Join Mindy and Louis Diamond on a journey to explore this evolving industry landscape. Along with guests including industry leaders and breakaway advisors, they discuss various models from the wirehouses, regional firms, broker dealers on through to independence. Plus they offer comparisons between different types of independent models including supported independence, independent broker dealers (IBDs), registered investment advisors (RIAs), and hybrid RIAs. And share some practice management advice along the way.
The goal of this series remains: To dispel some myths, share some facts, and help advisors get better educated on the options available without any concern over confidentiality or obligation. Be sure to subscribe and stay up-to-date.
One of the most significant concerns advisors have when making a move – particularly those transitioning without the protection of the Protocol – is the fear of legal retribution from their firm. And while advisors successfully transition out of non-Protocol firms each and every day, doing so comes with added risks. In this episode, attorney David Gehn, whose expertise is in representing advisors in transition, shares actionable advice with Jason Diamond. They explore what advisors from non-Protocol and Protocol firms need to consider when making a move, how to position themselves for a “successful” transition with the highest level of portability and the lowest level of risk, and much more. 
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Plenty of successful RIAs have become attractive investments for acquirers in the space. But to capture the attention of KKR, one of the leading private equity firms in the world, is something truly extraordinary. Beacon Pointe’s President Matt Cooper and Sasank Chary, Managing Director of KKR, discuss that attraction and key drivers of their strategic partnership. Plus, they explore Beacon Pointe’s extraordinary growth and share advice on what it takes to make your firm attractive to an investor, and much more. Listen…
John Klaas, Jr., David Millington and the team at Puzzle Wealth Solutions have much to celebrate. In just one year after leaving UBS to launch Puzzle, they’ve nearly doubled their assets under management to $2B. In this episode, they take us through their journey to becoming business owners, including the choice to build their firm with Gladstone Wealth Partners, the options they considered, what led to their extraordinary growth—and much more. Listen…
In this annual digest of some of our best interviews of the year, we take a step back to glean the key lessons candidly shared by advisors who demonstrated unstoppable determination and whose stories contained valuable and relatable lessons for all. These recent breakaway advisors and independent business owners share their motivations to consider change; why they chose independence; their ability to serve clients and grow their businesses; and much more. It’s a “best of the best” show—a single episode that offers key insights from the 2021 season of one of the top podcasts for financial advisors. Listen…
