Podcasts about RIAS

Tom Fields, CFP,® CEO of Fynancial, started his business to solve a problem he identified in the wealth management space: communication channels hadn't evolved for the modern world. He developed Fynancial, a digital communications platform for RIAs, so advisors could offer clients a centralized digital experience on a mobile app. We sat down with Tom to get insight into how advisors can generate conversation and grow their practices by simplifying the client experience.

Karisa Diephouse, Chief Operating Officer at Beacon Pointe Advisors, reflects on the firm's impressive growth since its founding in 2002, highlighting the defining moments that shaped its rise as the largest female-led RIA in the country and one of the nation's top RIAs. She offers valuable advice for advisors seeking to build enduring, client-centric practices and discusses how Beacon Pointe's strong female leadership at the highest levels has influenced the firm's culture and client experience, while also underscoring the core values that guide the RIA. 

George Stefanou – First-generation Greek-American, Forbes “Best in State” Next Gen Wealth Advisor (2023, 2024), author of Two Comma Wealth, and founder of the financial planning firm Two Comma Wealth. Early Hustle: Grew up working flea markets, managing a coffee stand by 14, learning firsthand about hard work and margins (selling hundreds of cups from a single bulk bag of beans). Family stress on work ethic over formal education (first in his family to finish high school/college). Mindset & Upbringing: Dad: 4th grade education, Greek immigrant roots, championed U.S. for its opportunity. Education wasn't pressured but encouraged as a path out of manual labor — “you can make a lot more money owning the business than swinging the hammer.” Professional Beginnings: Started at CVS (Florida): progressed from cashier to store management, realized the corporate grind wasn't for him. Discovered financial advising, took the risk, and built a book of clients from scratch despite early financial hardship. Career in Financial Planning: Earned numerous certifications (to build trust while young). Stresses need for lifelong learning and combining IQ and EQ for real success with clients. About Two Comma Wealth (the book): Written for both consumers and industry peers. Focuses on actionable strategies for surpassing $1M net worth, but especially on what changes after you cross that threshold: Complexity, emotional swings with market volatility, nuances around distributions, withdrawal rates, taxes, and estate planning. Challenges of first-generation wealth (scarcity mindset, fear of spending, finding balance between living now and preserving legacy). Aims to demystify wealth management for “everyday millionaires.” Certified Financial Planner Career Path: Entry routes: Broker/dealer, fee-only/RIAs, or hybrid. Education/licensing: Can get entry-level securities licenses in months; advanced credentials (CFP, CFA) take years but build a valuable career “moat.” Highly front-loaded: Most start with low/no pay, lots of cold prospecting, high attrition/turnover. Significant success and six/seven figures possible for those that break through. Modern firms now offer more support, salary, and training versus the old eat-what-you-kill model. The Power of Having a Moat: High difficulty of becoming a trusted CFP means fewer competitors once you succeed, and deeper, more meaningful client relationships. Final Takeaways: CFPs and financial planners can have massive, positive multigenerational impact—if they combine technical skill with empathy and true service. The field is very challenging at first but extremely rewarding. Barriers to entry and trust are a signal that the opportunity is real. Connect with George Stefanou: Book: Two Comma Wealth Contact: Find George on all major social media or email directly (contact in show notes)

In this episode, Mark Longo, Matt Amberson (ORATS), and Matthew Tuttle (Tuttle Capital Management) delve into several key areas, including the ongoing growth in the options market, the utility of zero-day options, and various options-based ETFs. The discussion covers market trends like increased single-name equity volume, strategies for employing cash-secured puts, and the benefits of using options for portfolio protection. Matt Amberson introduces their new AI tool, Otto, and Matthew Tuttle discusses the launch of their new zero-day and leveraged ETFs. Listener questions on options strategies, metrics for selling volatility, and the best ways to hedge risks are also addressed.   01:25 Welcome to The Advisor's Option 03:18 Meet the Hosts and Guests 07:06 Market Overview and Volatility Discussion 15:05 Earnings Volatility Report 20:38 Options 101: Strategies and Tips 28:21 The Buzz: Latest Developments in Options 31:48 Explosive Growth in the Options Market 32:20 New Generation of Options Traders 32:34 Innovations in Options Trading 33:42 ETF Strategies and Market Trends 36:54 Zero Day Options and Flex Options 41:22 Leveraged ETFs and High-Octane Trading 42:27 Office Hours: Answering Listener Questions 50:51 The Importance of Hedging for RIAs 55:27 Final Thoughts and Resources  

In this episode, Mark Longo, Matt Amberson (ORATS), and Matthew Tuttle (Tuttle Capital Management) delve into several key areas, including the ongoing growth in the options market, the utility of zero-day options, and various options-based ETFs. The discussion covers market trends like increased single-name equity volume, strategies for employing cash-secured puts, and the benefits of using options for portfolio protection. Matt Amberson introduces their new AI tool, Otto, and Matthew Tuttle discusses the launch of their new zero-day and leveraged ETFs. Listener questions on options strategies, metrics for selling volatility, and the best ways to hedge risks are also addressed.   01:25 Welcome to The Advisor's Option 03:18 Meet the Hosts and Guests 07:06 Market Overview and Volatility Discussion 15:05 Earnings Volatility Report 20:38 Options 101: Strategies and Tips 28:21 The Buzz: Latest Developments in Options 31:48 Explosive Growth in the Options Market 32:20 New Generation of Options Traders 32:34 Innovations in Options Trading 33:42 ETF Strategies and Market Trends 36:54 Zero Day Options and Flex Options 41:22 Leveraged ETFs and High-Octane Trading 42:27 Office Hours: Answering Listener Questions 50:51 The Importance of Hedging for RIAs 55:27 Final Thoughts and Resources  

Before he was the founder and CEO of Domain Money, Adam Dell envisioned and built several technology products focused on consumer finance solutions. His experience equipped him with a rich understanding of the mass affluent client profile, and enabled the launch of Domain Money, a financial planning and investment advice platform designed for mass affluent clientele. We sat down with Adam to learn how Domain Money partners with RIAs to serve and develop client leads from a new generation of future wealth accumulators.

Kevin Thompson, former MLB player and founder of 9Innings Capital Group, joins The Advisor Journey to share his experience transitioning from professional baseball into financial advisory and his strategic approach to building an independent advisory firm. Kevin discusses his intentional shift away from commission-based products toward holistic financial planning driven by authentic client relationships and values alignment.In this candid conversation, Kevin explores common challenges advisors face when breaking away from traditional institutions, including managing compliance, financial pressures, and the critical importance of mentorship. He offers practical guidance on developing a referral-based growth strategy, emphasizing the power of authentic communication through platforms like YouTube and LinkedIn.Listeners will walk away with valuable insights into navigating the early stages of independence, sustainably scaling their practice, and creating a firm culture that resonates with both advisors and clients.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

Bill and Tony discuss the growth and evolution of alternative investments, address liquidity concerns, and emphasize the importance of education in the latest episode of Alternative Allocations. Bill highlights the industry's efforts to make alts more accessible through new product structures and the potential for including private markets in model portfolios and defined contribution plans. Bill Duffy is a Vice President of Alternative Investments for Fidelity Investments. He is responsible for Fidelity's alternative investment platform solutions which enable Fidelity clients access to alternative investment strategies. Bill focuses on developing Fidelity's alternative investment platform strategy, as well as overseeing Fidelity's relationship with leading alternative investment platforms and asset managers. Additionally, Bill educates Fidelity clients and prospects about alternative investment programs available through Fidelity. He is often a featured speaker on alternative investment strategies and trends at industry conferences and events. Prior to Fidelity, Bill worked at Charles Schwab & Co., Inc. where he was Managing Director of Relationship Management, overseeing relationships with over 700 third-party asset managers. He also led product strategy for Schwab's alternative investment platform team. In that role, he also collaborated with industry thought leaders to deliver alternative investment education to thousands of RIAs. Earlier in his career, Bill was an Executive Director at a boutique alternative investment advisory firm, where he was responsible for consulting with RIAs, family offices, and institutional investors on alternative investment strategies including private equity, private credit, real estate, and hedge fund opportunities. Bill is currently Chairman of the Board of Directors for the Institute for Portfolio Alternatives (“IPA”), an industry trade group focused on expanding access to alternative investments strategies and advocating on behalf of the alternative investment industry. Prior to being elected Chair of the Board, he was an active Board member since 2020. Enjoying Alternative Allocations? Please take a moment to rate and review us. Your feedback helps us deliver more insightful episodes on alternative investments! Resources: Bill Duffy | LinkedIn Alternatives by Franklin TempletonTony Davidow, CIMA® | LinkedIn

