Registered Investment Advisor Podcast

What if your financial advisor cared less about beating benchmarks and more about the family tree, mission, and life you're actually building? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Tyson Ray, CFP®, CExP®, CIMA®, CEO and Founding Partner of FORM Wealth Advisors, who shares how an eviction notice on his family's fridge shaped a mission-driven approach to money. As the author of The Total Relationship and the forthcoming Total Succession, Tyson explains why real advisory work starts with family, occupation, recreation, and mission—not pie charts, past performance, or product pitches. He shares insights into scaling past a billion in assets, fixing painful missteps with clients and the team, and preparing both families and advisors for the next great wave of wealth transfer. Key Takeaways:→ How FORM Wealth Advisors structures reviews and planning to reflect the actual shape of a client's life.→ Why advisors stop selling last week's winning lottery numbers and start owning real-life responsibility for clients.→ How FORM Wealth Advisors serves every branch of the family tree and why that has been vital to the firm's growth. → Why cutting “smaller” clients can erode trust in a close-knit community.→ How inheritances split one large relationship into many smaller ones. Tyson Ray, CFP®, CExP®, CIMA®, CEO, and Founding Partner of FORM Wealth Advisors, has developed extensive expertise in investment management, financial planning, and business exit strategies, earning recognition from Forbes, Barron's, and AdvisorHub as a top advisor. Tyson also actively contributes to his community through philanthropic initiatives, including Children's World Impact.His journey began at Badger High School, where, as a sophomore, he invested $100 in mutual funds, sparking a lifelong passion for financial strategy. After graduating from the University of West Florida, he returned to Southern Wisconsin to launch his career in financial services. Tyson enjoys spending time with his wife and three children, as well as hunting, fishing, playing golf, and exploring the outdoors. Connect With Tyson:Website: https://totalsuccession.com/LinkedIn: https://www.linkedin.com/in/tysonray/

Financial advisors can deepen client relationships by turning tax preparation into an integrated source of insight, strategy, and year-round value.In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Richard Lavina, Co-Founder and CEO of Taxfyle, who shares how his experience as a CPA inspired him to co-found Taxfyle, a digital platform connecting individuals, businesses, and financial firms with licensed tax professionals. He explains how wealth managers and RIAs can integrate tax preparation into their existing services, access valuable client data, and provide more coordinated financial guidance without acquiring a traditional accounting practice. Richard also discusses the accounting talent shortage, the growth of fractional CPA work, the impact of AI, and the importance of preserving human connection as technology handles more administrative tasks. Key Takeaways: Taxfyle was inspired by the flexibility of the gig economy and the idea that CPAs should have greater control over when and how they work.The platform connects clients and financial firms with a network of licensed CPAs and IRS-enrolled agents.Wealth management firms can embed and white-label tax services without purchasing or operating a separate CPA practice.Tax information can help advisors better understand a client's financial position, investment needs, estate planning concerns, and overall financial wellness.Integrating tax services allows advisors to maintain greater visibility and control over the client relationship. Richard Lavina is Co-Founder and CEO of Taxfyle, an AI-powered tax preparation and planning platform that simplifies tax services for financial advisors, fintech companies, fractional CFOs, and their clients. With nearly a decade of experience leading Taxfyle's growth, Richard brings expertise in both technology and finance. Taxfyle is the United States' largest human-in-the-loop AI tax platform, with 7,200 CPAs and IRS Enrolled Agents in its network. Connect With Richard: Website: https://www.taxfyle.com/Facebook: https://www.facebook.com/taxfyle/Instagram: https://www.instagram.com/Taxfyle/X: https://x.com/TaxfyleYouTube: https://www.youtube.com/channel/UCzodnNvli_8Wip0rT6v6_lA

Are you a financial advisor planning for succession or retirement? How to navigate the complex world of advisor transitions with a personalized, consultative approach. In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Andrew D. Mirolli, CEPA®, Vice President of buyAUM.com, who explains how his company acts as a “financial matchmaker,” helping financial advisors plan their succession or sale to the right buyers. Drawing from over a decade in private equity and capital raising, Andrew shares insights on how to approach succession planning, what impacts valuations, and how technology like AI and blockchain is shifting the industry. If you're a financial advisor thinking about the future of your practice, this episode provides invaluable advice on making your business more marketable and transferable. Key Takeaways:→ How buyAUM.com matches financial advisors with the right buyers.→ Why buyAUM.com focuses on deep conversations and understanding the seller's needs.→ How the surge in market consolidation has increased seller fatigue, making a personalized approach to matchmaking even more important.→ Why AI and blockchain are changing the financial advising landscape, especially in managing client relationships and valuations.→ How asking the right questions can help clients discover their ideal succession plan. Andrew D. Mirolli, CEPA®, is Vice President at buyAUM.com, where he helps independent RIAs and advisory teams design client-safe successions and growth-minded partial equity transactions. He partners with firm owners to evaluate strategic options—full exits, mergers, or “sell & grow” structures—then builds operator-grade playbooks around valuation levers, documentation, and client communications that protect trust, culture, and enterprise value. Drawing on experience with solo practices and multi-partner firms, Andrew focuses on aligning partner timelines, de-risking handoffs, and preserving retention through a clear cadence of client re-introductions and meetings. Known for translating complex deal mechanics into simple steps advisors can act on next quarter, he brings a practical lens to high-stakes transitions. Andrew is a Certified Exit Planning Advisor (CEPA®) and a frequent resource to advisors who want to prepare years before they sell—so they can exit (or scale) on their terms. Connect With Andrew: Website: https://buyaum.com/Instagram: https://www.instagram.com/buyaum/LinkedIn: https://www.linkedin.com/in/andrew-d-mirolli-cepa%C2%AE-7a304259/

Finance affects everyone, but the companies that explain it clearly are the ones most likely to earn trust, change behavior, and stand out.In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Dan Simon, Chairman of Vested and CEO and Co-Founder of Qwoted who discusses the communication challenges inside financial services, including the need to make complex, regulated offerings clear, credible, and relevant. He also explores how fintech, user design, financial literacy, AI, and specialized expertise are shaping the future of financial marketing and professional services. Key Takeaways: Financial services companies often struggle because their products are complicated and heavily regulated.Clear communication helps financial companies explain their value to consumers, clients, and other institutions.Finance touches public policy, capital markets, and personal financial stability.Many financial companies face brand, reputation, narrative, or perception challenges.Specialized knowledge matters because finance has strict rules about what companies can and cannot say. Dan Simon is the founder and CEO of Qwoted, an online network that connects journalists with expert sources and is used by reporters across major newsrooms. He serves on the U.S. Board of Advisors for Reporters Without Borders (RSF) and has built Qwoted's work around press freedom, newsroom economics, and journalists' working conditions. He is the author of The Money Hackers (HarperCollins, 2020), which explores how technology has transformed our relationship with money. The book was named the best small business book by the Axiom Awards. Connect With Dan: Website: https://www.qwoted.com/LinkedIn (Personal): https://www.linkedin.com/in/dansimon/

Selling a business can be financially successful and still leave an owner unprepared for what comes next. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Snider, President of the Exit Planning Institute and the Operating Partner of Snider Premier Growth, who explains why an exit strategy is a good business strategy, how intentional value creation can make a company more ready and attractive, and why owners need to plan for their identity and future beyond the business. Scott also outlines how CEPA-trained advisors, coordinated professional teams, and owner education help business owners build stronger companies and prepare for their next chapter. Key Takeaways: · A successful business exit requires personal planning in addition to business and financial preparation. · Owners should start preparing long before a sale because the actions that improve a business now can also increase its future value. · Exit planning is not just about selling a company; it is about building a more valuable, transferable, and resilient business. · Growing a company intentionally requires attention to human, customer, structural, and social capital. · Owners often regret an exit when they have not adequately considered what they are transitioning toward after the business. Scott Snider is the President of the Exit Planning Institute (EPI) and the Operating Partner of Snider Premier Growth, a small family investment company. At EPI, Scott is responsible for the organization's strategic direction and oversees the company's operations and chapter development. Since joining EPI, Scott has expanded the organization regionally, nationally, and globally, providing a transformational educational experience for advisors across all specialties around the globe. Connect With Scott: Website: https://exit-planning-institute.org/ LinkedIn (Personal): https://www.linkedin.com/in/scott-snider-epi/ LinkedIn (Company): https://www.linkedin.com/company/exit-planning-institute/ Facebook: https://www.facebook.com/exitplanninginstitute/ YouTube: https://www.youtube.com/channel/UC_Eh7TfhJHKRa5uc5R0uRgA Learn more about your ad choices. Visit megaphone.fm/adchoices

Selling a business can be financially successful and still leave an owner unprepared for what comes next.   In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Snider, President of the Exit Planning Institute and the Operating Partner of Snider Premier Growth, who explains why an exit strategy is a good business strategy, how intentional value creation can make a company more ready and attractive, and why owners need to plan for their identity and future beyond the business. Scott also outlines how CEPA-trained advisors, coordinated professional teams, and owner education help business owners build stronger companies and prepare for their next chapter.   Key Takeaways:   ·        A successful business exit requires personal planning in addition to business and financial preparation. ·        Owners should start preparing long before a sale because the actions that improve a business now can also increase its future value. ·        Exit planning is not just about selling a company; it is about building a more valuable, transferable, and resilient business. ·        Growing a company intentionally requires attention to human, customer, structural, and social capital. ·        Owners often regret an exit when they have not adequately considered what they are transitioning toward after the business.   Scott Snider is the President of the Exit Planning Institute (EPI) and the Operating Partner of Snider Premier Growth, a small family investment company.  At EPI, Scott is responsible for the organization's strategic direction and oversees the company's operations and chapter development.  Since joining EPI, Scott has expanded the organization regionally, nationally, and globally, providing a transformational educational experience for advisors across all specialties around the globe.   Connect With Scott:  Website: https://exit-planning-institute.org/ LinkedIn (Personal): https://www.linkedin.com/in/scott-snider-epi/ LinkedIn (Company): https://www.linkedin.com/company/exit-planning-institute/ Facebook: https://www.facebook.com/exitplanninginstitute/ YouTube: https://www.youtube.com/channel/UC_Eh7TfhJHKRa5uc5R0uRgA   Learn more about your ad choices. Visit megaphone.fm/adchoices

What changes when prospective clients already understand your value before they ever schedule a first meeting? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Gabe McManus, Publisher at The Influential Advisor, who explains how books, storytelling, and guest podcasting can help advisors clarify their message, build trust with ideal prospects, and create more opportunities to speak and grow their visibility. Gabe also shares why advisors do not need to be writers to create a book and how coaching can help them communicate in a polished version of their own voice. Key Takeaways: → A well-written book allows prospective clients to understand an advisor's philosophy, process, and expertise before they ever become a prospect. → Clients connect with stories because they help people see themselves in the challenges, solutions, and transformations being discussed. → Publishing a book can lead to speaking engagements, podcast appearances, media exposure, and stronger referral conversations. → Appearing as a guest on established podcasts allows advisors to reach targeted audiences without the workload of producing their own show. → The most effective communicators learn how to express their ideas clearly, conversationally, and in ways that inspire action. Gabe McManus is the Publisher of Influential Advisor Media and a go-to resource for financial advisors who want to grow their practices through authority marketing. Gabe works with financial advisors to write and market their books, prepare for podcasts, and build the kind of credibility that attracts ideal clients. He believes the advisors who communicate well do not just stand out from the competition. They become the obvious choice in their market. Connect With Gabe: Website: ⁠https://influentialadvisor.com/⁠ LinkedIn: ⁠https://www.linkedin.com/in/gabemcmanus/⁠ Learn more about your ad choices. Visit megaphone.fm/adchoices

