A podcast for financial advisors exploring independence and other options in an expanded landscape

The Complete Series

How a Legacy Merrill Team Experienced 600% Growth in 10 Years—with Special Guests Bill Loftus of Coastal Bridge Advisors and Mark DuPont of Focus Financial Partners

Mindset, Motivation and Momentum: What’s really driving all the movement—with David Canter, Head of Fidelity’s RIA Segment

Push vs. Pull: Understanding – and Responding to – the Key Drivers Behind a Move to Independence

How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox—with Jim Dickson, Founder and President of Sanctuary Wealth Partners

The Path to Independence in Two Steps or One—with Alex Goss of Goss Advisors

$300mm To $800mm In Just 8 Years—with UBS Breakaway Gil Baumgarten

The Rewards and Risks of Independence—with Mark Tibergien, CEO of BNY Mellon’s Pershing Advisor Solutions

An Investment Banker’s Perspective on Building a Firm for Maximum Value—with Liz Nesvold of Silver Lane Advisors

Going Independent With $100 Million in Assets Under Management—with Brett Oley of Oley Kinser Concierge Wealth

The Year in Review: The 10 Most Valuable Insights on Independence—a Wealth Management Industry All-Star Recap

A Diehard Merrill Advisor’s Journey to Independence—with Michael Henley of Brandywine Oak Private Wealth and Louis Diamond of Diamond Consultants

An Attorney’s Advice on Navigating Transition—with David Gehn, Head of the Litigation Department at Ellenoff Grossman & Schole

Independence for Advisors with an Offshore Client Base—with Merrill Lynch Breakaway Lisa van Walleghem, CEO and Founder of MAXIMAI Investment Partners

A Best-of-All-Worlds Model: Full-Service Independence with Equity Upside—with Jim Gold, CEO and Founding Partner of Steward Partners

Rockefeller Capital Management Demystified—with Chris Dupuy, Managing Director and Chief Operating Officer

A Model of Supported Independence That Fills the “Fear Gap”— with Rob Bartenstein, CEO of Kestra Private Wealth Services

The Top 7 Turnkey Models that are Rocking the Independent Landscape—with Louis Diamond

4x Growth in 3 Years: A Regional Breakaway Success Story—with Chip Munn, Managing Partner at Signature Wealth Strategies

7 Things Advisors Need to Know About Succession Planning—with Louis Diamond

How this $2.5 Billion Team Saw Past the Handcuffs of Deferred Compensation—with Margaret Dechant, CEO and Founding Partner of 6 Meridian

Freedom from the Big Brand: Unencumbered Growth for an $800mm Team—with Steve Schwarzbach, Founder and Managing Partner of Icon Wealth Partners

Exploring the Independent Broker Dealer Space—with Andrew Daniels of Commonwealth Financial Network

Gaining the Technical Edge in Independence—with Eric Poirier, CEO of Addepar

Michael Kitces on How to Differentiate and Grow in a Competitive Environment

Technology’s Role in Building a Firm for Maximum Value—Part 2 of a conversation with Eric Poirier, CEO of Addepar

The Real Story Behind HighTower’s Reinvention—with Bob Oros

3X Growth: How a Pivot from IBD to RIA Turned into a Nearly $4 Billion Slam-Dunk—with Rob Nelson, CEO and founding partner of NorthRock Partners

How to Become an Attractive Buyer or Seller in a Hot M&A Market—with Rich Gill of Wealth Partners Capital Group

SPECIAL EPISODE: An Update on Merrill Enhanced CTP: What it Means for Advisors, Their Next Gen and Clients—with Vince Fertitta, Merrill breakaway executive, now President of Sanctuary Wealth

5 Things Josh Brown’s Firm Does Differently—And How it Resulted in Over 100X Growth in 6 Years

LPL Reinvented: Going Beyond the Traditional Broker Dealer Model—with Rich Steinmeier and Marc Cohen

How This UBS Breakaway Team Increased Their Client Base By 50%—with Bryn Talkington and Doug John of Requisite Capital Management

How “Transparency” Propelled Growth from $1B to $4B in 8 Years—with Paul Pagnato of PagnatoKarp

What are Top Advisors Doing Differently—with Matt Oechsli of the Oechsli Institute

The 10 Most Valuable Insights from Breakaway Advisors—the top words of wisdom from those who shared their journeys to independence during year 2 of this series.