Thomas Moore, Head of Betterment Advisor Solutions, shares how Betterment is reimagining custody and advisor technology to help modern RIAs scale efficiently. Drawing on his background at legacy institutions, Moore explains how Betterment's all-in-one, tech-forward platform integrates portfolio management, billing, and reporting—eliminating inefficiencies and streamlining advisor workflows. Innovations like fully digital onboarding, solo 401(k)s, and … Continue reading Episode 285 – Automation, Efficiency, and the Future of Custody with Thomas Moore →

Emily Binder, founder of Beetle Moment Marketing and WealthVoice, returns to The Advisor Journey to share her deep expertise in financial services marketing. Emily dives into the critical shifts she's witnessed over her eight years in the industry, emphasizing the democratization of content creation and the evolving landscape shaped by short-form video and social media.In this insightful episode, Emily highlights why authenticity and distinctiveness are more crucial than ever, detailing practical ways advisors can build standout brands that resonate deeply with clients. She explores common pitfalls such as reliance on generic, canned content, and shares actionable strategies for advisors to elevate their online presence effectively.Listeners will gain valuable insights on leveraging powerful tools like Descript for streamlined content creation, and discover why genuine human connection remains a timeless differentiator despite rapid technological advancements. Emily also shares compelling case studies illustrating how advisors have successfully used targeted content strategies to drive significant growth and client engagement.Whether you're refining your existing brand or launching your marketing efforts from scratch, this episode provides a clear, actionable roadmap to authentically connect with your ideal clients and position your advisory firm uniquely within the marketplace.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

Are your eyes open to see the needs that are all around you?In this episode, Jeff and Tommy discuss: Meeting Jesus in the midst of life.The power of good friends.Deeply caring for people through business.Asking “is it worth it” rather than “do I like it.”  Key Takeaways: Having a friend group that can lift you up and won't drag you down in high school can be extremely strengthening to one's testimony.Think about what you need to do to make your life and work feel purposeful. It may be something practical - what changes can be made now?Align your hearts and values, then separate the duties and responsibilities to align with strengths.Be willing to do things you don't like if it's worth it in support of some of the most vulnerable people around the world.  "We embrace the joy and the burden of the call…it's truly kind of God to give us a burden." —  Tommy Martin  Episode References: Tim Tebow Foundation: https://timtebowfoundation.org/Night to Shine: https://timtebowfoundation.org/night-to-shine/ About Tommy Martin: Tommy is The Tebow Group's CEO and a Mammoth Scientific partner. The Tebow Group exists to fuel and amplify faith, hope, and love in support of the Tim Tebow Foundation, which serves some of the most vulnerable people (the real MVPs) around the globe. Before leading The Tebow Group, Tommy founded, led, and exited multiple nationwide financial firms, including broker/dealers, RIAs, and insurance agencies, collectively managing over $2 billion for high-net-worth clients. For his work in the financial services industry, Tommy was named to Investment News' inaugural list of the Top 40 Advisors Under Age 40. He was also named one of the top 8 visionaries who “will pull the financial service industry into the next stratum.” Tommy is a former professor who served as the Financial Planning Department Chair at Taylor University. He carries numerous finance licenses, is an alumnus of Harvard Business School, and is a best-selling financial author. Tommy lives with his lovely wife of twenty-three years and three children in Fort Wayne, Indiana. Connect with Tommy Martin:Website: https://tebowgroup.com/LinkedIn: https://www.linkedin.com/in/tommy-martin  Connect with Jeff Thomas: Website: https://www.arkosglobal.com/Podcast: https://www.generousbusinessowner.com/Book: https://www.arkosglobal.com/trading-upEmail: jeff.thomas@arkosglobal.comTwitter: https://twitter.com/ArkosGlobalAdvFacebook: https://www.facebook.com/arkosglobal/LinkedIn: https://www.linkedin.com/company/arkosglobaladvisorsInstagram: https://www.instagram.com/arkosglobaladvisors/YouTube: https://www.youtube.com/channel/UCLUYpPwkHH7JrP6PrbHeBxw

Episode 102: Carrie Delgott is the President, COO, and CCO at Wescott Financial Advisory Group. With over 25 years in financial services—including two decades at Vanguard—Carrie brings deep expertise to the evolving RIA landscape. At Wescott, she has helped guide the firm through transformative initiatives like B Corp certification, major acquisitions, and the development of their Life-Minded Wealth framework, all while prioritizing employee engagement, client experience, and sustainable scale. This week, Kyle talks with Carrie about how values and vision can power meaningful scale. They dive into Wescott's journey as a B Corp, their involvement in the Net Positive Consortium, and how their Life-Minded Wealth philosophy puts people—not just portfolios—at the center of everything. Carrie shares lessons from integrating a billion-dollar acquisition, insights on the future of the industry, and why technology, culture, and intentionality are key to building a standout firm in a crowded market. In this episode: (00:00) - Intro (01:48) - Carrie's money moment (04:03) - What B Corp Certification really means (07:21) - Why B Corp matters for RIAs  (09:21) - The Net Positive Consortium and its five pillars (11:45) - What sets Wescott apart (13:09) - Westcott's Life-Minded Wealth philosophy (15:27) - Scaling an RIA with intention (20:32) - Lessons from a $1B acquisition (26:12) - Consolidating tech stacks for growth (29:30) - Carrie's outlook on the future of wealth management (32:57) - Carrie's Milemarker Minute Key Takeaways Growth is about absorption, not just acquisition. Successfully integrating people and culture is just as important as the deal itself. Without alignment, you lose the opportunity for true scale. Values attract top talent. Wescott's B Corp status and purpose-driven approach resonate deeply with next-gen advisors who want to do meaningful work. Scale is relative—and evolving. As the industry shifts, even mid-sized firms must rethink what growth looks like and how to build infrastructure that supports it. Quotes "We're not looking to have technology replace that human interaction, but we certainly are looking for it to make us more and more efficient." ~ Carrie Delgott "Acquisitions are not for the faint of heart. Just because you can afford a practice doesn't mean you can absorb a practice." ~ Carrie Delgott "If you're not going to integrate and you're not going to come to some best practices for how you're going to work on behalf of our clients going forward, then you just lost all of the scale and efficiency opportunities." ~ Carrie Delgott Links  Carrie Delgott on LinkedIn Wescott Financial Advisory Group Vanguard Grant Rawdin Net Positive: How Courageous Companies Thrive by Giving More Than They Take Life-Minded Wealth Salesforce The Psychology of Money Connect with our hosts Milemarker.co Kyle on LinkedIn Jud on LinkedIn Subscribe and stay in touch Apple Podcasts Spotify YouTube Produce game-changing content with Turncast Turncast helps your company grow by producing top-quality content and fostering transformative conversations. We specialize in content generation, podcasting, digital strategy, and audience growth for fintech and financial services companies. Learn more at Turncast.com.

Younger advisors at RIAs have “the ability to really drive change, thinking and innovation,” says the managing partner of Klingman & Associates. “There is no red tape.” Learn more about your ad choices. Visit megaphone.fm/adchoices

Increasingly, RIAs are embracing Artificial Intelligence as more firms look for ways to improve their productivity and efficiency - and particularly as more purpose-built tools enter the RIA marketplace. In this episode of RIA+, Emigrant's Mark Bruno sits down with Parker Ence, CEO of Jump, to discuss how firms have been leveraging the technology company's AI note-taking and virtual assistant capabilities. In addition, they discuss how AI is also being used to improved data collection, client communication - and referrals - and what lies ahead for Jump as it continues to make significant investments in its technology and team. 

