• Home: Leading Financial Advisor Recruiting Firm
  • About Us
    • Meet the Team
    • Testimonials
  • Services
    • For Financial Advisors
    • For Financial Services Firms
    • For Independent Business Owners
    • Our Process
    • Case Studies for Financial Advisors
    • Representative Deals
  • FAQs
  • Blog
  • Podcast
    • Industry Update
    • Independence 101 Series
  • News/Media
  • Tools/Resources
    • FAQs for Merrill Advisors
    • FAQs for UBS Advisors
  • Contact Us
  • Subscribe for Updates

Questions? Call us: 908-879-1002

Contact us...
Diamond Consultants: Financial Advisor Recruiting FirmDiamond Consultants: Financial Advisor Recruiting Firm
  • Home
  • About
    • Meet the Team
      • Mindy Diamond
      • Howard Diamond
      • Louis Diamond
      • Barbara Herman
      • Deborah Aronson
      • Wendy Leung
      • Cathy Nichols
      • Debbie Wallen
      • Allison Brunwasser
      • Shelley Muzio
      • Laura McGreevy
      • Caryl Felicetta
    • Testimonials
  • Services
    • For Financial Advisors
    • For Independent Business Owners
      • Sell-Side M&A Advisory
      • Consulting
    • For Financial Services Firms
      • Recruiting
      • Sell-Side M&A Advisory
    • Our Process
    • Case Studies for Financial Advisors
    • Representative Deals
  • FAQs
  • Blog
    • Subscribe for Updates
  • Podcast
    • Industry Update
    • Independence 101 Series
    • Subscribe for Updates
  • News/Media
    • Moves in the News
  • Tools/Resources
    • FAQs for UBS Advisors
    • FAQs for Merrill Advisors
    • Other Tools For Advisors
    • Subscribe to e-Newsletter

Podcast

Independence for Financial Advisors

Rockefeller Capital Management Demystified

Posted by Mindy Diamond

A Conversation with Chris Dupuy, Managing Director and Chief Operating Officer

Rockefeller Capital Management has become one of the hottest brands to hit the Street in decades—THE story amongst advisors serving a high net worth and ultra-high net worth client base.

Chris Dupuy RockefellerWhile industry superstar Greg Fleming at the helm is a draw, the cachet of the Rockefeller name is no doubt what’s driving much of the interest. Greg is building an extraordinary community of top advisors and a leadership dream team that’s unmatched in the industry—and this episode’s guest, Chris Dupuy, is one of that dream team’s most recent additions.

Chris spent nearly three decades rising through the ranks at Merrill Lynch, his own breakaway story starting in 2014 when he left Merrill for Focus Financial Partners. He’s part of a growing breed of wirehouse leadership breakaways who are moving with the tides, jumping from the big brokerage world to independence.

In this show, Chris shares:

  • How Rockefeller differs from other firms in the space—and how their commitment to “remain small” is enticing to many top advisors and their clients.
  • The types of advisors who are the best fit for the firm—and how these advisors and their clients will benefit from Rockefeller’s unique resources.
  • How he sees the firm reaching the goals Greg has set—and the key players charged with getting them there.
  • The role customization plays in the firm’s value proposition—and why customization itself is an important feature for advisors looking at the independent space.
  • Why the Rockefeller Family Office model is a unique draw—and how the firm’s capabilities are distinguished from Family Office models at other firms.
  • The difference between building your own RIA firm or joining a firm like Rockefeller—and how mindset plays a big role in deciding between the two.

Rockefeller is striving to “change the industry in a really positive way by creating the kind of culture that we all used to be so proud of.”

And after listening to this conversation, I think you’ll agree, they’re well on their way to achieving that goal.

 

Podcast: Play in new window | Download (Duration: 41:37 — 38.8MB)

Subscribe: Apple Podcasts | Google Podcasts | Spotify | Pandora | Stitcher | TuneIn | Deezer | RSS


Related Resources

Quasi-Independence: The Super-Sophisticated Boutique Model Taking the Industry by Storm
It’s safe, flexible and worthy of your consideration—even though some of the names may not be all that familiar just yet. Read->

When it Comes to Attracting and Retaining Advisors, Culture Really is King
How these 5 key characteristics set the stage for a more positive and productive environment for financial advisors. Read->

Are You a Breakaway DIYer or Delegator?
How to determine if you should build an independent firm on your own or get help from a third-party service provider. Read->

The 5 Attributes That Make a Financial Advisor a “Real” Fiduciary

Wirehouse advisors are recognizing that being a true fiduciary is impossible as an employee—and it’s adding more fuel to the flow of movement to independence. Read->

 

Chris Dupuy:

Christopher Dupuy joined Rockefeller Capital Management as Managing Director and Chief Operating Officer for Rockefeller Wealth Management on November 1, 2018. Dupuy joined from Focus Financial Partners, where he was a Managing Director and President of Focus Independence.

Prior to joining Focus in 2014, Chris began his career at Merrill Lynch in 1985. He began his career as a Financial Advisor in Morristown, N.J., and later rose to the role of Managing Director. Dupuy first served as National Sales Manager for the Merrill Lynch advisor branch systems in the United States and Latin America, then ran the Wealth Management Bank and Global Investment Solutions businesses around the world. Ultimately, Dupuy led all of Merrill’s Private Banking units, Wealth Management branch offices and International Private Client hubs for the Pacific Northwest while he resided in San Francisco. He is a graduate of James Madison University.


This podcast is also available on…

Mindy Diamond on iTunes           Listen on Google Play Music           Diamond Consultants Podcast on YoutUbe

 

Browse other episodes in this podcast series…

You may also be interested in...

Share
3
Mindy Diamond

About Mindy Diamond

President and CEO – By counseling advisors on how to ask the right questions and “dig deep”, she helps them look at all of the opportunities available to find the one that allows them to reach their full potential. That is, to best serve their clients and live a life that is in sync with their own beliefs and values. Learn more...

Subscribe to the Series

Get updated by email when a new episode is added.

Please note that all requests are handled with complete discretion and confidentiality.


 

Other Recent Episodes

  • From Intern to CEO: How an Accidental Entrepreneur Built a $50B+ RIA Empire
  • The Limitations of Building a Billion-Dollar “Boutique Firm” within a Wirehouse: A UBS Breakaway Story
  • The Best of 2020: Top Advice from 10 Independent Business Owners
  • A Special Year-End Industry Update: 10 Ways That 2020 Will Reshape Wealth Management in 2021
Independence 101 The Basics for Advisors
Feedspot Top 35 Podcasts for Financial Advisors
We're available to answer your questions. Contact us

Connect with us

Search

© 2021 · Diamond Financial Consultants, LLC t/a Diamond Consultants. All rights reserved.

  • Home: Leading Financial Advisor Recruiting Firm
  • About
  • Services
  • FAQs
  • Blog
  • Podcast
  • News/Media
  • Tools/Resources
  • Contact
  • Our Locations
  • Privacy Policy
  • Site Map