What Advisors Need to Know to Succeed in a Highly Evolved Client-Centric World—with Joe Duran of United Capital, now a Goldman Sachs company

Industry Update: On Clashes, Sleeping Giants, and the Handwriting on the Wall

Advisor as Client: the Raymond James Model of Supported Independence—with Jodi Perry, President of Raymond James Financial Services, Independent Contractor Division

Industry Update: The Bull Market for Advisors, Where They’re Moving to and Why

Trends, Options and Opportunity—and What Advisors Need to Consider Before Making the Leap—with Brian Hamburger of Hamburger Law Firm and MarketCounsel

Industry Update: Are the Wirehouses Getting Ready to Give Independence a Run for the Money this Year?

Special Episode: Mindy Diamond on Weathering the Storm

How to Add Value at a Time When it’s Needed Most—with the co-author of The Go-Giver series Bob Burg

A Lawyer’s Advice on How to Protect Your Business Now and Into the Future—with Attorney David Gehn

The Real Impact of the Crisis on Valuations and the Independent Space as a Whole—with Matt Crow of Mercer Capital

How the Freedom to Communicate During a Crisis and Beyond Translated to 4x Growth for this ex-Morgan Stanley Team—with David Bahnsen of The Bahnsen Group

The Real Truth About Business Ownership from a $600M Ex-Morgan Stanley Advisor—with Lee Korn of Opal Wealth Advisors

The Post-Crisis World for Financial Advisors: 10 Predictions from Mindy Diamond

How this Wells Fargo Breakaway is Thriving During the COVID-19 Crisis—with Joe Eschleman of Towerpoint Wealth and host Louis Diamond

The Most Misunderstood Broker Dealer in the Independent Space—with Bill Williams of Ameriprise Franchise Group

Back to Basics on Leadership, Business Management and Succession—with Ben Harrison of BNY Mellon’s Pershing

The Evolution of an RIA from Practice to Enterprise—with Tim Bello of Merchant Investment Management

Life After Goldman Sachs: A Story of Extraordinary Success—with Justin Berman of Berman Capital Advisors

Controlling My Destiny: Insights from a $300M UBS Breakaway—with Lori Siegel of Centrix Wealth Partners

Industry Update: A Big Picture Look at the State of Recruiting—with Mindy Diamond

Part 1 of 2 on M&A: Looking at M&A from the Acquirer’s Side of the Table—with Karl Heckenberg of Emigrant Partners

Part 2 of 2 on M&A: Looking at M&A from the Seller’s Side of the Table—with Jeff Concepcion of Stratos Wealth Partners and host Louis Diamond

Industry Update: What the Wealth Management Landscape Looks Like Today

How These 3 Firms Carved a New Path and are Changing the Wealth Management World At Large—with Shirl Penney of Dynasty Financial Partners, Jim Dickson of Sanctuary Wealth and Rich Steinmeier of LPL Financial

Inside Baseball on Building and Growing an Independent Firm—with Marty Bicknell of Mariner Wealth Advisors

Industry Update: A Deep Dive into the Wirehouses and Regional Firms

Growing Up with Merrill Lynch: A Next-Gen Breakaway Story—with Elizabeth “Lizzie” Evans of Evans May Wealth and host Louis Diamond

Industry Update: Why Rockefeller, First Republic and Other Boutique Firms Are Attracting So Many Top Advisors

How the Investment Playing Field Has Been Leveled for Even the Most Sophisticated Advisors and Their Clients—with Lawrence Calcano of iCapital Network

Industry Update: Understanding the Real Value of a Financial Advisor’s Business

From Ex-Morgan Stanley Advisor to One of the Biggest Breakaway Stories of 2019—with Jason Fertitta of Americana Partners

Industry Update on M&A: Meet the Investors—Why It’s Important for All Advisors to Know Who They—with Louis Diamond

From $30mm to $55B: The Strategic Vision Behind Creative Planning’s Extraordinary Growth—with Peter Mallouk of Creative Planning

Industry Update: Why Working from Home May Be One of Wealth Management’s Biggest Game Changers

