In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Eric Runge, founder of Family Office Bitcoin, who breaks down his firm’s approach to risk-managed Bitcoin exposure, including downside-protected ETF strategies, and explains why he draws a sharp line between Bitcoin and the broader crypto market.  Runge also touches on portfolio construction, family office dynamics, and the realities of building trust in institutional circles. 

Key Takeaways:

→ When advisors offer the same portfolios and products, it becomes difficult to differentiate and demonstrate unique value to clients.  

→ Breaking away from traditional firms allows advisors to choose their own strategies, vendors, and direction. 

→ A distinction is made between Bitcoin and the broader crypto market, with Bitcoin seen as a unique asset due to its scarcity and structural properties. 

→ Using tools like downside-protected ETFs and risk signals allows advisors to participate in Bitcoin’s upside while attempting to reduce volatility.

→ Institutional clients prioritize governance, trust, and long-term capital preservation, often evaluating the advisor as much as the strategy.

Eric Runge is the founder of Family Office Bitcoin, a Registered Investment Advisor serving family offices managing $50M+ in assets. He doesn't pitch crypto. He builds institutional-grade Bitcoin portfolios designed for the kind of long-term capital allocators who measure success in generations, not quarters. 

Connect With Eric:

Website:  https://familyofficebitcoin.com/

LinkedIn: https://www.linkedin.com/in/eric-runge-veritas/

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In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Nathaniel “Nat” Guild, founder and president of Apex Equity Research LLC, who discusses one of the most overlooked risks in modern portfolio building: hidden concentration risk. Nathaniel also explains why safeguarding against losses, rather than simply pursuing gains, is the real secret to long-term investing success. He further examines how passive strategies and the rapid growth of private and shadow assets are creating hidden structural risks that many advisors and clients fail to see. 

Key Takeaways:

→ The most important factor in investing isn’t maximizing returns; it’s avoiding major drawdowns that can permanently impair capital.

→ Seven to ten stocks now dominate major indexes, meaning many “diversified” portfolios may be far more concentrated than advisors realize.

→ The rise of index funds combined with growth in private assets creates distortions that can amplify volatility and reduce true diversification.

→ Diversifying information intake is just as important as diversifying portfolios.

→ Short-term media narratives often distract from meaningful long-term risks.

Nathaniel “Nat” Guild is the founder and President of Apex Equity Research LLC, established in 2011 to provide rigorous investment research to financial institutions, fund managers, and fiduciaries seeking clarity in U.S. equities. Known for pinpointing critical risk factors that help long-term investors cut through market noise, Nat has advised some of the largest mutual and hedge funds in the industry. His previous firm, Short Alert, earned a Barron’s cover story for exceptional performance, and his insights have appeared in Fortune, SmartMoney, and The Wall Street Journal. In May 2025, he launched Market Risks, a semi-monthly newsletter that breaks down complex financial data and global events into clear, actionable insights for disciplined investors. 

Connect With Nathaniel:

Website:  https://apex-equity-research.com/

LinkedIn: https://www.linkedin.com/in/nathaniel-guild-b583831/

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On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Marc Adams, founder of Acquisitions4U, who shares a deeply personal story that transformed his approach to private equity and business growth.  After being diagnosed with stage four cancer during the pandemic and told he had just six months to live, Marc was confronted with a life changing question from his 10-year-old son about what happens to business owners who never get to sell. That moment became the catalyst for the Double and Keep It Framework, designed to help founders of sub-$50 million companies dramatically increase enterprise value. Without giving up equity or taking on burdensome debt, Marc shows entrepreneurs how to exit with significantly more capital. This episode is a masterclass on purpose driven capital, smarter exits, and rethinking how founders truly monetize what they have built. 

Key Takeaways:

→   Nine out of ten privately held businesses never achieve the valuation owners expect or fail to sell at all. This is often due to poor exit planning and fee erosion. 

→   A business generating $750K in EBITDA may only command 1–2x multiples, but when aggregated into a larger $5M+ EBITDA group, valuation multiples can expand dramatically. 

→   Waiting until you’re “ready to retire” often means discovering too late that taxes, fees, and valuation discounts can erode 30–50% of the sale proceeds. 

→   No Equity Dilution, No Debt Servicing 

→   Pivoting from traditional private equity to founder-focused value creation was fueled by personal adversity and a commitment to helping families secure financial futures. 

Marc Adams is a strategy mentor and business-exit planner who helps founder-led companies double enterprise value in 12–24 months and structure tax-efficient exits—without heavy dilution or personal guarantees. He’s helped take a company from roughly $140M to a $1B valuation and led a loss-making $18M-revenue business to a $140M exit. A bestselling author with Times Square features, Marc works closely with family offices and private capital, giving founders a practical, buyer-aligned playbook for value creation, clean diligence, and better after-tax outcomes. 

Connect With Marc:

Website:  https://acquisitions4you.com/

LinkedIn: https://www.linkedin.com/in/1marcadams/

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On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with CPA and entrepreneur Sean Duncan, founder of SMD Consulting & Accounting, who shares his unconventional journey from preparing for a career in the FBI to sparking a reinvention of the traditional CPA model.  Instead of stopping at compliance, Sean built a subscription-based, holistic advisory firm that brings together tax strategy, wealth management, insurance, and legal coordination to deliver a true family office experience for everyday clients. He shares powerful insights on building a purpose-driven business, scaling with culture, and turning accounting into a strategic engine for growth. 

Key Takeaways:

→ Career purpose matters more than titles.

→ Traditional accounting leaves opportunity on the table.

→ SMD thrives with solo and small-group medical practices, particularly surgeons, who earn significant income but are often underserved by traditional family offices. 

→ Moving to fixed-fee, subscription-style services eliminates billable-hour friction and encourages deeper client engagement. 

→ Leading with tax strategy and integrated wealth management through partnerships creates a comprehensive solution for high-earning professionals. 

Sean M. Duncan has built a powerful reputation as a thought leader in the accounting industry by championing proactive strategy, education, and real-world guidance over routine tax preparation. Through SMD Consulting and Accounting, LLC, he operates on the belief that business owners and individuals need forward-thinking advice as much as they need financial compliance. With more than 25 years of experience, Sean shares his deep expertise in tax strategy, wealth building, asset protection, legacy planning, and philanthropy through conferences, private seminars, client advisory, and mentorship, all driven by a passion for helping others achieve lasting success. 

Connect With Sean:

Website: https://smdaccounting.com/

LinkedIn: https://www.linkedin.com/in/sean-m-duncan-cpa/

Facebook: https://www.facebook.com/SMDConsultingAndAccounting

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In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Tom McCarthy, Chief Distribution Officer at DPL Financial Partners. He discusses the quiet yet powerful shift transforming the RIA space through the modernization of annuities. They explore how 1035 exchanges are unlocking billions in legacy commission assets, how advisors can convert outdated products into recurring advisory revenue, and why education remains the biggest barrier to adoption. For RIAs navigating independence, mergers and acquisitions, or enterprise valuation, this conversation provides timely insights into how annuities are evolving into strategic planning tools instead of traditional sales products. 

Key Takeaways:

→ The advisory model is no longer limited to investments. Modern annuities now support fee billing, liquidity, and tax efficiency, aligning with the RIA model.

→ Through 1035 exchanges, advisors can convert commission-based annuities into advisory-fee structures.

→ Commission revenue can complicate valuations and M&A deals. Converting legacy commission books into advisory assets enhances firm valuation and deal flexibility.

→ Many RIAs still associate annuities with high costs, illiquidity, and a sales culture, not realizing the product has significantly modernized.

→ DPL allows advisors to fully detach from broker/insurance licenses while maintaining advisory economics on legacy annuity books, removing a major barrier to independence.

Tom McCarthy is the Chief Distribution Officer at DPL Financial Partners, where he leads sales and distribution strategies to drive growth in advisory-focused insurance and structured solutions within the RIA and wealth management sectors. Previously, he served as EVP and Head of Wealth Sales at Orion Advisor Solutions, overseeing significant asset growth, doubling RIA adoption of wealth services, and securing key enterprise integrations. Before that, he spent over 20 years at AssetMark, helping grow the firm from $1B to more than $100B in AUM and guiding it through a successful IPO.  

Connect With Tom:

Website: https://www.dplfp.com/

LinkedIn: https://www.linkedin.com/in/tomwmccarthy/

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On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Michael Jans, Founder of The Society of Insura-Preneurs, Creator of the AI Growth Academy, and Co-Founder of Agency Revolution. Michael shares insights from his 30-year journey in the property, casualty, and financial services industries. He shares lessons from building and selling one of the leading marketing automation platforms in insurance and reveals what is next in his AI-driven evolution. In a live walkthrough, he builds a complete cross-sell campaign in under 40 minutes! Tune in to this masterclass on leveraging AI to scale without sacrificing personalization. 

Key Takeaways:

→ AI is only as powerful as the strategy behind it.  

→ Using tools such as the Lead Magnet Machine, Email Genius, Message Multiplier, and Post Promoter, advisors can rapidly and systematically create multi-channel campaigns. 

→ Data-driven email copy dramatically improves performance. 

→ One core piece of content can be transformed into videos, podcasts, LinkedIn posts, carousel graphics, and surveys. 

→ Constraints can become strategic assets.

Michael Jans is a leading business and marketing coach for insura-preneurs ready to grow faster, earn more, and build agencies designed for long-term value rather than burnout. For more than twenty years, he has helped insurance agency owners evolve from income-driven operations into scalable, equity-focused businesses built for valuation and lasting impact. As founder of Insurance Profit Systems, The Quantum Club, Agency Revolution, and the Annual Insurance Marketing Boot Camp, and now the founder of The Society of Insura-Preneurs and creator of the AI Growth Academy, Michael equips agency leaders with AI-enabled systems that accelerate growth while expanding freedom and legacy. 

Connect With Michael:

Website: https://www.insura-preneur.com/ 

LinkedIn: https://www.linkedin.com/in/michaeljans/

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On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Kelly, Founder and CEO of Black Dog Venture Partners, who shares his extensive experience in venture capital, having raised billions and facilitated over 30 successful exits. From his early days as a stockbroker to founding one of the largest investor syndicates in the tech space, Scott's journey offers invaluable insights into the rapidly evolving investment environment. Tune in as Scott discusses how AI is reshaping investment strategies, how startups can succeed in a competitive market, and the future of venture capital.

Key Takeaways:

→ Strong outcomes often stem from early positioning, strategic networking, and aligning founders with the right investors.  

→ Well-curated pitch forums create efficient deal flow, surface high-quality founders, and accelerate trust between investors and operators.  

→ Companies that generate real revenue attract better capital, partners, and exit opportunities.  

→ Today’s investors must adapt to new technologies, faster cycles, and more competitive deal environments. 

→ Referrals and long-standing relationships consistently yield stronger investments than transactional deal sourcing.  

Scott Kelly is the Founder and CEO of Black Dog Venture Partners, a national accelerator helping disruptive startups secure funding, forge strategic partnerships, and scale with executive support. With more than 20 years of experience across venture capital, marketing, sales, and leadership, Scott has guided hundreds of companies by leveraging a powerful network of over 13,000 investors and 40,000 business partners.

He also produces VC Fast Pitch, a premier national event series that connects high-growth startups with top-tier investors. Beyond building companies, Scott is a college professor, mentor, and champion of leadership and personal development, sharing the journey with Melvin, the beloved black dog who inspired the brand.

Connect With Scott:

Website: https://blackdogventurepartners.com/

LinkedIn: https://www.linkedin.com/company/blackdogventurepartners/ Twitter/X: https://x.com/BlackDogCEO

Instagram: https://www.instagram.com/blackdogceo

Facebook: https://www.facebook.com/blackdogventurepartners

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On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews William Huston, Founder and General Partner at Bay Street Hospitality, who discusses his journey from a call center business to creating global hospitality-focused funds designed to deliver high yields through quant-driven strategies. William shares deep insights into hospitality investment, covering topics from student housing in Hong Kong to tourism growth in India, and how his firm’s data-driven approach maximizes returns for institutional investors. He explains how combining local market intelligence, government partnerships, and strategic acquisitions has enabled Bay Street to scale rapidly while maintaining high-quality service for asset owners, operators, and developers worldwide.

Key Takeaways:

→ Long-term success depends on backing proven operators and developers—not just attractive properties.

→ Student housing shortages in Hong Kong, India’s tourism boom, and Australia’s Olympic-driven infrastructure investments all represent distinct, time-sensitive market drivers. 

→ The same disciplined frameworks used in wealth management, including risk assessment, alignment, and scalability, can be successfully applied to hospitality.

→ Hospitality is an experience-driven business, shaped by human connection, culture, and memory.

→ Growth should align with life priorities.

In 2018, William Huston founded Bay Street Hospitality, where he currently serves as General Partner. Bay Street started as a call center based in El Salvador, structured as an LLC, serving his own investment fund rather than other companies' clients. The firm operates globally across public and private markets and applies a proprietary quantamental investment framework that integrates quantitative scoring models with fundamental underwriting discipline and targets hospitality operators, developers, and asset owners, offering equity, credit, and hybrid capital solutions. In May 2025, Huston launched a $430 million hospitality investment fund aimed at combining financial returns with positive social impact, targeting underinvested hotel markets globally, with a particular emphasis on India’s fast-growing tourism sector.

Connect With William:

Website: https://www.baystreethospitality.com/ 

LinkedIn: https://www.linkedin.com/in/huios/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jennifer des Groseilliers, CEO of The Mather Group, who shares how her path from Vermont to law school to leadership roles at Ameriprise, MetLife, and a MassMutual franchise ultimately led her to the helm of The Mather Group, a $16 billion fee-only RIA. As a key leader at The Mather Group, Jennifer oversees a 190-person team, 40 wealth advisors, and a growth engine built on 23 acquisitions, an integrated planning platform, and a niche focus on Fortune 200 executives nearing retirement. She discusses leadership development, behavioral finance, and the rise of AI in wealth management—explaining why “advisor intelligence” is now the real differentiator for firms that want to win the next decade.

Key Takeaways:

→ How taking over compliance, portfolio management, and back-office operations for acquired firms frees advisors to focus on client-facing work and deep planning.

→ Why it’s essential to bifurcate sales and advice and how that structure enhances both growth and advisor effectiveness.

→ How AI is creating a vortex of change in financial services and why advisor intelligence around values, behavior, and trust matters more than ever.

→ Why The Mather Group sees itself as an integrator, not an aggregator.

→ How carefully refined and consistent platform allowed the firm to scale to roughly $16 billion in AUM.

Jennifer des Groseilliers is the Chief Executive Officer of The Mather Group. Jen cultivates a collaborative culture through inclusive and supportive leadership. Her unwavering commitment to keeping clients at the center of all efforts drives her approach. Jen’s extensive professional experience includes serving as a Managing Partner in the MetLife Premier Client Group in 2013, leading a team of over 160 financial advisors. She became the CEO of MassMutual Illinois in 2016 and, in 2020, after a merger with WestPoint Financial Group, assumed the role of Partner and Chief Experience Officer, leading various departments, including Investments, Compliance, Practice Development, and Financial Planning.

Connect With Jennifer:

Website: https://www.themathergroup.com/

Instagram: https://www.instagram.com/officialtmgwealth/

Facebook: https://www.facebook.com/TMGTheMatherGroup

LinkedIn: https://www.linkedin.com/in/jenniferadesgroseilliers/

https://www.linkedin.com/company/themathergroup

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Joseph DaGrosa, Jr., Chairman and CEO of Axxes Capital, who explains how his career evolved from auditing at a wirehouse to partnering with an early leveraged buyout pioneer and ultimately building Axxes Capital to open private equity and private credit to the mass affluent accredited investor market. He also shares why interval funds, rigorous sub-advisor due diligence, and his new educational resource, The Financial Advisor’s Guide to Private Investments, are helping RIAs bring institutional-style private allocations to a broader client base.

Key Takeaways:

→ Why the accredited investor segment represents a massive, historically underserved opportunity for private investments.

→ How the rules of the Investment Company Act of 1940 limit traditional private equity vehicles.

→ How Access Capital structures registered vehicles to bring private equity and private credit access to mass affluent accredited investors.

→ What interval funds are, how their semi-liquid structure works, and why they may be a fit for long-term investors who want private exposure with periodic liquidity.

→ Why RIAs and RIA aggregators are turning to outsourced CIO relationships to help them evaluate and implement private investments at scale.

Joseph DaGrosa, Jr., is the Chairman and CEO of Axxes Capital. Mr. DaGrosa has over 30 years of private equity experience successfully investing in multiple industries, including insurance (where he served as Co-CIO), retail, food & beverage, real estate, hospitality, healthcare, aviation, and sports & entertainment. He is a recognized industry authority and the co-author of The Financial Advisor’s Guide to Private Investments, a book designed to provide advisors with access, insight, and confidence as they navigate the growing private markets landscape. Mr. DaGrosa also serves as Chairman of the private equity firm DaGrosa Capital Partners LLC, a Miami-based private equity firm that is focused on control and influential minority investments in exceptional companies located throughout the United States.

Connect With Joe:

Website: https://axxescapital.com/

X: https://x.com/joe_dagrosa

LinkedIn: https://www.linkedin.com/in/joseph-dagrosa-jr-59415934/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Mitch Hamer, Founder and Lead Advisor at Intersecting Wealth, who shares how his psychologically informed approach helps high-net-worth families navigate money across multiple generations. Drawing on his background in psychology, Mitch explains why the most impactful conversations rarely revolve around spreadsheets and how “life-informed” planning better reflects clients’ real goals, stories, and risk capacity. He also discusses evolving the business from a trusted practice into an enduring enterprise while adapting to AI, shifting client expectations, and a rapidly changing wealth landscape.

Key Takeaways:

→ How life, psychology, behavior, and money shape every client’s decision.

→ More client breakthroughs come from conversations about biases, fears, and dreams than from portfolio models.

→ How estate planning, account titling, and goal-setting are often underserved, and each entity in a complex family structure deserves its own balance sheet with clear objectives.

→ What life-informed planning looks like in practice and why a one-size-fits-all model can cause advisors to miss what truly matters to clients.

→ Why LinkedIn and content creation are key to Intersecting Wealth’s next chapter.

Mitch Hamer is the Founder and Lead Advisor at Intersecting Wealth. He values guiding families through the comprehensive financial planning process. Given his approach, which is more psychological and behavioral than financial, Mitch enjoys helping families zoom out on what gets too much attention, zoom in on what is largely ignored by advisors, and then pull it all together. He finds being on the journey with families as they find clarity around their goals and dreams, and supporting them in implementation, uniquely rewarding. Prior to founding Intersecting Wealth in 2024, Mitch spent the previous eleven years as a Financial Advisor to high-net-worth individuals and families.

Connect With Mitch:

Website: https://intersectingwealth.com/

LinkedIn: https://www.linkedin.com/in/mitchellphamer/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Tyson Ray, CFP®, CExP®, CIMA®, CEO and Founding Partner of FORM Wealth Advisors, who shares how an eviction notice on his family’s fridge shaped a mission-driven approach to money. As the author of The Total Relationship and the forthcoming Total Succession, Tyson explains why real advisory work starts with family, occupation, recreation, and mission—not pie charts, past performance, or product pitches. He shares insights into scaling past a billion in assets, fixing painful missteps with clients and the team, and preparing both families and advisors for the next great wave of wealth transfer.

