Mindy Diamond on Independence: A Podcast for Financial Advisors Considering Change

46 EpisodesProduced by Mindy Diamond - Financial Advisor Recruiter and Consultant

While independence offers a great deal of freedom and flexibility, it’s not for all advisors. Financial Advisor Recruiter and Consultant, Mindy Diamond, explores the space and options available to help advisors assess if independence is right for them.

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Gaining the Technological Edge in Independence

June 27th, 2019

41:38
A Conversation with Eric Poirier, the CEO of Addepar

One of the top concerns we hear from advisors considering independence is, “How can an …

Exploring the Independent Broker Dealer Space

June 21st, 2019

47:21
A Conversation with Andrew Daniels, Managing Principal of Business Development of Commonwealth Financial Network

In 1979, Joe Deitch set out to build what he described as an “open and supportive environment where …

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

June 13th, 2019

36:26
A Conversation with Steve Schwarzbach, Founder and Managing Partner of Icon Wealth Partners

Having started his advisory career at Smith Barney in …

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

May 30th, 2019

43:30
A conversation With Margaret Dechant, CEO and founding partner of Kansas-based independent firm 6 Meridian

Former Morgan Stanley advisor Margaret Dechant had what she describes as a “self-sufficient business” at Morgan …

7 Things Advisors Need to Know About Succession Planning

May 16th, 2019

25:32
Actionable advice for all advisors – no matter what stage of your career or whether you’re seated at a wirehouse or are an independent business owner – with Louis Diamond

According to a 2018 study from the Financial …

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

May 2nd, 2019

34:52
A conversation with Chip Munn, Managing Partner at Signature Wealth Strategies

Most think of “breakaways” as those who leave the wirehouse world in search of greater freedom and flexibility and to create their own …

The Top 7 Turnkey Models that are Rocking the Independent Landscape

April 25th, 2019

16:28
Comparing and contrasting some of the most popular options available to breakaways with special guest Louis Diamond

Captive advisors who seek greater …

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

April 18th, 2019

37:44
With Rob Bartenstein, CEO of Kestra Private Wealth Services

There are plenty of advisors who want to go independent but are hesitant—beleaguered by …

Rockefeller Capital Management Demystified

April 4th, 2019

41:37
A Conversation with Chris Dupuy, Managing Director and Chief Operating Officer

Rockefeller Capital Management has become one of the hottest brands to hit the Street in decades—THE story amongst advisors serving a high …

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

March 22nd, 2019

A Conversation with Jim Gold, CEO and Founding Partner of Steward Partners

With over two decades in the wealth management industry, Jim Gold watched …

Independence for Advisors with an Offshore Client Base

March 7th, 2019

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 …

An Attorney’s Advice on Navigating Transition

February 21st, 2019

Attorney David Gehn shares his experience in working with advisors through non-Protocol moves, the challenges of terminations and hyper-compliance, …

A Diehard Merrill Advisor’s Journey to Independence

February 7th, 2019

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 …

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

January 24th, 2019

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 …

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

December 13th, 2018

In this podcast episode, Liz Nesvold, founder and managing partner of Silver Lane Advisors, joins Mindy to explore what it means to build your …

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

November 29th, 2018

Mark Tibergien, the CEO of BNY Mellon Pershing Advisor Solutions, shares his thoughts on the momentum towards independence, the evolving advisor …

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

November 15th, 2018

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 …

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

November 1st, 2018

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 …

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

October 18th, 2018

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 …

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

October 4th, 2018

14:15

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 …

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

43:59

Fidelity’s David Canter provides an inside perspective on why independence continues to be the hottest ticket in town, and what we can expect for the RIA space going forward. [podcast]

How a Legacy Merrill Team Experienced 600% Growth in 10 Years

September 6th, 2018

In this podcast episode, 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 team make the leap to …

What’s Driving the Momentum Towards Independence and Will it Continue? With Shirl Penney, Dynasty Financial Partners

August 23rd, 2018

Shirl Penney, President and CEO of Dynasty Financial Partners, joins Mindy in this episode to share insights from his own unique entrepreneurial mindset and vast industry knowledge and experience as the founder of …

Your Best Business Life: A 10-Point Exercise for Advisors

August 9th, 2018

Throughout this series, Mindy has focused mostly on what it means to be independent and how to get from here to there. In this episode, she takes a step back to look at the thought process behind a move from a very …

The Choreography of a Move to Independence – With Tim Oden from Schwab Advisor Services

July 24th, 2018

As more and more advisors consider a move to the independent space, they often express concern about the heavy-lifting such a move might require. In this podcast episode, Mindy is joined by Tim Oden, Senior Managing …

Beyond the Risk: What’s Driving Non-Protocol Advisors to Independence?