5 Tips for Financial Advisors on How to Get From $500mm to $5B—with Steve Sanduski

Learning from the Leaders: Bob Mulholland on Roadblocks, Change and the Wave Towards Independence

Industry Update on Goldman Sachs: What could a new RIA custodian mean for advisors and the industry?—with Louis Diamond

Part 1 of 2: The $5B Breakaway That Led to a $125mm Acquisition Deal—with Mark Sear and David Hou of Evoke Advisors

Part 2 of 2: The $5B Breakaway That Led to a $125mm Acquisition Deal—with Mark Sear and David Hou of Evoke Advisors

Creating Sustainable Scale: How CAPTRUST’s Unique Model Drives Enormous Growth and a $1B+ Valuation—with Rush Benton, Senior Director, Strategic Growth of CAPTRUST and Louis Diamond

Betting on the Long-Term: Former Merrill Resident Director Shares Why Her $1B Team Broke Away—with Melissa Bouchillon, Sound View Wealth Advisors

Advisor-Turned-CEO: How a $2.4B Ameriprise Firm Cracked the Growth Code—with Jon Kuttin of Kuttin Wealth Management, and Louis Diamond

A Special Year-End Industry Update: 10 Ways That 2020 Will Reshape Wealth Management in 2021

The Best of 2020: Top Advice from 10 Independent Business Owners

The Limitations of Building a Billion-Dollar “Boutique Firm” within a Wirehouse: A UBS Breakaway Story—with Terry Cook of Parcion Private Wealth

From Intern to CEO: How an Accidental Entrepreneur Built a $50B+ RIA Empire—with Adam Birenbaum of Buckingham Wealth Partners, and Louis Diamond

Industry Update: 7 Real-World Lessons We Learned on Succession Planning—with Louis Diamond

Why Some Firms Are “Outperformers”—An Exclusive Deep Dive into the 2020 Schwab RIA Benchmarking Study—with Lisa Salvi of Schwab Advisor Services

In Pursuit of Purpose: The Story of a Billion-Dollar Breakaway Turned Fee-Only Independent Entrepreneur—with Jeff Thomas, Founder/CEO of Archetype Wealth Partners

Industry Update: Answers to the Top 10 Questions Advisors Ask When Considering Change—with Louis Diamond

Advisor Choice: How Models Like Wells Fargo’s First Clearing Offer Optionality and Flexibility—with John Peluso, President, First Clearing

Beyond the Numbers: Key Insights from the Fidelity Advisor Movement Study—with Scott Gorham, Vice President of Competitive Intelligence at Fidelity Institutional, and Louis Diamond

Transitions, Retire-in-Place Programs and Termination: A Top Attorney’s Perspective—with Tom Lewis, Certified Civil Trial Attorney at Stevens & Lee

Preparing for Exploration: 10 Practical Tips to Conduct a Strategic Due Diligence Process—with Louis Diamond

A Rare Glimpse into the Culture, Cachet and Success of First Republic—with Robert Thornton, Executive Vice President & President of Private Wealth Management

6 Months Later: Why a Former UBS Lifer Considers Independence His “Do Over”—with Ahmie Baum, Founder and CEO, Interchange Capital Partners

Michael Kitces on Everything Financial Advisors Need to Know About Growth

Industry Update: 10 Reasons Why Some Financial Advisors Shouldn’t Go Independent—with Louis Diamond

Demystifying Compliance for RIAs: What You Need to Know—with Chris Winn, Founder and CEO, AdvisorAssist

“Will My Clients Follow?” A $500mm UBS Breakaway Success Story—with Steven Tenney, Founder and CEO, Great Diamond Partners

From Insurance Sales to $8B RIA: A Northwestern Mutual Breakaway Story—with Andy Schwartz, Principal, Bleakley Financial Group

Industry Update: What Financial Advisors Need to Know About Growing Through Recruitment and M&A—with Louis Diamond

$1.2B ex-UBS Advisor on Independence and the Value of “Controlling Your Own Ship”—with Matt Kilgroe, President/CEO, Cyndeo Wealth Partners

Disrupting the Landscape: How a $12B+ Multi-Family Office is Making Waves Amongst Advisors and Their Clients—with Avy Stein, Co-founder & Co-chairman, Cresset

