While independence offers a great deal of freedom and flexibility, it’s not for everyone. The series explores options available in an expanding industry landscape, offering comparisons between different types of independent models from Independent Broker Dealers (IBDs) to Registered Investment Advisors (RIAs) and Hybrid RIAs. Episodes also include conversations with industry leaders and breakaway advisors who left the employee world for one where they could grow their advisory business in ways they could not in the brokerage space. Be sure to subscribe and stay up-to-date.
As regional firms keep knocking it out of the park in the race for top talent, we continue our series highlighting the leaders who are at the helm, driving incredible growth and interest amongst advisors. In this episode, we explore regional firm RBC Wealth Management–U.S. with President Tom Sagissor. So how did a bank out of Canada rise to the ranks in the US wealth management space? Tom shares an insider’s perspective plus why their “Wall Street meets Main Street” culture is attracting some of the industry’s top advisor talent, and much more. 
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For Rich Mullen, building a nearly $2B business started decades ago, from Lehman Brothers to Prudential Securities to Morgan Stanley Private Wealth Management. He later transitioned to UBS where he created what he refers to as a “Virtual Multi-Family Office.” Yet Rich’s entrepreneurial spirit led him to independence, where he ultimately launched Pallas Capital Advisors, a $1.75B RIA platform. Rich shares his journey and how “doing what’s right for clients” has motivated him to continually push towards new and creative ways to grow the business and serve the ultra-high net worth segment with a level of continuity that he could not otherwise achieve on his own or as an employee. Listen…
Advisors’ ever-increasing desire for greater agency in how they serve clients and grow their businesses has driven the growth of models and firms outside of the traditional wirehouse space—and spawned the popularity of regional firms like Raymond James & Associates. President and CEO Tash Elwyn joins the show to discuss how “choice” serves as the foundation for their culture, the value of advisors owning their client relationships, their multi-channel association model, and more. Listen…
After more than 130 episodes of the show, one of the most common responses we’ve received from listeners is that they want to learn more—particularly when it comes to interviews with breakaways.
That is, more about specific aspects of the advisor’s journey, as well as what they gained or lost on the independent side. In this episode, a panel of three brilliant advisors answer your questions and dig into the details of their journeys: UBS breakaway Lori Siegel, founding partner of Centrix Wealth Partners; Merrill breakaway Michael Henley, founder and CEO of Brandywine Oak Private Wealth; and UBS breakaway Terry Cook, CEO of Parcion Private Wealth.
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