Key Takeaways:

→ How FORM Wealth Advisors structures reviews and planning to reflect the actual shape of a client’s life.

→ Why advisors stop selling last week’s winning lottery numbers and start owning real-life responsibility for clients.

→ How FORM Wealth Advisors serves every branch of the family tree and why that has been vital to the firm’s growth.  

→ Why cutting “smaller” clients can erode trust in a close-knit community.

→ How inheritances split one large relationship into many smaller ones.

Tyson Ray, CFP®, CExP®, CIMA®, CEO, and Founding Partner of FORM Wealth Advisors, has developed extensive expertise in investment management, financial planning, and business exit strategies, earning recognition from Forbes, Barron’s, and AdvisorHub as a top advisor. Tyson also actively contributes to his community through philanthropic initiatives, including Children’s World Impact.

His journey began at Badger High School, where, as a sophomore, he invested $100 in mutual funds, sparking a lifelong passion for financial strategy. After graduating from the University of West Florida, he returned to Southern Wisconsin to launch his career in financial services. Tyson enjoys spending time with his wife and three children, as well as hunting, fishing, playing golf, and exploring the outdoors.

Connect With Tyson:

Website: https://totalsuccession.com/

LinkedIn: https://www.linkedin.com/in/tysonray/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Andrew D. Mirolli, CEPA®, Co-Founder and Managing Partner at buyAUM.com, who explains how his company acts as a “financial matchmaker,” helping financial advisors plan their succession or sale to the right buyers. Drawing from over a decade in private equity and capital raising, Andrew shares insights on how to approach succession planning, what impacts valuations, and how technology like AI and blockchain is shifting the industry. If you’re a financial advisor thinking about the future of your practice, this episode provides invaluable advice on making your business more marketable and transferable.

Key Takeaways:

→ How buyAUM.com matches financial advisors with the right buyers.

→ Why buyAUM.com focuses on deep conversations and understanding the seller’s needs.

→ How the surge in market consolidation has increased seller fatigue, making a personalized approach to matchmaking even more important.

→ Why AI and blockchain are changing the financial advising landscape, especially in managing client relationships and valuations.

→ How asking the right questions can help clients discover their ideal succession plan.

Andrew D. Mirolli, CEPA®, is Vice President at buyAUM.com, where he helps independent RIAs and advisory teams design client-safe successions and growth-minded partial equity transactions. He partners with firm owners to evaluate strategic options—full exits, mergers, or “sell & grow” structures—then builds operator-grade playbooks around valuation levers, documentation, and client communications that protect trust, culture, and enterprise value. Drawing on experience with solo practices and multi-partner firms, Andrew focuses on aligning partner timelines, de-risking handoffs, and preserving retention through a clear cadence of client re-introductions and meetings. Known for translating complex deal mechanics into simple steps advisors can act on next quarter, he brings a practical lens to high-stakes transitions. Andrew is a Certified Exit Planning Advisor (CEPA®) and a frequent resource to advisors who want to prepare years before they sell—so they can exit (or scale) on their terms.

Connect With Andrew:

Website: https://buyaum.com/

Instagram: https://www.instagram.com/buyaum/

LinkedIn: https://www.linkedin.com/in/andrew-d-mirolli-cepa%C2%AE-7a304259/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Henry Yoshida, CFP®, Rocket Dollar CEO & Co-Founder,  who shares how his earlier robo-advisor exit to Goldman Sachs and years as an advisor led to a digital platform for self-directed IRAs holding private and alternative assets. Starting his career at Merrill Lynch during the dot-com bust, he built deep retirement expertise and now oversees a trust company with roughly $12B in alternatives and 9,000+ registered investments. Yoshida explains why asset location can outperform asset selection and why retail access to private markets is set to grow.

Key Takeaways:

→ How Rocket Dollar provides infrastructure while investors source their own deals.

→ How Rocket Dollar doesn’t manufacture or recommend investments.

→ Why asset location is crucial.

→ Why innovation is critical as incumbents eye alternatives.

Henry Yoshida, CFP®, is the CEO and Co-Founder of Rocket Dollar. He was previously the founder of venture capital-backed Robo-advisor retirement plan platform Honest Dollar (acquired by Goldman Sachs in 2016), the founder of MY Group LLC (acquired by Captrust), and spent 10 years at Merrill Lynch. Henry is also a Certified Financial Planner and has brought multiple innovative products and methodologies to the market. Yoshida graduated from the University of Texas at Austin and holds an MBA from Cornell University. He lives in Austin with his two daughters.

Connect With Henry:

Website: https://www.rocketdollar.com/

https://bit.ly/4nKw0WT

Instagram: https://www.instagram.com/fitfinancehenry/

LinkedIn: https://www.linkedin.com/in/henryyoshida/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Daniel Nikic, Global Investment Specialist and Founder of COHRES, who explains why disciplined due diligence beats FOMO, how AI should augment human insight, and why “cash is king” again. He shares how COHRES tailors research for VCs, family offices, and startups, forecasts durable trends in AI, energy, healthcare, and data, and explores the rise of lean micro-unicorns. Nikic also details the operational pivots behind scaling a boutique firm toward AI-enabled analysis while aligning execution with investor priorities.

Key Takeaways:

→ How the most expensive errors are chasing hype, skipping time-horizon work, and forgetting that once capital leaves your account, there’s no guarantee it returns.

→ Why ChatGPT-level answers aren’t enough for funds.

→ How big brands will stay big and emerging funds with DPI will struggle to raise.

→ Why direct on-call collaboration provides guidance when speed matters.

→ How having a global perspective allows for tailored insights to what each investor treats as a green flag or a deal breaker.

Daniel Nikic is a global investment research expert and entrepreneur with over a decade of experience advising investors, high-net-worth individuals, enterprises, and entrepreneurs. Raised in Canada and now based in Croatia, Daniel specializes in global markets, focusing on the U.S., European, and Middle Eastern financial landscapes. As the founder of COHRES, Daniel has analyzed over 15,000 companies across sectors like AI, software, and data. He delivers high-quality market research, financial management, due diligence, and AI data auditing to empower clients to make strategic, informed decisions. Known for his collaborative approach, Daniel builds long-term relationships rooted in trust and shared success. Daniel is also passionate about mentoring early-stage entrepreneurs, guiding them on market strategies, innovation, and business growth. His expertise in global markets and emerging trends makes him a trusted advisor in the financial sector.

Connect With Daniel:

Website: https://www.danielnikic.com/

https://cohres.com/

X: https://x.com/DNikic87

Facebook: https://www.facebook.com/people/Daniel-Nikic/

LinkedIn: https://www.linkedin.com/in/daniel-nikic/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Scott Alldridge, CEO of IP Services and bestselling author of the VisibleOps series, who explains how modern cybercrime actually works and why most small and mid-sized companies are far more vulnerable than they think. Scott shares real breach stories, including how something as simple as leaving a printer password as “1234” led to a $187,000 theft and forced a firm into a merger. He breaks down why cybersecurity is now a board-level issue, how AI is being weaponized by attackers, and what leaders need to be doing right now to protect their data, their money, and their survival.

Key Takeaways:

→ Most companies think “we’re too small to be a target,” but attackers actively go after businesses with as few as 100 employees — and even under $1M in revenue.

→ Only about 1 in 7 cybersecurity breaches ever gets reported, so what you read in the news is a tiny fraction of what’s actually happening.

→ A single weak password (like “1234” on a networked printer) can give a threat actor a doorway into your entire system.

→ Attackers don’t smash and grab; they sit quietly for weeks or months, watch how you communicate, then imitate leadership to trigger wire transfers that look totally normal.

→ The “human layer” is still the biggest risk: phishing, social engineering, and reused or weak credentials are where most compromises begin.

Scott Alldridge has spent three decades on the frontlines of cyber warfare—turning escalating threats into competitive advantage for business leaders. As co-founder of the IT Process Institute and creator of the globally adopted VisibleOps framework (400,000+ copies sold), he shaped how enterprises worldwide secure and scale technology.

His Amazon bestseller, VisibleOps Cybersecurity, is the definitive roadmap for integrating Zero Trust principles into real business results. Today, as CEO of IP Services, one of America’s most trusted MSSPs, Scott helps executives verify—not just trust—their cybersecurity posture.

Driven by both expertise and altruism, Scott’s mission is to ensure businesses of all sizes are resilient and protected—not only to safeguard revenue, but to prevent the devastating personal and professional fallout of cyberattacks. A globally recognized thought leader with 618K+ social media followers, he leverages his platform to raise awareness, share real-world breach stories, and arm leaders with actionable strategies that save companies before it’s too late.

Connect With Scott:

Website: https://ipservices.com/

Instagram: https://www.instagram.com/scottalldridge1/

LinkedIn: https://www.linkedin.com/in/scott-alldridge-1a976/

FREE OFFERS
Text "Secure25" to 1-541-359-1269 to receive your free Visible Ops Executive Companion book and a free Penetration Scan Test (first 3 listeners only)

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Dr. Jon Randall, PhD., Founder & Leader of XFA.COACH, who helps financial advisors scale their practices faster and smarter by addressing the hidden bottlenecks holding them back. With over 21 years of consulting experience, Jon has worked with some of the fastest-growing financial practices, helping them optimize client relationships, scale their teams, and boost profitability. In this episode, he reveals how to break free from capacity constraints and implement the right mindset for explosive growth.

Key Takeaways:

→ How you must fix all foundational issues before trying to grow your practice.

→ Why many advisors face productivity issues.

→ How advisors need to raise their floor by working with clients that bring in higher revenue per account.

→ Why many advisors hit a growth ceiling at around $1 million in revenue.

→ How maximizing the profitability of current clients is the key to unlocking additional revenue.

Dr. Jon Randall has been coaching and consulting the fastest growing financial advisors in the industry since 2004. As a transformational leader, he is passionate about making a positive difference in the industry and has received numerous awards, including Outstanding Leader and Consultant of the Year, and is ranked the #1 Consultant for firms that track results. The average production of practices Jon works with has exceeded $5 million. He is a sought-after national presenter at financial service conferences and published author; his book titled The Extraordinary Financial Advisor Practice. Prior to coaching, Jon was a seasoned financial advisor where he learned the ins and outs of the industry. Jon holds a Doctorate in Performance Psychology and currently resides in Greenville, North Carolina with his wife Kathleen and their two sons, James and William.

Connect With Jon:

Website: https://www.xfa.coach/

Instagram: https://www.instagram.com/xfa.coach

Facebook: https://www.facebook.com/XFA.COACH

LinkedIn: https://www.linkedin.com/company/xfa-coach/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Lisa Chastain, Money Coach, Mentor, and Unshakeable Optimist, who shares her journey from a single mom struggling in a tough spot to building a six-figure business in just 10 months. Lisa talks about how emotions drive money decisions and why addressing your unconscious beliefs around money is crucial for success. She explains why traditional budgeting doesn't work, offering a transformative approach to managing finances that starts with shifting your mindset, not restricting your spending.

Key Takeaways:

→ How addressing emotional beliefs about money is the first step to financial success.

→ Why financial habits are often rooted in childhood experiences.

→ How it’s important to uncover how early memories around money shape your decisions today.

→ How high net-worth individuals create and manage cash flow to allow for more freedom.

→ Why traditional budgeting restricts people and doesn’t lead to long-term wealth.

Lisa Chastain is a Personal Finance Coach with over 20 years of experience offering independent financial advice to executives, professionals, and business owners. She has been featured in Cosmopolitan, CNBC, NBC News, MSN Money, O – The Oprah Magazine, Fortune, Forbes, Business Insider, Business Newsweek, and Entrepreneur Magazine, and is one of Las Vegas Women Magazine’s people to watch. A best-selling author, Lisa is also the host of the Real Money radio show on VoiceAmerica, the second-largest online radio broadcaster in the nation, with over 3 million listeners. After burning through $100,000 and nearly going completely broke, Lisa was forced to reinvent herself. Her aspiration wasn’t to own a mansion or drive a Ferrari; she wanted simple things, like so many of the women she now works with, such as savings, retirement funds, and a secure future for her family. Put plainly, she didn’t want to have to stress about money any longer. In 2016, Lisa applied what she had learned and launched her business as a money coach, with a mission to help women manage their finances effectively without a budget, enabling them to live their best lives. She has now helped countless clients learn how to track their expenses without budgets, invest wisely, and make informed financial decisions, enabling them to escape the financial rollercoaster and achieve long-term stability.

Connect With Lisa:

Website: https://lisachastain.com/

Instagram: https://www.instagram.com/savvymoneywithlisa/

Facebook: https://www.facebook.com/savvymoneywithlisa

LinkedIn: https://www.linkedin.com/in/lisachastain/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Christopher Johnson, CEO of TrigaByte Technologies, who delves into the challenges wealth management firms face when integrating technology and maximizing its potential. With 30 years of experience, Chris shares his journey from working as a compliance officer to founding Trigger Byte, where he helps advisors leverage technology for greater efficiency and client satisfaction. Chris discusses everything from client onboarding to the rise of AI in wealth management, offering actionable insights for firms looking to scale smarter.

Key Takeaways:

→ Why the biggest challenge in wealth management is effectively integrating and using technology.

→ How optimizing tech usage helps firms increase their ROI.

→ How AI is the future of automating client interactions and tasks for wealth management firms.

→ Why wealth management firms are shifting from commission-based models to fee-for-service models.

→ Why it’s vital to choose and implement technology that fits a firm’s specific needs.

Christopher Johnson has spent over 30 years in the financial services industry, leading, growing, and guiding wealth management firms through both change and opportunity. With deep expertise in building strong operational foundations and scalable infrastructure, Chris understands what advisory offices need to truly thrive. He believes that when the right tools and technology are applied intentionally, they do more than improve efficiency—they create space for purposeful growth, elevate the client experience, and enhance team performance. Passionate about helping advisors reach their full potential, Chris works closely with firms to streamline processes, optimize existing systems, and deliver exceptional service at every stage of their evolution.

Connect With Christopher:

Website: https://www.trigabytetech.com/

LinkedIn: https://www.linkedin.com/in/christrigabytetech/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Brian Greenberg, Co-Founder & CEO of Quoteplicity, who shares how running an all-inbound, phone-based life insurance agency for 15 years led him to build a platform that has helped create 200,000+ leads for agents and agencies. He breaks down low-friction funnels, quoting tools, carrier hand-offs, and practical tactics advisors can use to cross-sell life insurance without turning every conversation into a hard sell.

Key Takeaways:

→ Why people who sell life insurance should time their sales approach to meet buyers during key life events.

→ How using a quick quote widget lets shoppers self-serve and reach out when they are ready.

→ Why carrier “drop ticket” flows reduce friction time once the basics are submitted.

→ How Quoteplicity can be fully white-labeled on your domain, using your logo, phone number, and email, routing all leads to you.

→ Why the real challenge is traffic and outreach, not technology.

Brian Greenberg is a serial entrepreneur, published author, and pioneer in the life insurance industry. As Co-Founder and CEO of Quoteplicity, Brian brings over two decades of experience in growing successful businesses and revolutionizing how life insurance is sold online. Brian brings over 20 years of entrepreneurial experience and a proven track record in the life insurance industry. A pioneer in online sales and author of The Salesman Who Doesn’t Sell, Brian’s leadership drives Quoteplicity’s mission to revolutionize the way agents grow their businesses.

Connect With Brian:

Website: https://www.quoteplicity.com/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jim Effner, founder of the P2P Group, a coaching and training firm dedicated to helping financial advisors turn their potential into real performance. With over 30 years of experience in the financial industry, Jim shares the mindset and systems that have enabled him to build high-performing teams and achieve lasting success. Whether you’re a seasoned professional or just starting out, Jim’s insights will help you reach your full potential and elevate your business.

Key Takeaways:

→ Why the biggest mistake advisors can make is winging it.

→ How successful business run on systems not improvisation.

→ Why empowering beliefs are crucial to overcoming self-doubt and achieving success.

→ How growth requires embracing risk and moving forward even when it’s uncomfortable.

→ Why the solo advisor model is dying and how a team-based approach provides scale, service, and succession.

Jim Effner is founder and President of P2P Group, a company specializing in sales training for financial services professionals. His mission is to help bridge the gap between financial advisors’ potential and their performance.

Prior to forming the P2P Group, Jim was Managing Partner of one of the largest Northwestern Mutual offices in the country. He built the Effner Financial Group to nearly 150 full-time and college advisors, insuring over 65,000 policyholders with a face amount of nearly $27 billion.

A Million Dollar Round Table qualifier every year he worked in the business, Jim is now a lifetime member of MDRT. He was a three-time Recognition Dinner/Forum qualifier, which represents the top 5% of all Northwestern Mutual advisors. In fact, he was the youngest person to make Forum the first two times he qualified. As a new advisor, he led his region in 1990, 1991 and 1992, placing runner-up in the Bronze and Silver awards, and 3rd in the Gold.

Jim has overcome numerous life challenges, including losing his hearing just 30 days after taking his Managing Partner contract. He brings his commitment to excellence, his passion, energy and conviction – along with his perspective of 30+ years in the industry – to every aspect of his business.

Connect With Jim:

Website: https://jimeffner.com/

Facebook: https://www.facebook.com/jimeffnerp2p

LinkedIn: https://www.linkedin.com/in/jimeffner/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Daniel Alonzo, Wealth Coach, who unpacks the mindset and mechanics of true financial freedom. Financially independent by 28, Daniel scaled to 1,500+ agents across 60 offices and hosts the Wealth on the Beach podcast. He breaks down scaling via leadership, content consistency, and modern messaging that attracts the next generation while building durable passive income.

Key Takeaways:

→ Why achieving true financial freedom requires both passive income and substantial cash reserves.

→ How building leaders who can operate independently allows a business to scale faster.

→ Why documenting systems, training materials, and repeatable processes is the foundation for sustainable growth.

→ How consistency is what separates those who get attention from those who fade away.

→ Why staying relevant means embracing new voices, listening to younger generations, and adapting your message to changing audience platforms.

Daniel Alonzo is a high-energy entrepreneur, wealth coach, and host of the Wealth on the Beach Podcast. He has built one of the largest financial teams in America, comprising over 1,500 licensed agents and 60 offices. He's also the author of 3 books: Wealth on the Beach: 11 Laws to Building Financial Freedom, Wealth on the Beach: For Teens, and his latest, Wealth on the Beach: Why Most Life Insurance is a Scam - And How to Get It Right. Daniel's Mission is to teach people how to build wealth, shift their mindset, and live a life of freedom, choices, and options.

Connect With David:

https://wealthonthebeach.com/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jess Jensen, Founder and CEO of Co-pilot Communications, who is a former Fortune 500 leader who ran digital, social, and executive communications at Nestlé, adidas, Qualcomm, and Microsoft. Jess helps C-suite executives and founders present themselves online as authentic individuals—transforming leadership values into content that fosters trust, demand, and resilience. She shares why invisibility is dangerous, how to craft a durable leader brand, and what today’s LinkedIn favors beyond corporate PR blasts.

Key Takeaways:

→ How leaders must go beyond wins and launches.

→ Why you should treat LinkedIn like a conversation, not a press wire.