What changes when prospective clients already understand your value before they ever schedule a first meeting? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Gabe McManus, Publisher at The Influential Advisor, who explains how books, storytelling, and guest podcasting can help advisors clarify their message, build trust with ideal prospects, and create more opportunities to speak and grow their visibility. Gabe also shares why advisors do not need to be writers to create a book and how coaching can help them communicate in a polished version of their own voice. Key Takeaways: → A well-written book allows prospective clients to understand an advisor's philosophy, process, and expertise before they ever become a prospect. → Clients connect with stories because they help people see themselves in the challenges, solutions, and transformations being discussed. → Publishing a book can lead to speaking engagements, podcast appearances, media exposure, and stronger referral conversations. → Appearing as a guest on established podcasts allows advisors to reach targeted audiences without the workload of producing their own show. → The most effective communicators learn how to express their ideas clearly, conversationally, and in ways that inspire action. Gabe McManus is the Publisher of Influential Advisor Media and a go-to resource for financial advisors who want to grow their practices through authority marketing. Gabe works with financial advisors to write and market their books, prepare for podcasts, and build the kind of credibility that attracts ideal clients. He believes the advisors who communicate well do not just stand out from the competition. They become the obvious choice in their market. Connect With Gabe: Website: ⁠https://influentialadvisor.com/⁠ LinkedIn: ⁠https://www.linkedin.com/in/gabemcmanus/⁠ Learn more about your ad choices. Visit megaphone.fm/adchoices

Most people insure their homes, cars, and even phones, but the income that pays for everything may be the most overlooked asset of all.   In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Greg Nelson, Founder of Strategic Benefit Coach, who shares how personal family experiences shaped his mission to help people understand insurance before they desperately need it. With more than 20 years in the insurance industry, Greg explains why disability income protection is often overlooked by clients and financial professionals, even though it can be the very thing that keeps a financial plan alive. He also discusses how education, transparency, and income continuity can help families focus on recovery rather than worrying about how they will pay the mortgage.   Key Takeaways:   → Every financial strategy depends on a client's ability to earn income. Without that income stream, even the strongest financial plan can quickly unravel. → Many advisors and clients focus heavily on life insurance, investments, and retirement planning while failing to adequately address income protection. → Simply owning a policy is not enough. Clients need to understand how coverage works, what limitations exist, and how benefits would be used during a claim. → Many individuals assume workplace disability benefits provide complete protection without fully understanding potential gaps and restrictions.  → Helping clients understand their options empowers them to make informed decisions rather than simply purchasing whatever product is being promoted at the time.     Greg Nelson is the founder of Strategic Benefit Coach, a client-focused advisory practice built on earned trust, wise counsel, clear communication, and service that exceeds expectations. He is committed to serving as an advocate for his clients, always keeping their best interests at the center of the relationship.   Connect With Greg:  Website: https://strategicbenefitcoach.com/ Facebook: https://www.facebook.com/strategicbenefitcoach/ LinkedIn (Personal): https://www.linkedin.com/in/incomeprotectionspecialist/   Learn more about your ad choices. Visit megaphone.fm/adchoices

Most people insure their homes, cars, and even phones, but the income that pays for everything may be the most overlooked asset of all.   In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Greg Nelson, Founder of Strategic Benefit Coach, who shares how personal family experiences shaped his mission to help people understand insurance before they desperately need it. With more than 20 years in the insurance industry, Greg explains why disability income protection is often overlooked by clients and financial professionals, even though it can be the very thing that keeps a financial plan alive. He also discusses how education, transparency, and income continuity can help families focus on recovery rather than worrying about how they will pay the mortgage.   Key Takeaways:   → Every financial strategy depends on a client's ability to earn income. Without that income stream, even the strongest financial plan can quickly unravel. → Many advisors and clients focus heavily on life insurance, investments, and retirement planning while failing to adequately address income protection. → Simply owning a policy is not enough. Clients need to understand how coverage works, what limitations exist, and how benefits would be used during a claim. → Many individuals assume workplace disability benefits provide complete protection without fully understanding potential gaps and restrictions.  → Helping clients understand their options empowers them to make informed decisions rather than simply purchasing whatever product is being promoted at the time.     Greg Nelson is the founder of Strategic Benefit Coach, a client-focused advisory practice built on earned trust, wise counsel, clear communication, and service that exceeds expectations. He is committed to serving as an advocate for his clients, always keeping their best interests at the center of the relationship.   Connect With Greg:  Website: https://strategicbenefitcoach.com/ Facebook: https://www.facebook.com/strategicbenefitcoach/ LinkedIn (Personal): https://www.linkedin.com/in/incomeprotectionspecialist/   Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your biggest edge isn't what you buy, but where you hold it? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Henry Yoshida, CFP®, Rocket Dollar CEO & Co-Founder, who shares how his earlier exit from a robo-advisor to Goldman Sachs and years as an advisor led to a digital platform for self-directed IRAs that hold private and alternative assets. Starting his career at Merrill Lynch during the dot-com bust, he built deep expertise in retirement and now oversees a trust company with roughly $12B in alternatives and 9,000+ registered investments. Yoshida explains why asset location can outperform asset selection and why retail access to private markets is set to grow. Key Takeaways: → How Rocket Dollar provides infrastructure while investors source their own deals. → How Rocket Dollar doesn't manufacture or recommend investments. → Why asset location is crucial. → Why innovation is critical as incumbents eye alternatives. Henry Yoshida, CFP®, is the CEO and Co-Founder of Rocket Dollar. He was previously the founder of venture capital-backed Robo-advisor retirement plan platform Honest Dollar (acquired by Goldman Sachs in 2016), the founder of MY Group LLC (acquired by Captrust), and spent 10 years at Merrill Lynch. Henry is also a Certified Financial Planner and has brought multiple innovative products and methodologies to the market. Yoshida graduated from the University of Texas at Austin and holds an MBA from Cornell University. He lives in Austin with his two daughters. Connect With Henry: Website: https://www.rocketdollar.com/ https://bit.ly/4nKw0WT Instagram: https://www.instagram.com/fitfinancehenry/ LinkedIn: https://www.linkedin.com/in/henryyoshida/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your biggest edge isn't what you buy, but where you hold it? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Henry Yoshida, CFP®, Rocket Dollar CEO & Co-Founder, who shares how his earlier exit from a robo-advisor to Goldman Sachs and years as an advisor led to a digital platform for self-directed IRAs that hold private and alternative assets. Starting his career at Merrill Lynch during the dot-com bust, he built deep expertise in retirement and now oversees a trust company with roughly $12B in alternatives and 9,000+ registered investments. Yoshida explains why asset location can outperform asset selection and why retail access to private markets is set to grow. Key Takeaways: → How Rocket Dollar provides infrastructure while investors source their own deals. → How Rocket Dollar doesn't manufacture or recommend investments. → Why asset location is crucial. → Why innovation is critical as incumbents eye alternatives. Henry Yoshida, CFP®, is the CEO and Co-Founder of Rocket Dollar. He was previously the founder of venture capital-backed Robo-advisor retirement plan platform Honest Dollar (acquired by Goldman Sachs in 2016), the founder of MY Group LLC (acquired by Captrust), and spent 10 years at Merrill Lynch. Henry is also a Certified Financial Planner and has brought multiple innovative products and methodologies to the market. Yoshida graduated from the University of Texas at Austin and holds an MBA from Cornell University. He lives in Austin with his two daughters. Connect With Henry: Website: https://www.rocketdollar.com/ https://bit.ly/4nKw0WT Instagram: https://www.instagram.com/fitfinancehenry/ LinkedIn: https://www.linkedin.com/in/henryyoshida/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the problem is not that online leads do not work, but that most advisors are targeting the wrong people with the wrong message?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Allan Khazak, Founder & CEO of Vroom Media Group, who explains how his company helps insurance agents, RIAs, regional firms, and IMOs attract better prospects through targeted online advertising, client avatars, landing pages, surveys, nurture campaigns, and sales training. He also discusses why dinner seminars and radio shows are less effective than they used to be, how compliance affects advisor marketing, and why patience, follow-up, and continual improvement are essential to converting online leads.   Key Takeaways: → Online ads perform best when advisors target a specific client avatar. → Campaigns focused on tax issues, Roth conversions, or TSPs can attract more qualified prospects. → Lead quality improves when prospects are filtered by age, assets, and fit before they reach the advisor. → A strong landing page and survey process help train the ad algorithm to identify better prospects. → Advisors who treat every failed conversation as feedback can improve conversion rates over time. Allan Khazak is a Canadian entrepreneur, digital marketing expert, and founder and CEO of Vroom Media Group, a results-driven agency that helps life insurance brokers, financial advisors, and annuity agents generate qualified prospects and convert them into clients. Raised in Canada by an immigrant family, Allan developed a strong work ethic and entrepreneurial mindset early in life. He studied at the Schulich School of Business at York University in Toronto before beginning his career in public accounting. In 2019, Allan founded Vroom Media Group to help solve one of the insurance industry's biggest challenges: consistent lead generation and conversion. Under his leadership, the agency has built a niche using data-driven strategies, online advertising, and proprietary systems to help advisors book qualified appointments and grow annuity production.   Connect With Allan: Website: https://www.vroommediagroup.com/ Instagram: https://www.instagram.com/vroommediagroup/ X: https://x.com/GroupVroom Facebook: https://www.facebook.com/VRMMediaGroupLeadGen Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the problem is not that online leads do not work, but that most advisors are targeting the wrong people with the wrong message?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Allan Khazak, Founder & CEO of Vroom Media Group, who explains how his company helps insurance agents, RIAs, regional firms, and IMOs attract better prospects through targeted online advertising, client avatars, landing pages, surveys, nurture campaigns, and sales training. He also discusses why dinner seminars and radio shows are less effective than they used to be, how compliance affects advisor marketing, and why patience, follow-up, and continual improvement are essential to converting online leads.   Key Takeaways: → Online ads perform best when advisors target a specific client avatar. → Campaigns focused on tax issues, Roth conversions, or TSPs can attract more qualified prospects. → Lead quality improves when prospects are filtered by age, assets, and fit before they reach the advisor. → A strong landing page and survey process help train the ad algorithm to identify better prospects. → Advisors who treat every failed conversation as feedback can improve conversion rates over time. Allan Khazak is a Canadian entrepreneur, digital marketing expert, and founder and CEO of Vroom Media Group, a results-driven agency that helps life insurance brokers, financial advisors, and annuity agents generate qualified prospects and convert them into clients. Raised in Canada by an immigrant family, Allan developed a strong work ethic and entrepreneurial mindset early in life. He studied at the Schulich School of Business at York University in Toronto before beginning his career in public accounting. In 2019, Allan founded Vroom Media Group to help solve one of the insurance industry's biggest challenges: consistent lead generation and conversion. Under his leadership, the agency has built a niche using data-driven strategies, online advertising, and proprietary systems to help advisors book qualified appointments and grow annuity production.   Connect With Allan: Website: https://www.vroommediagroup.com/ Instagram: https://www.instagram.com/vroommediagroup/ X: https://x.com/GroupVroom Facebook: https://www.facebook.com/VRMMediaGroupLeadGen Learn more about your ad choices. Visit megaphone.fm/adchoices

