is the relevance of two $10mm teams leaving Merrill within one week’s time? Mindy Diamond and Louis Diamond answer that question, sharing case studies on the moves citing unique drivers and more.

Mar 2, 2023

Louis Diamond and Jason Diamond discuss the findings of the latest Financial Advisor Transition Report for 2022, featuring data on financial advisor movement, transition deals, and case studies.

Feb 23, 2023

Michael Nathanson of The Colony Group discusses how interdependence fostered the growth of the RIA, equity partner Focus Financial, and their unique culture, curated services, and acquisition strategy.

Feb 16, 2023

Shane Morrow discusses leaving the insurance-based independent broker dealer with a team of experienced partners and how their new firm IronBridge Wealth Counsel has thrived with SagePoint Financial, an IBD under the Advisor Group umbrella.

Feb 9, 2023

Leo Kelly, the founder and CEO of Verdence Capital Advisors, discusses life after Merrill and the choice to “breakaway” twice: first with Hightower and 5 years later launching an RIA.

Feb 2, 2023

The new president of Kestra Holding’s Bluespring Wealth Partners discusses the firm’s mission of acquiring independent wealth management practices, and shares his unique perspective on M&A, independence, business ownership, and more.

Jan 26, 2023

A quick yet thorough education for advisors on the independent space answering the questions that many of our advisor-clients ask us during due diligence.

Jan 19, 2023

The leader of one of the top brokerage firms in the wealth management world, Andy Sieg, President of Merrill Lynch Wealth Management, in a candid one-on-one interview with Mindy Diamond.

Jan 12, 2023

An annual digest of the 2022 season’s most ground-breaking commentary for financial advisors and business owners on topics including autonomy, change, clients’ needs, succession, next gens, growth, and much more.

Dec 22, 2022

In an annual review for financial advisors, Mindy Diamond and Louis Diamond look at the past year’s activity and discuss developing trends that are destined to drive change for 2023, including recruiting, deals, M&A, and much more.

Dec 15, 2022

Erin Botsford of The Advisor Authority offers success secrets for financial advisors and business owners on how to build and grow a business, designed for scale, succession, and to be attractive to acquirers.

Dec 8, 2022

After 45 years at Wells Fargo and their predecessors, Larry Boggs left the wirehouse to build independent firm Boggs & Company with a team that includes 3 of his daughters. Larry discusses family, legacy, business ownership, and more.

Dec 1, 2022

Jerry Davidse discusses his transition from Merrill to building RIA firm Presilium Private Wealth with partner Brook Hart, gaining the freedom to communicate and create an exceptional experience for their clients.

Nov 17, 2022

Steward Partners CEO and founding partner Jim Gold revisits the series to provide an update on the firm. He discusses their evolution and growth, the Goldman Sachs custodial platform, and more.

Nov 10, 2022

Self-described “homegrown Merrill” advisors Chad Goodchild and Jacob Schlicht share the drivers behind their choice to leave Merrill to launch independent firm Kickstand Wealth Advisors with support from TruClarity.

Nov 3, 2022

A podcast that started 5 years ago exploring independence for financial advisors evolved to offer a wide range of topics and guests from throughout the wealth management industry. This special episode explores the most popular themes.

Oct 27, 2022

Mike Durso, CEO of Shorehaven Wealth Partners, discusses his leap from employee to breakaway to leader, how bringing his diverse experience and institutional knowledge to the family business informed the decision to go independent, more.

Oct 20, 2022

Jeff Boudjouk on UBS termination, expungement, and a new life as independent firm Northeast Investment Group.

Oct 13, 2022

Kevin Myeroff shares how he built a $2B firm, the process of planning for succession and ultimate decision to sell NCA Financial Planners to Sequoia Financial.

Oct 6, 2022

When it comes to M&A, there are plenty of independent business owners and wirehouse advisors who have their sights on becoming acquirers, yet it’s an incredibly competitive environment with more buyers than sellers. Here’s how to compete and win.

