Former Goldman Sachs advisor Scott Neu shares the client-first growth strategy behind Sage Mountain’s $8.5B independent RIA, and why he...
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Explore the firms, platforms, and business models supporting financial advisors in the independent space. These podcast conversations examine RIA partnerships, custodial relationships, technology, infrastructure, and growth strategies, offering insight into how different providers help advisors build and manage their businesses.
Former Goldman Sachs advisor Scott Neu shares the client-first growth strategy behind Sage Mountain’s $8.5B independent RIA, and why he...
LISTENSince 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.
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.
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.
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.
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.
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.
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.
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.
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.
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.