Preparing for Succession: What Made Selling the Right Path for this $2B Firm
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.
Third Gen UBS Breakaway Finds Sanctuary: $150mm in Assets and a Long Runway to Grow
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.
Solving for Freedom, Control & Succession: How the Next Gen of a $330mm UBS Team Forged a Path to Independence
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.
6 Months Later: Why a Former UBS Lifer Considers Independence His “Do Over”
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.
Transitions, Retire-in-Place Programs and Termination: A Top Attorney’s Perspective
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.
Industry Update: Answers to the Top 10 Questions Advisors Ask When Considering Change
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.
Industry Update: 7 Real-World Lessons We Learned on Succession Planning
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.
The Evolution of an RIA from Practice to Enterprise
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.
Back to Basics on Leadership, Business Management and Succession
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.
A Lawyer’s Advice on How to Protect Your Business Now and Into the Future
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.
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