→ How your should build your professional brand before you need it.

→ Why personal narratives matter to earn trust and recall.

→ How balancing business value with human moments is critical.

Jess Jensen is the founder of Co-pilot Communications, a Portland-based advisory helping bold executives and founders build digital brands that actually sound like them. After 20 years inside Fortune 100 companies (Microsoft, Qualcomm, Nestlé, and Adidas), Jess stepped out of corporate to help leaders stop playing small online and start showing up with clarity and confidence.

Co-pilot works with curious, values-driven leaders who are tired of generic content and ghostwritten fluff. Jess believes that building a professional brand isn’t just smart—it’s your moat. Through sharp messaging, editorial strategy, and smart use of platforms like LinkedIn and podcasting, she helps her clients earn trust and build rapport in places where their stakeholders already spend hours every day.

Jess launched Co-pilot in 2024 to amplify the kind of leadership the world needs more of—clear, grounded, and human. She’s on a mission to help leaders take back the mic and shape their own narrative before someone else does.

Connect With Jess:

Website

If booking a call, don't forget to mention in the notes that you saw this episode of Sharpreneur to receive your free LinkedIn Audit! LinkedIn

Subscribe to Jess’s Monthly Newsletter

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Matt Hicken, Senior Vice President of Consulting at Bill Good Marketing, who has coached hundreds of advisors and built practices from the ground up. In this discussion, Matt explains how Bill Good shifted from cold calling and direct mail to a system of documented best practices across 12 marketing channels, team structure, CRM, and branding. He details the key figures, the mistakes that hurt seminar ROI, and the step-by-step solutions that turn activity into assets.

Key Takeaways:

→ Why most firms drown in tactics but starve for leads and how to pick winners.

→ How to diagnose seminars that aren’t producing and the benchmarks to aim for.

→ How to identify which campaigns to scale and which to stop.

→ Why the best ideas should become best practices that you can repeat across markets.

→ The biggest myth about Bill Good Marketing and how the platform now covers the whole practice, not just marketing.

Matt Hicken is the Senior Vice President of Consulting and Triple Double Architect at Bill Good Marketing. During his nearly 14 years running an advisory business, Matt and his team tripled their output, growing from $500k annually to $4.5 million. In that time, they also made a major shift, moving from a 50% transactional model to a fee-based business.

Matt has over 23 years of combined experience working with advisors in practice management and consultative roles. He has traveled across North America, collaborating with some of the biggest advisory firms to analyze and overcome plateaus. Matt understands the industry and the unique challenges large teams face in running a business. He possesses the tools, processes, and real-world experience of building a business managing over half a billion dollars.

Connect With Matt:

Website https://www.billgoodmarketing.com/

X https://x.com/BGM_tweets

Facebook https://www.facebook.com/BillGoodMarketing/

LinkedIn https://www.linkedin.com/company/bill-good-marketing/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Eric Smith, J.D., Chairman & CEO of Decision Technologies Corporation, who discusses their patented decision assistant technology, designed to help investment professionals score and rank mutual funds and ETFs. This powerful tool allows advisors to customize 48 performance factors, enabling them to select the best funds for their clients and providing deeper insights than traditional rating systems like Morningstar. Tune in to learn how this innovative software can transform how you evaluate investments, optimize portfolios, and strengthen client relationships.

Key Takeaways:

→ Why investment professionals often struggle to understand how their choices compare across the market.

→ How Decision Technologies’ patented tool helps users score and rank investment funds objectively.

→ How this tool allows you to create personalized ranking systems tailored to your client’s goals.

→ How real-time ranking allows users to monitor funds and adjust as market conditions change.

→ Decision Technologies provides a game-changing tool for attracting new clients and managing existing investments more effectively.

Eric S. Smith, J.D., is the Chairman, CEO, and Co-Founder of Decision Technologies Corporation (DTC), where he co-invented the company's patented decision-assistance technology. This technology powers DTC’s Professional RapidReview Tool (ProRRT) for investment advisors and its Retail Investment Tracking Application (RITA) for individual investors. DTC’s transformative technology enables both groups to make informed investment decisions in an increasingly complex financial landscape. Additionally, Mr. Smith serves as President of Trustee Empowerment & Protection, Inc. (TEPI), an SEC-registered investment adviser that helps retirement plan sponsors mitigate risks associated with class-action lawsuits. A licensed institutional investment consultant and attorney with over 22 years of experience in corporate and ERISA law, Eric brings a client-centric perspective to financial services, focusing on empowering individual investors and their advisors. He has spoken at various conferences on fiduciary responsibility, investment decision-making, and the flaws in the financial services marketplace.

Connect With Eric:

Websitse 

https://decisionengines.tech/

https://prorrt.com/

LinkedIn https://www.linkedin.com/in/eric-smith-82558710/

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The future of small cap investment is in active ETFs—and Toll & Co. is at the forefront. Brett Meyer, CFA, FRM, Head of Capital Formation at Towle & Co., explores the firm's small-cap value strategy. With over 43 years of success, Toll & Co. focuses on undervalued, cyclical companies, using a disciplined approach that makes it a unique player in the investment world. Brett shares how their strategy fits into clients' portfolios and the firm's recent foray into active ETFs, which aims to enhance investment opportunities.Listen to this insightful RIA episode with Brett Meyer about how Small Cap strategy can complement your portfolio.
Here is what to expect on this week’s show:

• The unique small cap value strategy that Toll & Co. has run for over 43 years
• The growing role of active ETFs in investment strategies
• Why small cap and value strategies may be set to make a comeback
• The differences between ETFs, model delivery programs, and separately managed accounts
• The importance of understanding investor preferences and evolving trends like ESG

Connect with Brett:
Links Mentioned:
Website: https://www.towleco.com/

Towle ETFs: https://www.towleetfs.com/

Guest Contact Info:
 LinkedIn: https://www.linkedin.com/in/brett-meyer-cfa-frm-b612461/

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In this episode of The RIA Podcast Episode 225, Seth Greene interviews Ken Lako, President and CEO of Members Trust Company, who is a leader in trust and fiduciary services. With over 25 years of experience in law, investment management, and trust administration, Ken shares how Members Trust focuses on both growth and compliance, helping clients build and maintain their legacies. From working with RIAs to offering personalized solutions, Members Trust is dedicated to ensuring that every trust is managed with integrity, precision, and care.Listen to this insightful RIA episode with Ken Lako about Partnering with RIAs: The Members Trust Advantage.

Here is what to expect on this week’s show:

• Why compliance and legal risk management are now a major focus
• The unique role Members Trust plays in helping RIAs with trust management 
• The difference between working with Members Trust vs. bank trustees
• How Members Trust ensures a seamless, end-to-end trust management process
• Why accessibility and service are core to the Members Trust philosophy

Connect with Ken:
Website: https://www.memberstrust.com/
YouTube: https://www.youtube.com/channel/UCgjXfViodT8mKi5Z_f9wQcg
Instagram: https://www.instagram.com/memberstrustcompany/
LinkedIn: https://www.linkedin.com/company/members-trust-company/
Facebook: https://www.facebook.com/memberstrustcompany/

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Yuval Golan, CEO and Founder of Waltz, a groundbreaking fintech-proptech platform that simplifies U.S. real estate investing—especially for foreign nationals. With experience working in 18 countries and living in 9, Yuval created Waltz to eliminate the red tape and delays that frustrate global investors trying to navigate the U.S. market. Today, Waltz offers a fully digital, end-to-end experience, covering entity formation, banking, lending, and closing, with over $300 million in applications processed so far.

Key Takeaways:

→ Why U.S. real estate is a “blue chip” investment for foreign nationals.

→ How Waltz turns complex transactions into a few digital clicks.

→ The three paths investors take to get started with Waltz.

→ Why Waltz is built on compliance-first infrastructure.

→ How Waltz partners with real estate agents, brokers, and family offices.

Yuval Golan is the Founder and CEO of Waltz, a Fintech-Proptech-Wealthtech startup simplifying how foreigners invest in, purchase, and manage U.S. residential real estate. His leadership has been recognized globally, with features in Bloomberg, Forbes, Yahoo Finance, The Washington Post, HousingWire, and more—garnering over 2.5 billion media impressions. He has also earned accolades including the 2024 Inman Best of Proptech, the Miami Israel Collective Community Recognition Award, and the FiNext Leadership Visionary Award.

With experience spanning operations that generated billions across 18 countries, Golan brings deep expertise in M&A, venture capital, leveraged buyouts, and global real estate investment. Previously CEO of Unique 1 Asia International, he has built a career in business development, finance, consulting, fundraising, and sales. A true global citizen, Golan holds a BS in Economics and Business, a Joint Executive MBA from Northwestern’s Kellogg School of Management and Peking University, and is fluent in multiple languages.

Connect With Yuval:

Website

Instagram

Facebook

LinkedIn

YouTube

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jeff Ransdell, Managing Director and Founding Partner at Fuel Venture Capital, who explains how his deep knowledge of the wealth management industry is helping to democratize access to high-value venture capital opportunities. Drawing on his experience at Merrill Lynch, Jeff discusses his shift into venture capital and why scarcity in investment opportunities is now crucial to success. Tune in to learn about the future of AI investments and how Fuel Venture Capital supports financial advisors and family offices in navigating these changing markets.

Key Takeaways:

→ How traditional financial services are evolving due to the rise of AI and technology.

→ The importance of scarcity in venture capital investments.

→ The role of AI in identifying the best investment opportunities.

→ How venture capital is changing and focusing on early-stage tech companies.

→ How venture capital is evolving in response to current global economic conditions.

With over 30 years of experience in wealth management, Jeff Ransdell has a deep understanding of the changing needs of financial advisors and their clients. As a former Managing Director at Merrill Lynch, he managed $130 billion in client assets. Now, as the founder of Fuel Venture Capital, Jeff helps financial advisors incorporate high-growth venture investments into their diversification strategies. Fuel connects Silicon Valley with Main Street, giving private clients access to transformative companies. Jeff leads discussions on the future of investing, private markets, and how AI will influence wealth management, providing solutions for next-generation investors.

Connect With Jeff:

Website

Instagram

Facebook

LinkedIn

Fuel Venture Capital LinkedIn

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Michelle Taylor, founder of Women in Wealth Initiative, who talks about her mission to empower women to build their financial futures. From overcoming personal finance challenges to creating a supportive community, Michelle shares her insights on how women can break free from limiting beliefs and take control of their financial well-being. Through her podcast Talk Wealthy to Me, Michelle brings in experts and provides actionable advice to help women achieve lasting financial success.

Key Takeaways:

→ The importance of educating yourself and taking control of your money.

→ Overcoming the misconception that women aren’t good with money.

→ The importance of creating a supportive community for women in finance.

→ Why protecting your wealth is just as important as growing it.

→ How to shift from a scarcity mindset to one of abundance.

Michelle Taylor is the founder of the Women in Wealth Initiative, a transformative platform dedicated to empowering women to take control of their financial futures. With over ten years of experience in financial services, Michelle is focused on closing the wealth gap by offering financial education and building a supportive community for women from all backgrounds. Whether business owners preparing for exit strategies or stay-at-home moms managing household budgets, Michelle’s initiative helps women define and pursue their version of financial success with confidence and clarity.

Connect With Michelle:

Website

Instagram

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Tom Rogerson, President and CEO of GenLeg Co., Inc. He is a leading expert in family governance and wealth preservation. With decades of experience in financial planning and estate management, Tom discusses the challenges wealthy families face in managing and preserving their wealth across generations. He emphasizes the importance of family unity, governance, and philanthropy in preserving wealth while fostering strong, responsible family dynamics. Learn why proactive family planning is crucial for avoiding the generational breakdown that can lead to wealth dissipation.

Key Takeaways:

→ How family wealth preservation isn’t just about financial assets.

→ Why high-net-worth families often lack trust and struggle working together.

→ The importance of starting family governance practices early.

→ Proactive family philanthropy can be an effective way to bring family members together.

→ It’s a misconception that wealth ensures family unity.

As a recognized leader and pioneer in family governance worldwide, Tom Rogerson utilizes his “7 Steps to Healthy Family Governance” to help families enhance communication, develop a philanthropic vision, plan for legacy, manage succession, and provide education. Tom integrates these key issues into a client’s comprehensive wealth management plan, helping to prepare the family for the wealth and the wealth for the family.

He brings over forty years of experience to the wealth management industry, where he has advised and educated families, helping them transfer significant assets—both tangible and intangible—from one generation to the next.

Connect With Tom:

 Website

LinkedIn

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In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Christine Healey, Founder of Healey Pre-IPO, who shares valuable insights into the complexities of pre-IPO trading, blending her experience in investment banking and brokerage. She emphasizes the growing need for professional guidance in the increasingly fragmented pre-IPO market and highlights the importance of building personal, trust-based relationships in the investment process. With her extensive global network and years of experience, Christine empowers clients to access and negotiate pre-IPO deals through a personalized approach, ensuring the best opportunities for success.

Key Takeaways:

→ Discover the common pitfalls buyers face in the pre-IPO market.

→ How a personalized concierge service enhances the pre-IPO experience.

→ Why working with a professional in pre-IPO trading is crucial.

→ The risks and rewards of investing in pre-IPO companies.

→ Insights on how global networks can influence local pre-IPO deals.

Christine Healey is the founder of Healey Pre-IPO, a service dedicated to providing personalized, high-quality pre-IPO brokerage services. With over $600 million in closed pre-IPO transactions, Christine has built a reputation for success in both the U.S. and APAC markets, including two years of experience working in Hong Kong. Her impressive career includes serving as a Portfolio Manager at Destiny (NYSE:DXYZ) and Senior Director at Forge (NYSE:FRGE), following her roles as an Investment Banker at Credit Suisse and Jefferies. A University of Chicago alumnus, Christine also boasts an extensive global network, including individuals, funds, platforms, service providers, and brokers. Known for her ultra-motivated, detail-oriented approach, Christine's focus is always on delivering superior client experiences with a personal touch, ensuring each transaction meets the highest standards of excellence.

Connect With Christine:

Website

Instagram

LinkedIn

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Gerasimos Efthimiatos, CEO of Chesapeake Asset Management, who shares his extensive experience in managing multi-asset portfolios for high-net-worth individuals and families. After 18 years in the hedge fund industry, Gerasimos now leads an innovative wealth management firm that focuses on both traditional securities and alternative investments. From offering customized wealth solutions for corporate executives to using strategic tax-aware investment strategies, Gerasimos and his team at Chesapeake help clients protect and grow their wealth across public and private markets.

Key Takeaways:

→ The importance of offering both traditional and alternative asset solutions.

→ Why alternative investments are crucial for ultra-high-net-worth families.

→ The key to differentiating a wealth management firm in a crowded market.

→ The rise of multi-asset portfolios and how to manage them effectively.

→ The role of sophisticated clients in helping shape investment offerings.

Gerasimos Efthimiatos is an investor and strategist with twenty years of experience investing in both public and private companies globally. He is CAM’s CEO and Managing Partner, where he oversees both direct and externally managed investments. Gerasimos has advised family offices, endowments, and foundations on asset allocation and investment selection, and has deep alternative investment domain expertise across private equity, hedge funds, and venture capital. Previously, Gerasimos held senior portfolio and risk manager roles in hedge funds, including as Partner at Habrok Capital Partners, an equity long/short fund based in London. He received a Master of Engineering from University of London’s Imperial College of Science, Technology, and Medicine and an MBA from Cornell University’s Johnson School of Management.

Connect With Gerasimos:

Website

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In this episode of Legacy Leaders, Katie Beth and Oliver sit down with Jazz Scott, a former athlete turned financial advisor with a mission to elevate financial literacy in underserved communities. Together, they explore the intersection of sports, financial planning, and social impact, sharing valuable insights and practical tips for listeners. Jazz draws from his powerful personal story and professional journey to discuss overcoming financial illiteracy, supporting young athletes, and empowering everyday people to build lasting legacies. This episode is a must-listen for aspiring financial advisors, athletes, and anyone passionate about using personal experience to create community change.

Key Takeaways:
● 🏈 Discipline Transfers: The discipline and preparation needed in sports translates directly into success in financial planning.
● 🌱 Start Early, Stay Consistent: No matter your background or income, it’s never too early or too late to start building your financial future.
● 💬 Financial Literacy Empowers: Teaching people how to manage what they already have is just as important as helping them earn more.
● 🤝 Relatable Advisors Matter: Representation and relatability help break down barriers of fear and distrust in financial conversations.
● 🚫 Block the Noise: Social media comparison can be misleading—focus on your own path and financial goals.

Quotes from Jazz Scott:
● “You do a lot of beating on your body playing sports—here, you do a lot of beating on your brain.”
● “If you have $5 to start saving with, it’s a great time to reach out to a financial advisor.”
● “I want my legacy to be that Jazz was a person who helped people that were overlooked—and broke the barriers for others to follow.”

🔗 Conclusion: Financial education is not just about numbers—it's about empowering people to dream, plan, and live fully. Jazz Scott is doing just that, one client at a time.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Jeremy Cordon, Founder and CEO of Goldback Inc. He discusses an innovative solution for using gold as everyday currency. Jeremy explains how Goldback makes physical gold accessible, spendable, and practical for modern transactions, providing an inflation-proof way to protect and trade wealth. Learn how this unique product has quickly grown and what the future holds for Goldback in the world of finance.

Key Takeaways:

→ Why people wanted to be able to use gold for everyday transactions.

→ How Goldback operates, and its value compared to the spot price of gold.

→ How Goldback addresses the problem of inflation and offers a practical alternative to traditional money.

→ Why small businesses are adopting Goldback for payments.

→ How financial advisors can use Goldback to provide clients with a tangible, inflation-resistant investment.

Jeremy Cordon, Founder and CEO of Goldback Inc., is passionate about precious metals and sound money. During an internship at the Libertas Institute, he connected with Larry Hilton, which led to a role at the United Precious Metals Association (UPMA). There, he helped grow membership from 400 to 25,000. Jeremy later focused his efforts on creating Goldbacks—a physical gold currency designed to preserve wealth and strengthen local economies. Under his leadership, Goldbacks have expanded to multiple state series, empowering individuals and communities with a practical tool for financial stability.  

Connect With Jeremy:

• Website
• Instagram
•  TikTok
• X
• Facebook
• LinkedIn

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Explore how a seasoned CEO leads a $6 billion advisory firm through complex client challenges, evolving advisor expectations, and a rapidly changing financial landscape.

In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Julie Parisio Roy, CEO and Wealth Manager at Badgley Phelps Wealth Management, which manages $6 billion in assets. She shares insights from nearly 30 years in the industry. She explains how her firm serves over 1,100 families, focusing on complex financial planning, generational wealth, and adapting to evolving client expectations. Julie also discusses how she balances client needs while leading and growing a diverse team in today’s dynamic market.

Key Takeaways:

→ Why complexity in client situations can be an advisor’s opportunity.

→ How long-standing client relationships fuel new business growth.

→ The impact of recent state-level tax changes on estate planning.

→ Strategies for managing investment anxiety in volatile markets.

→ How a slow-and-steady hiring approach builds strong teams.