From Start-Up to $31B Behemoth RIA: The Catalysts Behind the Growth of Mega-Firm Cerity Partners—with Kurt Miscinski, President, Cerity Partners

From Bigger to Better: How a Former Smith Barney Superstar Found Her Competitive Advantage in Independence—with Lori Van Dusen, Founder & CEO, LVW Advisors

A Northwestern Mutual Advisor’s “Jerry Maguire-Style” Breakaway Story—with Brett Gilliland, Founder & Chief Executive Officer, Visionary Wealth Advisors

Industry Update: A Powerful Strategy to Accelerate Growth for Financial Advisors—with Louis Diamond

Solving for Freedom, Control and Succession: How the Next Gen of a $330mm UBS Team Forged a Path to Independence—with Bryan Garris, Managing Partner, TriaGen Wealth Management

Breaking Up: A Former $750mm UBS Advisor’s “Split” for Independence—with Robert Harris, Senior Wealth Advisor, Avidian Wealth Solutions

A Growth Story 87 Years in the Making: Why Boutique Firm William Blair is an Attractive Home for Top Advisors—with Ryan DeVore, Partner, Director and Global Head of Private Wealth Management, William Blair

Industry Update on Partnerships: 10 Questions to Help Identify if You’re Still Right for Each Other—with Louis Diamond

How an ex-Wells Fargo Team Turned a “Paper Tablecloth” Vision into 3X Revenue and $8.5B in Assets in 5 Years—with Gerry Goldberg, GYL Financial Synergies

How CPA Referrals Drove a Former Lincoln Financial Independent Group to $12B in Just 5 Years—with Paul Saganey, Integrated Partners

Better Together or Apart: A Breakaway Advisor Shares Why He and His Team Chose Separate Paths—with Dan Johnson, Birchcreek Wealth Management

An “Industry Outsider” Shows What’s Possible When Building a Financial Planning Firm from the Ground Up—with Anders Jones, Facet Wealth

Ask the Breakaways: 3 Advisors Answer Your Questions About Making the Leap—with Terry Cook, Parcion Private Wealth, Lori Siegel, Centrix Wealth Partners and Michael Henley, Brandywine Oak Private Wealth

Industry Guru Bob Veres on Achieving Excellence and Building the Advisory Firm of the Future—with Bob Veres, Inside Information

Why a $5B UBS Breakaway Team Set Out to Build the “Boutique Firm of the Future”—with Rob Sechan, NewEdge Wealth

Industry Update on Recruiting: Should You Go for the Forgivable Loan?—with Louis Diamond

Third Gen UBS Breakaway Finds Sanctuary: $150mm in Assets and a Long Runway to Grow—with Tom Stadum, Fjell Capital

A Losing Battle at Merrill: Why a Former Leader Left the Herd for Independence, the Value of Culture and the “Intoxicating” Effects of Freedom—with Greg Franks, Snowden Lane Partners

Motivated by the Long Game: Why a UBS Breakaway Left a Deal Behind for Independence with Summit Financial—with Monish Verma, Vardhan Wealth Management

Regional Culture, Global Capabilities: Stifel’s $400B Success Story—with Ron Kruszewski, Stifel Financial Corp.

Industry Update on Merrill’s Project Thunder: Too Little Too Late?—with Louis Diamond

A Culture of Choice: Why Raymond James Rocks the Regional Space & Advisor Recruiting—with Tash Elwyn, Raymond James & Associates

Creating Continuity: A UBS Breakaway on Building a Virtual Multi-Family Office—with Richard Mullen, Pallas Capital Advisors

Wall Street Meets Main Street: How RBC Wealth Management Combines a Global Approach with a Regional Feel—with Tom Sagissor, RBC Wealth Management-US

Barron’s Hall of Famer and Hightower Trailblazer Richard Saperstein: On Rising from Crisis, Team Building and the Real Value of a Business—with Richard Saperstein, Treasury Partners

Industry Update on 2022: 11 Trends Destined to Impact Advisors and Their Businesses—with Louis Diamond

2021’s 10 Most Valuable Lessons from Advisors and Business Owners—Key insights shared by some of the top independent advisor interviews curated from the last 12-months of the series