On episode 421 of Animal Spirits, ⁠⁠⁠⁠⁠⁠⁠⁠⁠Michael Batnick⁠⁠⁠⁠⁠⁠⁠⁠⁠ and ⁠⁠⁠⁠⁠⁠⁠⁠⁠Ben Carlson⁠⁠⁠⁠⁠⁠⁠⁠⁠ discuss a nervous stock market rally, U.S. corporate exceptionalism, how the stock market bottoms, the worst decade ever for bonds, rich people who don't feel rich, Apple vs. Meta, Bitcoin's market cap, the upper middle class is getting too crowded, private equity vs. youth sports and more. This episode is sponsored by YCharts and Flat Rock Global. Get 20% off your initial YCharts Professional subscription when you start your free trial through Animal Spirits (new customers only). Sign up at: https://go.ycharts.com/animal-spirits Flat Rock funds are available exclusively to RIAs, Family Offices, and Institutional Investors. Visit https://flatrockglobal.com/animalspirits to learn more. Sign up for The Compound newsletter and never miss out: ⁠⁠⁠⁠⁠⁠⁠⁠⁠thecompoundnews.com/subscribe⁠⁠⁠⁠⁠⁠⁠⁠⁠ Find complete show notes on our blogs: Ben Carlson's ⁠⁠⁠⁠⁠⁠⁠⁠⁠A Wealth of Common Sense⁠⁠⁠⁠⁠⁠⁠⁠⁠ Michael Batnick's ⁠⁠⁠⁠⁠⁠⁠⁠⁠The Irrelevant Investor⁠⁠⁠⁠⁠⁠⁠⁠⁠ Feel free to shoot us an email at ⁠⁠⁠⁠⁠⁠⁠⁠⁠animalspirits@thecompoundnews.com⁠⁠⁠⁠⁠⁠⁠⁠⁠ with any feedback, questions, recommendations, or ideas for future topics of conversation.   Investing involves the risk of loss. This podcast is for informational purposes only and should not be or regarded as personalized investment advice or relied upon for investment decisions. Michael Batnick and Ben Carlson are employees of Ritholtz Wealth Management and may maintain positions in the securities discussed in this video. All opinions expressed by them are solely their own opinion and do not reflect the opinion of Ritholtz Wealth Management. The Compound Media, Incorporated, an affiliate of ⁠⁠⁠⁠⁠⁠⁠⁠⁠Ritholtz Wealth Management⁠⁠⁠⁠⁠⁠⁠⁠⁠, receives payment from various entities for advertisements in affiliated podcasts, blogs and emails. Inclusion of such advertisements does not constitute or imply endorsement, sponsorship or recommendation thereof, or any affiliation therewith, by the Content Creator or by Ritholtz Wealth Management or any of its employees. For additional advertisement disclaimers see here ⁠⁠⁠⁠⁠⁠⁠⁠⁠https://ritholtzwealth.com/advertising-disclaimers⁠⁠⁠⁠⁠⁠⁠⁠⁠. Investments in securities involve the risk of loss. Any mention of a particular security and related performance data is not a recommendation to buy or sell that security. The information provided on this website (including any information that may be accessed through this website) is not directed at any investor or category of investors and is provided solely as general information. Obviously nothing on this channel should be considered as personalized financial advice or a solicitation to buy or sell any securities. See our disclosures here: ⁠⁠⁠⁠⁠⁠⁠⁠⁠https://ritholtzwealth.com/podcast-youtube-disclosures/ Learn more about your ad choices. Visit megaphone.fm/adchoices

Discover how Concurrent is empowering RIAs with scalable solutions, autonomy, and strategic investments to drive business growth and enhance client service.   In this episode of Sharkpreneur, Seth Greene talks with Nate Lenz, co-founder and CEO of Concurrent, a platform created to support independent wealth management firms. Nate explains how Concurrent has evolved from a consulting firm to a leading force in the RIA space, managing over $13 billion in assets. He discusses how Concurrent helps RIAs grow by providing crucial back-office support, technology, and even minority equity investments. If you're an advisor aiming to expand or shift to independence, this episode offers useful insights into how Concurrent's innovative platform can boost your practice.   Key Takeaways: → How Concurrent helps independent advisors gain the benefits of scale without sacrificing autonomy. → The role of technology, compliance, and operations in enabling advisors to focus on client relationships. → The strategic investment model and how Concurrent is offering minority equity stakes in affiliated RIAs. → Insights into the cultural shift in the wealth management space, with more firms leaving traditional models for independence. → The challenges and rewards of scaling an RIA platform and attracting top talent in a competitive market.   Nate Lenz is the CEO and Co-Founder of Concurrent, a $7 billion OSJ-turned-RIA recognized as an InvestmentNews Best Place to Work in 2023. With over a decade of experience in the financial industry, Nate has built his career around supporting and empowering independent financial advisors to succeed without relying on traditional big-firm backing. Before launching Concurrent, he was Co-Founder and Managing Partner at I&A Consulting, specializing in mergers, acquisitions, and advisor recruiting. Earlier in his career, Nate served as Vice President of Succession Planning & Acquisitions at Raymond James Financial Services, where he led an in-house consulting team supporting more than 4,000 independent advisors. His experiences have fostered a strong commitment to helping advisors grow their businesses and navigate every stage of the entrepreneurial journey.   Connect With Nate: Website Instagram Facebook LinkedIn   Learn more about your ad choices. Visit megaphone.fm/adchoices

Discover how Concurrent is empowering RIAs with scalable solutions, autonomy, and strategic investments to drive business growth and enhance client service.   In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Nate Lenz, co-founder and CEO of Concurrent, a platform created to support independent wealth management firms. Nate explains how Concurrent has evolved from a consulting firm to a leading force in the RIA space, managing over $13 billion in assets. He discusses how Concurrent helps RIAs grow by providing crucial back-office support, technology, and even minority equity investments. If you're an advisor aiming to expand or shift to independence, this episode offers useful insights into how Concurrent's innovative platform can boost your practice   Key Takeaways: → How Concurrent helps independent advisors gain the benefits of scale without sacrificing autonomy. → The role of technology, compliance, and operations in enabling advisors to focus on client relationships. → The strategic investment model and how Concurrent is offering minority equity stakes in affiliated RIAs. → Insights into the cultural shift in the wealth management space, with more firms leaving traditional models for independence. → The challenges and rewards of scaling an RIA platform and attracting top talent in a competitive market.   Nate Lenz is the CEO and Co-Founder of Concurrent, a $7 billion OSJ-turned-RIA recognized as an InvestmentNews Best Place to Work in 2023. With over a decade of experience in the financial industry, Nate has built his career around supporting and empowering independent financial advisors to succeed without relying on traditional big-firm backing. Before launching Concurrent, he was Co-Founder and Managing Partner at I&A Consulting, specializing in mergers, acquisitions, and advisor recruiting. Earlier in his career, Nate served as Vice President of Succession Planning & Acquisitions at Raymond James Financial Services, where he led an in-house consulting team supporting more than 4,000 independent advisors. His experiences have fostered a strong commitment to helping advisors grow their businesses and navigate every stage of the entrepreneurial journey.   Connect With Nate: Website Instagram Facebook LinkedIn   Learn more about your ad choices. Visit megaphone.fm/adchoices

Alex Newman returns to The Advisor Journey to share his innovative two-pronged approach to growing Grape Wealth Management: building a vibrant community of retirees through in-person events while implementing advanced AI systems for practice efficiency.Alex reveals how his "Retire Temecula" events have evolved from just five attendees to gatherings regularly drawing 80-150 people, creating powerful organic growth opportunities. Simultaneously, he explains his custom AI implementations for personalized client newsletters, content creation, and SEO optimization.This episode offers a masterclass in balancing high-touch relationship building with cutting-edge technology implementation. Advisors will gain practical insights on creating community-centered events that attract ideal clients and leveraging AI tools to enhance client service while streamlining marketing efforts.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

Episode 101: This week, Kyle Van Pelt talks with Nelly Mubashi, CEO of Northwest Asset Management and RIA Innovations. They discuss how advisors can build their own RIA easily and confidently. Nelly also shares her remarkable journey from receptionist to CEO, the importance of culture in growing a company, and how Northwest Asset Management and RIA Innovations can be the launchpad for advisors going independent. In this episode: (00:00) - Intro (01:50) - Nelly's money moment (07:16) - Why Nelly chose the RIA space over larger firms (08:42) - Launching an RIA in the middle of the 2008 financial crisis (10:26) - Maintaining company culture across a growing, remote team (13:25) - Why Nelly offers à la carte services instead of a one-size-fits-all model (15:19) - Designing the tech stack at Northwest Asset Management ( 17:59) - Integrating technology across platforms without chaos (20:35) - Making sense of business data in a multi-platform world (23:36) - The ideal advisor fit for Northwest Asset Management (25:53) - How the firm attracts and retains breakaway advisors (28:27) - What's next for RIAs: trends, predictions, and a trust company (32:59) - Nelly's Milemarker Minute (35:38) - Nelly's “why” for founding Northwest Asset Management Key Takeaways Breaking away from a big firm doesn't mean sacrificing service or professionalism. Advisors often fear that going independent means a downgrade in service or technology. But with the right support model—like the one Nelly has built—advisors can maintain (or even enhance) client experience while gaining freedom and flexibility. Culture is a competitive advantage, even in a remote-first environment. As firms scale and spread out geographically, intentional communication, responsiveness from leadership, and regular team engagement are essential to maintaining a strong, connected culture that supports both staff and advisors. One-size-fits-all platforms limit advisor growth—flexibility is key. Offering à la carte services gives advisors the ability to build the business that works best for them. By avoiding rigid packages and letting advisors customize what they outsource, firms can better serve a wider range of needs and goals. Technology should empower—not complicate—advisor independence. Having a curated but flexible tech stack, paired with an experienced ops team, allows advisors to plug in and focus on clients instead of platforms. Integration and data visibility across systems are essential to scale effectively without losing clarity. Quotes "We're looking for advisors who are simple. They don't take a lot of risk, are easy to manage, and their clients can be scaled up." ~ Nelly Mubashi "When thinking about our services, we're making sure that we are providing the highest level of service and the highest level of technology so that advisors have that great experience. They don't feel like they're getting downgraded because you know they're moving to a small RIA." ~ Nelly Mubashi "I want to make sure that advisors have a platform where they feel comfortable and don't feel too small for someone to pay attention to them." ~ Nelly Mubashi Links  Nelly Mubashi on LinkedIn Northwest Asset Management RIA Innovations U.S. Bank Piper Jaffray (now Piper Sandler) UBS Charles Schwab Fidelity Investments Tamarac Orion Advisor Solutions eMoney Advisor Envestnet | MoneyGuide Holistiplan Nitrogen SS&C Salentica Start with Why by Simon Sinek Connect with our hosts Milemarker.co Kyle on LinkedIn Jud on LinkedIn Subscribe and stay in touch Apple Podcasts Spotify YouTube Produce game-changing content with Turncast Learn more at Turncast.com.

