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Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
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      • Mindy Diamond
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Podcast for Financial Advisors: Mindy Diamond on Independence

A podcast for financial advisors who have come to realize that independence isn’t just a model—but a mindset as well.

The wealth management industry has changed greatly over the last decade, with independent models becoming more mainstream than ever before. And while the original intent of this podcast for financial advisors was to focus solely on the independent space, the content has expanded to offer a wider view of the industry landscape and the notion of achieving what advisors want most: greater freedom and control over their business lives.

That is, “independence” has come to represent both the models and the mindset.

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.

NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation.

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From Cold-Calling to $500mm Breakaway: A Former Merrill Advisor’s Team-Based Approach to Growth

Back in 2007, Rory O’Hara, founder of Ausperity Private Wealth, started out at Merrill as a cold-calling trainee—to the tune of 200 to 300 calls a day! Over time, he realized that he could reach more customers by building a team, a decision that led to growing the practice to $500mm in AUM. But due diligence opened his eyes to even greater possibilities in the independent space. So in this episode, Rory discusses his journey from cold-calling trainee at Merrill, to building the business, on to making the leap to independence as a young team. It’s a “must listen” episode that candidly explores a former wirehouse advisor’s journey full circle. play Listen…

Financing Independence: A Lender’s Perspective on Breakaway Transitions, M&A and Succession

As the wealth management industry landscape evolved, advisors became the beneficiaries of several paths to consider when it comes to accessing capital. In this episode, James Hughes, the SVP and Head of Investment Advisory Lending at Live Oak Bank, discusses debt financing for prospective breakaway advisors looking for liquidity to de-risk a leap to independence or payoff a note balance and business owners seeking funds for acquisitions or succession planning. play Listen…

Two $10mm Teams Leave the Wirehouse World in One Week: An Industry Update on Advisor Transitions

What is the relevance of two $10mm teams leaving Merrill within one week’s time? In this special Industry Update, Mindy Diamond and Louis Diamond answer that question and share case studies on the moves citing the unique drivers, the significance to the industry at-large, and much more. play Listen…

Advisor Transition Report: An Update on Advisor Movement Over the Course of 2022

Even with massive headwinds, 2022 was an active one for advisor movement. In this special episode, Louis Diamond and Jason Diamond provide color commentary on advisor recruitment activity throughout 2022 featuring the latest data from Diamond Consultants’ Advisor Transition Report including firm activity, transition deals, case studies, and more. play Listen…

20X Growth in 10 Years: A $20B RIA on Embracing the Value of Private Equity and Interdependence

Starting an independent practice often conjures thoughts of being more solitary and self-dependent. Yet for Michael Nathanson, the notion of “interdependence” is one that fostered the growth of RIA The Colony Group. Michael discusses their extraordinary growth, the real value of equity partners and why they chose Focus Financial over others. Plus, he shares insight on the firm’s acquisition strategy, their unique culture and how “democratizing” access to services once available to only UNNHW clients is a cornerstone of their success—and much more. play Listen…

The Most Valuable Advice for Advisors and Business Owners

In what’s become one of our most popular episodes each year, we take a step back to relive some of the highlights of the 2022 season that reflect the notion of independence. That is, taking it beyond the model, with a greater focus on the overall concept of freedom and flexibility. Learn from a curated list of guests who share the most actionable advice and commentary on achieving autonomy, considering change, serving clients’ needs, succession, next gens, growth, and much more. play Listen…

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  • Rory O'Hara founder of Ausperity Private Wealth discusses his journey from cold-calling trainee at Merrill, to building a business managing $500mm in client assets, to making the leap to independence as a young team.
  • James Hughes of Live Oak Bank discusses debt financing for prospective breakaway advisors looking to de-risk a leap to independence or payoff a note balance, or business owners seeking funds for acquisitions or succession planning.
  • What is the relevance of two $10mm teams leaving Merrill within one week’s time? Mindy Diamond and Louis Diamond answer that question, sharing case studies on the moves citing unique drivers and more.
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