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.
Mindy Diamond Interviewed – By Jane Wollman Rusoff, ThinkAdvisor – ThinkAdvisor recently interviewed Diamond, who was on the phone from her firm’s base in Morristown, New Jersey. When the conversation pivoted to wirehouses’ retire-in-place programs, she called the trend “a pretty powerful force” — “a blessing and a curse.”
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.
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.
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.
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.
By Mindy Diamond, Forbes.com – Tenured advisors have invested a lifetime in building a business with real value, yet many don’t have a succession plan. Why the delay? And what are their options?
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.
By Mindy Diamond, WealthManagement.com – Those who are having second thoughts about signing on as heir apparent to their senior advisor’s book shouldn’t feel “hopeless,” according to Tom Lewis, Certified Civil Trial Attorney at Stevens & Lee in Princeton, NJ.
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.