Sep 29, 2022

Todd Resnick and his colleagues were attracted to the idea of building a “destination” for other advisors. He discusses their journey leveraging M&A, capital partners and support services to bring their shared goals to life–demonstrating how vision can drive growth and success.

Sep 22, 2022

Kevin McGuire and Sarah Burney, former J.P. Morgan Private Bankers, share their journey in moving their $2B HNW-focused business to Cresset. They discuss garden leave, portability, referrals, and more.

Sep 15, 2022

10 top trends from Diamond Consultants Transition Report, the first of a bi-annual series of reports for financial advisors. A comprehensive, data-driven exploration of financial advisor movement over a specific timeframe.

Sep 8, 2022

Rudy Adolf describes how the idea of Focus Financial Partners evolved, filling a gap in how independent financial advisors accessed capital, resources and monetized their life’s work, plus the firm’s journey as a public company and more.

Aug 25, 2022

Advisors invest their time, energy, and talents in serving clients and fostering business growth. Ultimately, they are creating career enterprise value. Here’s how to maximize that value.

Aug 18, 2022

Matthew Jarvis rose from near bankruptcy to running a profitable independent financial advisory practice. He shares his story plus key teachings on extreme accountability and delivering massive value to clients.

Aug 11, 2022

It’s common for financial advisors to share that they are uncomfortable thinking about a move when the markets are unsettled. But how does an advisor know if now is the right time to consider change? Learn that and more.

Aug 4, 2022

Kelly Milligan describes his journey at Merrill from zero to $1.5B in AUM, his role as Chair of the ACTM, the change in culture at the firm and how that motivated him and his team to launch independent firm Quorum Private Wealth.

Jul 28, 2022

Phil Fiore and his team felt limited at UBS in their ability to grow and customize services for their largely institutional client base. So they launched Procyon Partners, have expanded services and are achieving extraordinary M&A success.

Jul 21, 2022

A financial advisor’s move should be to improve client service because it’s the clients who drive business growth and value. Here’s how to communicate “what’s in it for them” so they can see the positive impact of the change.

Jul 14, 2022

Bill Cates has helped financial advisors move from incremental growth to exponential growth by communicating more compelling value and multiplying their best clients by accessing the power of referrals. Bill shares his best tips to create your own referral process with Louis Diamond.

Jun 30, 2022

While advisors successfully transition out of non-Protocol firms each and every day, doing so comes with added risks. Attorney David Gehn, whose expertise is in representing advisors in transition, shares advice with Jason Diamond.

Jun 23, 2022

What does it take to garner the attention of one of the leading private equity firms in the world? Beacon Pointe’s President Matt Cooper and Sasank Chary, Managing Director of KKR, answer that question and more.

Jun 16, 2022

UBS breakaways John Klaas, Jr. and David Millington share their journey to launching independent firm Puzzle Wealth Solutions with Gladstone Wealth Partners and resulting growth to $2B in assets year one.

Jun 9, 2022

Jim Dickson, founder and CEO of Sanctuary Wealth, revisits the show as the firm celebrates its 4th anniversary, recapping the early days of Sanctuary, discussing where the firm is today, the growth of supported independence and more.

Jun 2, 2022

Grier Rubeling, Advisor Transition Services, joins this special Industry Update episode to share practical portability tips and actionable transition advice for financial advisors considering or preparing to change firms.

May 26, 2022

Gary Hirschberg began to question if he was able to act as a true fiduciary to his clients at Goldman Sachs. Plus, he had the nagging desire to build a brand of his own. So in 2018, he left to launch Aaron Wealth Advisors.

May 19, 2022

Steve Dimitriou built his book in firms like MFS, Alex.Brown, AdVest and later FiNet, growing to $1.3B in AUM. Yet the call for greater independence became the motivation to launch RIA Mayflower Advisors which today manages over $1.7B.

May 12, 2022

On his 25th anniversary with Merrill, Craig Robson resigned to launch RIA Regent Peak Wealth in Atlanta, GA. It was a bold move designed to “liberate and empower” him and his team to serve their clients completely and with objectivity.