Discover the step-by-step system that turns accountants and attorneys into weekly referral sources for your advisory practice. In this episode of the Registered Investment Advisor Podcast, Seth Greene, Founder and CEO of Market Domination, reveals the Dream 50 referral process, designed to help registered investment advisors secure consistent weekly referrals from professional centers of influence. Drawing on decades of experience and work with more than 83 RIAs, Seth explains how to define target markets, warm up influencers through social engagement, and convert relationships into high-value leads. He also shares real client examples and the tools needed to implement this process efficiently, demonstrating how it can generate significant revenue with minimal time investment. Key Takeaways: → Define your target market precisely to focus your outreach. → Warm up influencers by engaging with them on social media and leaving reviews. → Convert influencer goodwill into actionable referrals through follow-up and strategic calls. → Capture prospect contact information and implement a multi-channel drip-follow-up system. → Done-for-you implementation by a professional staff ensures scalability and high ROI. Seth Greene is a leading authority on business growth and affiliate marketing, recognized for scaling 50 DREAM affiliates and achieving Inc. 5000 status in 2023. He co-hosts the Sharkpreneur podcast with Shark Tank's Kevin Harrington and is ranked No. 6 among the best business podcasts to listen to. A nine-time best-selling author, Seth has been featured on NBC News, CBS News, Forbes, Inc., and CBS MoneyWatch. He is the only person in history to be nominated three consecutive years for the GKIC Marketer of the Year award. A serial entrepreneur, he has founded four successful businesses and continues to guide entrepreneurs in scaling, visibility, and building profitable ecosystems. Connect With Seth: Website: https://marketdominationllc.com/ Instagram: https://www.instagram.com/_marketdomination X: https://x.com/mktdominationus Facebook: https://www.facebook.com/MarketDominationLLC LinkedIn: https://www.linkedin.com/company/market-domination-llc Learn more about your ad choices. Visit megaphone.fm/adchoices

Discover the step-by-step system that turns accountants and attorneys into weekly referral sources for your advisory practice. In this episode of the Registered Investment Advisor Podcast, Seth Greene, Founder and CEO of Market Domination, reveals the Dream 50 referral process, designed to help registered investment advisors secure consistent weekly referrals from professional centers of influence. Drawing on decades of experience and work with more than 83 RIAs, Seth explains how to define target markets, warm up influencers through social engagement, and convert relationships into high-value leads. He also shares real client examples and the tools needed to implement this process efficiently, demonstrating how it can generate significant revenue with minimal time investment. Key Takeaways: → Define your target market precisely to focus your outreach. → Warm up influencers by engaging with them on social media and leaving reviews. → Convert influencer goodwill into actionable referrals through follow-up and strategic calls. → Capture prospect contact information and implement a multi-channel drip-follow-up system. → Done-for-you implementation by a professional staff ensures scalability and high ROI. Seth Greene is a leading authority on business growth and affiliate marketing, recognized for scaling 50 DREAM affiliates and achieving Inc. 5000 status in 2023. He co-hosts the Sharkpreneur podcast with Shark Tank's Kevin Harrington and is ranked No. 6 among the best business podcasts to listen to. A nine-time best-selling author, Seth has been featured on NBC News, CBS News, Forbes, Inc., and CBS MoneyWatch. He is the only person in history to be nominated three consecutive years for the GKIC Marketer of the Year award. A serial entrepreneur, he has founded four successful businesses and continues to guide entrepreneurs in scaling, visibility, and building profitable ecosystems. Connect With Seth: Website: https://marketdominationllc.com/ Instagram: https://www.instagram.com/_marketdomination X: https://x.com/mktdominationus Facebook: https://www.facebook.com/MarketDominationLLC LinkedIn: https://www.linkedin.com/company/market-domination-llc Learn more about your ad choices. Visit megaphone.fm/adchoices

Federal employees often have valuable benefits, but without the right guidance, they may not understand the rules, options, and decisions that shape their retirement. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Cassie Graves, Founder of Fed Options Consultants and Information Services, who explains how she entered the federal benefits space, why many employees misunderstand retirement eligibility, TSP rules, survivor benefits, and insurance decisions, and how advisors can better serve this specialized market. She also discusses how financial professionals can build credibility by leading with service, understanding federal benefit language, and helping employees make more informed retirement planning decisions.   Key Takeaways: → Federal benefits involve unique rules around pensions, survivor benefits, TSP withdrawals, military service credits, and retirement eligibility that many advisors overlook. → Missing prior service history, part-time service adjustments, or military deposits can significantly impact projected retirement income.    → Federal employees are highly sensitive to transactional sales approaches and respond better to advisors who lead with education and genuine support. → Recent workforce restructuring, early retirement programs, and shifting government policies have created confusion around retirement timing and financial readiness.   → Familiarity with federal systems, terminology, and planning structures helps advisors establish credibility and improve client confidence.     Cassie Graves founded Fed Options Consultants and Information Services, LLC to provide high-level back-office federal benefits support for seasoned financial professionals serving federal employees.  As the spouse of a federal employee, and with many family and friends in federal service, she saw firsthand how often benefits are misunderstood, especially approaching retirement. That insight became her mission: help employees understand the real consequences of their benefit choices.   Connect With Cassie: Facebook: https://www.facebook.com/fedoptions LinkedIn (Company): https://www.linkedin.com/company/fed-options/ LinkedIn (Personal): https://www.linkedin.com/in/cassie-graves-623ba5132/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Federal employees often have valuable benefits, but without the right guidance, they may not understand the rules, options, and decisions that shape their retirement. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Cassie Graves, Founder of Fed Options Consultants and Information Services, who explains how she entered the federal benefits space, why many employees misunderstand retirement eligibility, TSP rules, survivor benefits, and insurance decisions, and how advisors can better serve this specialized market. She also discusses how financial professionals can build credibility by leading with service, understanding federal benefit language, and helping employees make more informed retirement planning decisions.   Key Takeaways: → Federal benefits involve unique rules around pensions, survivor benefits, TSP withdrawals, military service credits, and retirement eligibility that many advisors overlook. → Missing prior service history, part-time service adjustments, or military deposits can significantly impact projected retirement income.    → Federal employees are highly sensitive to transactional sales approaches and respond better to advisors who lead with education and genuine support. → Recent workforce restructuring, early retirement programs, and shifting government policies have created confusion around retirement timing and financial readiness.   → Familiarity with federal systems, terminology, and planning structures helps advisors establish credibility and improve client confidence.     Cassie Graves founded Fed Options Consultants and Information Services, LLC to provide high-level back-office federal benefits support for seasoned financial professionals serving federal employees.  As the spouse of a federal employee, and with many family and friends in federal service, she saw firsthand how often benefits are misunderstood, especially approaching retirement. That insight became her mission: help employees understand the real consequences of their benefit choices.   Connect With Cassie: Facebook: https://www.facebook.com/fedoptions LinkedIn (Company): https://www.linkedin.com/company/fed-options/ LinkedIn (Personal): https://www.linkedin.com/in/cassie-graves-623ba5132/ Learn more about your ad choices. Visit megaphone.fm/adchoices

AI is not just another tool for advisors to buy. It may be the next coworker helping firms grow, serve clients, and reclaim capacity. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Sam Sova, Co-Founder and CEO of Subatomic, who explains how advisory firms can use AI, data orchestration, and workflow-native agents to connect disconnected systems, improve operational efficiency, and create more personalized client engagement. He also discusses why AI adoption requires a different mindset than traditional software, how mid-sized firms can move quickly, and why the future advisor role will remain deeply human while becoming more scalable through AI.   Key Takeaways: → The future of AI adoption is less about buying individual tools and more about creating AI teammates that can learn preferences, complete tasks, and operate autonomously. → Most advisory firms operate with fragmented systems that do not communicate effectively. AI becomes dramatically more powerful when client data is orchestrated into a single unified view.    → Smaller and mid-sized firms can implement AI solutions quickly and adapt faster than larger institutions burdened by bureaucracy and legacy systems.   → Tasks like meeting preparation, workflow automation, and data aggregation that once consumed thousands of hours annually can now be completed in minutes.   → AI can help advisors create more meaningful client interactions by connecting personal interests, market events, and client data to generate relevant outreach opportunities.     Sam Sova is the Co-Founder and CEO of Subatomic, where he helps wealth management firms break through the growth ceiling by hiring AI Co-Workers instead of adding headcount.  Instead of layering automation on top of fragmented systems, Subatomic unifies data across the tools firms already use so AI can operate natively inside real workflows. Sam brings more than two decades of experience across marketing, strategy, and technology, with prior leadership roles at Fiserv, TIAA, AT&T, Johnson Controls, Con Edison, and Soluna.   Connect With Sam: Instagram: https://www.instagram.com/subatomicai/ LinkedIn (Company): https://www.linkedin.com/company/subatomicai/ LinkedIn (Personal): https://www.linkedin.com/in/samsova/ X (Company): https://x.com/subatomicai X (Personal): https://x.com/samsova   Learn more about your ad choices. Visit megaphone.fm/adchoices

AI is not just another tool for advisors to buy. It may be the next coworker helping firms grow, serve clients, and reclaim capacity. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Sam Sova, Co-Founder and CEO of Subatomic, who explains how advisory firms can use AI, data orchestration, and workflow-native agents to connect disconnected systems, improve operational efficiency, and create more personalized client engagement. He also discusses why AI adoption requires a different mindset than traditional software, how mid-sized firms can move quickly, and why the future advisor role will remain deeply human while becoming more scalable through AI.   Key Takeaways: → The future of AI adoption is less about buying individual tools and more about creating AI teammates that can learn preferences, complete tasks, and operate autonomously. → Most advisory firms operate with fragmented systems that do not communicate effectively. AI becomes dramatically more powerful when client data is orchestrated into a single unified view.    → Smaller and mid-sized firms can implement AI solutions quickly and adapt faster than larger institutions burdened by bureaucracy and legacy systems.   → Tasks like meeting preparation, workflow automation, and data aggregation that once consumed thousands of hours annually can now be completed in minutes.   → AI can help advisors create more meaningful client interactions by connecting personal interests, market events, and client data to generate relevant outreach opportunities.     Sam Sova is the Co-Founder and CEO of Subatomic, where he helps wealth management firms break through the growth ceiling by hiring AI Co-Workers instead of adding headcount.  Instead of layering automation on top of fragmented systems, Subatomic unifies data across the tools firms already use so AI can operate natively inside real workflows. Sam brings more than two decades of experience across marketing, strategy, and technology, with prior leadership roles at Fiserv, TIAA, AT&T, Johnson Controls, Con Edison, and Soluna.   Connect With Sam: Instagram: https://www.instagram.com/subatomicai/ LinkedIn (Company): https://www.linkedin.com/company/subatomicai/ LinkedIn (Personal): https://www.linkedin.com/in/samsova/ X (Company): https://x.com/subatomicai X (Personal): https://x.com/samsova   Learn more about your ad choices. Visit megaphone.fm/adchoices

