Category: Podcast Sort Categories

Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?

No doubt that the breakaway movement shows no sign of abatement and, in fact, almost every day we learn of yet another advisor who has chosen to leave their traditional brokerage firm for the greater freedom and flexibility of independence. And while any advisor who chooses to leave the mother ship is courageous in giving up the comfort and turnkey support of a major firm, it is especially brave when an advisor from a non-Protocol firm chooses to make the leap.

The Choreography of a Move to Independence – With Tim Oden from Schwab Advisor Services

As more and more advisors consider a move to the independent space, they often express concern about the heavy-lifting such a move might require. In this podcast episode, Mindy is joined by Tim Oden, Senior Managing Director for Business Development at Schwab Advisor Services. With his 30-years of industry experience, he offers a great perspective on the ever-increasing movement towards independence.

Your Best Business Life: A 10-Point Exercise for Advisors

Throughout this series, Mindy has focused mostly on what it means to be independent and how to get from here to there. In this episode, she takes a step back to look at the thought process behind a move from a very different vantage point and offers a 10-point exercise for advisors.

What’s Driving the Momentum Towards Independence and Will it Continue? With Shirl Penney, Dynasty Financial Partners

Shirl Penney, President and CEO of Dynasty Financial Partners, joins Mindy in this episode to share insights from his own unique entrepreneurial mindset and vast industry knowledge and experience as the founder of Dynasty. They discuss the momentum towards independence and what it takes to get from here to there.

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How a Legacy Merrill Team Experienced 600% Growth in 10 Years

In this podcast episode, special guests Bill Loftus of Coastal Bridge Advisors and Mark DuPont of Focus Financial Partners provide an “outside-in” look at how a capital partner helped this team make the leap to independence in 2008, and share the story behind the amazing success of this RIA.

Mindset, Motivation and Momentum: What’s really driving all the movement to independence – With David Canter, Head of Fidelity’s RIA Segment

Fidelity’s David Canter provides an inside perspective on why independence continues to be the hottest ticket in town, and what we can expect for the RIA space going forward.

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Push vs. Pull: Understanding – and Responding to – the Key Drivers Behind a Move to Independence

What’s inspiring folks to jump ship from where they’ve built their life’s work to pursue other firms or even business models? Find out, plus a process that will guide you to answer your own question: Do I stay or do I go?

How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox

In this podcast episode, Jim Dickson, Founder and President of Sanctuary Wealth Partners, shares the inside track on what it was like to be in a senior role in the wirehouse as bureaucracy was on the rise, and why he left behind his 20-year career to build an independent firm.

The Path to Independence in Two Steps or One with Alex Goss of NewEdge Advisors (formerly Goss Advisors)

Alex Goss of Goss Advisors speaks with Louis Diamond about his path to independence, starting in the wirehouse world, then on to the independent broker dealer (IBD) space before launching his own firm, now a leading platform for prospective advisors.

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$300mm To $800mm in Just 8 Years: A Conversation with UBS Breakaway Gil Baumgarten

Gil Baumgarten, President and CEO of Segment Wealth, joins Mindy to discuss how, in the 8 short years since he launched his RIA firm, he has more than doubled his assets under management, quadrupled his take-home pay and created a “much better business” for himself and his clients. It’s a story about the growth potential of an RIA and the satisfaction that comes with it.

Elevated Conversations. Unbiased Insights. Strategic Thinking.