May 5, 2022

Andy Harris of Evergreen Wealth Solutions describes his journey from building a business at ING, transitioning to an IBD at Commonwealth Financial Network, and later sliding over to their RIA platform, with key learnings about both models.

Apr 28, 2022

Part 2 of 2 on M&A: 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.

Apr 21, 2022

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? This episode compares and contrasts options.

Apr 14, 2022

Dan Katz of Revolve Wealth Partners talks about his role as the next gen of a business started by his father, opting to build an RIA firm from scratch, and how their past experiences at UBS and Oppenheimer shapes the vision of their firm today.

Apr 7, 2022

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 advisors break through to the next level and accelerate growth.

Mar 31, 2022

Katherine Forrester Schneewind left a country music career behind to follow her dream of becoming a financial planner and instead became a star at Northwestern Mutual. In 2019, she left to launch RIA High Note Wealth with brother Michael Forrester.

Mar 24, 2022

For Brock Moseley, the choice to leave Morgan Stanley for a 2nd time in 2007 to launch RIA Miracle Mile Advisors was about living true to his ethos by building a business from the ground up, based on everything he couldn’t find anywhere else.

Mar 17, 2022

Mindy Diamond and Louis Diamond explore 10 of the most common practices and behaviors of elite wealth management teams based on their experiences in guiding many of the industry’s top players.

Mar 10, 2022

Vince Finney and Joe Panfil of Bibler, Finney, Panfil Private Wealth Management Group left UBS for Wells Fargo Advisors with Ryan Bibler. A departure for a show on independence, it’s a candid conversation with a young team who didn’t go independent.

Mar 3, 2022

Jerry Lombard, President of Janney’s Private Client Group talks about the regional firm’s exponential growth over recent years, plus how their unique balance of freedom and flexibility makes the employee model an attractive alternative for advisors.

Feb 24, 2022

Jim DeCota started his career in wealth management in the financial advisor training program at Edward Jones, building his business to $85mm in AUM in just over a decade, before leaving to build what is today $2B+ Enso Wealth Management.

Feb 17, 2022

Many advisors are coming off their best years ever, driven by increased client demands and a run-up in the financial markets. So why disrupt momentum and take-on the risk and hassle of a move, to change jerseys or break for independence?

Feb 10, 2022

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, and how that influenced his choice to build an independent firm.

Feb 2, 2022

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.

Jan 25, 2022

Josh Brown went from mechanical engineer to the Merrill training program, building a business from 0 to $650mm. Firm changes prompted him and his team to consider their options, launching Northend Private Wealth on LPL Strategic Wealth Services.

Jan 20, 2022

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.

Jan 12, 2022

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.

Jan 5, 2022

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.

Dec 15, 2021

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.

Dec 8, 2021

Richard Saperstein rose out of the ‘08 financial crisis to build the now $20B+ Treasury Partners. He discusses that journey, his decision to affiliate with Hightower Advisors, plus the firm’s unique business model, the secret to their success and more.

Dec 1, 2021

How did a bank out of Canada rise to the ranks in the US wealth management space? RBC Wealth Management–U.S. President Tom Sagissor 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.

Nov 17, 2021

Rich Mullen of $1.75B RIA platform Pallas Capital Advisors shares creative ways he grew the business serving ultra-high net worth clients with a level of continuity that he could not achieve on his own or as an employee of UBS.

Nov 9, 2021

Advisors’ desire for greater agency in serving clients and growing their businesses is driving growth toward regional firms like Raymond James & Associates. Tash Elwyn, President and CEO, discusses how choice is the foundation of the firm’s culture.

Nov 3, 2021

Merrill’s recognition of the incongruence with their advisors via Project Thunder and limiting comp changes leaves some unanswered questions. This episode delves into those questions, what’s bugging advisors most and if it’s all too little too late.

Oct 28, 2021

Ron Kruszewski, Chairman and CEO of Stifel Financial Corp., shares how the firm serves as an example of what a regional firm is representative of today, and discusses their extraordinary growth, the appeal of their entrepreneurial culture, and more.

Oct 19, 2021

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.

Oct 12, 2021

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.