Julie Parisio Roy joined Badgley Phelps in 2004 and serves as the chief executive officer, director of financial planning, and a wealth manager. She manages portfolios for high-net-worth private clients, aiming to help them find the ideal balance between enjoying their wealth and feeling secure about its longevity and legacy. 

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Drew Shockley, Co-Founder & Head of Development at Move Health, who shares insights from his 20 years of experience transforming health insurance and Medicare planning for early retirees and financial advisors nationwide. With a background in building successful insurance companies and launching MoveHealth’s innovative software platform, Drew explains how technology is making complex healthcare decisions easier. Learn how his approach is helping millions of people confidently prepare for retirement, while also strengthening client-advisor relationships.

Key Takeaways:

→ Learn why health insurance planning is frequently overlooked during retirement planning. 

→ Understand the challenges financial advisors face when guiding clients through health insurance options.

→ Hear how closing the feedback loop between clients and advisors improves ongoing health plan management.

→ Explore how meeting health insurance needs affects client retention and satisfaction.

→ Recognize the importance of using proactive health planning tools in today’s changing retirement environment. 

Drew Shockley is the Co-Founder and Head of Development at Move Health. Originally from East Tennessee, Drew relocated to Indiana for college and has remained there ever since. He began his career in 2005 with Anthem Blue Cross Blue Shield, one of the nation’s largest healthcare insurance carriers. Over the past 20 years, Drew has trained thousands of agents in the health and Medicare space, equipping them to better serve their clients with confidence and clarity. A serial entrepreneur, Drew has also been a founding member or investor in three successful startups within the healthcare industry, demonstrating a consistent track record of innovation and leadership.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Louis O'Connor, founder of Strategic Metals, who shares his journey into the world of rare earth and technology metals. With years of experience in the industry, Louis reveals how these critical resources are powering the future of energy, technology, and global markets. As a leading expert in the field, Louis explains why savvy investors should be paying close attention to this rapidly growing asset class.

Key Takeaways:

→ How investing in rare earth and technology metals provides unique opportunities for long-term growth in critical industries such as energy, AI, and defense.

→ How rare earth metals are essential for technological progress in the 21st century.

→ Why investing in these metals can be a strategic move, providing a hedge against traditional stock market volatility and economic uncertainty.

→ Why supply chain constraints cause scarcity-driven price spikes in rare earth metals like gallium and dysprosium.

→ How physical ownership and secure storage of rare earth metals enhance an investment portfolio by adding value while keeping liquidity and market access. 

Louis O’Connor is the Founder and Principal of Strategic Metals Invest, the only global supplier that allows private investors to directly own strategic metals—including Technology Metals, Rare Earth Metals, Green Metals, and Rare Earth Elements. With over 30 years of experience and clients in more than 70 countries, Louis is a leader in a rapidly evolving industry that makes headlines worldwide. He is a highly sought-after expert, having appeared on CNBC, Cashflow Ninja, and other prominent platforms. His insights show how strategic metals provide a unique hedge against inflation, serve as a smart diversification strategy, and play a vital role in the global economy.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Nate Lenz, co-founder and CEO of Concurrent, a platform created to support independent wealth management firms. Nate explains how Concurrent has evolved from a consulting firm to a leading force in the RIA space, managing over $13 billion in assets. He discusses how Concurrent helps RIAs grow by providing crucial back-office support, technology, and even minority equity investments. If you're an advisor aiming to expand or shift to independence, this episode offers useful insights into how Concurrent's innovative platform can boost your practice

Key Takeaways:

→ How Concurrent helps independent advisors gain the benefits of scale without sacrificing autonomy.

→ The role of technology, compliance, and operations in enabling advisors to focus on client relationships.

→ The strategic investment model and how Concurrent is offering minority equity stakes in affiliated RIAs.

→ Insights into the cultural shift in the wealth management space, with more firms leaving traditional models for independence.

→ The challenges and rewards of scaling an RIA platform and attracting top talent in a competitive market.

Nate Lenz is the CEO and Co-Founder of Concurrent, a $7 billion OSJ-turned-RIA recognized as an InvestmentNews Best Place to Work in 2023. With over a decade of experience in the financial industry, Nate has built his career around supporting and empowering independent financial advisors to succeed without relying on traditional big-firm backing. Before launching Concurrent, he was Co-Founder and Managing Partner at I&A Consulting, specializing in mergers, acquisitions, and advisor recruiting. Earlier in his career, Nate served as Vice President of Succession Planning & Acquisitions at Raymond James Financial Services, where he led an in-house consulting team supporting more than 4,000 independent advisors. His experiences have fostered a strong commitment to helping advisors grow their businesses and navigate every stage of the entrepreneurial journey.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Andrew Healy, Partner and Co-Founder at Water & Wall, who shares his insights on how wealth management firms and RIAs can use digital marketing and public relations to stand out in a crowded industry. With over 20 years of experience in financial marketing, Andrew emphasizes the importance of building a strong personal and professional brand, creating educational content, and leveraging emerging channels, such as AI.

Key Takeaways:

→ Why building a personal brand for executives is crucial for attracting top talent.

→ The shift towards education-focused content in marketing financial services.

→ How to connect with next-gen clients and differentiate your firm from competitors.

→ The importance of consistency in educating clients and building trust.

→ How AI is reshaping digital marketing and making firms more efficient.

Andrew Healy splits his time between managing the agency’s operations and growth and working closely with clients to tell their stories. As an entrepreneur, owner, and communications expert, Andrew’s workday focuses on both his clients’ success and his own. With more than 20 years of experience in marketing and communications, on both the agency and brand sides, he offers extensive knowledge from working with financial and professional services firms of all sizes. His dedication to excellence shows in his history of delivering impactful results, and his leadership is marked by a dynamic approach to navigating the constantly changing marketing and agency landscape. Andrew actively participates in the financial marketing community, serves as a 2025 PRSA-NY board member, is part of the PRSA’s Banking & Finance section, and was included in PR Week’s 40 Under 40 list.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Ryan Zabrowski, author of Time Ahead: Investor’s Guide to Prosperity and Impact, who shares his unique approach to long-term investing that balances financial growth with social responsibility. With over twenty years of experience as a portfolio manager and a background in the Marine Corps, Ryan provides practical insights on impact investing, market cycles, and maximizing returns. He also discusses how emerging trends, such as longevity science, are shaping the future of investing and prosperity.

Key Takeaways:

→ Explore the core principles behind balancing prosperity and impact in investing.

→ Learn how long-term focus and price discipline drive successful portfolio management.

→ Understand common misconceptions about impact investing and how to align it with financial goals.

→ Discover how emerging trends, such as longevity science, could transform market expectations.

→ Practical advice for individual investors looking to incorporate impact strategies into their portfolios.

Ryan Zabrowski, CFP®, is an experienced investment advisor and portfolio manager with over twenty years of background in financial and investment management. He has collaborated with well-known institutions such as the Washington University Endowment, Morgan Stanley, and Merrill Lynch before joining Krilogy in 2019. Ryan earned a B.S. in Finance from the University of Missouri and an M.S. in Finance from Golden Gate University. He is a CERTIFIED FINANCIAL PLANNER® (CFP®) and a member of both the Chartered Financial Analyst Institute and the American Finance Association. In 2024, Ryan published Time Ahead, an investing strategy book that summarizes decades of research into an easy-to-understand guide for building long-term wealth.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Jon Sabes, the founder of LongevityFP, a financial services entrepreneur, a longevity expert, and the author of Healthy, Wealthy, Longevity: Your Blueprint for a Happier, More Prosperous Future. As the founder of LongevityFP and a former CEO of a public company, he shares how he combines cutting-edge science with holistic financial planning to help advisors and clients rethink wealth through the lens of health, purpose, and happiness. Drawing on insights from Blue Zones and epigenetics, as well as retirement strategies, this conversation is a must-listen for forward-thinking financial professionals.

Key Takeaways:

→ How longevity science is reshaping financial planning and client relationships.

→ Learn why traditional wealth strategies may be missing a key factor: lifespan.

→ Explore the connection between health, happiness, and financial independence.

→ Discover how Blue Zone principles can foster deeper client engagement and achieve better outcomes.

→ How advisors can grow their practices with purpose-driven lead generation.

Jon Sabes is an entrepreneur, author, and pioneer in the longevity and financial services industry. With a focus on how longevity impacts every aspect of financial planning, Jon is dedicated to helping individuals achieve their dreams through good health and financial prosperity. Jon has launched multiple ventures and authored works that bridge the gap between wellness, financial planning, and longevity science.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Chance McClain, the founder of Heritage Films, who shares his unique journey from traditional graphic design to becoming a leader in preserving family legacies through high-quality documentary filmmaking. With over 800 films created, Chance’s company specializes in crafting deeply personal films that go beyond ordinary storytelling to capture the essence of family history and values. Heritage Films stands apart with its commitment to cinematic excellence and its ability to make every film feel like a heart-to-heart conversation that transcends generations.

Key Takeaways:

→ Learn why family stories deserve to be preserved in cinematic quality.

→ How a traditional 2-3 day filming process results in a deeply personal documentary.

→ The impact of high-quality, emotionally charged documentaries on family legacies.

→ How Heritage Films operates remotely, offering flexibility while maintaining a personal touch.

→ The value of preserving family history through documentaries, not just stories.

Chance McClain is a creative powerhouse, blending a rich background in filmmaking, radio, and theater with a passion for storytelling. As the founder of Heritage Films, Chance has created more than 800 feature- length documentaries, celebrating family stories and life legacies. His work has connected generations, preserving the essence of individuals and families through visually stunning films.

Today, Chance leads his team at Heritage Films with a heartfelt commitment to authenticity, merging technical expertise with an artistic touch. Whether inspiring others to embrace their past or discussing the art of storytelling, he captivates audiences and helps them see the value in preserving their own legacies.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with M.C. Laubscher, founder of Producers Wealth and creator of the Cashflow Ninja platform, who explains why traditional financial advice often fails business owners. He discusses how building your own banking system can unlock true financial freedom, accelerate your business growth, and safeguard your wealth in the long term. In this conversation, you’ll uncover powerful strategies for taking control of your capital, sidestepping the pitfalls of Wall Street, and predictably multiplying your wealth.

Key Takeaways:

→ Why conventional financial advice could be sabotaging your business growth.

→ The key mindset shift that separates struggling entrepreneurs from wealthy ones.

→ How to build your own banking system without relying on Wall Street.

→ The biggest mistake business owners make once they start generating real cash flow.

→ How Cashflow Ninja influences over 7 million people worldwide.

M.C. Laubscher is a wealth strategist and the founder of Producers Wealth, where he assists business owners across the U.S. in implementing advanced financial strategies to build freedom and lasting legacies. He is the creator and host of the globally recognized podcast Cashflow Ninja, along with its accompanying shows, Cashflow Investing Secrets and Cashflow Ninja Banking, which reach millions of listeners and have earned recognition from Entrepreneur Magazine as one of the top 48 podcasts for entrepreneurs. A best-selling author of The 21 Best Cashflow Niches™ and Get Wealthy for Sure™, M.C. has also been featured in the Forbes Finance Council and The Million Dollar Round Table. As a frequent guest on leading business podcasts and a sought-after speaker, he equips audiences with practical tools to achieve financial independence and create generational wealth through alternative cashflow strategies.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Chase Insogna, founder of Insogna CPA, who shares how he built a 20-person, women-led accounting firm that does more than crunch numbers—it delivers strategic insight and value-add advisory services to small business owners. From entity structure mistakes to missed deductions and real-time dashboards, Chase reveals what your CPA should be doing for your bottom line.

Key Takeaways:

→ Why skipping an S corp setup could cost entrepreneurs thousands in unnecessary taxes.

→ How custom dashboards give business owners real-time insights that drive better decisions.

→ The truth about unlicensed tax preparers – and what CPAs offer that TurboTax and TikTok pros can’t.

→ How ranking high on Google generates organic growth. 

→ Why a modern CPA firm prioritizes client education while offering proactive strategies and on-demand support—even during tax season.

Chase Insogna is an expert in tax planning and financial management, boasting over two decades of experience. As the founder and president of Insogna CPA in Austin, Texas, his skilled team is dedicated to transforming the financial futures of many valued clients through strategic tax planning and advisory services, particularly in the e-commerce sector. His firm is known for its proactive approach, timely communication, transparent pricing, and exceptional client service. Recently recognized on the Inc. 5000 Region List for four consecutive years, Chase and his team are committed to helping business owners achieve financial freedom by sharing practical advice and insights while leveraging their expertise for business growth.

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Insogna CPA

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with John Brenard, co-founder of Southview Timber Investments, who shares how he transitioned from a decade in traditional wealth management to managing over 10,000 acres of timberland across the southeastern U.S. He explains why timber provides stable, uncorrelated returns, minimal overhead, and a tangible, scalable path for RIAs seeking alternative investments for their clients.

Key Takeaways:

→ How timberland offers long-term returns through land appreciation, biological tree growth, and opportunistic land sales.

→ Why timber is an ideal uncorrelated asset that is now available to individual investors through Southview’s fund.

→ How Southview partners with RIAs, offering direct access, low investment minimums, and co-branded education to help clients diversify.

→ Get an inside look at the $50 million fundraiser aimed at scaling Southview’s impact and the value behind every acre of pine.

John Brenard has excelled in various business environments for over 15 years, ranging from executive and advisory roles at J.P. Morgan and Wells Fargo Advisors to managing operations and expansion at several startups. During his time in the wealth management industry, he built long-term client relationships founded not only on his investment expertise but also on exceptional levels of integrity and service. As an investor in timberland, John possesses a deep understanding of diverse investment asset classes and financial markets. His objective at Southview is to provide a wider audience of investors with the same benefits in timberland investing that he has enjoyed. John holds a bachelor's degree from California State University, has earned multiple professional credentials in the investment sector, and is a member of the Georgia Forestry Association. 

Connect With John:

Southview Timber

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Lloyd Ross—a lawyer-turned-entrepreneur, bestselling author of Money Grows on Trees and Money Buys Happiness, and host of the top-rated "Money Grows on Trees" podcast. He shares how he built a multimillion-dollar wealth education empire, achieved financial independence in his 30s, and secured a major publishing deal with Wiley for his newest book, Become Time Rich. Tune in as he unpacks the mindset shifts, investing principles, and business strategies that helped him and thousands of students worldwide escape the 9-to-5 grind.

Key Takeaways:

→ How a career pivot sparked a mission to teach financial freedom and build time-rich lives.

→ The key mindset shifts behind building wealth and reclaiming your time.

→ Why most people never learn the basics of money – and how to change that.

→ The power of books, funnels, and Facebook ads in scaling a financial education movement.

Lloyd Ross is a multiple seven-figure investor, entrepreneur, and financial educator dedicated to helping others achieve financial freedom. As a 2-Comma Club Award Winner (ClickFunnels) and Legacy Club Millionaire (Isagenix), he has built a reputation for success in wealth-building and business growth. Lloyd is the author of three insightful books: Money Grows on Trees (simplifying wealth-building), Money Buys Happiness (revealing the truth about money and fulfillment), and Become Time Rich (his latest book, published by Wiley). He also hosts the award-winning Money Grows on Trees podcast, which boasts over 155 five-star reviews.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Adrian Johnstone, co-founder of Practifi, who shares how his purpose-built CRM platform empowers financial advisory firms to streamline operations, unlock scalable growth, and deepen client relationships. From leveraging AI for smarter workflows to enabling firms to increase their M&A capacity fivefold, Adrian breaks down why Practifi is more than just a CRM—it's the future of advisor tech.

Key Takeaways:

→ How Practifi helps advisory firms scale faster.

→ Why Practifi’s role-based CRM design empowers every team member.

→ How Practifi leverages AI to automate workflows and surface hidden growth opportunities.

→ How Practifi turns disconnected data into actionable insights.

→ Why over 10,000 users across hundreds of firms trust Practifi to power their operations, drive growth, and stay one step ahead in a changing tech landscape.

Adrian Johnstone has over 20 years of experience helping businesses of all sizes leverage technology for growth. A regular presenter at industry events in Australia and the United States, Adrian offers deep insight into the technology needs of advisors. Adrian owns Practifi’s global go-to-market strategy and direction.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Bob Oros, Chairman and CEO of Hightower. Bob shares how he transformed a $50B firm into a $200B national wealth management platform by empowering advisors with scale, resources, and entrepreneurial freedom. Drawing on insights from over 50 M&A deals and decades in the industry, Bob discusses leadership lessons, organic growth strategies, and how Hightower helps top advisors deliver extraordinary client experiences.

Key Takeaways:

→ Why successful mergers and acquisitions require saying no to deals that don’t align with your company’s culture and goals.

→ How communication and culture are central to managing rapid growth while remaining nimble.

→ How Hightower provides advisors with services that include HR, compliance, finance, centralized investments, and a national trust company.

→ How advisors can choose which Hightower services to adopt. 

→ Why Hightower focuses on helping advisors free up time and serve clients to attract new clients. 

Bob Oros is Chairman and CEO of Hightower, a national wealth management firm that invests in and empowers financial advisory businesses to drive growth and help clients achieve ‘well-th. rebalanced.’ Under Bob’s leadership, Hightower has transformed its business and culture, accelerated acquisitions, expanded services for advisors, and achieved consistently strong organic growth. He has over 25 years of strategic and operational experience, with a track record of successfully recruiting, retaining, and supporting advisors.

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with mortgage expert and author Kevin Guttman. He shatters common misconceptions about reverse mortgages, explaining how they can be a powerful tool for financial security, retirement planning, and even wealth-building. As the author of Reverse Mortgage Revolution and Reverse Mortgage Changed My Life, Kevin shares expert insights on how seniors can turn home equity into a strategic asset—without the financial pitfalls that so-called experts like Dave Ramsey and Suze Orman warn against.

Key Takeaways:

→ Why Dave Ramsey and Suze Orman are wrong about reverse mortgages.

→ How reverse mortgages are not considered income.

→ Why reverse mortgages boost purchasing power.

→ How a reverse mortgage can help stabilize financial security.

→ How heirs should handle repayment of reverse mortgages.

​Kevin Guttman is a seasoned mortgage professional specializing in reverse mortgages, dedicated to helping seniors achieve financial stability and peace of mind. With a deep understanding of the unique needs of retirees, Kevin offers personalized solutions that empower clients to access their home equity while maintaining ownership of their homes. His commitment to ethical practices and client education has made him a trusted advisor in the industry. Through his work, Kevin strives to provide financial freedom and improved quality of life for the senior community.

Connect With Kevin:

Kevin Guttman

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Michael Uadiale, CPA and financial strategist. He shares how proactive tax planning and wealth strategies can transform the financial future of entrepreneurs in healthcare and real estate. As the founder of SME CPA and Financial Freedom Academy, Michael reveals how business owners can eliminate tax surprises, optimize their financial structures, and achieve long-term security with strategic advisory services.

Key Takeaways:

→ Why business owners should be proactive rather than reactive when it comes to tax planning. 

→ Why successful financial planning requires clear steps and timelines.

→ Why having a tax strategy matters now more than ever.

→ How delivering exceptional service naturally attracts high-level referrals.

→ How having a good tax strategy means there are no year-end surprises.