https://riacomptech.com/With $2.6 billion in recent fines, unarchived text messages create major compliance risks for RIAs, and even simple scheduling texts require proper archiving under SEC Rule 204-2, yet 95% of advisors use personal devices for client communications. RIA Compliance Technology City: Scottsdale Address: 10031 E Dynamite Blvd Suite 240 Website: https://riacomptech.com/

Discover how financial advisors can stand out and grow their business by educating clients and using innovative marketing strategies.   In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Andrew Healy, Partner and Co-Founder at Water & Wall, who shares his insights on how wealth management firms and RIAs can use digital marketing and public relations to stand out in a crowded industry. With over 20 years of experience in financial marketing, Andrew emphasizes the importance of building a strong personal and professional brand, creating educational content, and leveraging emerging channels, such as AI.   Key Takeaways: → Why building a personal brand for executives is crucial for attracting top talent. → The shift towards education-focused content in marketing financial services. → How to connect with next-gen clients and differentiate your firm from competitors. → The importance of consistency in educating clients and building trust. → How AI is reshaping digital marketing and making firms more efficient.   Andrew Healy splits his time between managing the agency's operations and growth and working closely with clients to tell their stories. As an entrepreneur, owner, and communications expert, Andrew's workday focuses on both his clients' success and his own. With more than 20 years of experience in marketing and communications, on both the agency and brand sides, he offers extensive knowledge from working with financial and professional services firms of all sizes. His dedication to excellence shows in his history of delivering impactful results, and his leadership is marked by a dynamic approach to navigating the constantly changing marketing and agency landscape. Andrew actively participates in the financial marketing community, serves as a 2025 PRSA-NY board member, is part of the PRSA's Banking & Finance section, and was included in PR Week's 40 Under 40 list.   Connect With Andrew:   Website Instagram LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices

In this special host-only episode of The Advisor Journey, Will Steiner and Dasarte Yarnway discuss how advisors can effectively integrate AI into their businesses to drive growth and efficiency. They break down practical strategies for using AI to enhance marketing, streamline operations, and improve client experiences. Plus, they cover essential tools every advisor should know, address common misconceptions about AI replacing jobs, and share insights on how AI will reshape the financial advice industry in the coming years.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

In this episode, Kaitlin and Ben talk about an exciting milestone moment for their firm: being named one of AdvisorHub's 2025 RIAs to Watch! Ranked #231, BA Schrock Financial Group joins a distinguished group of firms recognized not just for growth, but for balancing scalability, service, and professionalism. Tune in as they reflect on what this honor means, look back on the firm's humble beginnings, and, most importantly, express their gratitude to the incredible clients and team who made it all possible.   Here's some of what we discuss in this episode:

This week, Kameron McRay talks with Sam Johnson, Vice President of Business Development at DPL. They explore how the advisory annuity space has evolved—shifting from commission-based products to fee-friendly, fiduciary-aligned solutions. They break down key innovations in product design, process digitization, and post-issue support, highlighting how RIAs are increasingly embracing annuities as valuable tools in client retirement planning. Learn more at https://www.dplfp.com/series/advisor-revelations-podcast.

Everybody wants to invest, but not everyone knows how. There just aren't many who can point investors in the right direction.Registered investment advisors, or RIAs—either individuals or corporates licensed by the stock-market regulator—are an endangered species in India. While the country had about 192 million demat accounts as of March 2025, there were only about 941 advisors. That's one advisor for over 200,000 investors. Pressure much?You'd think the problem goes away if there were more Sebi-registered advisors. If only. In fact, the number of registered advisors in India has been declining over the past few years. Just in 2020, there were over 1,500 of them. The drop was largely attributable to the regulator.Meanwhile, fintechs like ET Money and Value Research are attempting to plug this gap by offering investors automated advice for direct investment. But it's far from a done deal. Tune in. Listen to the latest episode of First Principles feat. Manish Sabharwal of Teamlease here.P.S The Ken's podcast team is hiring! Here's what we're looking for.Daybreak is produced from the newsroom of The Ken, India's first subscriber-only business news platform. Subscribe for more exclusive, deeply-reported, and analytical business stories.Listen to the latest episode of Two by Two here

Episode 099: This week, Kyle Van Pelt talks with Brian Shenson, Managing Partner and COO at Rise Growth Partners. With more than two decades of experience working with financial professionals, Brian has developed a deep understanding of the business fundamentals and operational aspects of wealth management services. He applies this deep industry expertise and his passion for technology and innovation to help firms extend the reach, impact, and resiliency of their digital solutions. Kyle and Brian explore the evolving landscape of advisor tech and the power of intentional growth. Shenson shares lessons from his journey through Schwab, consulting, and BCG, diving into the challenges firms face with tech sprawl, data integration, and delivering personalized client experiences. They discuss how Rise is helping mid-market RIAs scale with purpose, leverage data more effectively, and build modern platforms that prioritize human connection and operational clarity In this episode: (00:00) - Intro (02:09) - Brian's money moment (05:35) - Brian's journey from Schwab to Rise (09:57) - What captive firms can learn from independents (and vice versa) (13:43) - Why most RIAs don't build their own platforms (19:19) - What it really takes to build great fintech (20:54) - The vision behind Rise Growth Partners (23:54) - Accelerating growth with strategy and tech (27:11) - Who Rise is built for (33:20) - Bridging the gap between advice creation and advice execution  (38:35) - The power behind platforms (40:46) - Brian's thoughts on AI, data, and the future of advice (46:20) - Brian's Milemarker Minute Key Takeaways To build advisor platforms that can evolve with changing client and advisor needs, firms must separate the experience layer, business functionality, and data. This foundational architecture is key to long-term flexibility and scalability. As firms grow—especially through M&A—they face a tangled web of tools and data. Middleware isn't just a tech buzzword; it's the critical infrastructure that transforms fragmented platforms into cohesive, advisor-friendly experiences. Many firms delay tough integration work in favor of short-term growth. But without intentional platform decisions and cultural alignment, that tech debt builds silently, eventually stalling progress and creating friction at scale. The best firms are redesigning workflows to let advisors spend more time in front of clients and less time in back-office systems. Separating advice creation from advice execution—with the right tools and teams—is a game changer. Quotes "There's a desire to learn and copy the innovations in the independent space because the independents are moving very fast. They're trying things, they're breaking things." ~ Brian Shenson "With Rise, and because of our strategy and attention to getting it right, we're thinking as much about culture fit and platform fit. Those things matter almost as much, if not more than just the math." ~ Brian Shenson  "What Rise is trying to do is back great entrepreneurs who have great businesses that want to have a meaningful impact on the industry. We want to provide them with the capital they need to get there, the expertise to support their journey, and to create an ecosystem of support around them." ~ Brian Shenson Links  Brian Shenson on LinkedIn Rise Growth Partners Charles Schwab Joe Duran United Capital Financial Advisors Boston Consulting Group Envestnet Orion Advisor Solutions The Psychology of Money Sapiens Connect with our hosts Milemarker.co Kyle on LinkedIn Jud on LinkedIn Subscribe and stay in touch Apple Podcasts Spotify YouTube

Ari Taublieb, Chief Growth Officer at Root Financial, joins The Advisor Journey to share how he helped scale the firm from $25 million to $1.1 billion in AUM, primarily through YouTube.Ari breaks down the playbook behind Root's explosive organic growth, fueled by video content, community building, and a culture-first hiring model. He explains how one viral YouTube video can change everything, why conversion starts before the first meeting, and what it really means to build a client experience that scales without sacrificing quality.From salmon breakfasts in a two-person office to a 65% close rate on $2M+ clients, Ari offers a behind-the-scenes look at Root's rapid rise and the content engine powering it.If you're wondering what modern growth really looks like for advisory firms, this episode delivers the blueprint.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