Industry Legend Ron Carson on What it Really Takes to Build a $20B Enterprise—with Ron Carson, Carson Group

Rockefeller Revisited: What’s Driving the Success of this 3-Year-Old “Modern” Multi-Family Office?—with Michael Outlaw, Rockefeller Global Family Office

Merrill Lifer on Breaking New Ground: The Leap to Independence with LPL Strategic Wealth Services—with Josh Brown, NorthEnd Private Wealth

An Insider’s Perspective of LPL Strategic Wealth Services: A “Modern” Supported Independence Model—with Kimberly Sanders, LPL Strategic Wealth Services

Industry Update: If Business is Good, Should You Still Consider a Move?—with Louis Diamond

Edward Jones Breakaway: From Knocking on Doors (Literally) to Building a $2B Independent Enterprise—with Jim DeCota, Enso Wealth Management

A Nearly 200-Year-Old Success Story: How Janney Montgomery Scott Built a $135B Firm—with Jerry Lombard, Janney Montgomery Scott

Finding Independence in a Big Firm: Top UBS Team on Their Shift to Wells Fargo Advisors—with Vincent Finney, and Joseph P. Panfil, Bibler, Finney, Panfil Private Wealth Management Group of Wells Fargo Advisors

Industry Update: The 10 Characteristics of the Most Successful Teams —with Louis Diamond

The Mindset of a Mentor: How a 2x Morgan Stanley Breakaway Built a $3B+ RIA Firm—with Brock Moseley, Miracle Mile Advisors

From Musician to Advisor: $500mm Northwestern Mutual Breakaway Finds Her Voice and a 5x Valuation in True Independence—with Katherine Forrester Schneewind, High Note Wealth

Coach to the Advisor Elite: CEG’s John Bowen on What it Really Takes to Build a Blockbuster Business—with John Bowen, CEG Worldwide

From UBS to Oppenheimer to Independence: A Next Gen Shares his Playbook for 2x+ Growths—with Dan Katz, Revolve Wealth Partners

Industry Update on M&A: If You Build It, Will They Buy It? (part 1)—with Louis Diamond

Industry Update on M&A: If You Build It, Will They Buy It? (part 2)—with Louis Diamond

An Inside Move: From IBD to RIA – $300mm Advisor on Becoming “More Independent” at Commonwealth—with Andy Harris, Evergreen Wealth Solutions

Liberated: Why a 25-Year Merrill Vet Managing $450mm Opted to Break Away and Build His Own Firm—with Craig Robson, Regent Peak Wealth

The Pull of Pure Independence: A Former FiNet Advisor’s Journey to Building a $1.7B Fully Independent Firm—with Steve Dimitriou, Mayflower Advisors

Building a Multi-Family Office: How an Ex-Goldman Advisor Experienced Autonomy and Growth in Independence—with Gary Hirschberg, Aaron Wealth Advisors

Expert Advice on Portability: What You Need to Know to Prepare for a Move—with Louis Diamond and Special Guest, Grier Rubeling of Advisor Transition Services

Sanctuary Wealth $25B Later: An Inside Look at the Firm’s 4-Year Growth and What Lies Ahead—with Jim Dickson, Sanctuary Wealth

The Growth Puzzle: UBS Breakaway Team Shares Their Path to 2x Growth in Year One—with John Klaas, Jr., and David Millington, Puzzle Wealth Solutions

Investing in Growth: Exploring KKR’s Attraction to $25B+ RIA Beacon Pointe—with Matt Cooper, Beacon Pointe and Sasank Chary, KKR

Expert Advice for Non-Protocol Moves: What Advisors at Ed Jones and Other Firms Need to Know—with David Gehn, Ellenoff Grossman & Schole LLP

Creating a Referral Engine: An Expert’s Advice on Asking for – and Receiving – the Right Introductions—with Bill Cates, Referral Coach International

Update on Transitions: Communicating the “Why” of a Move to Your Clients. —with Louis Diamond

From Institutional to Private Wealth: A Former UBS Advisor on Growth, Expansion and Building a $6B Firm —with Phil Fiore, Procyon Partners, LLC