Michael Uadiale is a seasoned CPA and Master Tax Advisor with over 25 years of industry experience, including 18 years running SMEED CPA. As the founder of a 7-figure revenue firm with 15 employees, he has developed a proven system that helps entrepreneurs achieve financial freedom within 5-7 years through strategic tax planning and wealth building. His expertise has helped clients save over $15 million in taxes over the past 7 years, with an average tax savings of $31,426 per client annually. He is also a successful entrepreneur who has founded six other businesses, including investments in innovative telehealth software.

Connect With Michael:

SMEED CPA

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Erin Botsford, founder of the Elite Advisor Success System ™ and author of The Seven Figure Firm. She reveals how financial advisors can transition from service providers to true business owners by implementing scalable systems and strategies. She shares insights on attracting high-net-worth clients, closing million-dollar deals in a single meeting, and building a business that thrives independently of the advisor—key lessons she has also discussed in her Top Producer Masterclass.

Key Takeaways:

→ Why financial advisors must think like business owners.

→ How financial advisors should act as the client’s financial director. 

→ Why offering concierge-level service is the key to being more referable. 

→ Why advisors need multiple client acquisition channels. 

→ How wealthy clients need protection from financial vulnerabilities. 

Erin Botsford is a 31-year veteran of the profession. She was a Barron’s Top 100 advisor in all categories – Advisor, Independent, and Women. Erin successfully sold her practice in 2017 and now provides advisors the ability to model her success through her Elite Advisor Success System™ training program. She is also the author of the advisor training book Seven Figure Firm: How to Build a Financial Service Business that Grows Itself. She believes in the power of opportunities and donates a large portion of the profits from her training company to support orphans helped by several organizations in Africa, including the Ebenezer Foundation, Zoe Empowers, and Overland Missions

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Stephen Roche, co-founder of Saphyre, about how their cutting-edge technology is transforming the financial industry by streamlining fund onboarding and settlement, reducing processes that once took up to 18 months down to just 24 hours. Stephen shares the journey behind Saphyre’s success and the challenges of revolutionizing an industry still reliant on outdated manual processes.

Key Takeaways:

→ How Saphyre is revolutionizing fund onboarding.

→ Why outdated workflows like faxes and spreadsheets are still plaguing the finance industry.

→ How Saphyre’s cloud-based approach solves these outdated workflows.

→ Why passion for innovation and entrepreneurship will transform the FinTech industry.

→ How Saphyre navigates complex integration challenges with large financial institutions without requiring them to replace their existing technology. 

Stephen Roche brings over 20 years of B2B business development and IT consulting experience, working with Fortune 1000 companies and startups alike. From leading major technology rollouts for Volvo Cars, Red Bull Racing, and Yankee Stadium during his time at AT&T, to co-founding Saphyre and managing strategic relationships with top global financial institutions, Stephen is a proven dealmaker in emerging tech and enterprise IT solutions.

Connect With Stephen:

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Michael Weinstock, Founder of Portfolio Placements & Resumes, LLC. 

In this episode, executive recruiter Michael Weinstock reveals the challenges and strategies behind placing top talent in the competitive portfolio and investment management world. With decades of experience navigating the buy-side hiring landscape, Michael shares invaluable insights on integrity in recruiting, the evolving job market, and how both firms and candidates can stand out in an industry where trust is everything.

Key Takeaways:

→ Why ensuring honesty and transparency in recruits' experience and expertise is difficult.

→ How candidates claiming to bring over client assets often overestimate retention.

→ Why client-facing portfolio managers are essential. 

→ How firms are rapidly adjusting their hiring based on market fluctuations. 

→ Why many of the best recruitment candidates come from referrals.

Michael Weinstock is an experienced executive recruiter and resume consultant with over 20 years in the financial services industry. After earning his degree from Northeastern University, he built a strong foundation at firms like State Street Bank, New York Life Investment Management, and Citibank Global Asset Management. He spent 12 years at Advisors Search Group in New York City, where he developed a proven approach to talent placement, leading to the founding of Portfolio Placements and Resumes, LLC. With direct access to hiring managers and insights from over 200 HR professionals, Michael helps job seekers refine their resumes, sharpen interview skills, and secure roles in top-tier firms.

Connect With Michael:

Portfolio Placements and Resumes, LLC.

LinkedIn

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Dan Baccarini, CIMA®, Chief Distribution Officer at Beacon Capital Management. In this episode of the RIA Podcast, Dan Baccarini of Beacon Capital Management shares how risk-managed investing empowers advisors to help clients participate in market growth while protecting against downturns. Drawing insights from his book Scalable: How to Build a Financial Advisory Practice and Have a Life, Dan also discusses the power of outsourcing portfolio management, building client relationships, and leveraging practice management strategies to grow a successful advisory firm.

Key Takeaways:

→ How every investment strategy should be based on math and history, not emotions. 

→ Why successful advisors focus on client relationships rather than spending time trading, researching and managing portfolios.

→ Why risk-managed strategies resonate with pre-retirees and retirees.

→ How advisors should focus on scalability and leverage expert partners for investment management. 

→ Why advisors must focus on delivering clear, logical investment solutions.

Dan Baccarini, CIMA® is an International Best Selling Author.  His book Scalable was a Top Ten best seller in five different countries:  Canada, Australia, The UK, Germany and was #1 in the US in the Financial Services Category.  Dan began in the financial services industry in 1993 as a producing manager for a financial services firm in the Midwest selling mutual funds and insurance products to high net worth individuals.  For the past 25 years, he has been working with Asset Managers to help them build their sales efforts.  In this role, Dan has worked with hundreds of financial advisors helping them figure out what works and what doesn’t work in creating a successful financial advisory business.  Dan joined Beacon Capital Management in 2011 and during his time at the firm he has restructured the sales effort, and oversaw the explosive growth in assets taking the firm from $250M in AUM to over $4B in assets.

Connect With Dan:

Website: Beacon Capital Management

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In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Ari Galper, the World’s #1 Authority on Trust-Based Selling & Founder of Unlock The Sales Game®. 

In this insightful interview, sales expert Ari Galper introduces the concept of the Trust Recession and explains why traditional sales tactics are failing in today’s skeptical marketplace. He reveals his groundbreaking One-Call Sale method, showing how shifting from persuasion to trust-building can dramatically shorten sales cycles and increase conversions.

Key Takeaways:

→ Why buyers are more skeptical and cautious than ever before.

→ How businesses must shift from selling to trust-building.

→ Why the one-call sale method can dramatically shorten sales cycles.

→ Why businesses should be asking trust-based questions instead of fact-finding questions.

→ How a buyer’s decision is emotional, not intellectual.

Ari Galper is the world’s #1 authority on trust-based selling and the founder of Unlock The Sales Game®. Ari has revolutionized the sales world with his innovative “One Call Sale” system, helping businesses shift from a “selling” mindset to a “doctor” mindset so they can create deep trust in every conversation. He’s the author of seven best-selling books, including Trust In A Split Second!, and his work has been featured in Forbes, CEO Magazine, and other prestigious Publications. Get ready to learn how to thrive in the “Trust Recession”!

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As the founder of Pantheon Investments, Dave empowers entrepreneurs with insider knowledge once reserved for the affluent, helping them build legacy wealth with purpose and fulfillment. He is the author of The Holistic Wealth Strategy: A Framework for Building Legacy Wealth and Living an Extraordinary Life. He hosts the top-rated podcast Wealth Strategy Secrets of the Ultra-Wealthy.

Dave provides a proven path to financial independence through his work, equipping clients with strategies to minimize taxes, maximize passive income, and create lasting wealth.

Listen to this insightful RIA episode with Dave Wolcott about the five-phase blueprint for building exponential growth.

Here is what to expect on this week’s show:

- How ultra-wealthy people invest differently.

- Why shifting to a growth and abundance mindset is essential.

- How to structure your wealth like a billionaire.

- What the secret to getting asymmetric returns is. 

- Why traditional financial advice fails most people.

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Links Mentioned: Pantheon Investments

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In addition, Joe can be heard every Saturday on 107.3FM & 580AM WDBO radio at 9:00 a.m. hosting On the Money. As an experienced and knowledgeable financial planning professional, he has affectionately been referred to as the Oracle of Orlando® by his weekly listeners and currently appears regularly on the FOX affiliate in Orlando, Fox 35 WOFL. In addition to hosting the nationally syndicated TV program, The American Investor, he has appeared on Hour Magazine with Gary Collins as well as regular appearances on the CBS affiliate in Tampa, Channel 13, and the ABC and NBC affiliates in Orlando, Channels 9 and 2. Joe’s bi-weekly column has appeared in the Orlando Business Journal. He has been quoted in Orlando Magazine, the Orlando Business Journal, and The Wall Street Journal.

Listen to this insightful RIA episode with Joe Bert about creating a multi-billion dollar RIA.

Here is what to expect on this week’s show:

- How leveraging radio, TV, social media, and print are great ways to attract new clients.

- Why clients must be educated on risk management and sustainable income strategies.

- How it’s critical to avoid being too aggressive or too conservative with your portfolio.

- Why people should avoid making emotional decisions about their money.

- How preparing clients for inevitable downturns gives them long-term perspective.

Connect with Joe:

Links Mentioned: Certified Financial Group, Inc

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LinkedIn

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Steve holds Series 6, 26, and 63 securities registrations and is licensed to provide Life, Health, and Disability Insurance. Stephen Richman is currently registered in 17 states of the USA. Mr. Richmans’ broker dealer, Cetera Advisors, is currently registered throughout the continental USA. Should a potential client live in a state Mr. Richman is not registered, he can become registered through his broker-dealer to service this potential client.

Guy A. Paredes, Executive Vice President of Rockdale Financial Services, Inc. has helped hundreds of individuals and families create a healthy and secure financial future since 1980. As a member of the Rockdale team, Guy has a mission to assist clients in defining their financial and retirement goals, and set them on a path to achieving them. Guy continually strives to be his clients' most valuable asset in this process.

After running his own financial planning company for many years, Guy merged his company with Rockdale Financial Services in 2010, happily rejoining Steve Richman, his lifelong friend, with whom he'd started his career. With a shared commitment to excellence, the merger provides Rockdale Financial Services clients with an even greater depth and breadth of knowledge and experience.

Listen to this insightful RIA episode with Guy Paredes and Stephen Richman about creating a secure financial future.

Here is what to expect on this week’s show:

- Why it’s important for financial planners to mitigate risk, ensuring clients don’t take unnecessary risks.

- How clear, visual road maps can be very helpful in financial planning.

- Why it’s important to protect your clients’ money against major market downturns while allowing for steady growth.

- How the Imagine Retirement Process helps clients understand how their assets can be allocated to meet their long-term goals.

- Why building trust and cultivating long-term relationships with your clients is critical in financial planning.

Connect with Guy and Steve:

Links Mentioned: Rockdale Financial Services

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Instagram

Facebook

LinkedIn

Registered Representatives offering securities and advisory services through Cetera Advisors LLC, member FINRA/SIPC, a broker-dealer and Registered Investment Adviser. Some advisory services also offered through Rockdale Financial Services, Inc., a Registered Investment Advisor. Cetera is under separate ownership from any other named entity. 99 Corbett Way, Suite 103, Eatontown, NJ 07724

Seth Greene is not endorsed by nor affiliated with Cetera Advisors LLC or its representatives.

The guarantee of the annuity is backed by the claims paying ability of the issuing insurance company.

Investing in mutual funds is subject to risk and loss of principal. There is no assurance or certainty that any investment strategy will be successful in meeting its objectives.

Investors should consider the investment objectives, risks and charges and expenses of the funds carefully before investing. The prospectus contains this and other information about the funds. Contact the financial professional at 732-695-2090 to obtain a prospectus, which should be read carefully before investing or sending money.

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Listen to this insightful bonus RIA episode about getting weekly referrals from accountants and attorneys.

Here is what to expect on this week’s show:

- How you should comment on accountants and lawyers three times a week to build relationships with potential referral sources.

- Why constantly engaging in and showing support on social media allows people to recognize who is behind the comments.

- How being featured on a podcast provides credibility and prestige while allowing you to share your website and social media information.

- Why sending gifts helps activate and maintain the relationship with your interviewees.

- How building goodwill allows people to feel a strong connection to you.

Connect with Seth:

Links Mentioned: Market Domination

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A CEO for more than two decades, he led three national private equity-backed service companies for nine PE sponsors, realizing billions of dollars and averaging 5X MOIC at exit. Coffey has served as an official member of the Forbes Business Council since 2021. Specialties include growth strategy, M&A, development, and exits. A pilot and proud US Army veteran, he and his family call Texas home.

Listen to this insightful RIA episode with Adam Coffey about how to accelerate growth and exit profitably.

Here is what to expect on this week’s show:

- How The Private Equity Playbook helps entrepreneurs understand the evolving world of private equity.

- How private equity accounts for more than 50% of all companies bought and sold globally.

- Why many business owners fail to understand private equity.

- How private equity often creates value, supports employees, and fosters growth in the companies it supports.

- How selling to private equity allows entrepreneurs to take chips off the table while retaining an opportunity for future financial growth.

Connect with Adam:

Links Mentioned: Adam Coffey

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LinkedIn

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– The RIA Podcast with Seth Greene Episode 190 Kevin Bupp

Kevin Bupp is a Florida-based Real Estate Investor, top Apple podcast host, and best-selling author of The Cashflow Investor with over $300 million in real estate transactions under his belt. Based on his decades of experience, Kevin has identified Mobile Home Parks and Parking Lots as the top real estate investments in the current market.

On his podcast, "Real Estate Investing for Cash Flow," he shares his 20+ years of experience, guiding millions of listeners on how to find and invest profitably in commercial real estate. Under the umbrella of his private equity firm, Sunrise Capital Investors, Kevin makes investments in commercial real assets available to passive investors in order to help them build legacy wealth and achieve financial freedom. Beyond real estate investing, Kevin gives back to the community with the "72 Hours to Key West 280 Mile Bike Ride," a charity event that has provided meals to tens of thousands of families in need during the holidays.

Listen to this insightful RIA episode with Kevin Bupp about how mobile home parks and parking lots are hidden goldmines.

Here is what to expect on this week’s show:

- How mobile home parks have a low maintenance cost and a long-term, stable tenant base.

- Why owning a mobile home park allows landlords to be less involved and hands-on.

- How owning a parking lot is similar to owning a mobile home park.

- Why it’s vital to build a strong team and foster a positive company culture.

- How parking lot land will likely appreciate in value and can potentially be redeveloped.

Connect with Kevin:

Links Mentioned:

• Kevin Bupp
• Instagram
• Facebook
• LinkedIn

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Listen to this insightful RIA episode with Jace Graham about oil and gas mineral investments.

Here is what to expect on this week’s show:

- How to go about leasing your mineral rights to operators like ExxonMobil.

- Why people should invest in wells that are already producing.

- How diversified mineral investments provide investors with a stable cash flow.

- Why oil and gas energy have long-term viability as energy sources in today’s market.

- How maintaining relationships within the mineral industry is vital.

Connect with Jace:

Links Mentioned: Rising Phoenix

LinkedIn

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With a strong educational foundation from the University of Rhode Island, Eric embarked on his mission, initially honing his skills at Merrill Lynch in Retirement Plan Services. His dedication and passion for making a difference led him to Bloomberg, LP, where he furthered his expertise. Over the last 13 years, Eric has not only saved his clients millions in taxes but has also guided them towards achieving financial freedom, turning his personal pain into a purposeful mission.

Eric stands out in the financial landscape for his unique approach: viewing each client through a lens of empathy and understanding, crafting personalized strategies that cater to their individual goals and challenges. His mission is to offer life-changing financial plans, ensuring his clients feel secure and cared for.

Eric's story is not just one of financial success but of transforming lives through dedication, expertise, and a deep-seated desire to make a difference.

Listen to this insightful RIA episode with Eric Mangold about empowering healthcare professionals to take control of their financial planning.

Here is what to expect on this week’s show:

- How having a career coach can help with your self-discovery and refocusing your career goals.

- Why entrepreneurs should be reaching out to their network during career transitions.

- How trust is vital in financial advising, especially to overcome negative perceptions caused by high-profile financial scandals.

- Why many physicians and nurse practitioners often feel neglected in financial planning.

- How Argosy Wealth Management focuses on creating a supportive client culture.

Connect with Eric:

Links Mentioned: https://www.emangold.com/

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Share Scoops Pro Content Suite saves advisors time and strengthens their digital presence through consistent, high-quality content. Users can customize Share Scoops’ endless digestible news and education bites to share social media posts and personalized newsletters in seconds.

Before founding Share Scoops, Augustus was an Outsourced Chief Investment Officer advising and managing multi-asset portfolios for endowments, foundations, and institutional family offices at J.P. Morgan.

An experienced investor and Certified Financial Educator®, Augustus makes financial news and education more accessible through social media, newsletters, and consumer apps. Augustus sold his first startup to a prominent tech firm after graduating from Georgetown University, where he studied economics and computer science. He lives in New York City with his wife.

Listen to this insightful RIA episode with Augustus Christen about boosting your visibility and connecting with clients.

Here is what to expect on this week’s show:

- How Share Scoops simplifies the process of creating social media posts and newsletters for financial advisors.

- Why advisors should transform complex financial news and concepts into digestible content.

- How financial advisors often struggle to find the time to create consistent content due to their busy schedules.

- Why Share Scoops is designed to be human-centric and emphasizes relatable financial insights for clients.

- How Share Scoops enables advisors to share timely updates about market trends and economic changes easily.

Connect with Augustus:

Links Mentioned: https://www.sharescoops.com/

X, Instagram, TikTok: @sharescoops

LinkedIn: linkedin.com/company/share-scoops

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Solyco builds its portfolio of assets brand by brand - instead of through specific categories. Once the investment is secured, a partner led team is deployed on secondment to work alongside the portfolio company’s executive team. In 2022 Van Dusen joined Solyco. He is the last partner to be brought on by the firm. He manages sourcing of capitalization and serves in CMO and CRO roles for the brands in the portfolio.

Listen to this insightful RIA episode with Chris Van Dusen about helping startups scale.

Here is what to expect on this week’s show:

- How Solyco provides operational support through their Solyco Advisors management consulting firm.

- How the team at Solyco is made up of former C-level executives and operators from Fortune 150 companies.

- Why Solyco’s investment strategy is industry-agnostic and focuses on finding great companies instead of deploying capital according to strict mandates.

- How the firm offers an SEC-registered product featuring a portfolio of 11 companies, allowing investors to see the companies and interact with CEOs.

- How Solyco’s investments span a variety of industries, including biotech, industrial manufacturing, and AI.

Connect with Chris:

Links Mentioned: https://www.solycocapital.com/

LinkedIn: @solycocapital

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Formerly a Vice President for Acxiom Corporation, he has led established and startup businesses in North & South America, Europe, Asia and the Middle East. Jeff serves as Managing Director for the Conductor, Co-founder of Cadron Capital Partners, and teaches Entrepreneurial Finance & Innovation Leadership in the College of Business at the University of Central Arkansas.

Dr. Standridge has been an invited speaker, trainer, and consultant for numerous companies, institutions, and organizations across five continents. He is also a two-time best-selling author of “The Innovator’s Field Guide: Accelerators for Entrepreneurs, Innovators & Change Agents” and “The Top Performer’s Field Guide: Catalysts for Leaders, Innovators & All Who Aspire to Be.”