In this episode of the Rainmaker Podcast, Gui Costin sits down with John Donovan, Head of Wealth Management Distribution at TowerBrook, for a deep dive into distribution strategies, leadership, and fostering a culture of transparency and service. With over 16 years of experience in the financial services industry, John brings valuable insight into managing relationships with family offices, RIAs, and private banks, and shares the key principles that have guided his career.John's career journey spans several prestigious firms, from Blackstone to Schroder Investment Management, before joining TowerBrook to lead their North American investor relations efforts. His focus now is on the wealth management channel, where TowerBrook's modern value approach targets middle-market companies across sectors like health services, business services, financial services, and consumer products. The firm's strategy is simple yet impactful—find high-growth, founder-led companies in these sectors and invest at attractive multiples, all while ensuring a firm-wide commitment to championing others.The conversation dives into the evolution of TowerBrook's investor relations strategy, which John describes as a three-phase process. Starting with the firm's early years when founding partner Filippo Cardini led the IR function, John's addition to the team represents the firm's commitment to expanding its wealth management presence. He explains how TowerBrook's IR team of around 12 professionals is structured to ensure transparency, shared goals, and a focus on both wealth and institutional LPs.A major theme of the episode is the importance of communication and transparency. John highlights how TowerBrook emphasizes open, honest conversations with both internal teams and external clients, ensuring every team member is held accountable. He points to the use of CRM tools to track relationships, manage outreach, and ensure the team is aligned in their goals. John also stresses the value of maintaining service excellence, noting that building trust with LPs requires consistent communication, a collaborative approach, and the ability to share information and execute on deals efficiently.John's leadership style centers around servant leadership, empowering his team to make decisions and fostering an environment where everyone feels ownership over their contributions. He shares that “championing others” is a key part of the culture at TowerBrook, as the firm strives to help its employees, LPs, and portfolio companies succeed.This episode is a great listen for sales leaders, fundraisers, and investment professionals looking to build strong relationships, improve communication strategies, and lead with integrity.Tired of chasing outdated leads? Book a demo to see how Dakota Marketplace simplifies your fundraising process with accurate, up-to-date investor data. 

Bob Oros is the outgoing Chairman and CEO of Hightower Advisors, a leading RIA platform with over $165 billion in assets under management. Bob has spent three decades in the wealth management industry, including stints at Charles Schwab, LPL, and Fidelity before joining Hightower in 2019. During the last six years, he oversaw fifty acquisitions of RIAs that he integrated under Hightower's Well-th Rebalanced culture. Our conversation shares a perspective on how RIAs function and allocate capital at scale. We cover the evolution of private wealth from product sales to holistic planning, the founding and transformation of Hightower, and Bob's approach to building a scalable, advisor-focused platform. We discuss Hightower's acquisition strategy and process, advisor retention, and private equity ownership, and then turn to its investment approach that blends centralized oversight with advisor flexibility. We close with Bob's decision to step down as CEO in an exciting time for the business and some leadership lessons he's picked up along the way. Learn More Follow Ted on Twitter at @tseides or LinkedIn Subscribe to the mailing list Access Transcript with Premium Membership

In this episode of The Advisor Journey, Ben Olsen, founder of Beemo Automation, shares his remarkable journey from financial advisor to a leading innovator in advisory technology. Ben dives deep into how his passion for improving day-to-day advisor workflows led him to create a company dedicated entirely to AI-driven solutions and automation tailored specifically for RIAs.In his conversation with hosts Will Steiner and Dasarte Yarnway, Ben highlights the most significant bottlenecks facing advisory firms today, such as onboarding, meeting preparation, and client lifecycle management. He walks through real-world examples demonstrating dramatic efficiency improvements, including a detailed case where a firm with $800M in AUM significantly increased their capacity for client meetings by automating their scheduling, preparation, and follow-up processes.Ben also addresses the critical but often overlooked area of proactive client communication and how automation can drive deeper relationships and increased referrals. He explains how firms of various sizes can begin integrating AI solutions, emphasizing a balanced approach between technology and human touch.Advisors looking to enhance their operational efficiency, scale their practice responsibly, and deliver exceptional client experiences will find practical, implementable strategies in this conversation.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist leaders and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and services are provided by Altruist Financial LLC, a member of FINRA/SI...

As advisory firms grow, so does the complexity of compliance—and Leila Shaver has built a business dedicated to helping them scale without costly missteps. She provides strategic guidance that keeps firms aligned with regulatory expectations as their teams, client bases, and responsibilities expand. Leila is the founder of My RIA Lawyer, a Georgia-based legal and compliance firm serving RIAs, broker-dealers, and other financial services companies. In this episode, she shares insights into when firms typically seek outsourced compliance support, the key differences between broker-dealer oversight and RIA regulation, and why firms might consider including their compliance professionals in business strategy business strategy decisions. You'll also hear about the latest developments in advisor-facing compliance technology and how Leila's own entrepreneurial journey mirrors that of the clients she serves. For show notes and more visit: https://www.kitces.com/441

In this episode of the Rainmaker Podcast, Gui Costin sits down with Michael Rubenstein, Managing Director at RMWC, for an insightful look into disciplined sales execution, solo practitioner fundraising, and the mindset needed to succeed in a competitive investment landscape. As RMWC's first employee and the architect of its capital formation strategy, Michael shares his evolution from top-performing financial advisor at State Farm Investment Management to leading sales and investor relations for a specialized real estate credit firm.Michael credits his early success to embracing a structured, metrics-based sales process he learned through the “Circle of Wealth” system. This replicable model enabled him to track inputs like calls and meetings, tailor conversations to client needs, and consistently close multiple lines of business. Today, he brings that same process discipline to RMWC, where he leads sales as a solo practitioner, backed by a firmwide culture of accountability and ownership.Michael recounts how RMWC pivoted from a fund-of-funds model to its current focus: short-duration, floating-rate, senior-secured real estate credit. With roughly $5–$20 million check sizes, RMWC primarily targets family offices, multi-family offices, and RIAs. In 2024 alone, Michael conducted over 400 investor meetings—an impressive volume he attributes to strategic cold outreach, warm referrals, and carefully curated in-person events that foster peer-to-peer influence among LPs.Communication is central to Michael's approach. He tracks opportunities by stage—lead, intro call, diligence, soft close, hard close—and reports regularly to leadership using Backstop CRM and a detailed relationship spreadsheet. But he's quick to emphasize that no tool replaces the human element. A personal follow-up to a canceled meeting at iConnections led to a rebooked conversation simply because he took the time to check in. “Trust is what we're selling,” he says. “People want to do business with people they connect with.”Michael's leadership style blends “shock and awe” with “land and expand.” He believes strong first impressions and consistent service create loyal, scalable relationships. His advice for young professionals? Nail your sales process, get a mentor, and be meticulous about CRM hygiene—small follow-ups can be the difference between a deal and a missed opportunity.This episode offers a tactical, real-world roadmap for fundraisers navigating today's tight capital environment—and a reminder that great salespeople lead with process, empathy, and persistence.

Growth is the goal—but few talk about how uncomfortable it can actually be. In this episode of The FutureProof Advisor, I sit down with Rich Gill of Wealth Partners Capital Group to unpack what really happens as RIAs scale beyond the founder. We explore the evolution of the industry through Rich's unique lens—one shaped by experience across roles and market cycles—and dive into the mindset shifts required to move from a relationship-driven practice to a fully built-out firm.As Rich and I discuss, the path to sustainable growth isn't paved with just good intentions—it takes early investment in structure, leadership beyond the founder, and a clear focus on talent development. Too many firms hit a wall because they wait too long to professionalize operations or build out scalable support systems. And while technology plays a role, it's the firms that lean into emotional intelligence, purpose-driven client conversations, and high-trust relationships that are really separating themselves from the pack.Those leading the way are making proactive decisions—hiring ahead of the curve, putting systems in place before they feel urgent, and using tech to amplify the human touch, not replace it. They're not growing for growth's sake; they're designing firms that reflect their values and meet the evolving expectations of clients who want more than performance—they want partnership.

