Part 1 of 2: The $5B Breakaway That Led to a $125mm Acquisition Deal

A candid conversation with trailblazers Mark Sear and David Hou, who were amongst those who set in motion the independent movement back in 2008 with their headlining break from Merrill Lynch to launch RIA Luminous Capital—a firm they sold to First Republic in 2012, only to break away again in 2019 to form Evoke Advisors. They share the motivations behind their moves, what it was like to build a firm without the level of support available today, and much more in part 1 of this 2-part episode. Listen…

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

Over 6 months since the mandate was ordered, many advisors have found their stride in a further evolved “work from home” wealth management world—and this has impacted everything, including processes, communication, client service and technology. But it’s also changing how advisors think about their firms, their businesses and their futures—and that’s driving movement. It’s a show that discusses how “WFH” is morphing an already evolved landscape—a topic that impacts each and every advisor, no matter where they practice. Listen…

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

Whether you’re a wirehouse advisor or independent firm owner, the challenges you will face at some point are the same: Accelerating growth, creating scale and monetizing your life’s work. Or you may be an advisor looking to access transition capital and de-risk a move to independence. Louis Diamond answers these questions and more, plus discusses the unique value propositions of key investors in the space. Listen…

How the Investment Playing Field Has Been Leveled for Even the Most Sophisticated Advisors and Their Clients

Lawrence Calcano of iCapital Network, discusses how their alternative investments (alts) platform helped close the gap for advisors who previously could not go independent without losing some, if not all, of their private fund access. Listen…

Inside Baseball on Building and Growing an Independent Firm

Mega-RIA firms are setting the pace of massive growth through ambitious acquiring practices and smart recruiting. Marty Bicknell, of Mariner Wealth Advisors, talks about his firm’s successes and their unique differentiators, plus shares advice for firm owners and breakaways, and more. Listen…

Looking at M&A from the Acquirer’s Side of the Table

Part 1 of 2 on M&A: Karl Heckenberg, president and CEO of Emigrant Partners, discusses how the firm’s unique value proposition, plus the well-established clout of the Milstein family, is representative of a “new breed of acquirers” in the RIA space. Listen…

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

Mindy Diamond explores the defining characteristics of wirehouse and regional firms, and looks at how they’ve changed in recent years, and where they stand on recruiting and deals. It’s deeper dive into the ever-changing landscape of the wealth management industry.  Listen…

Industry Update: What the Wealth Management Landscape Looks Like Today

The ever-expanding wealth management landscape represents a waterfall of possibilities for every advisor. In this episode, Mindy Diamond takes a close look at the current landscape, outlining the “continuum” of models—comparing and contrasting the features and benefits of each.  Listen…

A Big Picture Look at the State of Recruiting

In this 10-minute update, Mindy Diamond explores the recent uptick in financial advisor recruiting activity and answers the questions we’re hearing most often from advisors. Plus, she shares the threshold question advisors need to ask themselves when considering change. Listen…

The Post-Crisis World for Financial Advisors: 10 Predictions

There’s a new wave of evolution coming which we expect will impact advisors no matter where they work. The good news is much of these changes will be for the better. Mindy Diamond shares 10 predictions for what the wealth management world will look like after COVID-19. Listen…

On Weathering the Storm

In these unprecedented and challenging times, Mindy Diamond searches for how best to add value. She found these 10 ways to refocus energy and attention helpful in moving forward on a more positive path. Listen…

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

Wirehouse recruiting seems to be on an upswing, exemplified by recent high-profile hires and deals like Morgan Stanley’s acquisition of E*Trade. Are they getting ready to win the recruiting wars? Mindy explores the latest in the battle for talent.  Listen…

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

This episode explores where advisors are going, how movement is fueling the landscape’s evolution and what’s serving as a “barometer” of change for the industry at large. Listen…

On Clashes, Sleeping Giants, and the Handwriting on the Wall

A new bi-weekly segment that takes a look beyond independence into what’s going on in the wealth management world at large. 10-minutes on 3 things happening now and the impact on how financial advisors serve their clients and grow their businesses.  Listen…