Oct 6, 2021

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.

Sep 30, 2021

The convention of offering a forgivable loan or recruitment deal has been the subject of a long-standing debate in the wealth management industry. Should advisors take the upfront deal or opt for the long-term potential of independence?

Sep 23, 2021

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.

Sep 17, 2021

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.

Sep 9, 2021

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.

Aug 26, 2021

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.

Aug 19, 2021

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.

Aug 12, 2021

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.

Aug 5, 2021

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.

Jul 29, 2021

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.

Jul 22, 2021

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.

Jul 15, 2021

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.

Jul 8, 2021

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.

Jun 24, 2021

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.”

Jun 17, 2021

As a Managing Director at Northwestern Mutual, Brett Gilliland had a unique perspective of the limitations at the firm. So after 13 years and with $300mm in AUM, he left to build Visionary Wealth Advisors, today a $1.8B firm.

Jun 9, 2021

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.

Jun 3, 2021

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.

May 27, 2021

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.

May 20, 2021

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.

May 13, 2021

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.

May 6, 2021

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.

Apr 29, 2021

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.

Apr 22, 2021

Chris Winn of AdvisorAssist makes the topic of managing compliance 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 and more.

Apr 15, 2021

There are plenty of reasons why independence isn’t for everyone. Listen in as Mindy and Louis break down the 10 most common reasons for financial advisors to “not make the leap.”

Apr 8, 2021

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.

Apr 1, 2021

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.

Mar 25, 2021

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.

Mar 18, 2021

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.

Mar 11, 2021

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.

Mar 4, 2021

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.

Feb 25, 2021

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.

Feb 18, 2021

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.

Feb 11, 2021

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.

Feb 4, 2021

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.

Jan 28, 2021

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.

Jan 21, 2021

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.

Jan 14, 2021

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.

Jan 7, 2021

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?

Dec 17, 2020

In a year nobody could have predicted, financial advisors are reporting the best years of their careers and we're seeing the greatest amount of movement in a decade. Mindy Diamond explores that phenomenon, plus reveals 10 emerging trends for 2021 destined to reshape the industry for financial advisors and firms.

Dec 10, 2020

Jon Kuttin reveals how he built a $2.4B independent practice on the Ameriprise Financial platform—a strategy that includes a unique referral engine, the decision to transition from a client-facing advisor to CEO, plus great mentors and hard work.

Dec 3, 2020

Former Merrill Lynch Resident Director Melissa Bouchillon shares what it takes for an RD to consider independence, Merrill’s push to sell bank products, how they compensated a partner who signed onto CTP, why they chose Focus Financial and more.

Nov 19, 2020

20 years ago, CAPTRUST launched with just $2.5mm in revenue and $400mm AUA. Today the firm reports $400B AUA and a valuation of $1.25B. Rush Benton discusses the firm’s growth methodology in an episode that demonstrates the potential of independence.

Nov 12, 2020

In part 2 of 2, Mark Sear and David Hou pick up where their story left off after the 2008 break from Merrill, the sale of their RIA Luminous Capital to First Republic in 2012, and their decision to go back to independence as RIA Evoke Advisors.

Nov 5, 2020

Mark Sear and David Hou, Managing Partners of Evoke Advisors, talk about their 2008 breakaway from Merrill Lynch to form RIA Luminous Capital, why they chose to sell Luminous to First Republic, their decision to leave First Republic for independence again, and much more in part 1 of a 2-part podcast episode.

Oct 29, 2020

There have been reports of some significant changes brewing at Goldman Sachs that seem to indicate that the firm is going all-in on the RIA custody business. What does that mean for Goldman Private Wealth Advisors and the industry at large?

Oct 22, 2020

Wirehouse veteran Bob Mulholland shares his experience at Merrill and UBS, plus perspective on changes at the wirehouses, the drivers towards independence, stemming advisor attrition at big brokerages, changing advisor sentiment and much more.

Oct 15, 2020

A look at how financial advisors can take a giant leap in growth, for example, going from managing assets of $500mm to $5B or more. Financial advisor coach, podcast host and New York Times bestselling author Steve Sanduski joins the show.