Listen to this insightful RIA episode with Dr. Jeff Standridge about the power of planned change.

Here is what to expect on this week’s show:

- How using tailored systems can help companies achieve sustained strategic growth.

- Why organization discipline is a key challenge for many companies.

- How decision frameworks help business owners avoid distractions and focus on growth.

- Why Innovation Junkie isn’t just a consulting firm.

- How the firm specializes in knowledge-based, scalable businesses in tech, biotech, healthcare, and advanced manufacturing.

Connect with Jeff:

Links Mentioned: https://innovationjunkie.com/

https://jeffstandridge.com/

Instagram: @innovationpartners

@jeff_standridge

Facebook: facebook.com/innovationjunkie

facebook.com/JSInnovationPartners

LinkedIn: linkedin.com/company/innovation-junkie

linkedin.com/in/jeffstandridge

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Joe previously served on the board of Entrepreneurs Organization of New York as Education Chair and has also served on the board of advisors of a major credit card processing company. He is an active member of the Knights of Columbus and other various charitable organizations.

Listen to this insightful RIA episode with Joseph Romano about building a tax firm from the ground up.

Here is what to expect on this week’s show:

- How networking, speaking engagements, and client referrals fuel business growth.

- Why recruiting in accounting can be challenging.

- How Romano Tax’s core expertise is helping people legally avoid taxes.

- Why Romano Tax emphasizes fairness in tax deductions.

- How people and businesses should work with a tax specialist instead of using AI or TurboTax.

Connect with Joseph:

Links Mentioned: https://romano-tax.com/

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With a robust background in the life insurance industry, Jimmy has collaborated with top-tier life insurance carriers, elite producers, and national banks. He played a key role in creating Life Premium Finance and Advanced Planning divisions at a major bank, closing over $500 million in committed lending and representing over $3 billion in face amounts.

Jimmy’s expertise spans life insurance, estate planning, wealth management, and advising privately-held businesses. Under his leadership, NBA provides industry-leading insurers, underwriting, back-office support, and advanced market solutions, serving affluent U.S. and international clients.

Listen to this insightful RIA episode with Jimmy Milliron about mastering life insurance distribution for affluent clients.

Here is what to expect on this week’s show:

- How NBA specializes in life insurance distribution for financial advisors serving affluent national and international clients.

- How NBA is known for its emphasis on underwriting and case management, offering white-glove service to advisors and clients.

- Why NBA works with financial advisors across various firm sizes, from small RIAs to larger specialized groups.

- How NBA offers solutions for businesses looking to retain, reward, and recruit talent through life insurance-funded executive compensation plans.

- How life insurance is a relationship-driven industry, especially for large, complex cases.

Connect with Jimmy:

Links Mentioned: https://nbatlantic.com/

Instagram: @nationalbrokerageatlantic

LinkedIn: linkedin.com/company/nationalbrokerageatlantic

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She is currently the Head of Compliance and Regulatory Strategy at the AI regulatory technology firm, Silent Eight, and previously held key leadership positions at LexisNexis Risk Solutions as Director of Global Content for WorldCompliance, and Sr. Director of Financial Crime Compliance Practice at Moody’s Analytics, where she led program implementation, regulatory analysis and engagement, product development, and client consultations on best practices across multiple business lines and sectors.

An experienced speaker and author, Dr. Frasher’s work has been featured in Harvard Business Review, American Banker, CoinDesk’s Consensus, and SWIFT’s Sibos, among others. She is an expert with the EU AML/CFT Global Facility on Beneficial Ownership, Privacy and Data Sharing, an external analyst with Oxford Analytica, a Forbes Business Council Member, and a standing member of the Privacy Research Group at the NYU School of Law.

Frasher earned a PhD in history focusing on International Political Economy from Texas A&M University, holds multiple MA and BA degrees in political science, history, and foreign languages, and is a Certified Anti-Money Laundering Specialist. In 2014, she was Fulbright-Schuman Scholar to Belgium and Malta (sponsored by the US State Department and European Commission) on US-EU financial data sharing for transatlantic counter-terrorism cooperation.

Listen to this insightful RIA episode with Dr. Michelle Frasher about navigating financial crime compliance with AI.

Here is what to expect on this week’s show:

- How Silent Eight uses human-centered and explainable AI to help global banks detect and manage risks related to money laundering, financing terrorism, and sanctions.

- How Silent Eight’s AI solutions provide a comprehensive audit trail, ensuring transparency and regulatory compliance.

- Why it’s critical to translate complex regulations into actionable policies and procedures for financial institutions.

- How the new AML/CFT regulatory rules for RIAs take effect on January 1st, 2026, with significant implications for the industry.

- How the evolving regulatory environment underscores the need for RIAs to enhance their compliance procedures and staff training.

Connect with Dr. Frasher:

Links Mentioned: https://www.silenteight.com/

X: @_SilentEight

LinkedIn: linkedin.com/company/silenteight

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Prior to joining Palisades, Mr. Rahman worked as a Senior Analyst in the Investment Banking Division at Raymond James. During his tenure there, he executed transactions within the Financial Institutions Group, focusing on the Asset Management, Banks, and Insurance sectors. Mr. Rahman's transaction experience includes advisory services for private equity and debt placements, sell-side and buy-side advisory, as well as public debt and equity transactions. He earned a BA in Applied Mathematics from Washington University in St. Louis.

Listen to this insightful RIA episode with Haseeb Rahman about building a global residential credit empire.

Here is what to expect on this week’s show:

- How Palisades operates with two main business verticals: advisory services for large institutions and discretionary capital vehicles.

- How Palisades’ funds are structured as close-end private equity-style vehicles with typical investment periods of 2-3 years and harvesting periods of 3-4 years.

- Why Palisades may explore more permanent capital vehicles in the future, like open-ended evergreen funds.

- How Palisades’ growth has not been linear and faced challenges before scaling through effective use of data and technology.

- How the shift in the housing market has allowed Palisades to grow in a more predictable manner.

Connect with Haseeb:

Links Mentioned: https://www.palisades.us.com/

X: @palisades_group

LinkedIn: linkedin.com/company/the-palisades-group-llc

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The first in his family to attend college, Jeff believes it is imperative to start the discussion of financial literacy early to best prepare for financial success throughout life. Jeff served in the US Army after college, which, as part of his service agreement, paid the student loans he had accrued. He was honorably discharged and began working as a Financial Advisor trainee at a large brokerage firm.

Though Jeff grew up in Southwestern Pennsylvania, he has lived in the Atlanta area for two decades. Jeff and his wife Rebecca currently live in Atlanta, Georgia. When he isn’t working, Jeff enjoys spending time with family, traveling, reading, and all types of sports.

Listen to this insightful RIA episode with Jeffrey Panik about lessons in wealth management.

Here is what to expect on this week’s show:

- How the financial industry has shifted from proprietary products to a client-first approach.

- Why it’s critical to stay ahead of technological changes in the industry.

- How 95% of heirs lose inherited wealth because they lack financial education and literacy.

- Why lifelong learning and continued education are crucial to add value for clients and to stay relevant.

- How it can be difficult to stay ahead of technological advances while maintaining a personal touch with clients.

Connect with Jeffrey:

Links Mentioned: https://jeffreypanik.com/

Instagram: @yourfutureisnow12

Facebook: https://www.facebook.com/profile.php?id=61561132010284

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Steven founded the company out of which College Recruiter grew way back in 1991. He had just graduated from law school, passed the bar, and was working as a lawyer when he decided to get out of law to, as he says, enjoy his life. He invested almost all of his savings -- about $200 -- to buy business cards, letterhead, and a fax machine. He then convinced a number of departments at his alma matter, the University of Minnesota, to allow his little business to publish their official campus map for them. He gave the school the maps for free, they distributed them to students, and the company earned its revenues from the sale of advertising around the edges of the maps. That led to also publishing employment magazines called College Recruiter and that led to the first version of the company's website going live in 1996. By 2000, the company had shutdown the profitable maps and magazines to focus on the website.

Listen to this insightful RIA episode with Steven Rothberg about revolutionizing early career recruitment.

Here is what to expect on this week’s show:

- How College Recruiter partners with affiliate sites, including college career services, scholarship sites, and other job boards.

- Why the average rate of applying to a job listing after viewing it is only 5%.

- How College Recruiter automatically distributes job postings to relevant partner sites based on job specifics.

- Why low-skill jobs see higher application rates than specialized roles.

- How AI has disrupted various industries, including job search and recruitment.

Connect with Steven:

Links Mentioned: https://collegerecruiter.com/

Facebook: facebook.com/EntryLevelJobs

LinkedIn: linkedin.com/company/collegerecruiter-com

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Mr. Crapuchettes began his career as a young Silicon Valley entrepreneur, building business process automation and selling 3D modeling software.

In 2001, Mr. Crapuchettes became a founding member and later CEO of Emsi (now Lightcast), which he transformed from a little-known consulting company of three employees to an international economic data firm with over 250 employees worldwide.

Mr. Crapuchettes not only pioneered the operational tenets that rocketed Emsi to success, but led the company through four successful transitions to two private equity firms, a strategic buyer, and a national non-profit, with each transition producing significant returns for the investors.

Mr. Crapuchettes has also contributed his talents to numerous other companies, some of which have led to additional strategic and MBO exits. He has taught graduate-level classes on 3D modeling and software architecture, and has served on the board of multiple non-profit organizations. He and his wife live in Idaho with their five children.

Listen to this insightful RIA episode with Andrew Crapuchettes about how RedBalloon Recruiter is leading the anti-woke job board revolution.

Here is what to expect on this week’s show:

- How RedBalloon was created in response to cancel culture and corporate environments that penalize personal beliefs.

- How RedBalloon helps create workplaces where employees can align their work with their values without fear of retribution.

-Why the recruitment process includes an extensive onboarding call to understand their values and the culture they seek.

- How using these insights ensures job postings and candidate outreach align with the client’s mission and culture.

- How the business model and success of RedBalloon challenge the prevailing norms in the recruitment industry by offering a values-driven approach.

Connect with Andrew:

Links Mentioned: https://www.redballoon.work/

X: @BedBalloonWork

Instagram: @redballoonwork

Facebook: Facebook.com/RedBalloonWork

LinkedIn: linkedin.com/company/redballoonwork

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Prior to founding Boosted.ai, Josh was a Principal Machine Learning engineer at Bloomberg for 4 years. At Bloomberg, he helped start and build numerous critical Machine Learning initiatives including Ranking, Recommendation, Question and Answering, Crowd Sourcing, and Knowledge Graphs. He also acted as a consultant on numerous initiatives across the company and helped build several ML teams.

Listen to this insightful RIA episode with Josh Pantony about how Boosted.ai supercharges productivity in wealth management.

Here is what to expect on this week’s show:

- How Boosted.ai helps investment managers by automating repetitive tasks like portfolio commentary, risk monitoring, and discounted cash flow analysis.

How Boosted.ai is a SaaS tool that allows users to log in and build custom automation tailored to their investment management needs.

- Why hiring ahead can help organizations to scale quickly as the business grows.

- How Boosted.ai saves investment managers between 20% and 50% of their weekly hours by automating tasks.

- How Boosted.ai offers insights and analysis on supply chain effects or shareholder meeting changes.

Connect with Josh:

Links Mentioned:

Boosted.ai

X

@BoostedAi

LinkedIn

linkedin.com/company/boostedai

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Listen to this insightful RIA episode with Travis Freeman about cultivating financial habits for lasting success.

Here is what to expect on this week’s show:

- How young people need to learn about wealth-building strategies even if they don’t come from a wealthy background.

- Why time is a critical factor in wealth accumulation and financial success.

- How many young professionals should spend less and save more.

- Why you should teach your children about financial management.

- How making smart financial decisions early in your career leads to long-term benefits.

Connect with Travis:

Links Mentioned:

growthinfo.com

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Listen to this insightful RIA episode with Brian Preston about the secrets to financial planning success.

Here is what to expect on this week’s show:

- How crucial it is to work with a financial advisor who has successfully applied their methods.

- Why giving away valuable information for free builds trust and creates an abundance cycle.

- How everyone should have access to financial education.

- How forced financial scarcity is a strategy to automate saving and investing to avoid lifestyle inflation.

- How there is a psychological aspect to spending and saving and why clients should find joy in their expenditures.

Connect with Brian:

Links Mentioned: aboundwealth.com

X: @moneyguyshow

Instagram: @moneyguyshow

Facebook: facebook.com/themoneyguyshow

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Tom’s Ph.D. is in retirement income planning, with original research on Whole Life as a Fixed Income Alternative under the advisement of industry thought leaders Wade Pfau, Michael Finke, and Stephen Parrish. His focus on academic integrity and decades of sales experience combine to make him a uniquely credible and

inspirational voice in the life insurance space.

Tom now coaches and consults with financial advisors, hosts the Whole Life Masterminds study group, and has published his first book titled Permission to Spend: Maximize Your Retirement with the Best Kept Secret in Personal Finance, a Wall Street Journal Best Seller and Amazon International Best Seller.

Listen to this insightful RIA episode with Tom Wall about educating advisors for a better financial future.

Here is what to expect on this week’s show:

- How advisors face challenges due to opaque fee structure and misinformation surrounding whole life insurance, making it difficult to convey benefits.

- Why the financial industry’s lack of academic research on whole life insurance adds to advisors’ difficulties in building trust and credibility with clients.

- How the spread of misinformation poses a significant challenge for advisors trying to educate clients about the value of whole life insurance.

- How Whole Life Mastermind connects advisors with industry experts, enhancing their knowledge and providing practical solutions for clients.

- How Whole Life Mastermind aims to revive the culture of actuarial science and planning, offering comprehensive support for advisors in the whole life insurance sector.

Connect with Tom:

Links Mentioned:

wholelifemasterminds.com

LinkedIn

linkedin.com/in/tomwall

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Jake works closely with clients to develop sophisticated, yet clear, strategies to help them achieve their objectives. He monitors both the retirement planning and investment landscape to stay up to date on the latest trends to help optimize appropriate financial solutions for clients. Additionally, he is responsible for the oversight of Falcon Wealth Advisors’ culture and is committed to providing clients with an excellent experience.

Jake earned his bachelor's degree in business administration from the University of Texas at San Antonio. He holds the Chartered Retirement Planning Counselor® (CRPC®) designation and has completed the Investment Strategies and Portfolio Management Executive Education Program at The University of Pennsylvania’s Wharton School of Business. In 2016, Jake was featured in Ingram’s Magazine’s prestigious “40 Under 40” list. He was also listed in the Forbes 2018, 2019 and 2020 list of America’s Top Next-Gen Wealth Advisors. Additionally, Jake was included in Forbes’ list of Best-In-State Wealth Advisors for Kansas in 2021, 2022, and 2023.

Listen to this insightful RIA episode with Jake Falcon about scaling financial literacy.

Here is what to expect on this week’s show:

- How Falcon Wealth Advisors stands out for its 24-hour response time, client-centered ensemble approach, and focus on individual stocks, bonds, and options without using investment products.

- Why building strong client relationships through personal interaction and consistent service contributes to referrals.

- How delegating managerial tasks to team leaders allows business owners to scale their company.

- Why being actively involved in the community is crucial for your business.

- How Retiring Right was written because many existing retirement books are outdated or product-heavy.

Connect with Jake:

Links Mentioned:

falconwealthadvisors.com

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In addition to experience in the financial services industry, Freddie also has experience in law enforcement and is retired from The Fairfax County Police Department in Virginia. Freddie is originally from Long Island, New York and enjoys coaching baseball.

Listen to this insightful RIA episode with Freddie Rappina about his transition from police officer to wealth advisor.

Here is what to expect on this week’s show:

- How Opta Financial aims to bring advanced wealth-building strategies to the middle class.

- Why it’s important to transition from middle-class financial strategies to wealth-building ones.

- How the biggest differentiator between middle-class financial strategies and wealth-building strategies is the attitude towards debt.

- How Opta Financial also caters to clients who want to further advance their wealth through strategic investments.

- How compound interest is oversold to the middle class as a primary wealth-building tool.

Connect with Freddie:

Links Mentioned:

playingthewealthgame.com

optafinancial.com

Facebook

facebook.com/OptaFinancial

LinkedIn

linkedin.com/company/opta-financial

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Lisa’s approach is different than most in how she supports her clients and learns about their passions, fears, dreams and principles to help ensure they are reflected in their financial pursuits. By looking at all of the pieces together she is able to uncover opportunities to make the lives of each client easier and their legacies stronger. As a result, Lisa has often been described as a financial coach and even a consigliere.

Lisa works side by side with her clients to create a financial plan. This plan acts as a north star and informs the customized approach she takes to managing investments and determining where and how insurance and annuities have a place in helping her clients attain their goals. She also offers fee based only financial planners for clients who manage their own investments or don’t have liquid investments needing a professional money manager. In addition, she can provide trustee services and fractional family office services.

Listen to this insightful RIA episode with Lisa Hutter about creating a better client experience with independent RIAs.

Here is what to expect on this week’s show:

- How creating deep relationships with your clients is an important part of comprehensive financial planning.

- Why having in depth conversations is vital and allows financial planners to focus more on their clients goals and less on investment performance.

- How providing excellent customer service leads to getting more clients through referrals.

- How being an independent RIA allows you to freedom to work with any client and to provide tailored financial planning without extra fees.

- How the ability to offer unique and creative investment strategies differentiates IronOak Wealth from other firms.

Connect with Lisa:

Links Mentioned:

ironoakwealth.com

lisa@ironoakwealth.com

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Listen to this insightful RIA episode with Michael Cannivet about investing insights.

Here is what to expect on this week’s show:

- How it’s important to invest by focusing on supply and demand dynamics and investor psychology.

- Why active investing and a tailored, original approach is the key to outperforming market prices.

- How Silver Light Asset Management crafts personalized narratives that align with their client’s core values and life goals

- How there are four essential components to retirement planning: savings, investing, lifestyle, and legacy.

- Why risk management is the cornerstone of successful investing, especially during volatile market conditions.

Connect with Michael:

Links Mentioned:

silverlight.us

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Eric offers practical investment and insurance advisory services, guiding clients toward financial success. Based in Victoria, BC, he balances his professional life with personal interests like scuba diving and yoga, embodying a holistic approach to success.

Listen to this insightful RIA episode with Eric Watchorn about decoding financial blindspots.

Here is what to expect on this week’s show:

- How Watchorn Risk & Wealth Management serves professionals and small to mid-sized business owners.

- Why using referrals to attract new clients allows you to leverage your network and reputation.

- How many people are concerned about market timing and investment safety given the prolonged bull market.

- Why Financial Blindspots aims to illuminate common overlooked aspects of personal finance and investment

- How helping people create safe, progressive financial strategies without significant risks is highly rewarding.

Connect with Eric:

Links Mentioned:

wrwmcorp.com

Facebook

facebook.com/watchornriskandwealth

LinkedIn

linkedin.com/in/eric-b-watchorn-77136937

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In 2019, Mr. DaGrosa co-founded and served as Co-Chairman of Quinn Residences, a $900 million real estate investment trust focused on the acquisition and development of single-family home rentals in prime rental-growth markets throughout the United States. Quinn Residences is now one of the fastest-growing companies in the single-family home rental market. Mr. DaGrosa also served as Chairman of GACP Sports LLC, which acquired F.C. Girondins de Bordeaux, a first-division French soccer team as well as Soccerex Ltd, the world’s largest B2B convention business for the global football industry.