What if you could score and rank hundreds of investment funds in mere moments, based on your unique preferences? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Eric Smith, J.D., Chairman & CEO of Decision Technologies Corporation, who discusses their patented decision assistant technology, designed to help investment professionals score and rank mutual funds and ETFs. This powerful tool allows advisors to customize 48 performance factors, enabling them to select the best funds for their clients and providing deeper insights than traditional rating systems like Morningstar. Tune in to learn how this innovative software can transform how you evaluate investments, optimize portfolios, and strengthen client relationships. Key Takeaways: → Why investment professionals often struggle to understand how their choices compare across the market. → How Decision Technologies' patented tool helps users score and rank investment funds objectively. → How this tool allows you to create personalized ranking systems tailored to your client's goals. → How real-time ranking allows users to monitor funds and adjust as market conditions change. → Decision Technologies provides a game-changing tool for attracting new clients and managing existing investments more effectively. Eric S. Smith, J.D., is the Chairman, CEO, and Co-Founder of Decision Technologies Corporation (DTC), where he co-invented the company's patented decision-assistance technology. This technology powers DTC's Professional RapidReview Tool (ProRRT) for investment advisors and its Retail Investment Tracking Application (RITA) for individual investors. DTC's transformative technology enables both groups to make informed investment decisions in an increasingly complex financial landscape. Additionally, Mr. Smith serves as President of Trustee Empowerment & Protection, Inc. (TEPI), an SEC-registered investment adviser that helps retirement plan sponsors mitigate risks associated with class-action lawsuits. A licensed institutional investment consultant and attorney with over 22 years of experience in corporate and ERISA law, Eric brings a client-centric perspective to financial services, focusing on empowering individual investors and their advisors. He has spoken at various conferences on fiduciary responsibility, investment decision-making, and the flaws in the financial services marketplace. Connect With Eric: Website: https://decisionengines.tech/ https://prorrt.com/ LinkedIn: https://www.linkedin.com/in/eric-smith-82558710/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if you could score and rank hundreds of investment funds in mere moments, based on your unique preferences? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Eric Smith, J.D., Chairman & CEO of Decision Technologies Corporation, who discusses their patented decision assistant technology, designed to help investment professionals score and rank mutual funds and ETFs. This powerful tool allows advisors to customize 48 performance factors, enabling them to select the best funds for their clients and providing deeper insights than traditional rating systems like Morningstar. Tune in to learn how this innovative software can transform how you evaluate investments, optimize portfolios, and strengthen client relationships. Key Takeaways: → Why investment professionals often struggle to understand how their choices compare across the market. → How Decision Technologies' patented tool helps users score and rank investment funds objectively. → How this tool allows you to create personalized ranking systems tailored to your client's goals. → How real-time ranking allows users to monitor funds and adjust as market conditions change. → Decision Technologies provides a game-changing tool for attracting new clients and managing existing investments more effectively. Eric S. Smith, J.D., is the Chairman, CEO, and Co-Founder of Decision Technologies Corporation (DTC), where he co-invented the company's patented decision-assistance technology. This technology powers DTC's Professional RapidReview Tool (ProRRT) for investment advisors and its Retail Investment Tracking Application (RITA) for individual investors. DTC's transformative technology enables both groups to make informed investment decisions in an increasingly complex financial landscape. Additionally, Mr. Smith serves as President of Trustee Empowerment & Protection, Inc. (TEPI), an SEC-registered investment adviser that helps retirement plan sponsors mitigate risks associated with class-action lawsuits. A licensed institutional investment consultant and attorney with over 22 years of experience in corporate and ERISA law, Eric brings a client-centric perspective to financial services, focusing on empowering individual investors and their advisors. He has spoken at various conferences on fiduciary responsibility, investment decision-making, and the flaws in the financial services marketplace. Connect With Eric: Website: https://decisionengines.tech/ https://prorrt.com/ LinkedIn: https://www.linkedin.com/in/eric-smith-82558710/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your message sounds just like everyone else, and that's why clients aren't choosing you? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Jody Lowe, Founder of The Lowe Group, who explores how financial advisors can stand out in an increasingly crowded and digital-first marketplace.  Jody explains why earned media, thought leadership, and clear messaging are more important than ever as search behavior shifts, and generative AI prioritizes third-party validation over corporate content.   Key Takeaways: → Generative AI and search trends increasingly prioritize third-party media mentions over company-owned content, making PR more critical than ever. → Advisors must clearly define who they serve, how they serve them, and what makes them different in order to stand out.   → Overreliance on templated or AI-generated messaging can lead to indistinguishable brands that fail to resonate with ideal clients.   → Real client stories and relatable examples help demonstrate value more effectively than technical jargon or abstract claims.   → Strong communicators prepare clear, focused messages and deliver them conversationally, rather than relying on scattered talking points.     Jody Lowe is president and founder of Lowe Group, an award-winning financial PR, investment communications, and digital marketing firm. As an entrepreneur who has spent her entire career in the financial services industry, Jody Lowe shows up every day to help her clients build brand awareness and achieve their PR and marketing goals. She has cultivated strong relationships with top-tier media and helps leading asset management, RIAs, and financial services firms build their brands, grow assets, and gain market share.   Connect With Jody: YouTube: https://www.youtube.com/@LoweGroup-dv2pz Instagram: https://www.instagram.com/lowegroup.pr Bluesky: https://bsky.app/profile/thelowegroup.bsky.social LinkedIn (Company): https://www.linkedin.com/company/the-lowe-group-llc/ LinkedIn (Personal): https://www.linkedin.com/in/jody-lowe/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your message sounds just like everyone else, and that's why clients aren't choosing you? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Jody Lowe, Founder of The Lowe Group, who explores how financial advisors can stand out in an increasingly crowded and digital-first marketplace.  Jody explains why earned media, thought leadership, and clear messaging are more important than ever as search behavior shifts, and generative AI prioritizes third-party validation over corporate content.   Key Takeaways: → Generative AI and search trends increasingly prioritize third-party media mentions over company-owned content, making PR more critical than ever. → Advisors must clearly define who they serve, how they serve them, and what makes them different in order to stand out.   → Overreliance on templated or AI-generated messaging can lead to indistinguishable brands that fail to resonate with ideal clients.   → Real client stories and relatable examples help demonstrate value more effectively than technical jargon or abstract claims.   → Strong communicators prepare clear, focused messages and deliver them conversationally, rather than relying on scattered talking points.     Jody Lowe is president and founder of Lowe Group, an award-winning financial PR, investment communications, and digital marketing firm. As an entrepreneur who has spent her entire career in the financial services industry, Jody Lowe shows up every day to help her clients build brand awareness and achieve their PR and marketing goals. She has cultivated strong relationships with top-tier media and helps leading asset management, RIAs, and financial services firms build their brands, grow assets, and gain market share.   Connect With Jody: YouTube: https://www.youtube.com/@LoweGroup-dv2pz Instagram: https://www.instagram.com/lowegroup.pr Bluesky: https://bsky.app/profile/thelowegroup.bsky.social LinkedIn (Company): https://www.linkedin.com/company/the-lowe-group-llc/ LinkedIn (Personal): https://www.linkedin.com/in/jody-lowe/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Why most advisors are drowning in marketing activity but starving for real results, and how to fix it before your pipeline runs dry. In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Matt Hicken, Senior Vice President of Consulting at Bill Good Marketing, who has coached hundreds of advisors and built practices from the ground up. In this discussion, Matt explains how Bill Good shifted from cold calling and direct mail to a system of documented best practices across 12 marketing channels, team structure, CRM, and branding. He details the key figures, the mistakes that hurt seminar ROI, and the step-by-step solutions that turn activity into assets. Key Takeaways: → Why most firms drown in tactics but starve for leads and how to pick winners. → How to diagnose seminars that aren't producing and the benchmarks to aim for. → How to identify which campaigns to scale and which to stop. → Why the best ideas should become best practices that you can repeat across markets. → The biggest myth about Bill Good Marketing and how the platform now covers the whole practice, not just marketing. Matt Hicken is the Senior Vice President of Consulting and Triple Double Architect at Bill Good Marketing. During his nearly 14 years running an advisory business, Matt and his team tripled their output, growing from $500k annually to $4.5 million. In that time, they also made a major shift, moving from a 50% transactional model to a fee-based business. Matt has over 23 years of combined experience working with advisors in practice management and consultative roles. He has traveled across North America, collaborating with some of the biggest advisory firms to analyze and overcome plateaus. Matt understands the industry and the unique challenges large teams face in running a business. He possesses the tools, processes, and real-world experience of building a business managing over half a billion dollars. Connect With Matt: Website: https://www.billgoodmarketing.com/ Facebook: https://www.facebook.com/BillGoodMarketing/ LinkedIn: https://www.linkedin.com/company/bill-good-marketing/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Why most advisors are drowning in marketing activity but starving for real results, and how to fix it before your pipeline runs dry. In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Matt Hicken, Senior Vice President of Consulting at Bill Good Marketing, who has coached hundreds of advisors and built practices from the ground up. In this discussion, Matt explains how Bill Good shifted from cold calling and direct mail to a system of documented best practices across 12 marketing channels, team structure, CRM, and branding. He details the key figures, the mistakes that hurt seminar ROI, and the step-by-step solutions that turn activity into assets. Key Takeaways: → Why most firms drown in tactics but starve for leads and how to pick winners. → How to diagnose seminars that aren't producing and the benchmarks to aim for. → How to identify which campaigns to scale and which to stop. → Why the best ideas should become best practices that you can repeat across markets. → The biggest myth about Bill Good Marketing and how the platform now covers the whole practice, not just marketing. Matt Hicken is the Senior Vice President of Consulting and Triple Double Architect at Bill Good Marketing. During his nearly 14 years running an advisory business, Matt and his team tripled their output, growing from $500k annually to $4.5 million. In that time, they also made a major shift, moving from a 50% transactional model to a fee-based business. Matt has over 23 years of combined experience working with advisors in practice management and consultative roles. He has traveled across North America, collaborating with some of the biggest advisory firms to analyze and overcome plateaus. Matt understands the industry and the unique challenges large teams face in running a business. He possesses the tools, processes, and real-world experience of building a business managing over half a billion dollars. Connect With Matt: Website: https://www.billgoodmarketing.com/ Facebook: https://www.facebook.com/BillGoodMarketing/ LinkedIn: https://www.linkedin.com/company/bill-good-marketing/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the biggest risk in real estate investing isn't the market, but the way you're thinking about it? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Dwight Dunton, Founder and CEO of Bonaventure, who shares how his career began with a leveraged buyout of a struggling apartment complex and evolved into a multifaceted investment platform focused on disciplined execution and aligned capital. He breaks down the realities of market cycles and debt strategies and explains how investors can avoid costly mistakes while building sustainable wealth through multifamily real estate. Key Takeaways: → Building wealth in multifamily real estate is less about short-term flips and more about holding quality assets that generate consistent, compounding returns over time.   → Using long-term, fixed-rate financing helps investors survive economic downturns and avoid being forced out during market cycles. → Market success is driven less by job growth headlines and more by how many new units are being built. → Making decisions purely for tax benefits can lead to poor outcomes; investments must stand on their own merits first. → Renovating existing properties and improving operations can create strong returns, especially when new development is constrained.   Dwight Dunton is the Founder and CEO of Bonaventure, a respected multifamily investment firm. The company advises family offices and high-net-worth clients on building and preserving long-term wealth through multifamily real estate. Bonaventure focuses on development, investment, management, and tax-advantaged strategies across the Mid-Atlantic and Southeast.   Connect With Dwight: Website: https://bonaventure.com/ LinkedIn: https://www.linkedin.com/in/dwightdunton/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the biggest risk in real estate investing isn't the market, but the way you're thinking about it? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Dwight Dunton, Founder and CEO of Bonaventure, who shares how his career began with a leveraged buyout of a struggling apartment complex and evolved into a multifaceted investment platform focused on disciplined execution and aligned capital. He breaks down the realities of market cycles and debt strategies and explains how investors can avoid costly mistakes while building sustainable wealth through multifamily real estate. Key Takeaways: → Building wealth in multifamily real estate is less about short-term flips and more about holding quality assets that generate consistent, compounding returns over time.   → Using long-term, fixed-rate financing helps investors survive economic downturns and avoid being forced out during market cycles. → Market success is driven less by job growth headlines and more by how many new units are being built. → Making decisions purely for tax benefits can lead to poor outcomes; investments must stand on their own merits first. → Renovating existing properties and improving operations can create strong returns, especially when new development is constrained.   Dwight Dunton is the Founder and CEO of Bonaventure, a respected multifamily investment firm. The company advises family offices and high-net-worth clients on building and preserving long-term wealth through multifamily real estate. Bonaventure focuses on development, investment, management, and tax-advantaged strategies across the Mid-Atlantic and Southeast.   Connect With Dwight: Website: https://bonaventure.com/ LinkedIn: https://www.linkedin.com/in/dwightdunton/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a traditional financial planner realizes the old playbook no longer fits the future of wealth preservation? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Eric Runge, founder of Family Office Bitcoin, who breaks down his firm's approach to risk-managed Bitcoin exposure, including downside-protected ETF strategies, and explains why he draws a sharp line between Bitcoin and the broader crypto market.  Runge also touches on portfolio construction, family office dynamics, and the realities of building trust in institutional circles.    Key Takeaways: → When advisors offer the same portfolios and products, it becomes difficult to differentiate and demonstrate unique value to clients.   → Breaking away from traditional firms allows advisors to choose their own strategies, vendors, and direction.  → A distinction is made between Bitcoin and the broader crypto market, with Bitcoin seen as a unique asset due to its scarcity and structural properties.  → Using tools like downside-protected ETFs and risk signals allows advisors to participate in Bitcoin's upside while attempting to reduce volatility. → Institutional clients prioritize governance, trust, and long-term capital preservation, often evaluating the advisor as much as the strategy.   Eric Runge is the founder of Family Office Bitcoin, a Registered Investment Advisor serving family offices managing $50M+ in assets. He doesn't pitch crypto. He builds institutional-grade Bitcoin portfolios designed for the kind of long-term capital allocators who measure success in generations, not quarters.  Connect With Eric: Website:  https://familyofficebitcoin.com/ LinkedIn: https://www.linkedin.com/in/eric-runge-veritas/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a traditional financial planner realizes the old playbook no longer fits the future of wealth preservation? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Eric Runge, founder of Family Office Bitcoin, who breaks down his firm's approach to risk-managed Bitcoin exposure, including downside-protected ETF strategies, and explains why he draws a sharp line between Bitcoin and the broader crypto market.  Runge also touches on portfolio construction, family office dynamics, and the realities of building trust in institutional circles.    Key Takeaways: → When advisors offer the same portfolios and products, it becomes difficult to differentiate and demonstrate unique value to clients.   → Breaking away from traditional firms allows advisors to choose their own strategies, vendors, and direction.  → A distinction is made between Bitcoin and the broader crypto market, with Bitcoin seen as a unique asset due to its scarcity and structural properties.  → Using tools like downside-protected ETFs and risk signals allows advisors to participate in Bitcoin's upside while attempting to reduce volatility. → Institutional clients prioritize governance, trust, and long-term capital preservation, often evaluating the advisor as much as the strategy.   Eric Runge is the founder of Family Office Bitcoin, a Registered Investment Advisor serving family offices managing $50M+ in assets. He doesn't pitch crypto. He builds institutional-grade Bitcoin portfolios designed for the kind of long-term capital allocators who measure success in generations, not quarters.  Connect With Eric: Website:  https://familyofficebitcoin.com/ LinkedIn: https://www.linkedin.com/in/eric-runge-veritas/ Learn more about your ad choices. Visit megaphone.fm/adchoices