Oct 8, 2020

With nearly 60% of advisors currently working from home, how is that impacting their client relationships? And how are so many advisors still choosing to move in these uncertain times? Mindy Diamond discusses that and more in this Industry Update.

Oct 1, 2020

What’s driving the acquisition appetite of mega-RIAs? Peter Mallouk of $55B RIA Creative Planning has been driving inorganic growth like never before. He talks about his latest deals, his formula for growth, tips for buyer and sellers, and more.

Sep 24, 2020

Who are the investors? How are deals structured? Why would an advisor choose to sell all or a portion of his business? What’s the downside? When to monetize? The answers to those questions and more for wirehouse and independent advisors.

Sep 17, 2020

Why would a $6B team choose to leave behind the safety of Morgan Stanley - not to mention two-thirds of their assets - to make the leap to independence? Breakaway Jason Fertitta explains how he and his team decided to make the leap, forming RIA Americana Partners, how their high-net worth clients reacted to the news, and much more.

Sep 10, 2020

Many advisors wonder whether their business value can be maximized under a brokerage umbrella. Louis Diamond shares 3 valuation scenarios, as well as sheds light on why so many advisors choose to go independent on the back 9 of their careers.

Aug 27, 2020

Lawrence Calcano of iCapital Network discusses how their alternative investments (alts) platform helped close the gap for advisors who previously could not go independent without losing some, if not all, of their private fund access.

Aug 20, 2020

The 3rd of a 3-part series on the landscape of the wealth management industry explores today's boutique firms – a quasi-independent model – focusing on the top 2 firms in particular: Rockefeller Capital Management and First Republic Wealth Management.

Aug 13, 2020

Merrill next gen inheritor Elizabeth "Lizzie" Evans discusses her decision to leave the firm on the heels of her father’s CTP agreement and cautions how Merrill's sunset package means buying something the next gen doesn't truly own.

Aug 6, 2020

Beginning her deep dive into the ever-changing landscape of the wealth management industry, Mindy Diamond explores the defining characteristics of wirehouse and regional firms, how they've changed in recent years, and much more.

Jul 30, 2020

Mega-RIA firms are setting the pace of massive growth through ambitious acquiring practices and smart recruiting. Marty Bicknell, of Mariner Wealth Advisors, talks about his firm’s successes, shares advice for firm owners and breakaways, and more.

Jul 23, 2020

3 “ex-wirehouse-turned-independent-industry-leaders” in a rare single forum: Shirl Penney of Dynasty Financial Partners, Jim Dickson of Sanctuary Wealth and Rich Steinmeier of LPL Financial. They join Mindy Diamond to share an “insider’s view” of the wirehouse world, wealth management, independence, and more.

Jul 9, 2020

Mindy Diamond takes a close look at the ever-evolving landscape of the wealth management industry, outlining the “continuum” of models—comparing and contrasting features and benefits for financial advisors.

Jun 25, 2020

Jeff Concepcion of Stratos Wealth Partners shares why he chose Emigrant Partners as a capital partner, what independent firm owners need to do when preparing for an acquisition, how he grew his firm from zero to $14B AUM in just 12 years, and more.

Jun 18, 2020

Part 1 of 2 on M&A: Karl Heckenberg, president and CEO of Emigrant Partners, discusses how the firm's value proposition, plus the well-established clout of the Milstein family, is representative of a “new breed of acquirers” in the RIA space.

Jun 11, 2020

In this 10-minute update, Mindy Diamond explores the recent uptick in financial advisor recruiting activity, answers the questions we’re hearing most often from advisors, and shares the threshold question for advisors considering change.

Jun 4, 2020

Former UBS advisor Lori Siegel CFP of Centrix Wealth Partners talks about her first year of independence, forming Centrix Wealth Partners with Raymond James Financial Services, and how the ability to control their own destiny was a powerful driver.