July 12th, 2018

No doubt that the breakaway movement shows no sign of abatement and, in fact, almost every day we learn of yet another advisor who has chosen to leave their traditional brokerage firm for the greater freedom and …

Building Your Business Today as if You’re Selling it Tomorrow

June 28th, 2018

After years of strong growth, many successful independent businesses find themselves at a plateau. Inorganic growth – via mergers and acquisitions …

Independent But Not Alone

June 14th, 2018

Independence may sound "isolating" to many financial advisors exploring the space. In this episode, Mindy dispels that myth, exploring how …

The Independent Advisor’s Legacy: Planning for the End Game

May 31st, 2018

Perspective breakaways and independent business owners alike often ask us about the long-term, bigger picture potential for their firm. In this episode, Nathan Bachrach of Simply Money Advisors joins Mindy to discuss …

What It Really Takes to Build an RIA Firm – with Matt Sonnen of PFI Advisors

May 17th, 2018

It’s no small task to build an RIA firm. There are some breakaway advisors willing to do the heavy lifting on their own, others do not have the capacity, time nor desire. In this podcast episode, Matt Sonnen of PFI …

Breakaway Advisor Builds Her Own Firm…And Wealth Follows

May 10th, 2018

Before independence was in vogue, Dorie Fain 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 provider. Here’s …

Why do independent advisors grow faster than their wirehouse counterparts?

April 26th, 2018

Employee advisors are often limited to organic growth alone. For those who want to meaningfully accelerate their growth and use multiple initiatives …

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? In this podcast episode, Mindy Diamond will help answer that question by walking through a real-world example …

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? In this episode, Mindy interviews an advisor who left the safety of a traditional firm in 2009 for the greater freedom and …

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 financial advisors. Special guest and industry …

What Non-Protocol Status Means for Those Considering Independence

February 6th, 2018

20:51

How will the ability to go independent be impacted by an advisor's non-Protocol status? Sharron Ash, Chief Litigation Counsel at Hamburger Law Firm, …

Show Me the Money: How Independent Advisors Monetize in the Short-Term

February 1st, 2018

16:50

While most financial advisors dream about the freedom, flexibility and control of independence, many don’t make the move because of the perceived …

Fact vs. Fiction: The True Realities of Independence for Financial Advisors

January 18th, 2018

18:27

As one of the relatively new models in the wealth management landscape, independence for financial advisors often subject to headlines and hearsay. …

A View from the Top: An Interview with Breakaway Broker Matt Celenza

January 4th, 2018

31:17

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. Join Mindy Diamond, …

The RIA Space: Freedom and Flexibility Maximized

December 14th, 2017

21:43

In this episode, Mindy explores the RIA space, for advisors with their sights set on the highest level of freedom and flexibility, plus the maximum ability to build long-term enterprise value. [podcast]

Exploring the Independent Broker Dealer Model

November 30th, 2017

22:35

In this podcast, Mindy explores the Independent Broker Dealer or IBD model offers a mix of freedom and support for advisors who want flexibility but …

How to Determine if You’ve Got the “Right Stuff” for Independence

November 15th, 2017

20:19

After exploring the origins of independence in the first episode of this series on independence for financial advisors, in this episode Mindy Diamond walks advisors through a process to help them determine if the model …

Independence: How did we get here, and where are we going?

November 2nd, 2017

15:07

In the first episode of her podcast on independence, Mindy Diamond explores the origins of the space, the backstory of its explosive growth, and introduces key players behind the momentum. She discusses key trends to be …

RIAcast interview with Mindy Diamond

September 21st, 2016

Mindy Diamond Featured in Podcast - Matt Baum interviews Mindy Diamond on his podcast series RIAcast.

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