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Mindy Diamond on Independence - For Financial Advisors Considering Change

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Gaining the Technological Edge in Independence

6/27/2019
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Prospective breakaways often ask, “How can an independent firm possibly compete on a technology level with the wirehouses?” Eric Poirier, CEO of Addepar, joins the show to answer that question and explores the role of fintech in independence.

Duration:00:41:37

Exploring the Independent Broker Dealer Space

6/21/2019
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A conversation about the IBD model with Commonwealth Financial Network Managing Principal of Business Development, Andrew Daniels. Learn how the firm, 40 years in the making, has evolved, and how their model differs from others in the independent space.

Duration:00:47:20

Freedom from the Big Brand: Unencumbered Growth for an $800mm Team

6/13/2019
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Morgan Stanley breakaway Steve Schwarzbach, Founder and Managing Partner of $800mm RIA Icon Wealth Partners, shares how he and his partners – free of the “big firm agenda” – regained the power to define their firm’s culture and offer best-in-class products and services.

Duration:00:36:25

How this $2.5 Billion Team Saw Past the Handcuffs of Deferred Compensation

5/30/2019
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Former Morgan Stanley advisor Margaret Dechant had a successful “self-sufficient business” at the firm with $2.5B under management. So, what drove her and her partners to breakaway, leave deferred compensation behind and form their own independent firm?

Duration:00:43:29

7 Things Advisors Need to Know About Succession Planning

5/16/2019
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Louis Diamond takes over the mic to share actionable advice on succession planning for all advisors no matter your age, stage of your career, or whether you’re seated at a wirehouse or are an independent business owner.

Duration:00:25:31

4X Growth in 3 Years: A Regional Breakaway Success Story

5/2/2019
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Chip Munn reminds us that breakaways do not always come from the wirehouses. He left regional broker dealer Hilliard Lyons for RJFS in 2016 in search of more freedom and flexibility to grow his business. And grow he did: from $300mm in AUM to $1.2B in just a few short years.

Duration:00:34:52

The Top 7 Turnkey Models that are Rocking the Independent Landscape

4/25/2019
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In a greatly expanded landscape, many independent models exist that provide varying levels of freedom and flexibility. Louis Diamond joins the episode to help identify, compare and contrast the 7 most popular options available to breakaway advisors.

Duration:00:16:27

A Model of Supported Independence That Fills the “Fear Gap”

4/18/2019
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Rob Bartenstein discusses how Kestra Private Wealth Services offers a path to supported independence for advisors who want to go independent but do not want to build an RIA firm themselves.

Duration:00:37:44

Rockefeller Capital Management Demystified

4/4/2019
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Industry superstar Greg Fleming at the helm, the Rockefeller name, an extraordinary financial advisor community and leadership dream team makes this firm a home run. COO Chris Dupuy shares some inside baseball on Rockefeller Capital Management.

Duration:00:41:36

A Best-of-All-Worlds Model: Full-Service Independence with Equity Upside

3/22/2019
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Guest Jim Gold discusses breaking away from the senior leadership ranks at Morgan Stanley to build Steward Partners, a full-service employee-owned quasi-independent model, for advisors who are not interested in building something from scratch. He also shares some exciting news about the growth of the firm.

Duration:00:35:44

Independence for Advisors with an Offshore Client Base

3/7/2019
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Merrill breakaway Lisa Van Walleghem of MAXIMAI shares why leaving the once “great school of experience” with a globally diverse book to form her own independent firm was the best way for her to serve her offshore clients and grow her business.

Duration:00:40:22

An Attorney’s Advice on Navigating Transition

2/21/2019
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Attorney David Gehn shares his experience in working with advisors through non-Protocol moves, the challenges of terminations and hyper-compliance, avoiding TROs and other contractual matters that can arise even before an advisor considers a move.

Duration:00:35:29

A Diehard Merrill Advisor’s Journey to Independence

2/7/2019
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Michael Henley, a 34-yr old “diehard Merrill Lynch advisor” and team, with a partner less than 10 years from retirement, came to a point at the wirehouse when it was more about “jumping through hoops” for the bank than doing best for their clients.

Duration:00:46:50

The Year in Review: The 10 Most Valuable Insights on Independence

1/24/2019
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A curated collection of the top words of wisdom shared by wealth management industry leaders and top breakaways from the first year of the leading podcast series for advisors exploring the independent space, Mindy Diamond on Independence.

Duration:00:36:29

An Investment Banker’s Perspective on Building an RIA Firm for Maximum Value

12/13/2018
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In this podcast episode, Liz Nesvold, founder and managing partner of Silver Lane Advisors, joins Mindy to explore what it means to build your business with the end in mind, and why it’s one of the most critical directives an RIA firm owner should follow.

Duration:00:45:30

The Rewards and Risks of Independence: A Conversation with Mark Tibergien

11/29/2018
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Mark Tibergien, the CEO of BNY Mellon Pershing Advisor Solutions, shares his thoughts on the momentum towards independence, the evolving advisor mindset, what it takes to run a successful practice and much more on this podcast episode.

Duration:00:43:04

$300mm To $800mm in Just 8 Years: A Conversation with UBS Breakaway Gil Baumgarten

11/15/2018
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Gil Baumgarten, President and CEO of Segment Wealth, joins Mindy to discuss how, in the 8 short years since he launched his RIA firm, he has more than doubled his assets under management, quadrupled his take-home pay and created a “much better business” for himself and his clients. It's a story about the growth potential of an RIA and the satisfaction that comes with it.

Duration:00:34:39

The Path to Independence in Two Steps or One – With Alex Goss of Goss Advisors

11/1/2018
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Alex Goss of Goss Advisors speaks with Louis Diamond about his path to independence, starting in the wirehouse world, then on to the independent broker dealer (IBD) space before launching his own firm, now a leading platform for prospective advisors. [podcast]

Duration:00:36:20

How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox

10/18/2018
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In this podcast episode, Jim Dickson, Founder and President of Sanctuary Wealth Partners, shares the inside track on what it was like to be in a senior role in the wirehouse as bureaucracy was on the rise, and why he left behind his 20-year career to build an independent firm.

Duration:00:40:03

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

10/4/2018
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What’s inspiring folks to jump ship from where they’ve built their life’s work to pursue other firms or even business models? Find out, plus a process that will guide you to answer your own question: Do I stay or do I go?

Duration:00:14:14