May 28, 2020

Justin Berman left Goldman Sachs 10 years ago to build his own independent firm, at a time when such a move was much less common. How did he find the courage to leave the Goldman imprimatur, brave the firm's 60-day Garden Leave, and build the now $3B Berman Capital Advisors? He explains all this and more with Mindy Diamond in this podcast episode.

May 21, 2020

Tim Bello of Merchant Investment Management discusses the growth of the independent space and the burgeoning cottage industry that fills capital, service and support gaps, creating new paths for those who have a desire to grow their own enterprises.

May 14, 2020

Ben Harrison from BNY Mellon’s Pershing discusses the role a custodian plays in the lifecycle of an independent business, taking over for retiring industry icon Mark Tibergien as the head of Pershing’s RIA custody unit, the COVID-19 crisis, and more.

May 7, 2020

Bill Williams of Ameriprise Franchise Group discusses how dramatic shifts in recruiting practices, plus improvements in infrastructure, support, technology and marketing have resulted in great success for the century-old independent broker dealer.

Apr 30, 2020

Joe Eschleman, president of Towerpoint Wealth, tells Louis Diamond how leaving Wells Fargo – with the help of Dynasty Financial Partners – to launch his own independent firm now allows him to fully engage with clients and prospects, freely and creatively.

Apr 23, 2020

There's a new wave of evolution coming which we expect will impact advisors no matter where they work. The good news is much of these changes will be for the better. Mindy Diamond shares 10 predictions for what the wealth management world will look like.

Apr 16, 2020

Lee Korn, who launched the independent firm Opal Wealth Advisors in January of 2019, shares how pulling together all the moving parts that go into building an RIA is a task that takes time, energy and a good amount of learning as you go—but worth it!

Apr 9, 2020

The freedom to be creative and follow one’s instincts without a larger corporate agenda has enabled many independent advisors to successfully navigate the COVID-19 crisis. David Bahnsen of The Bahnsen Group shares his story and advice.

Apr 2, 2020

Matt Crow, President of Mercer Capital, a leading authority on firm valuations in the wealth management space, shares his perspective on the future of valuations, M&A and potential changes in the RIA space as a result of the COVID-19 crisis.

Mar 26, 2020

Attorney David Gehn, of NY law firm Ellenoff, Grossman & Schole, LLP, shares actionable advice for advisors including how to avoid risk, manage transitions and renegotiate promissory notes/ EFLs, plus challenges RIAs are facing and relief programs available.

Mar 20, 2020

How can advisors better communicate with clients and prospects in a way that is authentic, meaningful and adds value - especially in times of crisis? Bob Burg, the co-author of The Go-Giver book series, shares that and more in this special episode.

Mar 13, 2020

In trying to determine how best to manage a business and add value through these turbulent times, Mindy Diamond found these 10 ways to refocus energy and attention helpful in moving forward on a more positive path.

Mar 5, 2020

Wirehouse recruiting seems to be on the upswing, exemplified by recent high-profile hires and deals like Morgan Stanley’s acquisition of E*Trade. Are the wirehouses ready to compete in the recruiting wars? Mindy Diamond explores the battle for talent.

Feb 27, 2020

The Founder of Hamburger Law Firm and MarketCounsel shares his legal and business expertise on what financial advisors need to know about a leap to independence, post-Protocol moves, M&A, technology and the leveling of the playing field.

Feb 20, 2020

In this segment of Industry Update for Financial Advisors, Mindy Diamond takes a look at where advisors are going, how movement is fueling the landscape’s evolution, and what’s serving as a “barometer” of change for the industry at large.

Feb 13, 2020

Jodi Perry, President of RJFS Independent Contractor Division shares insights on the firm’s success, its culture and client-first ethos, and how that resonates with advisors looking for freedom and flexibility plus scaffolding and support.

Feb 6, 2020

A new bi-weekly podcast segment that takes a look beyond independence into what’s going on in the wealth management world at large. 10-minutes on 3 key things happening now and the impact on how financial advisors serve their clients and grow their businesses.

Jan 30, 2020

Joe Duran, the founder/CEO of United Capital, now a Goldman Sachs company, gets candid about the firm’s sale, his perspective on independence, clients, technology and M&A, plus the “logical evolution” for advisors and their businesses, and much more.