Ex-Merrill ACTM Chair to Independent Business Owner: A Former Insider’s Point of View —with Kelly Milligan, Quorum Private Wealth

Industry Update: Should You Consider a Move When Markets are Turbulent? —with Louis Diamond

How to Deliver Massive Value: Turning the Tables on The Perfect RIA’s Matthew Jarvis —with Matthew Jarvis, The Perfect RIA

Industry Update: How to Maximize Your Career Enterprise Value —with Louis Diamond

One-on-One with Rudy Adolf: How Focus Financial Partners Revolutionized RIA M&A—and Went Public in the Process —with Rudy Adolf, Focus Financial Partners

2022 Transition Report: An Update on Advisor Movement in the Wealth Management Industry for H1 —with Louis Diamond and Jason Diamond

Private Bankers Find Greater Independence: Former $2B J.P. Morgan Team on Their New Chapter with Cresset —with Kevin McGuire and Sarah Burney, Cresset.

Creating a Destination for Other Advisors: How a $600mm Breakaway Team Transformed into a $2.8B Business —with Todd Resnick, One Seven.

Industry Update on M&A: Why Buy? Tips for Those with Their Sights Set on Becoming an Acquirer —with Louis Diamond

Preparing for Succession: What Made Selling the Right Path for this $2B Firm —with Kevin Myeroff, Principal and Senior Strategic Advisor at Sequoia Financial Group

From Termination to Expungement: A Former $350mm UBS Advisor Finds Success in Independence —with Jeff Boudjouk, Northeast Investment Group

From Next Gen to CEO: Ex-Wirehouse Advisor on Taking Over the Reins of the Family Business —with Mike Durso, Shorehaven Wealth Partners

A Special 5th Anniversary Episode: 5 Themes Driving Change in the Wealth Management Industry —with Louis Diamond

Happy Again: How a $440mm Merrill Team Got Their Mojo Back in Independence —with Chad Goodchild and Jacob Schlicht, Kickstand Wealth Advisors

Steward Partners Revisited: Jim Gold Offers an Insider’s Perspective on Why Supported Independence is Thriving —with Jim Gold, Steward Partners

Outgrowing the Employee Model: How an ex-Merrill Advisor Found Autonomy and Abundance in Independence —with Jerry Davidse, Presilium Private Wealth

All in the Family: Former $1.3B Wells Fargo Advisor on Building a Multi-Generational Firm —with Larry Boggs, Boggs & Company Wealth Management

The Second Act: Barron’s Top 100 Advisor Shares Her Advice on Scale, Succession and Success —with Erin Botsford, The Advisor Authority

Industry Update on 2023: 10 Emerging Trends to Put on Your Radar —with Louis Diamond

The Most Valuable Advice for Advisors and Business Owners —An annual digest of the year’s most ground-breaking commentary: 2022 Edition

A Candid One-on-One With the Leader of the Merrill Thundering Herd —with Andy Sieg, Merrill Lynch Wealth Management

Everything You Need to Know About Independence: An Industry Update —with Jason Diamond

Finding Your Unfair Advantage: David Canter on Bluespring, M&A, RIAs, and more —with David Canter, Bluespring Wealth Partners

From Merrill to Hightower to $3B RIA: How Verdence Doubled Twice —with Leo Kelly, Verdence Capital Advisors

Zero to $1B: How a Lincoln Financial Ensemble Found a New Independent Path with SagePoint —with Shane Morrow, IronBridge Wealth Counsel

20X Growth in 10 Years: A $20B RIA on Embracing the Value of Private Equity and Interdependence —with Michael Nathanson, The Colony Group

Advisor Transition Report: An Update on Advisor Movement Over the Course of 2022 —with Louis Diamond and Jason Diamond

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

Financing Independence: A Lender’s Perspective on Breakaway Transitions, M&A and Succession —with James Hughes, Live Oak Bank

From Cold-Calling to $500mm Breakaway: A Former Merrill Advisor’s Team-Based Approach to Growth —with Rory O’HaraFounder, Ausperity Private Wealth

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Podcast for Financial Advisors: Mindy Diamond on Independence Episode List

A podcast for financial advisors exploring independence and other options in an expanded landscape

The Complete Series

This podcast is also available on…

Subscribe to the Series