In this episode of the Real Estate Pros Podcast, Chris Hake shares his inspiring journey in real estate, starting from his initial struggles to his success in building a diverse portfolio. He discusses the importance of networking through RIAs, the impact of coaching and masterminds, and how he navigated significant health challenges while growing his business. Chris emphasizes the value of taking action, being creative in real estate investing, and the lessons learned throughout his career.   Professional Real Estate Investors - How we can help you: Investor Fuel Mastermind:  Learn more about the Investor Fuel Mastermind, including 100% deal financing, massive discounts from vendors and sponsors you're already using, our world class community of over 150 members, and SO much more here: http://www.investorfuel.com/apply   Investor Machine Marketing Partnership:  Are you looking for consistent, high quality lead generation? Investor Machine is America's #1 lead generation service professional investors. Investor Machine provides true ‘white glove' support to help you build the perfect marketing plan, then we'll execute it for you…talking and working together on an ongoing basis to help you hit YOUR goals! Learn more here: http://www.investormachine.com   Coaching with Mike Hambright:  Interested in 1 on 1 coaching with Mike Hambright? Mike coaches entrepreneurs looking to level up, build coaching or service based businesses (Mike runs multiple 7 and 8 figure a year businesses), building a coaching program and more. Learn more here: https://investorfuel.com/coachingwithmike   Attend a Vacation/Mastermind Retreat with Mike Hambright: Interested in joining a “mini-mastermind” with Mike and his private clients on an upcoming “Retreat”, either at locations like Cabo San Lucas, Napa, Park City ski trip, Yellowstone, or even at Mike's East Texas “Big H Ranch”? Learn more here: http://www.investorfuel.com/retreat   Property Insurance: Join the largest and most investor friendly property insurance provider in 2 minutes. Free to join, and insure all your flips and rentals within minutes! There is NO easier insurance provider on the planet (turn insurance on or off in 1 minute without talking to anyone!), and there's no 15-30% agent mark up through this platform!  Register here: https://myinvestorinsurance.com/   New Real Estate Investors - How we can work together: Investor Fuel Club (Coaching and Deal Partner Community): Looking to kickstart your real estate investing career? Join our one of a kind Coaching Community, Investor Fuel Club, where you'll get trained by some of the best real estate investors in America, and partner with them on deals! You don't need $ for deals…we'll partner with you and hold your hand along the way! Learn More here: http://www.investorfuel.com/club   —--------------------

In this episode of the Rainmaker Podcast, host Gui Costin welcomes Shane McCarthy, Managing Director at LAB Quantitative Strategies, for a thoughtful and practical conversation on building a lean, high-performing fundraising function in a data-driven investment firm. With over 25 years in the investment industry across operations, risk, product development, and portfolio management, Shane brings a rare full-stack view of capital formation.Shane shares how LAB QS, a $1.8 billion multi-strategy hedge equity manager based in Denver, is built around a risk-first, liquid, and return-per-unit-of-risk mindset. Originally spun out from one of the largest family offices in the U.S., LAB QS retains a strong cultural alignment with high-net-worth and family office investors, with growing interest from RIAs and small institutions. Their hedged equity strategy is structured to smooth volatility, limit drawdowns, and complement broader asset allocations.The business development team is lean—just two people—but Shane emphasizes that LAB QS operates with a firmwide fundraising mentality, supported by every department, from operations to compliance. The sales strategy is guided from the executive committee level, with clear goals and aligned resource allocation. Everyone has defined roles, responsibilities, and expectations, which ensures a unified commercial mindset across the firm.McCarthy stresses that face-to-face interaction and trust-building are still paramount in capital raising, especially in today's saturated and competitive investment landscape. While Zoom helps with efficiency, nothing replaces the relationship-building power of sitting across from an investor.LAB QS's tech-forward approach is another key strength. They rely heavily on Salesforce for CRM, integrated with Dakota Marketplace for seamless prospecting and pipeline management. With support from a 10-person tech team, LAB QS uses proprietary tools to customize analytics and automate reporting, enabling more effective and informed client interactions.Culturally, LAB QS embraces a challenge process, encouraging employees at all levels to contribute ideas and question assumptions. This openness fosters humility, collaboration, and innovation—qualities that Shane believes are essential for long-term success.To young professionals, Shane offers grounded advice: embrace the long game, expect rejection, and focus on knowing your client deeply. His leadership and experience reinforce a message that great sales organizations are built on cross-functional collaboration, disciplined execution, and the humility to keep learning.Tired of chasing outdated leads? Book a demo to see how Dakota Marketplace simplifies your fundraising process with accurate, up-to-date investor data.   

What if your next great investment wasn't in stocks or real estate, but in trees? How timberland could be the most overlooked asset class in wealth management today.   In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with John Brenard, co-founder of Southview Timber Investments, who shares how he transitioned from a decade in traditional wealth management to managing over 10,000 acres of timberland across the southeastern U.S. He explains why timber provides stable, uncorrelated returns, minimal overhead, and a tangible, scalable path for RIAs seeking alternative investments for their clients.   Key Takeaways: → How timberland offers long-term returns through land appreciation, biological tree growth, and opportunistic land sales. → Why timber is an ideal uncorrelated asset that is now available to individual investors through Southview's fund. → How Southview partners with RIAs, offering direct access, low investment minimums, and co-branded education to help clients diversify. → Get an inside look at the $50 million fundraiser aimed at scaling Southview's impact and the value behind every acre of pine.   John Brenard has excelled in various business environments for over 15 years, ranging from executive and advisory roles at J.P. Morgan and Wells Fargo Advisors to managing operations and expansion at several startups. During his time in the wealth management industry, he built long-term client relationships founded not only on his investment expertise but also on exceptional levels of integrity and service. As an investor in timberland, John possesses a deep understanding of diverse investment asset classes and financial markets. His objective at Southview is to provide a wider audience of investors with the same benefits in timberland investing that he has enjoyed. John holds a bachelor's degree from California State University, has earned multiple professional credentials in the investment sector, and is a member of the Georgia Forestry Association.    Connect With John: Southview Timber   Learn more about your ad choices. Visit megaphone.fm/adchoices

In this episode of The Distribution, host Brandon Sedloff sits down with Ted Gooden, founder of Växa Partners and a seasoned advisor in private markets, to explore the state of strategic consolidation across investment management. With more than two decades of experience and over 100 transactions under his belt, Ted shares the playbook behind how private equity, credit, and real estate platforms have scaled—and what it takes for firms to compete today. They unpack the forces behind the rise of mega-managers, the consolidation play that shaped today's private markets landscape, and why mid-sized firms are now exploring mergers, partnerships, and non-control capital as tools for growth and survival. They also discuss: * The evolution from boutique managers to full-service private markets platforms * How public listings, insurance capital, and platform M&A changed the industry * What makes a manager “investable” and how to build enterprise value * Why strategic alignment, fund structure, and internal culture matter more than ever * The growing role of private wealth distribution and how RIAs are reshaping access * Tactical advice for GPs considering stake sales, mergers, or succession plans * How Vaxa Partners is helping clients navigate critical inflection points This episode is a masterclass in private markets strategy from one of the most trusted voices in the space—offering insight not just on where the industry has been, but where it's going. Links: Växa Partners - https://vaxa.partners/ Ted on LinkedIn - https://www.linkedin.com/in/tedgooden/ Brandon on LinkedIn - https://www.linkedin.com/in/bsedloff/ Juniper Square - https://www.junipersquare.com/ Topics: (00:00:00) - Intro (00:02:20) - Ted's background and career (00:04:04)  - Vaxa Partners (00:10:14) - What are you seeing in private markets in today's environment? (00:18:58) - Consolidation in the industry (00:29:14) - How firms can position themselves for a successful merger (00:44:12) - Distribution as a strategic lever for merging firms (00:49:22) - How does Private Wealth fit into the future of private markets

In this episode, Jack Sharry talks with Justin Singer, Partner at EY. Justin provides strategy and management consulting services to many top wealth management, asset management, insurance, and retirement firms to drive growth and retention, improve their offerings, and achieve stronger operating margins through strategic and tactical projects. Jack and Justin discuss why WaaS (Wealth as a Service) is the future of financial services. Justin explores how financial institutions can use this integrated, cost-effective, scalable solution to drive efficiency and growth. He also dives into the key drivers behind this shift, the players involved, the exciting opportunities it presents, and the broader industry implications. In this episode: (00:00) - Intro (02:23) - Wealth as a Service defined (05:23) - Service providers in the wealth management space (08:56) - The expected consolidation of broker-dealers and RIAs (11:14) - Challenges for firms in operating wealth management businesses (16:20) - How WaaS improves client outcomes and advisor efficiency (18:51) - The industry's reaction to EY's Wealth as a Service research (21:59) - Justin's key takeaways (23:52) - Justin's interests outside of work Quotes "Wealth as a Service (WaaS) is an integrated, cost-effective, and scalable solution for financial institutions to deliver wealth management in a more turnkey way." ~ Justin Singer "The assets we've built are really positioning financial institutions to be able to drive toward the outcomes that many of them are looking to achieve, which are growth, improved operating efficiency, and scale." ~ Justin Singer "If we end up in a world where there's less broker-dealers, less RIAs, less trust companies, and a few providers that are supporting those entities that are left, I truly believe it's going to drive down costs and allow many firms to be able to go more down market to the mass affluent segment with a more scalable offering." ~ Justin Singer Links  Justin Singer on LinkedIn EY Connect with our hosts LifeYield Jack Sharry on LinkedIn Jack Sharry on Twitter Subscribe and stay in touch Apple Podcasts Spotify LinkedIn Twitter Facebook

Joe Schmitz joins The Advisor Journey to reveal how he's built Peak Retirement Planning from a solo practice to a firm with nearly 60 team members in just three years, growing to $300 million in assets under management.Joe shares his laser-focused approach to serving "Midwestern Millionaires" – clients with $1-10 million in assets who embody the hardworking, frugal values he grew up with in rural Ohio. His multi-channel marketing strategy through YouTube, workshops, books, and Kiplinger articles now generates over 40 qualified prospects weekly.The conversation explores Peak's extreme hiring standards (just 9 hires from 2,600 applicants last year), their collaborative client service model, and Joe's mission to disrupt traditional retirement planning by providing comprehensive service beyond the typical investment-only or insurance-only approach.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist founder and CEO Jason Wenk, Altruist's Head of Community Dasarte Yarnway, and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and ser...