If your clients want answers from today's headlines, how do you give them clarity that still makes sense 5–10 years from now? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Nathaniel “Nat” Guild, founder and president of Apex Equity Research LLC, who discusses one of the most overlooked risks in modern portfolio building: hidden concentration risk. Nathaniel also explains why safeguarding against losses, rather than simply pursuing gains, is the real secret to long-term investing success. He further examines how passive strategies and the rapid growth of private and shadow assets are creating hidden structural risks that many advisors and clients fail to see.    Key Takeaways: → The most important factor in investing isn't maximizing returns; it's avoiding major drawdowns that can permanently impair capital. → Seven to ten stocks now dominate major indexes, meaning many “diversified” portfolios may be far more concentrated than advisors realize. → The rise of index funds combined with growth in private assets creates distortions that can amplify volatility and reduce true diversification. → Diversifying information intake is just as important as diversifying portfolios. → Short-term media narratives often distract from meaningful long-term risks.   Nathaniel “Nat” Guild is the founder and President of Apex Equity Research LLC, established in 2011 to provide rigorous investment research to financial institutions, fund managers, and fiduciaries seeking clarity in U.S. equities. Known for pinpointing critical risk factors that help long-term investors cut through market noise, Nat has advised some of the largest mutual and hedge funds in the industry. His previous firm, Short Alert, earned a Barron's cover story for exceptional performance, and his insights have appeared in Fortune, SmartMoney, and The Wall Street Journal. In May 2025, he launched Market Risks, a semi-monthly newsletter that breaks down complex financial data and global events into clear, actionable insights for disciplined investors.  Connect With Nathaniel: Website:  https://apex-equity-research.com/ LinkedIn: https://www.linkedin.com/in/nathaniel-guild-b583831/ Learn more about your ad choices. Visit megaphone.fm/adchoices

If your clients want answers from today's headlines, how do you give them clarity that still makes sense 5–10 years from now? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Nathaniel “Nat” Guild, founder and president of Apex Equity Research LLC, who discusses one of the most overlooked risks in modern portfolio building: hidden concentration risk. Nathaniel also explains why safeguarding against losses, rather than simply pursuing gains, is the real secret to long-term investing success. He further examines how passive strategies and the rapid growth of private and shadow assets are creating hidden structural risks that many advisors and clients fail to see.    Key Takeaways: → The most important factor in investing isn't maximizing returns; it's avoiding major drawdowns that can permanently impair capital. → Seven to ten stocks now dominate major indexes, meaning many “diversified” portfolios may be far more concentrated than advisors realize. → The rise of index funds combined with growth in private assets creates distortions that can amplify volatility and reduce true diversification. → Diversifying information intake is just as important as diversifying portfolios. → Short-term media narratives often distract from meaningful long-term risks.   Nathaniel “Nat” Guild is the founder and President of Apex Equity Research LLC, established in 2011 to provide rigorous investment research to financial institutions, fund managers, and fiduciaries seeking clarity in U.S. equities. Known for pinpointing critical risk factors that help long-term investors cut through market noise, Nat has advised some of the largest mutual and hedge funds in the industry. His previous firm, Short Alert, earned a Barron's cover story for exceptional performance, and his insights have appeared in Fortune, SmartMoney, and The Wall Street Journal. In May 2025, he launched Market Risks, a semi-monthly newsletter that breaks down complex financial data and global events into clear, actionable insights for disciplined investors.  Connect With Nathaniel: Website:  https://apex-equity-research.com/ LinkedIn: https://www.linkedin.com/in/nathaniel-guild-b583831/ Learn more about your ad choices. Visit megaphone.fm/adchoices

One wrong portfolio choice can turn a tax-saving strategy into a taxable mistake. Here's how to prevent it. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews experienced entrepreneur and investor Jason Marcus, who discusses the realities of building, funding, and scaling companies in today's capital environment. This conversation explains the difference between fast money and smart money, emphasizing why alignment between founders and investors is essential and why disciplined decision-making is more important than market timing. For RIAs advising entrepreneurial clients or investing alongside them, it offers practical insights on navigating volatility and minimizing downside risk. Key Takeaways: → Not all funding is created equal. Strategic investors who bring experience, relationships, and discipline can be far more valuable than simply the highest valuation offer. → Clear expectations between founders and investors, especially around time horizons and exit strategy, can prevent costly misalignment later. → Entrepreneurs often underestimate how long it takes to achieve liquidity. Building financial buffers and exit optionality protects both business and family stability. → Markets fluctuate, industries trend, but disciplined underwriting and thoughtful scaling remain constant drivers of long-term success. → RIAs can add significant value by helping founders think holistically about personal wealth planning, tax strategy, and diversification beyond their primary business asset. Jason Marcus serves as Chief Operating Officer and Chief Compliance Officer at Scharf Investments, where he recently helped lead one of the largest active mutual fund-to-ETF conversions of the year. Blending executive leadership with deep operational expertise, he oversees firm operations, compliance, and strategic execution during pivotal moments of growth and change. Prior to joining Scharf in 2010, Jason spent eight years at Fairholme Capital Management in multiple operational roles during a period of rapid asset expansion, gaining firsthand insight into how structure, scale, and disciplined execution create the foundation for long-term investment success. Connect With Jason: Website: https://scharfinvestments.com/ LinkedIn: https://www.linkedin.com/company/scharfinvestments/ Learn more about your ad choices. Visit megaphone.fm/adchoices