Previously, Mr. DaGrosa was Co-Founder and Senior Partner at 1848 Capital Partners LLC (“1848”), where he was responsible for all aspects of the firm’s private equity investments. In 2003, Mr. DaGrosa and his partners formed Heartland Food Corp. (“Heartland”), an acquisition vehicle that acquired 248 Burger King franchises out of bankruptcy, and successfully co-led the turnaround and sale of Heartland to GSO Capital (now part of Blackstone). In 2008, Mr. DaGrosa co-led the acquisition of Jet Support Services Inc. (“JSSI”), the world’s largest independent provider of warranty and insurance programs for the maintenance of private jets. Mr. DaGrosa served as Vice-Chairman and Co-Chief Investment Officer of JSSI until the sale of the company in 2020 to GTCR.

Prior to 1848, Mr. DaGrosa was a Partner at Maplewood Partners LP, a Miami-based private equity firm, where he served as Co-Head of Transactions and Chief Administrative Partner. Mr. DaGrosa began his career in 1986 at Paine Webber, Inc. in the firm’s Management Audit and Controls Program and from 1988 to 1996 worked as a financial advisor in the firm’s Special Accounts Group.

Mr. DaGrosa currently serves on the board of directors for Hoy Health LLC, Soccerex LLC, and Brazil Tower Company LP, and previously served on the board of Global Crossing Airlines Group Inc., Eastern Airlines Group Inc., and SMobile Systems, Inc. He also serves on the board of Camillus House, a non-profit organization focused on meeting the needs of Miami’s homeless citizens.

Listen to this insightful RIA episode with Joseph DaGrosa about investing in success.

Here is what to expect on this week’s show:

- How interval funds eliminate the need for complex subscription documents, enhancing investor accessibility.

- Why it’s important to have a strong back office and compliance framework when managing complex investment funds.

- How private investments are a transformative tool for retail investors.

- Why democratizing access to investment opportunities makes it so everyone can invest in opportunities that were traditionally available only to the wealthiest people.

- How interval funds have advantages over direct commitments to private equity funds, including immediate capital deployment and reduced fee structures.

Connect with Joseph:

Links Mentioned:

dagrosacp.com

LinkedIn

linkedin.com/company/dagrosa-capital-partners

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Varble’s expertise includes ground-up self-storage developments, transforming big box stores into self- storage facilities and acquiring and optimizing existing properties.

Varble’s journey in entrepreneurship began prior to his academic pursuits. He is an alumnus of Westmont College, where he began shaping his business insights. This foundation was further strengthened by an MBA from Pepperdine University’s Graziadio Business School. His tenure at Procter & Gamble was instrumental in developing his skills in the realm of large-scale operations and budget management, successfully contributing to projects with budgets in excess of $180 million.

Before venturing into real estate, Varble was a Commercial Lender in California. Currently based in Iowa, he skillfully balances a thriving career with a fulfilling family life. Married since 1998 and a father to three, Varble’s professional philosophy integrates the use of innovative technology in real estate with a solid grounding in corporate strategy, underpinned by a commitment to family values.

Listen to this insightful RIA episode with Guy Varble about unlocking the secrets of tax-advantaged self storage.

Here is what to expect on this week’s show:

- How tax-advantaged self-storage involves cost segregation and accelerated depreciation models.

- How these models allocate depreciation to investors, providing significant tax benefits.

- Why investing through self-directed IRAs or Roth 401(k)s doesn’t have the extra tax advantages.

- How self-storage is considered a risk-mitigated asset class, thriving in both good and bad economic times.

- How self-storage is a basic, essential asset class, meeting diverse needs across different regions.

Connect with Guy:

Links Mentioned:

impactselfstorage.com

X

@ImpactStorage

Instagram

@impactselfstorage

Facebook

facebook.com/ImpactSelfStorage

LinkedIn

linkedin.com/in/guy-varble-6522832

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Connor has held various roles at eMoney since joining in 2013, contributing to more than 10 years of technology, practice management, and planning experience. He co-hosts eMoney's Heart of Advice Podcast, which helps financial advisors elevate their financial planning processes and strengthen client relationships. Connor earned a bachelor’s degree from James Madison University and earned his CFP® designation in 2016.

Connor loves spending time with his family, and friends in Philadelphia and enjoys staying active by golfing, snowboarding, playing hockey, and playing with his goldendoodle, Nala.

Listen to this insightful RIA episode with Connor Sung about revolutionizing financial planning.

Here is what to expect on this week’s show:

- How eMoney differentiates itself with a strong focus on client services and practice management support.

- Why eMoney promotes a macro view in financial planning.

- How eMoney continually innovates and evolves its platform to remain a leader in financial planning technology.

- Why more advisors should explore eMoney’s Decision Center and Client Portal.

- How identifying growth opportunities and building efficiencies translates into meaningful outcomes for adivors and their clients.

Connect with Connor:

Links Mentioned:

emoneyadvisor.com

X

@eMoneyAdvisor

Facebook

facebook.com/eMoneyAdvisor

LinkedIn

linkedin.com/company/emoney-advisor

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In pursuit of a more fulfilling career, Jim ventured into the financial advisory sector in 2002, joining a prominent "Wall Street" firm. Disenchanted by the high-pressure environment focused on generating commissions and the formal corporate culture, Jim decided to strike out on his own. In 2004, he founded what is today known as Hendricks Wealth and Estate Management. His decision to start his own firm marked the most pivotal move of his professional life, establishing a business intended to endure for decades.

Outside of his professional life, Jim is a father to three children, with one currently in college and the other two in high school. While they are each forging their unique paths to success, Jim holds a hopeful outlook that they might one day join the family business. However, he respects their journeys, acknowledging that they may not follow his recommended trajectory.

Jim's philosophy extends beyond his professional endeavors; he is committed to living an engaging life and insists on infusing fun into every day. Whether it's through creative pursuits, swimming, golf, playing drums, or inventing games, Jim finds joy in active and creative engagements. Since childhood, he has enjoyed transforming everyday activities into games, a strategy that has served him well in setting and achieving goals. This approach not only enriches his personal life but also informs his professional interactions, offering his clients a dynamic pathway toward financial stability.

A self-described highly motivated individual, Jim has a compelling story about what drove his intense self-motivation—a narrative he shares enthusiastically when given the opportunity.

Listen to this insightful RIA episode with Jim Hendricks about the transition from accounting to financial planning.

Here is what to expect on this week’s show:

- How Hendricks Wealth and Estate Management differentiates itself through focusing on detailed, planning-oriented financial advice.

- Why Hendricks Wealth and Estate Management focuses on calculating a precise spending number instead of using generic percentage-based estimates.

- How retirement planning should have tailored strategies to meet everyone’s needs.

- Why the strategic allocation of assets among beneficiaries helps minimize tax liabilities and optimize estate value.

- How Hendricks Wealth and Estate Management operates similarly to a multifamily office, providing comprehensive services under one roof.

Connect with Jim:

Links Mentioned:

jghfs.com

Facebook

facebook.com/hendrickswealth

LinkedIn

linkedin.com/company/hendrickswealth

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Listen to this insightful RIA episode with Allen Gibson about all-inclusive financial services.

Here is what to expect on this week’s show:

- How Gibson Wealth Advisors utilizes advanced financial tools and executes plans effectively.

- Why comprehensive financial planning should include collaborating with external professionals like CPAs and estate planners.

- How Gibson Wealth Advisors provides integrated services under one roof.

- Why Gibson Wealth Advisors is deeply committed to continuous education while holding numerous designations to stay current and technically proficient.

- How client acquisition is mostly through referrals, while using an effective strategy to retain the next generation of family members as clients.

Connect with Allen:

Links Mentioned:

gibsonwealthadvisors.com

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Listen to this insightful RIA episode with Mark Kohler about revolutionizing tax and legal advice.

Here is what to expect on this week’s show:

- How small business owners need to take an active role in their financial and legal planning.

- Why business owners shouldn’t overly rely on passive advice from accountants and lawyers.

- How regular, proactive engagement between clients and their financial advisors optimizes business planning.

- How there is a lack of proactive strategic advice from traditional financial advisors.

- Why financial literacy and proactive management among small business owners is vital.

Connect with Mark:

Links Mentioned:

markjkohler.com

X

@markkohler

Instagram

@markjkohler

Facebook

facebook.com/markkohler

LinkedIn

linkedin.com/in/markjkohler

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Listen to this insightful RIA episode with Eric Brotman about an innovative approach to financial planning.

Here is what to expect on this week’s show:

- How BFG Financial Advisors distinguishes itself by having no asset minimums and employing a younger, diverse team compared to typical financial firms.

- Why BFG Financial Advisors uses custom-developed, Excel-based tools instead of off-the-shelf financial planning software.

- How financial advisors should have their own financial advisors to maintain objectivity.

- Why financial advisors must manage client behaviors during market volatility.

- How leveraging media, speaking engagements, and published works attracts new clients.

Connect with Eric:

Links Mentioned:

bfgfa.com

X

@brotmanplanning

Instagram

@bfgfinancialadvisors

Facebook

facebook.com/BFGFinancialAdvisors

LinkedIn

linkedin.com/company/bfgfa

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Listen to this insightful RIA episode with Brice Holmes about the evolution of Invata Global.

Here is what to expect on this week’s show:

- How shifting from marketing to real estate was an organic process.

- How Invata Global manages over 2000 units including houses and short-term rentals.

- Why navigating different real estate rules and doing your due diligence across boarders can be challenging when dealing with international real estate.

- How real estate activities are variable which keeps daily routines engaging and diverse.

- How Invata is looking to expand in Costa Rica as well as the United States.

Connect with Brice:

Links Mentioned:

invataglobal.com

X

@InvataGlobal

Instagram

@invataglobal

Facebook

facebook.com/InvataGlobal

LinkedIn

linkedin.com/company/invata-global-marketing

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Listen to this insightful RIA episode with Doug Shea about transforming natural gas into profit.

Here is what to expect on this week’s show:

- How Magnolia Energy’s technology enables natural gas wells to produce more lucrative products like hydrogen or synthetic fuels instead of just selling natural gas.

- Why there is a current surplus of natural gas.

- How natural gas pricing is highly sensitive to regulatory decisions affecting future export capacities.

- How Magnolia Energy has its own natural gas fields and wells but also collaborates with other operators interested in using their conversion technology.

- How the technology not only offers higher returns but also significant tax benefits.

Connect with Doug:

Links Mentioned:

magnoliaoilgas.com

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Listen to this insightful RIA episode with Greg Allen about protecting wealth with precious metals.

Here is what to expect on this week’s show:

- How precious metals like gold and silver are seen as inverse trades against the dollar, with potential growth amid the declining dollar value.

- How notable increases in metal values, particularly silver, have been observed during Federal Reserve rate cutting cycles.

- Why silver may offer more return potential based on historical ratios.

- How Allenhouse Metals focuses on selling investor bars rather than coins to provide lower premiums and better investment returns.

- How Allenhouse Metals provides secure storage options through International Depository Services, with seamless transactions possible directly from storage facilities.

Connect with Greg:

Links Mentioned:

allenhousemetals.com

Instagram

@allenhousemetals

LinkedIn

linkedin.com/company/allenhouse-metals

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Prior to becoming a full-time investor, John worked in corporate America, overseeing marketing campaigns for General Motors, Nike and Coors Light.

Listen to this insightful RIA episode with John Casmon about building wealth through multifamily investments.

Here is what to expect on this week’s show:

- How having a mentor and making partnerships are important aspects to achieving success in real estate.

- How generating passive income safeguards people against job loss and financial instability.

- Why you should set clear investment goals that are aligned with your personal financial objectives.

- How people should select investments that directly contribute to their primary financial goals.

- Why it’s necessary to adapt investment strategies in response to personal and market changes.

Connect with John:

Links Mentioned:

casmoncapital.com

X

@Casmon_Capital

Instagram

@casmoncapital

Facebook

facebook.com/casmoncapital

LinkedIn

linkedin.com/company/casmoncapital

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Listen to this insightful RIA episode with Jonathan Seed about building a lifestyle business in wealth management.

Here is what to expect on this week’s show:

- How it’s important to focus on clients that add significantly to both profitability and job satisfaction.

- Why standard bonds don’t adequately cover the entire fixed income spectrum.

- How Seed Wealth Management practices a unque approach to diversification tailored to the individual needs of the clients.

- Why it’s important to consider your clients’ legacy assets and their varied financial needs.

- How it’s important to focus on tax efficiency, utilizing tax-advantaged accounts effectively to manage clients’ investments.

Connect with Jonathan:

Links Mentioned:

seedwealthmgmt.com

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In business, Charlie has led the Burford Brothers as CEO since 2020 focusing most of his efforts on the financial planning side of the business to pair well with his father and President, Scott, who leads the team on the investment side. While still involved with macro investment decisions, Charlie utilizes his vast knowledge gained from the CFP designation and his experience since 2013 to specialize in financial planning to bring objective value to clients each year.

Listen to this insightful RIA episode with Charlie Burford about innovating wealth management.

Here is what to expect on this week’s show:

- How Burford Brothers offers a range of services, including family office and risk management.

- Why Burford Brothers is developing an in-house alternatives fund, leveraging local and global managers for a unique offering

- How referrals and networking are great ways to land new clients.

- Why many people struggle with their finances because they are busy with other aspects of their lives.

- How Burford Brothers excels in helping clients with complex needs, including business owners and philanthropists.

Connect with Charlie:

Links Mentioned:

burfordbrothers.com

Instagram

@burfordbrothers

Facebook

facebook.com/burfordbrothers

LinkedIn

linkedin.com/company/burford-brothers-inc

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High-level podcasters such as Hunter Thompson, Tyler Lyons, and Jonathan Cattani have praised Nic, inviting him as a guest on some of their highest-reviewed episodes. His data-driven investing approach has garnered acclaim, leading to return invitations for updates on economic insights shared on previous shows. Nic's ability to simplify complex theories ensures dense material is delivered in an entertaining and easily digestible manner.

Listen to this insightful RIA episode with Nic DeAngelo about going from distressed assets to stable returns.

Here is what to expect on this week’s show:

- How the Saint Investment Group works with big banks and financial institutions to clean up their books by buying mortgages with issues.

- Why their aim is to keep homeowners in their homes.

- How creating content and educating investors can lead to gaining more clients.

- Why offering free education builds trust amongst clients.

- How Saint Investment Group shifted focus to providing fixed income to investors, offering returns in the 12-14% range.

Connect with Nic:

Links Mentioned:

saintinvestment.com

Instagram

@nicdeangelo

Facebook

facebook.com/SaintInvestment

LinkedIn

linkedin.com/company/saint-investment

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Curt’s goal as a financial planner is to ensure that families, corporate executives, and entrepreneurs have a comprehensive financial plan in place to reach their life goals. With 18 years of experience as a corporate executive and having owned a Subway franchise for over a decade, he knows how to provide practical, first-hand perspectives in the financial planning process.

Listen to this insightful RIA episode with Curtis Stowers about using a holistic approach to financial planning.

Here is what to expect on this week’s show:

- How the biggest mistake clients make is not optimizing their tax planning opportunities while investing without a clear strategy.

- Why procrastinating your financial planning is a bad idea.

- How people should focus on all five F’s – faith, family, friends, fitness, and finance.

- Why it’s vital to stay ahead of the curve by staying on top of industry changes.

- How financial planning should be used as a tool to help clients achieve their goals and live their lives to the fullest.

Connect with Curtis:

Links Mentioned:

f5fp.com

Twitter

@curtstowers

Instagram

Facebook

facebook.com/f5financialplanning

LinkedIn

linkedin.com/in/curtstowers/#%E2%80%8E

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Listen to this insightful RIA episode with Jeff Bartsch about going from creating content in Hollywood to helping RIAs connect with clients.

Here is what to expect on this week’s show:

- How communication is vital when helping advisors connect with their clients on a deeper level.

- Why being good at what you do doesn’t automatically attract new clients.

- How advisors should use a compelling story and focus on who they are when selling their services.

- Why speaking to specific problems within a vertical resonates more than trying to appeal to everyone.

- How many advisors are moving towards using virtual CFO services to differentiate themselves and connect with clients.

Connect with Jeff:

Links Mentioned:

resolveentertainment.com

LinkedIn

linkedin.com/in/jeff-bartsch-0265934

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His bestselling book The Power of Zero has sold over 200,000 copies and the updated and revised version was published by Penguin Random House. When it was launched in September of 2018, it finished the week as the #2 most-sold business book in the world. In 2019 The Power of Zero was ranked as the #9 best financial resource in the country by Forbes Magazine. This book was recently made into a full-length documentary film, also entitled The Power of Zero. As the President of David McKnight & Company, he mentors hundreds of financial advisors from across the country who specialize in The Power of Zero retirement approach. He and his wife Felice have seven children.

Listen to this insightful RIA episode with David McKnight about how to get your clients to the 0% tax bracket.

Here is what to expect on this week’s show:

- How Americans need to shift their retirement saving strategies because of the potential increase in tax rates.

- Why the conventional wisdom of saving in tax-deferred vehicles such IRAs might not be the best move.

- How it can be difficult to convince your clients to pay taxes now instead of waiting to pay in the future when the tax rate might be higher.

- Why Americans need to educate themselves about the future of tax rates.

- How there are many benefits to tax-free retirement planning and what they are.

Connect with David:

Links Mentioned:

powerofzero.com

X

@mcknightandco

Facebook

facebook.com/davidmcknightandcompany

LinkedIn

linkedin.com/in/thepowerofzero

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Chris founded TheTechnicalTraders.com, a platform that provides investors with Asset Revesting signals and education on using technical analysis and position and risk management. He is also the author of the books “Technical Trading Mastery” and “Asset Revesting,” his newest book, which explores this innovative investment method.

Chris’ investment philosophy is grounded in the belief that diversification and the buy and-hold strategy can be dangerous for mature investors. Instead, he advocates for only owning assets that are rising in value, selling those that are in decline, and using technical analysis to identify and confirm these trends and price action. This approach helps investors achieve above-average returns while minimizing risk.

Listen to this insightful RIA episode with Chris Vermeulen about the art of technical trading.

Here is what to expect on this week’s show:

- How technical analysis focuses on following price actions and trends across different asset classes.

- Why The Technical Traders uses technical analysis to identify market directions and trends for investment.

- Hos the Consistent Growth Strategy used by The Technical Traders aims to protect capital and profit from both rising and falling markets.

- Why The Technical Traders focus on ETFs and rotate capital into assets that meet their risk criteria and are trending up.

- How a significant market correction is imminent and there should be a strategy that provides an alternative to traditional buy-and-hold or active trading.

Connect with Chris:

Links Mentioned:

thetechnicaltraders.com

X

@TheTechTraders

Facebook

facebook.com/TheTechnicalTraders

LinkedIn

linkedin.com/in/tradingtechnicalanalysis

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Listen to this insightful RIA episode with Chris Quintana about how to find financial freedom.

Here is what to expect on this week’s show:

- How the financial system and the government are rigged against the people.