In this value-packed episode, Thomas Kopelman returns to share how he's built a thriving advisory practice generating $1.5 million in annual revenue with extraordinary profit margins. Thomas breaks down his business model serving business owners through a high-touch, premium flat-fee approach ranging from $12,000-$18,000 annually.Listeners will discover Thomas's detailed client service approach, including his team structure that maximizes everyone's strengths, his "reverse engineering" process to understand client needs, and his commitment to responsive service with emails answered within 12 hours. He also shares his evolution from using Twitter for client acquisition to now growing primarily through referrals.Whether you're a solo advisor looking to grow or already managing a team, this conversation delivers practical takeaways for elevating your client service model and business profitability.ABOUT ALTRUIST: We're on a mission to make independent financial advice better, more affordable, and accessible to everyone. As a modern custodian, Altruist helps high-growth, client-centric, and tech-forward RIAs deliver great advice to more clients at lower costs. Want to find out how Altruist can help you grow? Talk to our team by visiting www.altruist.com/talk-to-us STAY CONNECTED: Instagram ► https://www.instagram.com/altruistcorp/ Twitter ► https://x.com/altruist Linkedin ► https://www.linkedin.com/company/altruistcorp/ ABOUT THE ADVISOR JOURNEY: Real-life strategies for the modern financial advisor who's ready to scale. Join Altruist founder and CEO Jason Wenk, Altruist's Head of Community Dasarte Yarnway, and guests as they share proven tactics, unfiltered advice, and hard-won lessons you can apply to your own practice. These conversations will propel your career to the next level—don't miss it. Disclaimer: Altruist Corp ("Altruist") offers technology and tools designed to help financial advisors achieve better outcomes. Advisory and certain other services are provided by Altruist LLC, an SEC-registered investment adviser, and brokerage related products and ser...

In this episode of the Rainmaker Podcast, host Gui Costin sits down with Joe Grogan, Head of Distribution for the Americas at WisdomTree, for an energizing conversation on leadership, sales strategy, culture, and the power of treating people like owners. With over 25 years of experience at firms like Fidelity and State Street, Joe shares how his humble beginnings and early exposure to sales instilled a relentless drive that continues to shape his leadership style.Joe's journey to WisdomTree began with a cold call from a recruiter and evolved into a long-standing leadership role at one of the most innovative ETF providers in the industry. He fell in love with WisdomTree's entrepreneurial culture and commitment to transparency, client outcomes, and constant innovation. Today, he leads a 50-person distribution team across the U.S. and Latin America, focused on providing consultative value to financial advisors rather than just pushing products.Grogan walks listeners through his approach to team structure and culture, emphasizing the importance of clear expectations, open communication, and professional development. His team spans national accounts, wires, RIAs, and enterprise channels, with a strong emphasis on career pathing from analyst roles to field sales. Weekly calls, one-on-ones, and a highly transparent performance tracking system help drive accountability while fostering healthy competition.Joe also discusses how CRM and AI tools have transformed his team's efficiency. From automated meeting notes to engagement-based compensation tracking, WisdomTree leverages data to reduce administrative burden and keep salespeople focused on high-impact client interactions. He views CRM entries not as micromanagement but as “gold bars” that unlock insights and create better investor experiences.Leadership, for Joe, is about servant mindset, vulnerability, and long-term retention. He believes in empowering his team, maintaining low turnover through trust and autonomy, and treating teammates like the professionals they are. Rather than managing activity for its own sake, Joe rewards outcomes and teaches his team to think like owners of their own territory.His advice to young professionals? Nail your current role. Master the fundamentals. Don't worry about the next job—it will come if you focus on being excellent where you are. This episode is packed with tactical insight, cultural wisdom, and authentic leadership takeaways from one of the most respected distribution leaders in the business.Tired of chasing outdated leads? Book a demo to see how Dakota Marketplace simplifies your fundraising process with accurate, up-to-date investor data. 

Financial planning is a service-based business. You're selling the invisible. It can't be seen, touched or experienced before buying. Prospects are forced to search for other ways to evaluate the value of working with you (most of which are NOT great options to inform such an important decision!). Fortunately, Michael Lecours, a financial advisor and co-founder of fpPathfinder, joined the show to explain the challenges of communicating the value of an intangible service and share specific ideas to make the financial planning experience more tangible. You'll Learn: How a dentist office made their service more tangible The invisible influences that drive a prospect's decision Using a client journey map to enhance client experiences What Airbnb can teach us about marketing the real value of an advisor *To sign up for Brendan's newsletter packed with resources to master the human side of advice → Click Here   Resources: Harvard Business Review: Know Your Customers' “Jobs to Be Done” fpPathfinder: Popular Checklists & Flowcharts “Alchemy: The Dark Art and Curious Science of Creating Magic in Brands, Business, and Life” by Rory Sutherland  “The Checklist Manifesto: How to Get Things Right” by Atul Gawande Connect with Brendan Frazier:  RFG Advisory LinkedIn: Brendan Frazier Connect with Mike Lecours:  fpPathfinder LinkedIn: Michael Lecours About Our Guest:  Michael Lecours, CFP® is a Co-Founder of fpPathfinder. He is also a financial advisor and planner at the Wealth Strategies Team. Michael began his career in advertising where he worked to develop marketing strategies for insurance companies, banks, credit unions, RIAs and hedge funds. Now, he leverages his background in advertising to distill complex financial planning concepts into straightforward strategies, apply behavioral finance concepts to the planning process and injects a disciplined approach to all facets of the client experience. – Content here is for illustrative purposes and general information only. It is not legal, tax, or individualized financial advice; nor is it a recommendation to buy, sell, or hold any specific security, or engage in any specific trading strategy. Information here may be provided, in part, by third-party sources. These sources are generally deemed to be reliable; however, neither our guest nor RFG Advisory guarantee the accuracy of third-party sources. The views expressed here are those of our guest. They do not necessarily represent those of RFG Advisory, its employees, or its clients. This commentary should not be regarded as a description of advisory services provided by RFG Advisory, or performance returns of any client. The views reflected in the commentary are subject to change at any time without notice. Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place. RFG Advisory is an SEC-registered investment adviser. SEC registration does not constitute an endorsement of RFG by the Commission, nor does it indicate that RFG or any associated investment advisory representative has attained a particular level of skill or ability.

Kenny Rose is the founder and CEO of FranShares, the first platform to package income-producing franchise assets into diversified, SEC-regulated funds for everyday investors. A Certified Franchise Executive (CFE) and former franchise broker, Kenny worked with over 600 franchise brands in more than 100 industries. Kenny's views on franchising have been featured in Business Insider, Forbes, ABC, The Hustle, American Express, the Amazon feature book, “More Than Just French Fries,” and other publications worldwide, in total reaching over 300 million people throughout the world, making him a sought-after voice for RIAs, family offices, and institutions seeking durable, inflation-hedged cash flow.