One wrong portfolio choice can turn a tax-saving strategy into a taxable mistake. Here's how to prevent it. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews experienced entrepreneur and investor Jason Marcus, who discusses the realities of building, funding, and scaling companies in today's capital environment. This conversation explains the difference between fast money and smart money, emphasizing why alignment between founders and investors is essential and why disciplined decision-making is more important than market timing. For RIAs advising entrepreneurial clients or investing alongside them, it offers practical insights on navigating volatility and minimizing downside risk. Key Takeaways: → Not all funding is created equal. Strategic investors who bring experience, relationships, and discipline can be far more valuable than simply the highest valuation offer. → Clear expectations between founders and investors, especially around time horizons and exit strategy, can prevent costly misalignment later. → Entrepreneurs often underestimate how long it takes to achieve liquidity. Building financial buffers and exit optionality protects both business and family stability. → Markets fluctuate, industries trend, but disciplined underwriting and thoughtful scaling remain constant drivers of long-term success. → RIAs can add significant value by helping founders think holistically about personal wealth planning, tax strategy, and diversification beyond their primary business asset. Jason Marcus serves as Chief Operating Officer and Chief Compliance Officer at Scharf Investments, where he recently helped lead one of the largest active mutual fund-to-ETF conversions of the year. Blending executive leadership with deep operational expertise, he oversees firm operations, compliance, and strategic execution during pivotal moments of growth and change. Prior to joining Scharf in 2010, Jason spent eight years at Fairholme Capital Management in multiple operational roles during a period of rapid asset expansion, gaining firsthand insight into how structure, scale, and disciplined execution create the foundation for long-term investment success. Connect With Jason: Website: https://scharfinvestments.com/ LinkedIn: https://www.linkedin.com/company/scharfinvestments/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Most business owners don't realize they're building an exit they can't afford. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Marc Adams, founder of Acquisitions4U, who shares a deeply personal story that transformed his approach to private equity and business growth.  After being diagnosed with stage four cancer during the pandemic and told he had just six months to live, Marc was confronted with a life changing question from his 10-year-old son about what happens to business owners who never get to sell. That moment became the catalyst for the Double and Keep It Framework, designed to help founders of sub-$50 million companies dramatically increase enterprise value. Without giving up equity or taking on burdensome debt, Marc shows entrepreneurs how to exit with significantly more capital. This episode is a masterclass on purpose driven capital, smarter exits, and rethinking how founders truly monetize what they have built.  Key Takeaways: →   Nine out of ten privately held businesses never achieve the valuation owners expect or fail to sell at all. This is often due to poor exit planning and fee erosion.  →   A business generating $750K in EBITDA may only command 1–2x multiples, but when aggregated into a larger $5M+ EBITDA group, valuation multiples can expand dramatically.  →   Waiting until you're “ready to retire” often means discovering too late that taxes, fees, and valuation discounts can erode 30–50% of the sale proceeds.  →   No Equity Dilution, No Debt Servicing  →   Pivoting from traditional private equity to founder-focused value creation was fueled by personal adversity and a commitment to helping families secure financial futures.  Marc Adams is a strategy mentor and business-exit planner who helps founder-led companies double enterprise value in 12–24 months and structure tax-efficient exits—without heavy dilution or personal guarantees. He's helped take a company from roughly $140M to a $1B valuation and led a loss-making $18M-revenue business to a $140M exit. A bestselling author with Times Square features, Marc works closely with family offices and private capital, giving founders a practical, buyer-aligned playbook for value creation, clean diligence, and better after-tax outcomes.  Connect With Marc: Website:  https://acquisitions4you.com/ LinkedIn: https://www.linkedin.com/in/1marcadams/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Most business owners don't realize they're building an exit they can't afford. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Marc Adams, founder of Acquisitions4U, who shares a deeply personal story that transformed his approach to private equity and business growth.  After being diagnosed with stage four cancer during the pandemic and told he had just six months to live, Marc was confronted with a life changing question from his 10-year-old son about what happens to business owners who never get to sell. That moment became the catalyst for the Double and Keep It Framework, designed to help founders of sub-$50 million companies dramatically increase enterprise value. Without giving up equity or taking on burdensome debt, Marc shows entrepreneurs how to exit with significantly more capital. This episode is a masterclass on purpose driven capital, smarter exits, and rethinking how founders truly monetize what they have built.  Key Takeaways: →   Nine out of ten privately held businesses never achieve the valuation owners expect or fail to sell at all. This is often due to poor exit planning and fee erosion.  →   A business generating $750K in EBITDA may only command 1–2x multiples, but when aggregated into a larger $5M+ EBITDA group, valuation multiples can expand dramatically.  →   Waiting until you're “ready to retire” often means discovering too late that taxes, fees, and valuation discounts can erode 30–50% of the sale proceeds.  →   No Equity Dilution, No Debt Servicing  →   Pivoting from traditional private equity to founder-focused value creation was fueled by personal adversity and a commitment to helping families secure financial futures.  Marc Adams is a strategy mentor and business-exit planner who helps founder-led companies double enterprise value in 12–24 months and structure tax-efficient exits—without heavy dilution or personal guarantees. He's helped take a company from roughly $140M to a $1B valuation and led a loss-making $18M-revenue business to a $140M exit. A bestselling author with Times Square features, Marc works closely with family offices and private capital, giving founders a practical, buyer-aligned playbook for value creation, clean diligence, and better after-tax outcomes.  Connect With Marc: Website:  https://acquisitions4you.com/ LinkedIn: https://www.linkedin.com/in/1marcadams/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your accountant helped you build wealth instead of just filing forms? On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with CPA and entrepreneur Sean Duncan, founder of SMD Consulting & Accounting, who shares his unconventional journey from preparing for a career in the FBI to sparking a reinvention of the traditional CPA model.  Instead of stopping at compliance, Sean built a subscription-based, holistic advisory firm that brings together tax strategy, wealth management, insurance, and legal coordination to deliver a true family office experience for everyday clients. He shares powerful insights on building a purpose-driven business, scaling with culture, and turning accounting into a strategic engine for growth.    Key Takeaways: → Career purpose matters more than titles. → Traditional accounting leaves opportunity on the table. → SMD thrives with solo and small-group medical practices, particularly surgeons, who earn significant income but are often underserved by traditional family offices.  → Moving to fixed-fee, subscription-style services eliminates billable-hour friction and encourages deeper client engagement.  → Leading with tax strategy and integrated wealth management through partnerships creates a comprehensive solution for high-earning professionals.    Sean M. Duncan has built a powerful reputation as a thought leader in the accounting industry by championing proactive strategy, education, and real-world guidance over routine tax preparation. Through SMD Consulting and Accounting, LLC, he operates on the belief that business owners and individuals need forward-thinking advice as much as they need financial compliance. With more than 25 years of experience, Sean shares his deep expertise in tax strategy, wealth building, asset protection, legacy planning, and philanthropy through conferences, private seminars, client advisory, and mentorship, all driven by a passion for helping others achieve lasting success.  Connect With Sean: Website: https://smdaccounting.com/ LinkedIn: https://www.linkedin.com/in/sean-m-duncan-cpa/ Facebook: https://www.facebook.com/SMDConsultingAndAccounting Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your accountant helped you build wealth instead of just filing forms? On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with CPA and entrepreneur Sean Duncan, founder of SMD Consulting & Accounting, who shares his unconventional journey from preparing for a career in the FBI to sparking a reinvention of the traditional CPA model.  Instead of stopping at compliance, Sean built a subscription-based, holistic advisory firm that brings together tax strategy, wealth management, insurance, and legal coordination to deliver a true family office experience for everyday clients. He shares powerful insights on building a purpose-driven business, scaling with culture, and turning accounting into a strategic engine for growth.    Key Takeaways: → Career purpose matters more than titles. → Traditional accounting leaves opportunity on the table. → SMD thrives with solo and small-group medical practices, particularly surgeons, who earn significant income but are often underserved by traditional family offices.  → Moving to fixed-fee, subscription-style services eliminates billable-hour friction and encourages deeper client engagement.  → Leading with tax strategy and integrated wealth management through partnerships creates a comprehensive solution for high-earning professionals.    Sean M. Duncan has built a powerful reputation as a thought leader in the accounting industry by championing proactive strategy, education, and real-world guidance over routine tax preparation. Through SMD Consulting and Accounting, LLC, he operates on the belief that business owners and individuals need forward-thinking advice as much as they need financial compliance. With more than 25 years of experience, Sean shares his deep expertise in tax strategy, wealth building, asset protection, legacy planning, and philanthropy through conferences, private seminars, client advisory, and mentorship, all driven by a passion for helping others achieve lasting success.  Connect With Sean: Website: https://smdaccounting.com/ LinkedIn: https://www.linkedin.com/in/sean-m-duncan-cpa/ Facebook: https://www.facebook.com/SMDConsultingAndAccounting Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the annuity conversation your clients avoid is actually the simplest way to lower costs, maintain liquidity, and unlock advisory revenue you're currently missing out on? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Tom McCarthy, Chief Distribution Officer at DPL Financial Partners. He discusses the quiet yet powerful shift transforming the RIA space through the modernization of annuities. They explore how 1035 exchanges are unlocking billions in legacy commission assets, how advisors can convert outdated products into recurring advisory revenue, and why education remains the biggest barrier to adoption. For RIAs navigating independence, mergers and acquisitions, or enterprise valuation, this conversation provides timely insights into how annuities are evolving into strategic planning tools instead of traditional sales products.    Key Takeaways: → The advisory model is no longer limited to investments. Modern annuities now support fee billing, liquidity, and tax efficiency, aligning with the RIA model. → Through 1035 exchanges, advisors can convert commission-based annuities into advisory-fee structures. → Commission revenue can complicate valuations and M&A deals. Converting legacy commission books into advisory assets enhances firm valuation and deal flexibility. → Many RIAs still associate annuities with high costs, illiquidity, and a sales culture, not realizing the product has significantly modernized. → DPL allows advisors to fully detach from broker/insurance licenses while maintaining advisory economics on legacy annuity books, removing a major barrier to independence. Tom McCarthy is the Chief Distribution Officer at DPL Financial Partners, where he leads sales and distribution strategies to drive growth in advisory-focused insurance and structured solutions within the RIA and wealth management sectors. Previously, he served as EVP and Head of Wealth Sales at Orion Advisor Solutions, overseeing significant asset growth, doubling RIA adoption of wealth services, and securing key enterprise integrations. Before that, he spent over 20 years at AssetMark, helping grow the firm from $1B to more than $100B in AUM and guiding it through a successful IPO.   Connect With Tom: Website: https://www.dplfp.com/ LinkedIn: https://www.linkedin.com/in/tomwmccarthy/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What if the annuity conversation your clients avoid is actually the simplest way to lower costs, maintain liquidity, and unlock advisory revenue you're currently missing out on? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Tom McCarthy, Chief Distribution Officer at DPL Financial Partners. He discusses the quiet yet powerful shift transforming the RIA space through the modernization of annuities. They explore how 1035 exchanges are unlocking billions in legacy commission assets, how advisors can convert outdated products into recurring advisory revenue, and why education remains the biggest barrier to adoption. For RIAs navigating independence, mergers and acquisitions, or enterprise valuation, this conversation provides timely insights into how annuities are evolving into strategic planning tools instead of traditional sales products.    Key Takeaways: → The advisory model is no longer limited to investments. Modern annuities now support fee billing, liquidity, and tax efficiency, aligning with the RIA model. → Through 1035 exchanges, advisors can convert commission-based annuities into advisory-fee structures. → Commission revenue can complicate valuations and M&A deals. Converting legacy commission books into advisory assets enhances firm valuation and deal flexibility. → Many RIAs still associate annuities with high costs, illiquidity, and a sales culture, not realizing the product has significantly modernized. → DPL allows advisors to fully detach from broker/insurance licenses while maintaining advisory economics on legacy annuity books, removing a major barrier to independence. Tom McCarthy is the Chief Distribution Officer at DPL Financial Partners, where he leads sales and distribution strategies to drive growth in advisory-focused insurance and structured solutions within the RIA and wealth management sectors. Previously, he served as EVP and Head of Wealth Sales at Orion Advisor Solutions, overseeing significant asset growth, doubling RIA adoption of wealth services, and securing key enterprise integrations. Before that, he spent over 20 years at AssetMark, helping grow the firm from $1B to more than $100B in AUM and guiding it through a successful IPO.   Connect With Tom: Website: https://www.dplfp.com/ LinkedIn: https://www.linkedin.com/in/tomwmccarthy/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Are you ready to revolutionize your marketing with artificial intelligence? AI tools are transforming the way insurance agencies operate, from lead magnets to full marketing automation. On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Michael Jans, Founder of The Society of Insura-Preneurs, Creator of the AI Growth Academy, and Co-Founder of Agency Revolution. Michael shares insights from his 30-year journey in the property, casualty, and financial services industries. He shares lessons from building and selling one of the leading marketing automation platforms in insurance and reveals what is next in his AI-driven evolution. In a live walkthrough, he builds a complete cross-sell campaign in under 40 minutes! Tune in to this masterclass on leveraging AI to scale without sacrificing personalization.    Key Takeaways: → AI is only as powerful as the strategy behind it.   → Using tools such as the Lead Magnet Machine, Email Genius, Message Multiplier, and Post Promoter, advisors can rapidly and systematically create multi-channel campaigns.  → Data-driven email copy dramatically improves performance.  → One core piece of content can be transformed into videos, podcasts, LinkedIn posts, carousel graphics, and surveys.  → Constraints can become strategic assets. Michael Jans is a leading business and marketing coach for insura-preneurs ready to grow faster, earn more, and build agencies designed for long-term value rather than burnout. For more than twenty years, he has helped insurance agency owners evolve from income-driven operations into scalable, equity-focused businesses built for valuation and lasting impact. As founder of Insurance Profit Systems, The Quantum Club, Agency Revolution, and the Annual Insurance Marketing Boot Camp, and now the founder of The Society of Insura-Preneurs and creator of the AI Growth Academy, Michael equips agency leaders with AI-enabled systems that accelerate growth while expanding freedom and legacy.  Connect With Michael: Website: https://www.insura-preneur.com/  LinkedIn: https://www.linkedin.com/in/michaeljans/   Learn more about your ad choices. Visit megaphone.fm/adchoices

