The Rewards and Risks of Independence: A Conversation with Mark Tibergien
November 29th, 2018
An episode for all members of the wealth management community—from those at wirehouse firms to independent business owners.
Mark Tibergien, the CEO …
$300mm To $800mm in Just 8 Years: A Conversation with UBS Breakaway Gil Baumgarten
November 15th, 2018
How nearly a decade of exploration and planning paid off for an advisor looking to build a “real” fiduciary model for his clients.
For many advisors, it takes some time to get comfortable with considering a move to …
The Path to Independence in Two Steps or One – With Alex Goss of Goss Advisors
November 1st, 2018
Featuring guest host Louis Diamond
Not every wirehouse advisor who moves to independence makes the break in one move: Sometimes, the road involves a …
How This Former Merrill Insider Once Drank the Kool-Aid, Then Set Out to Build a Better Toolbox
October 18th, 2018
A Conversation with Jim Dickson, Founder and President of Sanctuary Wealth Partners
Jim Dickson, a former Merrill Lynch division leader, joins Mindy …
Push vs. Pull: Understanding – and Responding to – the Key Drivers Behind a Move to Independence
October 4th, 2018
What’s inspiring folks to jump ship from where they’ve built their life’s work to pursue other firms or even business models?
By our count, of the 19 …
Mindset, Motivation and Momentum: What’s really driving all the movement to independence with David Canter, Head of Fidelity’s RIA Segment
September 20th, 2018
An inside perspective on why independence continues to be the hottest ticket in town, and what we can expect for the space going forward
David Canter, Executive Vice President and head of the RIA segment at Fidelity …
How a Legacy Merrill Team Experienced 600% Growth in 10 Years
September 6th, 2018
Special Guests Bill Loftus of Coastal Bridge Advisors and Mark Dupont of Focus Financial Partners provide an “outside-in” look at how a capital partner helped this RIA make the leap to independence—and achieve amazing …
What’s Driving the Momentum Towards Independence – And Will it Continue? A Conversation with Shirl Penney, Dynasty Financial Partners
August 23rd, 2018
An insider’s guide to what it takes to get from here to there in the independent space.
Shirl Penney, President and CEO of Dynasty Financial Partners, joins Mindy to share insights from his own unique entrepreneurial …
Your Best Business Life: A 10-Point Exercise for Advisors
August 9th, 2018
An exercise that guides you through looking at the thought process behind a move from a different vantage point.
Throughout this series, Mindy has focused mostly on what it means to be independent and how to get from …
The Choreography of a Move to Independence – With Tim Oden from Schwab Advisor Services
July 24th, 2018
An inside view of the growth of the independent space—and what advisors need to do to make their own move successful.
As more and more advisors …
Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?
July 12th, 2018
Why are advisors not protected by the Broker Protocol – and sometimes facing significant garden leave – willing to take on the added risks to become …
Building Your Business Today as if You’re Selling it Tomorrow
June 28th, 2018
Why is M&A so important? And how do you best position your firm for M&A success?
After years of strong growth, many successful independent …
Independent But Not Alone
June 14th, 2018
Is it possible to find support, synergy and community in the independent space?
Advisors often worry that independence means isolation. Is it …
The Independent Advisor’s Legacy: Planning for the End Game
May 31st, 2018
Every independent business owner will reach a point where gaining scale and solving for continuity and succession become paramount. It’s then that …
What It Really Takes to Build an RIA Firm
May 17th, 2018
It’s no small task to build a firm from scratch. And while there are some breakaway advisors willing to go it alone, others aren’t even aware of where to start.
In this episode, Mindy is joined by Matt Sonnen of PFI …
Breakaway Advisor Builds Her Own Firm…And Wealth Follows
May 10th, 2018
Before independence was in vogue, this advisor left the comfort and familiarity of a big-name firm – plus significant chips on the table – to build her own RIA. And she did it without leveraging a service …
Why do independent advisors grow faster than their wirehouse counterparts?
April 26th, 2018
Drilling down to what’s behind the turbo-charged growth in the independent space, and how those same factors help improve client service
Employee advisors are often limited to organic growth alone—that is, adding one …
A Multi-Generational Indy Breakaway Story
April 12th, 2018
At a time when many other advisors would be focused on retirement, this senior advisor and his team took “the road less traveled” in order to better …
Quasi-Independence: The Sophisticated Independent Model that Offers the Best of All Worlds
March 29th, 2018
Many advisors who explore full-on independence find that it’s just too much of a leap. For those folks, the quasi-independent space may be just the …
Dollars and Sense: How a Move to Independence Really Adds Up
March 15th, 2018
How do the economics of going independent compare to the value of taking a recruiting deal from a major firm?
The number one question advisors ask when exploring a move to independence is how the economics compare to …
Trust in Yourself: Taking a Leap of Faith to Build an Enduring Legacy in the Independent Space
March 1st, 2018
How do advisors who move to independence overcome their concerns about making the leap?
Many advisors considering a move to independence don’t have access to peers who actually made the leap and will candidly describe …
The Bigger Picture for Independent Advisors: How to Monetize Your Life’s Work in the Long-Term
February 15th, 2018
While the freedom and flexibility of the independent space is attractive to many, it’s the long-term economic potential that’s the real draw for entrepreneurial-minded advisors.
An expanded landscape has paved the way …
What Non-Protocol Status Means for Those Considering Independence
February 6th, 2018
A discussion about the effects of Protocol withdrawal with Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm
The withdrawal of Morgan …
Show Me the Money: How Independent Advisors Monetize in the Short-Term
February 1st, 2018
While most advisors dream about the freedom, flexibility and control of independence, many don’t make the move because of the perceived downside in …
Fact vs. Fiction: The True Realities of Independence for Financial Advisors
January 18th, 2018
It’s often not easy to separate reality from myths and untruths—and this is especially true in the independent space. As one of the relatively new models in the wealth management landscape, it’s often subject to …
A View from the Top: An Interview with Breakaway Broker Matt Celenza
January 4th, 2018
What drives a wirehouse advisor to make the leap to independence? And what happens once they get to the other side? Hear it first hand in this one-on-one interview with breakaway broker Matt Celenza.
Many advisors come …
The RIA Space: Freedom and Flexibility Maximized
December 14th, 2017
Advisors with their sights set on the highest level of freedom and flexibility, plus the maximum ability to build long-term enterprise value, owe it to themselves to take a closer look at the RIA model.
In this episode, …
Exploring the Independent Broker Dealer Model
November 30th, 2017
The Independent Broker Dealer or IBD model offers a mix of freedom and support for advisors who want flexibility but also to retain some of the …
How to Determine if You’ve Got the “Right Stuff” for Independence
November 15th, 2017
How to strategically determine if independence is a good path for you.
After exploring the origins of independence in the first episode of this series on independence for financial advisors, Mindy Diamond walks advisors …
Independence: How did we get here, and where are we going?
November 2nd, 2017
Independence is not for all financial advisors, but it’s a topic everyone wants to learn more about.
In the first episode of her podcast on independence for financial advisors, Mindy Diamond explores the origins of the …
RIAcast interview with Mindy Diamond
September 21st, 2016
September 21, 2016
Podcast interview with Mindy Diamond
Matt Baum interviews Mindy Diamond on his podcast series RIAcast
Listen in as Mindy shares …