Send us a textToday, I'm thrilled to welcome two powerhouse leaders in financial services and events: Dan Rubinetti and Shannon Rosic of Informa. If you've spent any time in the wealth management industry, you know their names are synonymous with top-tier industry conferences, innovative programming, and—most importantly—community building.Dan Rubinetti, who helped launch Edge just four years ago, has been a driving force in transforming WealthManagement.com's approach to advisor-centric events. He's championed the creation of best-in-class experiences that focus on peer-to-peer learning, actionable content, and technology-driven solutions for RIAs and senior leaders. With a keen eye for what resonates in the industry, Dan has played a pivotal role in building Edge's reputation as one of the can't-miss events on the annual calendar—now moving to the breathtaking Boca Raton Resort in June!Alongside Dan is Shannon Rosic, a tech-savvy leader and respected industry voice, known for curating wildly successful educational tracks and superstar speaker lineups. Shannon's ability to translate feedback from advisors and sponsors into real, tangible improvements is the secret sauce behind Edge's “choose your own adventure” conference model. Whether you're into investments, tech demos, or RIA practice management, Shannon ensures there's something for everyone.But that's just the beginning.In today's episode, we dive behind the scenes of Edge's evolution—how attendee-driven feedback, bold new partnerships, and a relentless focus on community have set a new standard for industry events. We talk about the future of advisor learning, the importance of next-gen mentorship, and the rise of women in wealth management. You'll also hear about exciting new features: roundtables, allocate meetings with AI-powered connections, and keynote speakers who embody leadership and resilience—including former NFL quarterback Alex Smith.Plus, Dan and Shannon share candid tips on thriving in high-stress environments, the power of collaboration, and how Informa is opening doors for advisors of all backgrounds to find their tribe, invest in their growth, and shape the industry's future.Get ready for a high-energy, insightful, and heartfelt conversation with two of wealth management's most innovative event leaders—right here, In The Suite.

Timecodes: 0:00 Start 05:38 100 men vs 1 Gorilla hypothetical 13:23 old KFC Radio hypotheticals 28:57 Marty and Rias wedding 30:38 Dana beat Ozempic 33:39 Feits and Dana gush over a Calzone 38:02 Dana's food reviewing 48:35 Dana on being deemed "fat" 01:00:01 Dana's "piss bottles" 01:09:12 Michael B Jordan Twin Sinners Promo 01:10:31 Dana's post wedding body 01:11:59 Dana is technically African American 01:15:04 Dana makes a big announcement +++++++++++++++++++++++++++++++++++ Kraken: Go to https://kraken.com/barstool to learn more Fast Growing Trees: Get 15% off at https://fastgrowingtrees.com/KFC using the code KFC at checkoutYou can find every episode of this show on Apple Podcasts, Spotify or YouTube. Prime Members can listen ad-free on Amazon Music. For more, visit barstool.link/kfcr

Highlights from this week's conversation include:Justin's Journey into Finance (1:11)Changes in Investment Management (4:59)Institutionalization of RIAs (7:47)Overview of AWM Capital's Services (11:22)Athletes as Clients (15:16)Engaging Athletes as LPs (16:21)Educating Clients on Private Markets (20:19)Regulatory Shifts in Venture Funds (24:23)Insider Segment: Emerging Managers and Diverse Perspectives (27:38)Complex Fund Agreements (31:02)Venture Capital Strategy Insights (33:11)Evolution of Partnerships (36:16)Due Diligence Criteria Overview (40:14)Stewardship of Capital (44:08)In-Person Connections (47:58)Challenges for Emerging Managers (51:00)Human-Centered Capital Allocation (55:39)Final Thoughts and Takeaways (57:18)AWM Capital is a multi-family office dedicated to providing comprehensive wealth management services to professional athletes, business owners, and multi-generational families. With a commitment to independent, conflict-free advice, AWM integrates investment management and financial planning to help clients achieve their financial goals. Learn more: https://awmcap.com/Sidley Austin LLP is a premier global law firm with a dedicated Venture Funds practice, advising top venture capital firms, institutional investors, and private equity sponsors on fund formation, investment structuring, and regulatory compliance. With deep expertise across private markets, Sidley provides strategic legal counsel to help funds scale effectively. Learn more at sidley.com.Swimming with Allocators is a podcast that dives into the intriguing world of Venture Capital from an LP (Limited Partner) perspective. Hosts Alexa Binns and Earnest Sweat are seasoned professionals who have donned various hats in the VC ecosystem. Each episode, we explore where the future opportunities lie in the VC landscape with insights from top LPs on their investment strategies and industry experts shedding light on emerging trends and technologies. The information provided on this podcast does not, and is not intended to, constitute legal advice; instead, all information, content, and materials available on this podcast are for general informational purposes only.

In this episode, Jack Sharry talks with Randy Lambert, EVP and Head of RIA Solutions at Intention.ly. Randy shares how his experience scaling Orion informs his work helping FinTech and RIA firms streamline operations, align marketing, and enhance client engagement. He highlights the importance of eliminating silos, implementing intelligent automation, and transforming operations from a cost center to a strategic growth engine. In this episode: (00:00) - Intro (01:39) - Randy's journey at Orion  (07:10) - The transition to Intention.ly (11:54) - Integrating marketing, sales, and operations (14:41) - Growing and scaling RIAs (18:43) - Bridging the gap between the marketing and operations (19:57) - Building a customer success model (22:40) - Randy's final thoughts (24:02) - Randy's interests outside of work Quotes "One of the weakest links in the technology chain is the advisor using the technology." ~ Randy Lambert "The better that an advisory team is able to systematize its operations, the better chance they have of being successful in scaling up." ~ Randy Lambert "When a firm's data is clean, structured, and fully integrated, technology stops being a barrier. It starts to become an enabler." ~ Randy Lambert Links  Randy Lambert on LinkedIn Intention.ly Orion Advisor Solutions Eric Clarke Kelly Waltrich Tina Powell Joe Steuter Doug Fritz Connect with our hosts LifeYield Jack Sharry on LinkedIn Jack Sharry on Twitter Subscribe and stay in touch Apple Podcasts Spotify LinkedIn Twitter Facebook

Send us a textToday, I'm thrilled to welcome Vickie Lewin, Chief Growth Officer at Amplify, a fast-growing wealthtech platform purpose-built to simplify operations and accelerate growth for wealth management firms. Amplify's unified, all-in-one technology is helping RIAs and enterprises streamline their tech stacks, reduce inefficiencies, and scale smarter—all while focusing on what matters most: serving clients.Since joining Amplify, Vickie has been instrumental in driving the firm's strategic direction, overseeing a high-performing team of sales and marketing professionals, and bringing Amplify's value proposition to life across the industry. She's a dynamic leader whose impact can be seen in every corner of the organization—from product development to market expansion.Before Amplify, Vickie served as Senior Vice President and Chief Success Officer at AssetMark, where she played a critical role in the company's meteoric rise from a $1 billion TAMP to a $100+ billion industry giant. With more than 30 years of experience spanning financial services, fintech, and asset management, Vickie brings a unique blend of insight, innovation, and execution to everything she does​.But that's just the beginning.In today's episode, we explore Vickie's journey from her early days in the industry to her current role helping firms future-proof their businesses through smart, scalable technology. We talk about the forces shaping the future of wealthtech, what advisors can do to stay competitive, and how to navigate growth during times of rapid change and consolidation. Vickie also shares powerful reflections on leadership, mentorship, and what it really takes to succeed in today's evolving financial landscape—especially as a woman in the C-suite.Get ready for a thoughtful, empowering, and forward-looking conversation with one of fintech's most respected voices—right here, In The Suite.

Are you haunted by your past compliance experiences? You're not alone! In this episode, we sit down with Kent Keister, compliance consultant and founder of Reliant, to demystify the world of compliance for RIAs. Kent brings humor, clarity, and loads of practical wisdom to a topic that usually makes advisors cringe. Whether you're thinking about going independent, already running your own firm, or just want to understand what your Series 7 really does for you (or doesn't), this conversation is packed with insight and “ah-ha” moments

My friend Barry Ritholtz has spent his career being an astute market observer, investigating behavioral finance and data analytics. He runs Ritholtz Wealth Management which has been named ETF Advisor of the Year, Financial Times Top 300 Advisors, and one of America's fastest-growing RIAs. He's also the host of Masters in Business, Bloomberg Radio's most popular podcast (50+ million streams/downloads), which he started way back in 2014. In his new book, How Not To Invest, Barry emphasizes how avoiding rookie mistakes can significantly help you do better financially. He blends engaging stories with data-driven insights, and explores overlooked aspects of behavioral finance, psychology and the market. Reading his book is like having a casual drink with an experienced, wise, and honest friend. I hope you enjoy this conversation as much as I did. For the full transcript, episode takeaways, and bucketloads of other goodies designed to make you go, “Hmm, that's interesting!”, check out our Substack. Important Links: Blog Twitter LinkedIn Ritholtz Wealth Management Show Notes: How Amateurs Win Managing Emotions When the Market Goes Down If You Can't Afford a Financial Advisor Yet… Notable Financial Innovations Barry's Transition from a Trader to an Investor Varieties of Investor Personas What To Do When Randomness Derails Your Plans Finding Your Own Maintainable Processes Having Reliable Information Sources Barry As World Emperor Books Mentioned: How Not to Invest: The Ideas, Numbers, and Behaviors That Destroy Wealth - And How to Avoid Them; by Barry Ritholtz Winning the Loser's Game; by Charley Ellis How We Know What Isn't So: The Fallibility of Human Reason in Everyday Life; by Thomas Gilovich