Jan 16, 2020

A special all-in-one-place, “best of the breakaways” show featuring curated conversations about the motivations behind the choice to leave the wirehouse world, the risks these breakaways took and the rewards they found waiting on the other side.

Dec 16, 2019

What is it that makes elite advisors so successful? Mindy Diamond takes a deep dive into the motivations, mindset and habits of top financial advisors with Matt Oechsli of The Oechsli Institute.

Dec 9, 2019

From NASA scientist to Forbes Top Wealth Advisor: Paul Pagnato, CEO Founder of PagnatoKarp, shares his extraordinary breakaway story from financial advisor at Merrill Lynch to launching an independent practice at HighTower Advisors before forming the now $4B fee-only RIA firm.

Dec 3, 2019

Doug John and Bryn Talkington join Mindy Diamond to discuss their break from UBS, the ability to better serve their ultra-high net worth clients and resulting extraordinary growth as the independent $1.5B RIA firm Requisite Capital Management.

Nov 18, 2019

With 30 years under its belt, LPL Financial is undergoing an evolution to what CEO Dan Arnold describes as “the next generation independent model.” Guests Rich Steinmeier and Marc Cohen share some inside baseball on the independent broker dealer's new direction.

Nov 11, 2019

Josh Brown, of Ritholtz Wealth Management and voice of The Reformed Broker and CNBC Halftime Report, talks about where the wealth management industry is headed, inorganic growth, equity, the role of authenticity and perseverance, and more.

Nov 7, 2019

In this special podcast episode, Vince Fertitta, breakaway Merrill executive who is now President of Sanctuary Wealth, joins the show to discuss the Merrill Lynch enhanced CTP and what it means for all Merrill advisors going forward.

Oct 28, 2019

Rich Gill, senior partner of Wealth Partners Capital Group, discusses what makes an attractive acquisition target, what a good deal looks like, how to prepare your firm for acquisition, how long the red hot M&A market will continue and much more.

Oct 14, 2019

Rob Nelson, CEO and Founding Partner of NorthRock Partners, talks about his explosive growth after a shift from IBD to RIA, the value of a capital partner, professional athletes as clients as well as team members, and much more.

Sep 30, 2019

Industry veteran and CEO of HighTower Bob Oros digs into the evolution of the firm and the landscape at large in this podcast episode. It’s an engaging conversation with a unique perspective on the momentum towards independence and thriving M&A market.

Sep 16, 2019

In part 2 of 2, Eric Poirier, CEO of Addepar, explores the ongoing role technology plays in the different stages of a business, as well as a firm’s valuation, and what independent firm owners need to consider as their businesses and clients evolve.

Sep 9, 2019

One of the industry's leading voices, Michael Kitces, joins Mindy to discuss the fundamental shifts in the wealth management industry, the leveling of the playing field and what advisors need to do to differentiate, compete and thrive.

Jun 27, 2019

Prospective breakaways often ask, “How can an independent firm possibly compete on a technology level with the wirehouses?” Eric Poirier, CEO of Addepar, joins the show to answer that question and explores the role of fintech in independence.

Jun 21, 2019

A conversation about the IBD model with Commonwealth Financial Network Managing Principal of Business Development, Andrew Daniels. Learn how the firm, 40 years in the making, has evolved, and how their model differs from others in the independent space.

Jun 13, 2019

Morgan Stanley breakaway Steve Schwarzbach, Founder and Managing Partner of $800mm RIA Icon Wealth Partners, shares how he and his partners – free of the “big firm agenda” – regained the power to define their firm’s culture and offer best-in-class products and services.

May 30, 2019

Former Morgan Stanley advisor Margaret Dechant had a successful “self-sufficient business” at the firm with $2.5B under management. So, what drove her and her partners to breakaway, leave deferred compensation behind and form their own independent firm?

May 16, 2019

Louis Diamond takes over the mic to share actionable advice on succession planning for all advisors no matter your age, stage of your career, or whether you’re seated at a wirehouse or are an independent business owner.