Mindy Diamond on Independence for Financial Advisors
Independence offers a great deal of freedom and flexibility, but it’s not for all financial advisors. This show explores the space and other options to help advisors assess what’s right for them, their clients and their businesses.
Episodes
September 28, 2023 • 60 mins
The outgoing CEO of the wealthtech powerhouse shares his journey from the founding of Orion, the firm’s growth over the years, and perspectives on the future of wealth management, technology and AI, and much more.
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The Barclays breakaway discusses his 2015 landmark leap with 5 partners, 3 offices, and $3B in AUM, plus shares why he feels UHNW clients are best served in independence, what they do to drive extraordinary growth, and much more.
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September 14, 2023 • 57 mins
Rare access to one of the top-of-the-food-chain leaders who discusses the direction of Wells, how it compares to its peers, the value to HNW and UHNW clients, a perspective on recruiting and the ideal advisor type, the future of the industry, and much more.
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September 7, 2023 • 29 mins
In an active recruiting environment, advisors are eager to understand where deals are at and where they’re headed. Beyond a transition deal, how can advisors monetize their business over time – thinking about the short-, mid- and long-term – whether they are in an employee or independent model?
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August 24, 2023 • 47 mins
Evan Mayer started in the bank channel and, over time, came to the realization that he could do more to support his clients and grow the business in the independent model. Evan proved that by growing more than 3x in just 4 years.
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August 17, 2023 • 42 mins
Private equity firms are showing an enhanced interest in wirehouse breakaways, investing directly in these teams on day one. Learn what’s driving this new trend, which teams are most appealing, how it will impact movement, and more.
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August 10, 2023 • 49 mins
Marc Horner discusses how his leap to independence allowed him to think and act more creatively, connect with clients and prospects on a new level, and ultimately grow his business in ways he could not in the wirehouse world.
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August 3, 2023 • 45 mins
Caitlin Douglas, the head of transition services at Dynasty, shares the details about transitioning to independence. What advisors need to know about the supported independence model, tips on preparing for a move, key milestones, and much more.
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As a former Merrill ACTM chairperson, Andy Ferguson had an acute view of the changes taking place at the firm. He shares how that influenced his decision to opt for independence over Merrill’s retire-in-place program CTP and more.
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July 20, 2023 • 54 mins
One of the most influential people in the financial planning and investment management profession discusses what fueled his firm’s growth, the importance of financial education, the value of embracing technology, and more.
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July 13, 2023 • 37 mins
Independence allows advisors to create an unlimited menu of innovative value-add services for their clients. Employee advisors are finding ways to get in on the action. Learn specific examples of the various services offered by some of the industry’s leading independent firms.
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June 29, 2023 • 57 mins
Growing a sustainable wealth management business relies on attracting new clients while engaging current ones. The leader of the award-winning integrated marketing firm shares advice on what it takes to impact organic growth via marketing.
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June 22, 2023 • 53 mins
Craig Savage shares his journey from Goldman Sachs to Credit Suisse, why joining William Blair ultimately won out over launching an RIA, how finding the right culture has enhanced his team’s growth, and more.
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Alan Zafran and Eric Harrison, 2 of the 3 Co-CEOs and Founding Partners of IEQ Capital, discuss making 2 leaps to independence from Merrill to Luminous then First Republic to IEQ and share their journey and formula for growth they mastered along the way.
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R. Scott Bills considered himself a Merrill Lifer. But as the firm changed and the desire to build a brand and better serve their clients grew stronger, he and his team decided to make the leap to independence, launching Nilsine Partners.
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The co-founder of Gerber Kawasaki weighs in on everything from what it takes to build a $2.2B mega-RIA and the power of freedom in the independent space, on to crypto, digitization, and ETFs, plus Elon Musk and Tesla.
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May 25, 2023 • 41 mins
What does an advisor need to know when embarking upon due diligence? In the second of this 2-part series, Mindy Diamond and Jason Diamond provide the key steps to a strategic process with focused outcomes.
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May 18, 2023 • 38 mins
What is it that advisors need to be aware of before jumping into due diligence? In the first of a 2-part series, Mindy Diamond and Louis Diamond share advice on the threshold questions to ask yourself before taking meetings or calls.
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May 11, 2023 • 63 mins
CEO Brad Bueermann discusses key aspects of M&A and succession, the most important factors around multiples, valuations, and maximizing enterprise value, the future of M&A, and much more.
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Amir Monsefi describes “conflicts of interest” with the ability to serve clients and grow the business at Merrill. The former RD shares how building their own RIA allowed them the freedom to innovate and remove conflicts.
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