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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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Succession Planning

Third Gen UBS Breakaway Finds Sanctuary: $150mm in Assets and a Long Runway to Grow

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

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”

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

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

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

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

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

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

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.

An Update on Merrill’s Enhanced CTP: What it Means for Advisors, Their Next Gen and Clients

An Update on Merrill’s Enhanced CTP: What it Means for Advisors, Their Next Gen and Clients

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.

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Recent News & Articles

  • Industry Update: Should You Consider a Move When Markets are Turbulent?
  • Should FAs Be Tested for Cognitive Decline?
  • The Path to Independence: 6 Key Elements to Consider Before Starting Your Journey
  • Ex-Merrill ACTM Chair to Independent Business Owner: A Former Insider’s Point of View
  • UBS Comp Changes Make It Harder to Battle Asset Outflows–Analysis
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