The Diamond Podcast for Financial Advisors

The Diamond Podcast for Financial Advisors

Launched in 2017 as Mindy Diamond on Independence, the show has taken on a broader perspective beyond the independent space to include topics, insights, and candid conversations around financial advisor transitions, growth, and an ever-changing industry landscape. Each episode is designed to offer objective guidance and actionable advice with some of the industry’s brightest movers and shakers.

Episodes

The Transition Roundtable: Merrill, UBS, Wells, and Morgan Advisors Reflect on Their Paths

November 20, 2025 • 50 mins
In this replay of an engaging live webinar, four advisors who left Merrill, UBS, Wells, and Morgan Stanley share what tipped the scale, what surprised them, and what they wish they’d known before making a move.
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From Merrill to Rockefeller: A Journey of Exclusive Access and Extraordinary Growth

November 13, 2025 • 55 mins
After 18 years at Merrill, Neil Rubinstein and his team joined Rockefeller Global Family Office, finding a platform purpose-built for ultra-high-net-worth clients and redefining what “exclusive access” and extraordinary growth can look like for elite advisors.
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A Prescription for Independence: A Merrill Breakaway’s “Financial Physician” Approach to Client Care and Growth

November 6, 2025 • 52 mins
Alex Markowitz, a former Merrill advisor, shares how independence gave him freedom to build a firm defined by empathy, collaboration, and a “financial physician” approach to client care.
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How to Avoid the Dreaded TRO: Legal Strategies for Advisors in Transition

October 30, 2025 • 46 mins
As TROs and lawsuits make headlines, two top attorneys who specialize in transitions share how advisors can minimize risk, protect client relationships, and make a clean move with confidence.
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Rise and Reinvent: Joe Duran on Building and Rebuilding World-Class Firms

October 23, 2025 • 63 mins
Having built and sold two world-class firms, the founder of Rise Growth Partners shares lessons on leadership, innovation, and how growth requires constant reinvention.
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Life After Edward Jones: How One Advisor Built a Lean, Focused Independent Firm

October 16, 2025 • 49 mins
Former Edward Jones advisor Steve Davis shares how he built a lean, focused independent firm with LPL and what freedom really means.
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Sanctuary 2.0: How Adam Malamed Is Reframing Growth with Advisor Autonomy

October 9, 2025 • 56 mins
The CEO of Sanctuary Wealth shares how the firm doubled in size, redefining supportive independence and advisor growth in wealth management.
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The Advisor Transition Playbook: Inside Baseball on Due Diligence, the Move, and Everything In Between

October 2, 2025 • 46 mins
A guide to advisor transitions: due diligence, culture, deals, client comms,and lessons from the $129B Merrill breakaway.
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The $129B Blockbuster Move: Shirl Penney on Why This Transition Marks a New Era for the Industry

September 29, 2025 • 38 mins
A $129B team left Merrill to launch OpenArc Corporate Advisory, the largest breakaway in industry history. In this special episode, Dynasty’s Shirl Penney joins Louis Diamond to share an inside perspective on why the deal is about more than scale, what drove the move, and how it signals a new era for independence and the industry at large.
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Running It Back: What It Takes to Build a Multi-Billion-Dollar Firm—Twice

September 25, 2025 • 50 mins
Few advisors build a multi-billion-dollar RIA. John Krambeer has done it twice. In this candid conversation, the Validus Capital CEO reflects on his journey, how independence has evolved, and the hard-won lessons that guide him now.
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Balancing Scale and Service: CEO Mike Durbin on Growth and Cetera’s Future

September 18, 2025 • 54 mins
The CEO of Cetera Financial Group shares insights on independence, private equity, and balancing scale with service, plus what the future holds for advisors and firms.
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2025 Mid-Year Report on Deals, Transitions, and Recruiting A Special Industry Update

September 11, 2025 • 41 mins
A special mid-year update with Jason and Louis Diamond on deals, transitions, and recruiting trends shaping 2025—and what advisors can expect in the months ahead.
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Not Just Charity: How Donor Advised Funds Help Advisors Add Value and Assets

August 28, 2025 • 31 mins
Julia Healey, CEO of United Charitable, shares insights on DAFs, their value to clients, and the potential positive impact they can have on an advisor’s business.
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Doing Well by Doing Good: A UBS Breakaway on Building a $2.9B Mission-Driven Enterprise

August 21, 2025 • 50 mins
Ben Valore-Caplan, founder of Syntrinsic, shares how he built a $2.9B mission-driven RIA to serve foundations, endowments, and values-driven institutions, the evolution of impact & ESG investing, why he sold to IMA Financial Group, and more.
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Attracting, Advising, and Advancing Women: A Guide for Forward-Thinking Firms

August 14, 2025 • 51 mins
Cary Carbonaro learned from her own experience that there was both a gap and an opportunity in attracting and retaining women clients and advisors. In this episode, Cary shares specific advice on what firms are doing wrong and how they can get it right.
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Firms That Win in 2025: What Advisors Are Really Looking For

August 7, 2025 • 51 mins
With advisor expectations evolving, not all “good firms” are winning the talent. Mindy and Louis Diamond share what today’s top advisors really value—and why some firms are standing out while others fall short.
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When Values No Longer Align: An Ex-Wells Fargo Advisor’s Leap to Independence

July 31, 2025 • 38 mins
Brian Pultman discusses why he chose independence over taking a wirehouse transition deal. However, as he candidly shares, building your own RIA is not always a smooth process, yet it resulted in aligning his values while building $1B+ Correct Capital Wealth Management.
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Limitless Growth: Building the Business You Want and the Life to Match

July 24, 2025 • 68 mins
Stephanie Bogan, founder of Limitless Advisor, offers a glimpse into the advice and perspective she shares with advisors and business leaders in the wealth management world, focusing on mindset and methods, and their relationship to achieving one’s best business life.
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Growth from Practice to Enterprise The Evolution of an Ex-Wirehouse Advisor’s $3B Business

July 17, 2025 • 47 mins
Joel Guth shares how stepping out from under the Hightower umbrella to become a fully independent RIA opened up a new world of opportunity for his firm Gryphon Financial Partners. He shares how that transition allows them to create a $3B firm designed around turning client problems into opportunities.
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The Seamless Path to Independence: A Billion-Dollar RIA’s Evolution

July 10, 2025 • 52 mins
Tony Parr shares the journey of Parr McKnight Wealth Management Group, a team that built their practice at Wells Fargo Private Client Group and leveraged the firm’s independent channels to achieve a “frictionless” launch of their RIA.
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