Are you ready to revolutionize your marketing with artificial intelligence? AI tools are transforming the way insurance agencies operate, from lead magnets to full marketing automation. On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Michael Jans, Founder of The Society of Insura-Preneurs, Creator of the AI Growth Academy, and Co-Founder of Agency Revolution. Michael shares insights from his 30-year journey in the property, casualty, and financial services industries. He shares lessons from building and selling one of the leading marketing automation platforms in insurance and reveals what is next in his AI-driven evolution. In a live walkthrough, he builds a complete cross-sell campaign in under 40 minutes! Tune in to this masterclass on leveraging AI to scale without sacrificing personalization.    Key Takeaways: → AI is only as powerful as the strategy behind it.   → Using tools such as the Lead Magnet Machine, Email Genius, Message Multiplier, and Post Promoter, advisors can rapidly and systematically create multi-channel campaigns.  → Data-driven email copy dramatically improves performance.  → One core piece of content can be transformed into videos, podcasts, LinkedIn posts, carousel graphics, and surveys.  → Constraints can become strategic assets. Michael Jans is a leading business and marketing coach for insura-preneurs ready to grow faster, earn more, and build agencies designed for long-term value rather than burnout. For more than twenty years, he has helped insurance agency owners evolve from income-driven operations into scalable, equity-focused businesses built for valuation and lasting impact. As founder of Insurance Profit Systems, The Quantum Club, Agency Revolution, and the Annual Insurance Marketing Boot Camp, and now the founder of The Society of Insura-Preneurs and creator of the AI Growth Academy, Michael equips agency leaders with AI-enabled systems that accelerate growth while expanding freedom and legacy.  Connect With Michael: Website: https://www.insura-preneur.com/  LinkedIn: https://www.linkedin.com/in/michaeljans/   Learn more about your ad choices. Visit megaphone.fm/adchoices

What's the secret to growing a successful wealth management business? It's not just about the investments, it's about the deep relationships and personalized service you provide to clients. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Adam Spiegelman, CFP®, Wealth Advisor at Spiegelman Wealth Management, who shares insights from his 25-year journey in the financial services industry, focusing on his recent transition to a Registered Investment Advisor (RIA). From managing $440 million in assets to building an RIA from the ground up, Adam reveals the challenges and strategies behind his firm's success. Tune in for valuable advice on client engagement, business growth, and the importance of personalized financial planning. Key Takeaways: → The breakaway decision is as emotional as it is operational. → “Living wealthy” is about permission, not just money. Enjoy the wealth you've spent decades building, whether that means travel, volunteering, or small lifestyle upgrades. → Transitioning away from third-party models allows for greater customization, cleaner fee structures, and stronger alignment with client goals. → Growth must align with values, not ego. Emphasize stabilizing systems and client experience before pursuing expansion, ensuring growth never compromises service quality. → Consistent saving beats flashy investment schemes. Save regularly, max out retirement accounts, and avoid chasing unrealistic returns. Adam Spiegelman is a Wealth Advisor with Spiegelman Wealth Management, which offers investment and wealth management programs and services for high-net-worth clients. The company's mission is to develop enduring relationships with clients by providing professional guidance for a lifetime of financial security. Adam Spiegelman can help create a complete financial plan - whether a client is focused on managing current financial success, or on protecting and preserving assets over the long term. Connect With Adam: Website: https://www.spiegelmanwealth.com/ LinkedIn: https://www.linkedin.com/in/adamspiegelman/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What's the secret to growing a successful wealth management business? It's not just about the investments, it's about the deep relationships and personalized service you provide to clients. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Adam Spiegelman, CFP®, Wealth Advisor at Spiegelman Wealth Management, who shares insights from his 25-year journey in the financial services industry, focusing on his recent transition to a Registered Investment Advisor (RIA). From managing $440 million in assets to building an RIA from the ground up, Adam reveals the challenges and strategies behind his firm's success. Tune in for valuable advice on client engagement, business growth, and the importance of personalized financial planning. Key Takeaways: → The breakaway decision is as emotional as it is operational. → “Living wealthy” is about permission, not just money. Enjoy the wealth you've spent decades building, whether that means travel, volunteering, or small lifestyle upgrades. → Transitioning away from third-party models allows for greater customization, cleaner fee structures, and stronger alignment with client goals. → Growth must align with values, not ego. Emphasize stabilizing systems and client experience before pursuing expansion, ensuring growth never compromises service quality. → Consistent saving beats flashy investment schemes. Save regularly, max out retirement accounts, and avoid chasing unrealistic returns. Adam Spiegelman is a Wealth Advisor with Spiegelman Wealth Management, which offers investment and wealth management programs and services for high-net-worth clients. The company's mission is to develop enduring relationships with clients by providing professional guidance for a lifetime of financial security. Adam Spiegelman can help create a complete financial plan - whether a client is focused on managing current financial success, or on protecting and preserving assets over the long term. Connect With Adam: Website: https://www.spiegelmanwealth.com/ LinkedIn: https://www.linkedin.com/in/adamspiegelman/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What separates investors who chase deals from those who consistently engineer successful exits?  On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Kelly, Founder and CEO of Black Dog Venture Partners, who shares his extensive experience in venture capital, having raised billions and facilitated over 30 successful exits. From his early days as a stockbroker to founding one of the largest investor syndicates in the tech space, Scott's journey offers invaluable insights into the rapidly evolving investment environment. Tune in as Scott discusses how AI is reshaping investment strategies, how startups can succeed in a competitive market, and the future of venture capital.   Key Takeaways: → Strong outcomes often stem from early positioning, strategic networking, and aligning founders with the right investors.   → Well-curated pitch forums create efficient deal flow, surface high-quality founders, and accelerate trust between investors and operators.   → Companies that generate real revenue attract better capital, partners, and exit opportunities.   → Today's investors must adapt to new technologies, faster cycles, and more competitive deal environments.  → Referrals and long-standing relationships consistently yield stronger investments than transactional deal sourcing.   Scott Kelly is the Founder and CEO of Black Dog Venture Partners, a national accelerator helping disruptive startups secure funding, forge strategic partnerships, and scale with executive support. With more than 20 years of experience across venture capital, marketing, sales, and leadership, Scott has guided hundreds of companies by leveraging a powerful network of over 13,000 investors and 40,000 business partners. He also produces VC Fast Pitch, a premier national event series that connects high-growth startups with top-tier investors. Beyond building companies, Scott is a college professor, mentor, and champion of leadership and personal development, sharing the journey with Melvin, the beloved black dog who inspired the brand. Connect With Scott: Website: https://blackdogventurepartners.com/ LinkedIn: https://www.linkedin.com/company/blackdogventurepartners/ Twitter/X: https://x.com/BlackDogCEO Instagram: https://www.instagram.com/blackdogceo Facebook: https://www.facebook.com/blackdogventurepartners   Learn more about your ad choices. Visit megaphone.fm/adchoices

