RIA Collective
Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com.
Episodes
In this episode, Charlie sits down with Heather Welsh, VP of Weatlth Management at Sequoia Financial Group, to discuss the importance of client-focused wealth management and the value of planning and personalization in the industry.
Heather shares her journey from advisor to wealth planner and how her firm's dedication to planning and team collaboration has allowed them to better serve their clients.
They a...
In this podcast episode, Charlie Van Derven interviews Rob Samson from Stratos Wealth Partners, a Midwest-based firm that offers independent financial advisors the opportunity to have the support they need to build their business without having to go it alone.
Rob shares his insight on the benefits of the independent side of the industry for advisors who want to have the freedom to serve their clients in the purest, most ...
Join host Charlie Van Derven as he chats with Derek Notman about life, work, and the pursuit of happiness in the financial industry. From surfing Lake Michigan to the importance of work-life balance, Charlie and Derek cover a lot of ground in this laid-back conversation. Derek shares his experience of going independent and how it has allowed him to pursue his passions beyond just serving clients. Along the way, they touch on topics...
In this episode of RIA Collective, host Charlie Van Derven speaks with George Gay, the CEO of First Affirmative Financial Network, a pioneer in socially responsible and impact investing. George discusses his journey in the financial industry and how First Affirmative has evolved to become a leader in ESG investing. He also talks about the importance of finding younger advisors to take over the business from the baby boomer generati...
Join Charlie Van Derven as he sits down with Wade Slome, a highly successful independent financial advisor and author, to discuss his journey in building his firm, Sidoxia Capital Management.
Wade shares his wisdom on navigating the industry and shares his tips on finding success as a financial advisor. Charlie and Wade discuss his books (he has written two) and how his career differed from some other professionals in the...
In this episode of RIA Collective, Mark Elzweig joins us to discuss the mechanics of making a successful transition to an independent advisor. He emphasizes the importance of due diligence and thoroughness in the process, as well as staying within guidelines and playing by the rules. Mark also highlights how the landscape of independence has shifted, making it easier and more lucrative for advisors to go independent than ever befor...
Join host Charlie Van Derven as he speaks with Alan Ray, a financial advisor with a wealth of experience in the industry. Working with senior and elderly clients, Alan has no doubt that his work significantly impacts his clients and their loved ones. Alan got his start teaching economic and financial planning at Franklin University and quickly moved to the practicing side of the industry. In 2019 he founded Square Peg in Columbus, ...
In this episode of RIA Collective, host Charlie Van Derven speaks with Paul Saad, founder of Collaboria Capital, about his journey to independence and the challenges he faced along the way. Paul discusses the importance of understanding the "why" behind the decision to go independent and the need to be true to oneself in the process. He also shares his thoughts on the importance of technology in the industry and the value...
In this episode of RIA Collective, host Charlie Van Derven is joined by financial advisor Jude McDonough to discuss the journey of transitioning from the banking world to the financial advising industry. Jude emphasizes the importance of putting the needs of your clients first, and how crucial it is to fully understand the households you are serving in order to truly act as a fiduciary. He speaks about the challenges and rewards of...
This week Charlie talks with Cary Carbonaro, Director of Women and Wealth at Advisors Capital Management. Cary has more than two decades of advising experience and has had a winding path within the world of finance. Cary spent many years in a captive environment before she made the move to RIA. However, that independence was lost when Goldman bought out her firm and Cary found herself back in a wirehouse again. The loss of independ...
This week Charlie sits down with Juan Munoz CFP®, AIF®, Founder of Life Strategy Financial.
Juan is a CFP focused on supporting his clients over anything else. Juan has worked in several different areas of the financial industry, but having the trust and confidence of his clients has always been the priority. After working several years in a traditional wirehouse environment with all the standard incentives and conflicts,...
In this episode, Charlie speaks with Stacey Hyde, Founder of Envision Financial Planning. She has moved through several areas of financial services from banking to insurance and, now, financial planning. Charlie and Stacey trace her journey through the various realms of financial services, how she proved her skills and leadership potential early in her career, and how she finally found her ideal position as a dedicated financial p...
This week Charlie talks with Johann Klaassen, the CIO at Horizons SFS.
Johann has had a unique journey to the role of RIA. He was originally in higher education at Washington University in St. Louis where he earned his Phd. in 1998. From there he entered the financial industry as an advisor and worked for nearly a decade in various captive advisor environments. However, Johann found that many of the investments pushed by ...
In this episode, Charlie speaks with Justin Long CFP®, Founder of Diazo Wealth Group.
Justin is much more than an advisor. In his own words, he is a bespoke financial concierge that truly goes above and beyond to support his clients in every aspect of their lives. Rather than just working with his clients on their investments or financial plans, Justin takes pride in being a one-stop shop for every life need that his clie...
Today Charlie sits down with John Gehri, VP at Harvest Financial Advisors.
They talk about John's journey through different areas of the financial industry, how he ended up with Harvest Financial, and how, with his help, clients can master their financial fortunes. John is a fiduciary that is painstaking in his efforts to leave no stone unturned on behalf of his clients. He gathers all possible information for his cl...
This week on RIA Collective, Charlie talks with Marc Aarons, the founder of Money Managers Inc.
They discuss Marc's history in the automotive sales field, the struggles of that role, and how becoming an advisor and, later, a true fiduciary, has reduced his stress and given him an opportunity to truly support his clients every day.
Marc Aarons
Linkedin: https://www.linkedin.com/in/ocmoneymanagers/
Web...
Today Charlie sits down with Bob DePasquale, founder of Initiate Impact, a firm that provides purpose-driven families with modern financial management in a transparent and unbias fashion.
Charlie and Bob talk about his history in the broadcast industry, a mutual love of sports, and Bob's journey to becoming independent. His story has many twists and turns on the way to independent financial advisor, but the world is ...
This week Charlie sits down with McKenzie Frankel, a principal at Entrust Financial.
McKenzie was called to be an investment advisor since she was in grade school. Always interested in money, McKenzie's interest grew into a true passion to help people make the right financial decision at every step and in every area.
Charlie and McKenzie discuss her time working within the captive financial environment and ...
Jeff's career has had a number of unexpected twists and turns. He has worked in an independent space and as a captive advisor. He has built a book of business in wealth management and helped a lot of companies with their benefits packages.
If you want to learn from those who have come before you, listen to this RIA Collective interview with Jeff Barnes. Jeff will give you a great perspective on the many opportunities within the...
In this episode of RIA Collective, Rachael Burns shares the life-changing events that led her to leave a successful team at Ameriprise to start her RIA, True Worth Financial Planning.
When we're young, we may not understand how precious our time is. For Rachael, family health issues made her take inventory of life and understand that starting her RIA created the flexibility she needed.
Charlie and Rachael talk about her experien...
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