What separates investors who chase deals from those who consistently engineer successful exits?  On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Kelly, Founder and CEO of Black Dog Venture Partners, who shares his extensive experience in venture capital, having raised billions and facilitated over 30 successful exits. From his early days as a stockbroker to founding one of the largest investor syndicates in the tech space, Scott's journey offers invaluable insights into the rapidly evolving investment environment. Tune in as Scott discusses how AI is reshaping investment strategies, how startups can succeed in a competitive market, and the future of venture capital.   Key Takeaways: → Strong outcomes often stem from early positioning, strategic networking, and aligning founders with the right investors.   → Well-curated pitch forums create efficient deal flow, surface high-quality founders, and accelerate trust between investors and operators.   → Companies that generate real revenue attract better capital, partners, and exit opportunities.   → Today's investors must adapt to new technologies, faster cycles, and more competitive deal environments.  → Referrals and long-standing relationships consistently yield stronger investments than transactional deal sourcing.   Scott Kelly is the Founder and CEO of Black Dog Venture Partners, a national accelerator helping disruptive startups secure funding, forge strategic partnerships, and scale with executive support. With more than 20 years of experience across venture capital, marketing, sales, and leadership, Scott has guided hundreds of companies by leveraging a powerful network of over 13,000 investors and 40,000 business partners. He also produces VC Fast Pitch, a premier national event series that connects high-growth startups with top-tier investors. Beyond building companies, Scott is a college professor, mentor, and champion of leadership and personal development, sharing the journey with Melvin, the beloved black dog who inspired the brand. Connect With Scott: Website: https://blackdogventurepartners.com/ LinkedIn: https://www.linkedin.com/company/blackdogventurepartners/ Twitter/X: https://x.com/BlackDogCEO Instagram: https://www.instagram.com/blackdogceo Facebook: https://www.facebook.com/blackdogventurepartners   Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a wealth manager applies institutional discipline and global insight to hospitality investing?  On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews William Huston, Founder and General Partner at Bay Street Hospitality, who discusses his journey from a call center business to creating global hospitality-focused funds designed to deliver high yields through quant-driven strategies. William shares deep insights into hospitality investment, covering topics from student housing in Hong Kong to tourism growth in India, and how his firm's data-driven approach maximizes returns for institutional investors. He explains how combining local market intelligence, government partnerships, and strategic acquisitions has enabled Bay Street to scale rapidly while maintaining high-quality service for asset owners, operators, and developers worldwide.   Key Takeaways: → Long-term success depends on backing proven operators and developers—not just attractive properties. → Student housing shortages in Hong Kong, India's tourism boom, and Australia's Olympic-driven infrastructure investments all represent distinct, time-sensitive market drivers.  → The same disciplined frameworks used in wealth management, including risk assessment, alignment, and scalability, can be successfully applied to hospitality. → Hospitality is an experience-driven business, shaped by human connection, culture, and memory. → Growth should align with life priorities. In 2018, William Huston founded Bay Street Hospitality, where he currently serves as General Partner. Bay Street started as a call center based in El Salvador, structured as an LLC, serving his own investment fund rather than other companies' clients. The firm operates globally across public and private markets and applies a proprietary quantamental investment framework that integrates quantitative scoring models with fundamental underwriting discipline and targets hospitality operators, developers, and asset owners, offering equity, credit, and hybrid capital solutions. In May 2025, Huston launched a $430 million hospitality investment fund aimed at combining financial returns with positive social impact, targeting underinvested hotel markets globally, with a particular emphasis on India's fast-growing tourism sector. Connect With William: Website: https://www.baystreethospitality.com/  LinkedIn: https://www.linkedin.com/in/huios/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a wealth manager applies institutional discipline and global insight to hospitality investing?  On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews William Huston, Founder and General Partner at Bay Street Hospitality, who discusses his journey from a call center business to creating global hospitality-focused funds designed to deliver high yields through quant-driven strategies. William shares deep insights into hospitality investment, covering topics from student housing in Hong Kong to tourism growth in India, and how his firm's data-driven approach maximizes returns for institutional investors. He explains how combining local market intelligence, government partnerships, and strategic acquisitions has enabled Bay Street to scale rapidly while maintaining high-quality service for asset owners, operators, and developers worldwide.   Key Takeaways: → Long-term success depends on backing proven operators and developers—not just attractive properties. → Student housing shortages in Hong Kong, India's tourism boom, and Australia's Olympic-driven infrastructure investments all represent distinct, time-sensitive market drivers.  → The same disciplined frameworks used in wealth management, including risk assessment, alignment, and scalability, can be successfully applied to hospitality. → Hospitality is an experience-driven business, shaped by human connection, culture, and memory. → Growth should align with life priorities. In 2018, William Huston founded Bay Street Hospitality, where he currently serves as General Partner. Bay Street started as a call center based in El Salvador, structured as an LLC, serving his own investment fund rather than other companies' clients. The firm operates globally across public and private markets and applies a proprietary quantamental investment framework that integrates quantitative scoring models with fundamental underwriting discipline and targets hospitality operators, developers, and asset owners, offering equity, credit, and hybrid capital solutions. In May 2025, Huston launched a $430 million hospitality investment fund aimed at combining financial returns with positive social impact, targeting underinvested hotel markets globally, with a particular emphasis on India's fast-growing tourism sector. Connect With William: Website: https://www.baystreethospitality.com/  LinkedIn: https://www.linkedin.com/in/huios/ Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a $16 billion RIA decides to double down on leadership, integration, and “advisor intelligence” in the middle of an AI-driven vortex of change?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jennifer des Groseilliers, CEO of The Mather Group, who shares how her path from Vermont to law school to leadership roles at Ameriprise, MetLife, and a MassMutual franchise ultimately led her to the helm of The Mather Group, a $16 billion fee-only RIA. As a key leader at The Mather Group, Jennifer oversees a 190-person team, 40 wealth advisors, and a growth engine built on 23 acquisitions, an integrated planning platform, and a niche focus on Fortune 200 executives nearing retirement. She discusses leadership development, behavioral finance, and the rise of AI in wealth management—explaining why “advisor intelligence” is now the real differentiator for firms that want to win the next decade.   Key Takeaways: → How taking over compliance, portfolio management, and back-office operations for acquired firms frees advisors to focus on client-facing work and deep planning. → Why it's essential to bifurcate sales and advice and how that structure enhances both growth and advisor effectiveness. → How AI is creating a vortex of change in financial services and why advisor intelligence around values, behavior, and trust matters more than ever. → Why The Mather Group sees itself as an integrator, not an aggregator. → How carefully refined and consistent platform allowed the firm to scale to roughly $16 billion in AUM.   Jennifer des Groseilliers is the Chief Executive Officer of The Mather Group. Jen cultivates a collaborative culture through inclusive and supportive leadership. Her unwavering commitment to keeping clients at the center of all efforts drives her approach. Jen's extensive professional experience includes serving as a Managing Partner in the MetLife Premier Client Group in 2013, leading a team of over 160 financial advisors. She became the CEO of MassMutual Illinois in 2016 and, in 2020, after a merger with WestPoint Financial Group, assumed the role of Partner and Chief Experience Officer, leading various departments, including Investments, Compliance, Practice Development, and Financial Planning.   Connect With Jennifer:   Website: https://www.themathergroup.com/ Instagram: https://www.instagram.com/officialtmgwealth/ Facebook: https://www.facebook.com/TMGTheMatherGroup LinkedIn: https://www.linkedin.com/in/jenniferadesgroseilliers/ https://www.linkedin.com/company/themathergroup   Learn more about your ad choices. Visit megaphone.fm/adchoices

What happens when a $16 billion RIA decides to double down on leadership, integration, and “advisor intelligence” in the middle of an AI-driven vortex of change?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jennifer des Groseilliers, CEO of The Mather Group, who shares how her path from Vermont to law school to leadership roles at Ameriprise, MetLife, and a MassMutual franchise ultimately led her to the helm of The Mather Group, a $16 billion fee-only RIA. As a key leader at The Mather Group, Jennifer oversees a 190-person team, 40 wealth advisors, and a growth engine built on 23 acquisitions, an integrated planning platform, and a niche focus on Fortune 200 executives nearing retirement. She discusses leadership development, behavioral finance, and the rise of AI in wealth management—explaining why “advisor intelligence” is now the real differentiator for firms that want to win the next decade.   Key Takeaways: → How taking over compliance, portfolio management, and back-office operations for acquired firms frees advisors to focus on client-facing work and deep planning. → Why it's essential to bifurcate sales and advice and how that structure enhances both growth and advisor effectiveness. → How AI is creating a vortex of change in financial services and why advisor intelligence around values, behavior, and trust matters more than ever. → Why The Mather Group sees itself as an integrator, not an aggregator. → How carefully refined and consistent platform allowed the firm to scale to roughly $16 billion in AUM.   Jennifer des Groseilliers is the Chief Executive Officer of The Mather Group. Jen cultivates a collaborative culture through inclusive and supportive leadership. Her unwavering commitment to keeping clients at the center of all efforts drives her approach. Jen's extensive professional experience includes serving as a Managing Partner in the MetLife Premier Client Group in 2013, leading a team of over 160 financial advisors. She became the CEO of MassMutual Illinois in 2016 and, in 2020, after a merger with WestPoint Financial Group, assumed the role of Partner and Chief Experience Officer, leading various departments, including Investments, Compliance, Practice Development, and Financial Planning.   Connect With Jennifer:   Website: https://www.themathergroup.com/ Instagram: https://www.instagram.com/officialtmgwealth/ Facebook: https://www.facebook.com/TMGTheMatherGroup LinkedIn: https://www.linkedin.com/in/jenniferadesgroseilliers/ https://www.linkedin.com/company/themathergroup   Learn more about your ad choices. Visit megaphone.fm/adchoices

What if your accredited clients could tap into institutional-quality private deals without locking up their money for a decade?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Joseph DaGrosa, Jr., Chairman and CEO of Axxes Capital, who explains how his career evolved from auditing at a wirehouse to partnering with an early leveraged buyout pioneer and ultimately building Axxes Capital to open private equity and private credit to the mass affluent accredited investor market. He also shares why interval funds, rigorous sub-advisor due diligence, and his new educational resource, The Financial Advisor's Guide to Private Investments, are helping RIAs bring institutional-style private allocations to a broader client base.   Key Takeaways: → Why the accredited investor segment represents a massive, historically underserved opportunity for private investments. → How the rules of the Investment Company Act of 1940 limit traditional private equity vehicles. → How Access Capital structures registered vehicles to bring private equity and private credit access to mass affluent accredited investors. → What interval funds are, how their semi-liquid structure works, and why they may be a fit for long-term investors who want private exposure with periodic liquidity. → Why RIAs and RIA aggregators are turning to outsourced CIO relationships to help them evaluate and implement private investments at scale.   Joseph DaGrosa, Jr., is the Chairman and CEO of Axxes Capital. Mr. DaGrosa has over 30 years of private equity experience successfully investing in multiple industries, including insurance (where he served as Co-CIO), retail, food & beverage, real estate, hospitality, healthcare, aviation, and sports & entertainment. He is a recognized industry authority and the co-author of The Financial Advisor's Guide to Private Investments, a book designed to provide advisors with access, insight, and confidence as they navigate the growing private markets landscape. Mr. DaGrosa also serves as Chairman of the private equity firm DaGrosa Capital Partners LLC, a Miami-based private equity firm that is focused on control and influential minority investments in exceptional companies located throughout the United States.   Connect With Joe: Website: https://axxescapital.com/ X: https://x.com/joe_dagrosa LinkedIn: https://www.linkedin.com/in/joseph-dagrosa-jr-59415934/ Learn more about your ad choices. Visit megaphone.fm/adchoices