- Why the 45-year retirement plan using the stock market is flawed.

- How people need help from attorneys and CPAs with their tax and estate planning.

- Why having a podcast is a great way to get new clients and referrals.

- How inflation is probably higher than what is being reported to the masses.

Connect with Chris:

Links Mentioned:

cqconsultingservices.com

X

@CQConsulting4U

Instagram

@chrisquintana_fc

Facebook

facebook.com/CQfinancialconsulting

LinkedIn

linkedin.com/in/christinaquintana

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Listen to this insightful RIA episode with Holly Mazzocca about empowering women in finance.

Here is what to expect on this week’s show:

- How Barlett helps clients navigate personal and exciting transitions such as retirement or selling a business.

- Why maintain communication and a strong culture is important when you have offices across multiple states.

- How Bartlett focuses marketing efforts on digital experiences, events, and leveraging their expertise by working with business owners.

- Why legacy planning and charitable giving require thoughtful planning and discussions.

- How it’s vital to focus on long-term results in an industry that focuses on short-term gains.

Connect with Holly:

Links Mentioned:

bartlett1898.com

Instagram

@bartlett1898

Facebook

facebook.com/Bartlett1898

LinkedIn

linkedin.com/company/bartlettwealthmanagement

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– The RIA Podcast with Seth Greene Episode 148 Dana Samuelson

Dana Samuelson is the President of American Gold Exchange and has 43 years in the industry. He enjoys an impeccable national reputation for honesty and integrity with his peers and his clients. He has flawlessly overseen transactions approaching $2 billion and he’s looking forward to his next $2 billion.

A professional numismatist since 1980, Dana worked for some of the most influential precious metals trading companies in the nation before founding AGE in 1998. For nearly a decade he was a personal protege of James U. Blanchard III, one of the true giants of the industry and the individual most responsible for re-legalizing the private ownership of gold in the U.S.

For twelve years Dana served on the Board of Directors of the Professional Numismatists Guild, an exclusive nonprofit organization composed of the world's top rare coin and paper money experts, whose primary mission is to make the hobby safe for collectors and investors by maintaining rigorous standards of excellence among dealers.

As PNG President in 2016, Dana conceived of and helped to establish the industry anti-counterfeiting task force, which today works with the Secret Service and Homeland Security to interdict and seize counterfeit coins and bars coming to the country from Asia.

In 2020, Dana worked with the Commodity Futures Trading Commission (CFTC) in their quest to end the allegedly fraudulent business practices of a precious metals seller to elderly IRA investors. The CFTC closed the business and seized their assets. The case is pending in court.

American Gold Exchange is a leading national mail order precious metals and vintage US gold coin company operating out of Austin, TX with an A+ Better Business Bureau rating and almost perfect Trust Pilot customer reviews.

Listen to this insightful RIA episode with Dana Samuelson about unlocking precious metals secrets.

Here is what to expect on this week’s show:

- How American Gold Exchange is a national mail-order physical precious metals and vintage US gold and silver coin dealership.

- Why American Gold Exchange specializes in mainstream, widely traded items.

- How American Gold Exchange offers a market for modern minted gold and silver bullion coins and bars.

- Why precious metals ownership offers insulation from financial crises and inflation.

- How the volatility in Bitcoin has led some to consider investing in precious metals for their stability.

Connect with Dana:

Links Mentioned:

amergold.com

X

@AmGoldEx

Instagram

@amgoldex

Facebook

facebook.com/AmericanGoldExchange

LinkedIn

linkedin.com/company/American-gold-exchange-inc

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– The RIA Podcast with Seth Greene Episode 147 Jon Ekoniak, CFP®

Jon Ekoniak’s professional career blends across a range of investment and financial experience. He understands firsthand the financial challenges and opportunities that executives face and is very astute at helping to simplify complex financial issues to generate long-term financial success.

Prior to joining Bordeaux Wealth Advisors, Jon served in various executive roles in Silicon Valley and Denver. He served as an equity analyst at Robertson Stephens and Piper Jaffray where he conducted in-depth research on software stocks. He then joined one of the software companies that he followed, Oracle, helping his group grow their revenues more than fivefold to over $1.0 billion. He then returned to financial services to join Charles Schwab & Co where he led a consulting team to many of the elite independent wealth management firms across the country.

Listen to this insightful RIA episode with Jon Ekoniak about transitioning from being an equity analyst to becoming a personal CFO.

Here is what to expect on this week’s show:

- How Bordeaux Wealth Advisors positions itself as a personal CFO for clients, offering comprehensive financial services.

- How the firm specializes in tax guidance, estate planning, and investments, including alternatives like private equity and venture capital.

- Why satisfied clients are a great way to lead to new client acquisition.

- How Bordeaux Wealth Advisors focuses on finding the best managers for various asset classes rather than investing in individual equities.

- Why it’s important to stay ahead of your clients’ needs and market trends.

Connect with Jon:

Links Mentioned:

bordeauxadvisors.com

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In addition to his primary role as CEO, he provides wealth advisory services to a variety of clientele, including corporations, municipalities, self-insurance funds, non-profit organizations, and high-net-worth private clients. A believer in taking a process-driven approach to asset management, Gerry emphasizes advice covering investment policy, asset allocation, investment selection, and oversight in each engagement.

Listen to this insightful RIA episode with Gerry Goldberg about the importance of teamwork and giving back.

Here is what to expect on this week’s show:

- How client referrals and building strong networks can lead to a successful business.

- Why GYL Financial Synergies focuses on hard work, teamwork, and holistic planning to meet their clients’ needs.

- How managing time effectively and setting priorities while maintaining a work-life balance is vital.

- Why providing peace of mind to your clients allows you to help them navigate challenging financial situations.

- How it’s important for companies to give back to their community and support charitable initiatives as part of their values.

Connect with Gerry:

Links Mentioned:

gylfinsyn.com

LinkedIn

linkedin.com/company/gyl-financial-synergies

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Before joining Adero in 2009, Aaron worked as a business valuation and litigation consultant for a regional accounting firm. He provided business and stock option (409A) valuation services for early-stage companies and forensic financial analysis for expert testimony.

Aaron graduated Summa Cum Laude with a Finance degree from the University of San Francisco and is a CERTIFIED FINANCIAL PLANNER™ professional.

Listen to this insightful RIA episode with Aaron White about integrated wealth management using the family CFO approach.

Here is what to expect on this week’s show:

- How Adero Partners distinguishes itself with its tax background, offering an integrated approach to financial services.

- How a family CFO model allows clients to make decisions while leveraging a team for research, analysis, and recommendations.

- Why it’s important to have a Center of Influence strategy that involves developing relationships with other professionals like accountants and attorneys.

- How a well-defined process for recruiting advisors includes top-grading, technical assessments, and cultural fit evaluations.

- How having a team email system streamlines client communication by routing messages to appropriate support staff.

Connect with Aaron:

Links Mentioned:

aderopartners.com

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An Options Trader for nearly two decades, Gustavo’s in depth familiarity with the high-risk/high volatility behavior of the stock market has led him to ONLY recommend and work with safe strategies such as fixed indexed annuities or fixed indexed universal life products with his clients and associates. This expertise in safe accumulation and lifetime income strategies sets the Brazillionaires®’ philosophy apart from other financial professionals.

Listen to this insightful RIA episode with Gustavo Couto about cultivating a niche market.

Here is what to expect on this week’s show:

- How it’s important for middle Americans to understand money and financial planning.

- Why focusing your business on a niche market can lead to success.

- How it’s important to maintain the quality of training while growing your business.

- Why understanding money and financial planning can change lives and empower individuals and families.

- How Brazilian Heirs serve over 20,000 clients with a focus on life insurance.

Connect with Gustavo:

Instagram

@gustavo_hcouto

LinkedIn

linkedin.com/in/gustavocouto

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Listen to this insightful RIA episode with David Doss about digital asset wealth management.

Here is what to expect on this week’s show:

- How analyzing and responding to changing market trends and economic conditions in the digital asset space is a continual process that requires dedication.

- How the digital asset space is characterized by rapid development, making it challenging to stay updated

- Why it’s important to diversify and avoid assets that exhibit high correlation with each other.

- How digital assets like Bitcoin have shown low correlation with traditional asset classes.

- How risk management strategies include active management, reblanancing, and adapting to market conditions.

Connect with David:

Links Mentioned:

ckc.fund

Twitter

@ckcfund

LinkedIn

linkedin.com/in/davidambrosedoss

linkedin.com/company/ckc-fund

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Listen to this insightful RIA episode with Charlotte Dunford about maximizing investor returns in mobile home parks.

Here is what to expect on this week’s show:

- How mobile park homes have high-cap rate deals with less competition than multifamily properties.

- Why investing in mobile parks can help address the affordable housing crisis in the United States.

- How it’s important to improve the curb appeal and infrastructure in mobile home parks.

- Why landlords should advocate for tenants especially during challenging times.

- How creating better living conditions for those whole live in mobile home parks increases its value.

Connect with Charlotte:

Links Mentioned:

johnscreekcapital.com

Twitter

@CapitalJohns

Instagram

@johnscreek.capital

Facebook

facebook.com/johnscreekcapital

LinkedIn

linkedin.com/company/johns-creek-capital-llc

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In 2019, he decided to shift his focus towards enabling others to accumulate wealth using the strategies and methods he had mastered over his years in the industry. His passion for his work is palpable, and his greatest joy lies in witnessing the financial success of others and helping them avoid common tax obstacles that can impede growth.

Away from his professional pursuits, Jeff is a loving husband to Sarah and a proud father to their three children, Josephine, and twins, Jett and Jewel. The family resides in Chickamauga, Georgia, where they own a charming small farm. When they're not tending to the farm or enjoying quality family time, they love to traverse the globe, immersing themselves in new experiences and creating unforgettable memories.

Jeff is licensed to operate in 46 states, broadening the scope of his services and the number of individuals he can assist. With his wealth of experience and his passion for helping others, Jeff is determined to make Peak Mutual a trusted partner in your financial journey.

Listen to this insightful RIA episode with Jeffrey Gill about helping federal employees achieve financial freedom.

Here is what to expect on this week’s show:

- How it can be difficult for independent agents to find ideal contacts due to the lack of large marketing support.

- Why federal employees need someone to help them navigate their unique retirement benefits and plan for their future.

- How many federal employees have conservative investment tendencies and need help to have better retirement outcomes.

- Why debt management is a critical aspect of retirement planning.

- Why people should focus on investments that generate income over only focusing on the rate of return.

Connect with Jeffrey:

Links Mentioned:

peakmutual.com

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Prior to founding Edge, Ed helped launch the Private Access Group at Fidelity Investments, where he was a Senior Account Executive & Vice President. In this position, he provided financial planning, investment management, and retirement planning solutions for all of his clients. With 25+ years of experience as a CERTIFIED FINANCIAL PLANNER™ and investment advisor, Ed oversees all aspects of the financial planning and investment process for his clients at Edge Financial Advisors.

Ed graduated from Loyola University in Chicago with a Bachelor of Business Administration. He lives in Wheaton, IL with his wife and their three children.

Listen to this insightful RIA episode with Ed Meek about transitioning from Fidelity Investments to Financial Planning.

Here is what to expect on this week’s show:

- How Edge Financial Advisors specializ3s in defined benefit plans.

- How defined benefit plans can help business owners save significant amounts of money before taxes.

- Why it’s helpful to use various marketing methods to find ideal clients.

- How starting a podcast allows you to share your passions and expertise.

- Why podcasting is a valuable tool for building trust with prospective clients.

Connect with Ed:

Links Mentioned:

edgefa.com

Twitter

@advisors_edge

Facebook

facebook.com/profile.php?id=100057522786296

LinkedIn

linkedin.com/company/edge-portfolio-management-llc

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Throughout his over 35-year career in the investment industry, he has accrued a broad range of experience in leading private credit investment businesses. Previously, Ken served as a Managing Director of The Carlyle Group, where he also served as President and a Director of Carlyle Secured Lending, Inc. (Carlyle’s publicly traded business development company). Prior to that he founded and was President and CEO of Churchill Financial Group, served as Head of Leveraged Finance for Royal Bank of Canada and was Head of Indosuez Capital, a leading middle market merchant banking and asset management business in partnership with Credit Agricole Group. Ken was also a founder of the high yield finance business at Chase Securities (now JP Morgan Chase). He began his career in the Mergers & Acquisitions Group at Drexel Burnham Lambert. He regularly appears as a guest commentator on private credit markets on Bloomberg, CNBC, The Wall Street Journal and The Financial Times.

Ken graduated with a B.S. in Business Administration, magna cum laude, from Georgetown University and a J.D. from Northwestern University Pritzker School of Law. He serves on the Pension Investment Advisory Committee for the Archdiocese of New York, the Board of Trustees and Chairman of the Investment Committee of Canisius High School (a private Jesuit Preparatory school in Buffalo, NY), the Advisory Board of Teach for America (Connecticut) and the Milken Institute’s Diversity, Equity, and Inclusion in Asset Management Executive Council. Ken is a former member of the Board of Advisors and Adjunct Professor at the McDonough School of Business at Georgetown University.

Listen to this insightful RIA episode with Ken Kencel about building a billion-dollar private credit firm.

Here is what to expect on this week’s show:

- How it’s important for leaders to focus on empowering and supporting their team.

- Why companies must identify and foster a strong sense of company culture.

- How Churchill Asset Management emphasizes values like collaboration, inclusivity, integrity, and commitment to excellence.

- Why creating an environment where talented people feel valued and empowered is crucial for success.

- How it’s vital to hire the right employees to ensure the growth of your company.

Connect with Ken:

Links Mentioned:

churchillam.com

LinkedIn

linkedin.com/company/churchill-asset-management

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Derrick believes that a well-rounded financial plan is the cornerstone of success, he specializes in financial, investment, and philanthropic planning. His breadth of experience equips him to craft tailored strategies that align with each client's unique goals. Over the years, Derrick's unwavering commitment and exceptional service have earned him a robust clientele of satisfied individuals.

Raised in Grand Forks, North Dakota, Derrick is deeply integrated into his community. He shares his life with his wife, Tara Johnson and their two dogs. He enjoys reading, is a private pilot and an avid golfer.

Listen to this insightful RIA episode with Derrick Johnson about the journey to fee-only financial success.

Here is what to expect on this week’s show:

- How word of mouth referrals and relationships with CPAs are key to growing a practice in a rural area.

- Why it’s important to help your clients maintain a long-term perspective during market fluctuations.

- Why you must help your clients emotionally prepare for retirement while addressing their needs and concerns.

- How the transition from growth-focused investing to distribution planning is a critical phase and involves discussions about lifestyle changes and cash flow.

- How you should provide your clients with consistent information and help them understand the importance of long-term strategies.

Connect with Derrick:

LinkedIn

linkedin.com/in/derrick-johnson-155a553

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Along with running Hockett Tax, Jeff has also been a licensed realtor since 2004 and runs the Hockett Team as well as West Valley Management and has received many awards along the years for top Gross Commission Income both as an individual and as a team. In 2007, Jeff was in the top 10 of all RE/MAX agents for the Southwest Region, and in 2008 Jeff was inducted into the RE/Max Hall of Fame.

Listen to this insightful RIA episode with Jeff Hockett about using tax strategies to keep more money in your pocket.

Here is what to expect on this week’s show:

- How it’s a mistake for business owners to remain as a sole proprietors for too long.

- Why you should incorporate an S corp when your net income reaches $50,000.

- How an S corp can save business owners thousands of dollars in taxes while making the same income.

- How paying your children for work-related tasks can be a tax efficient way to support their college education.

- Why writing a book gives the author credibility and allows you to connect with top producers in other regions.

Connect with Jeff:

Links Mentioned:

hocketttax.com

Instagram

@hocketttax

Facebook

facebook.com/hocketttaxandpayroll

LinkedIn

linkedin.com/in/hocketttax

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– The RIA Podcast with Seth Greene Episode 136 Brooke Lively

When entrepreneurs find themselves hitting a wall in their business, they come to Brooke Lively, Cathcap's Founder and CEO. Brooke has always been a catalyst for accelerated profits - her actionable advice has helped businesses thrive for years.

When Brooke does her job, it's like a light bulb goes off in a client's mind. They see a new identity for their organization, and they're empowered to make a change that makes their world better - whether that's in time, money, reputation, or all of the above. It's big thinking, and with Brooke's help, clients can achieve whatever version of "profit" they are seeking.

What's more, Brooke is an EOS Implementer® who educates leadership teams with effective tools and processes, making her a well-rounded force for business growth.

She is a highly regarded speaker and the author of several books including her International Best Seller, From Panic to Profit. Brooke has been featured in international media including CNBC, Forbes, US News and World Report, and on podcasts such as You Are Buzzworthy, Mission Matters, The American Bar Association Modern Law Library, and The Entrepreneur Way.

Listen to this insightful RIA episode with Brooke Lively about her book, From Panic to Profit.

Here is what to expect on this week’s show:

- How many entrepreneurs often lack understanding of the financial aspect of their business and need help.

- Why an owner should be able to take a vacation and come back to an efficiently running company.

- How it’s important to forecast cash flow to ensure timely payments and avoiding financial surprises.

- Why business owners must proactively hire people a plan for future growth instead of making rash decisions.

-How entrepreneurs should track new net engagements to assess company capacity and anticipate future hiring needs.

Connect with Brooke:

Links Mentioned:

cathcap.com

Instagram

@cathedralcapital

Facebook

facebook.com/CathedralCapital

LinkedIn

linkedin.com/company/cathedralcapital

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– The RIA Podcast with Seth Greene Episode 135 Jamie Cornehlsen

Jamie Cornehlsen started his first company in grade school during the oil embargo in 1979. No Starbucks existed, so he and two friends sold coffee and donuts to people who were sitting in their cars, in long lines to purchase gas. The entrepreneurial seed was planted, and Jamie knew he was destined to own his own company.

In 2001, Jamie started his second business, developing and managing mutual funds for financial advisors. "Conquering the Divide: How to Use Economic Indicators to Catch Stock Market Trends," a book Jamie co-authored, explains the investment process.

The assets snowballed to $229 million only to see the value fall to $31 Million. The business hit the ceiling. After using the Entrepreneurs Operating System, EOS® to start over, he started Fitter Financials in 2011 to help financial advisors use EOS to practice to the next level. Since then, he has worked with more than 90 entrepreneurs in many industries to help them build organizations that allowed them to reclaim the freedom they went into business to attain.

Jamie is married to Elizabeth, a schoolteacher by trade who cares for their 4-year old son. There is nothing better in life than hearing your Son Belt out Tom Petty Songs.

When not working on his craft, Jamie swims, bikes and runs. Jamie is a member of the U.S. Triathlon team and has competed with the team at the world championships since 2013.

Jamie received his MBA from William E. Simon Graduate School of Business at the University of Rochester, and his Bachelor of Arts in Economics from the University of Colorado. He studied econometrics at the University of York in England. Jamie is a CFA Charter holder and past president of the CFA Society of Colorado.

Jamie loves what he does with a complete set of simple, practical tools because it's the best way to connect people with their purpose and passion.

Listen to this insightful RIA episode with Jamie Cornehlsen about using the Entrepreneurial Operating System for RIAs.

Here is what to expect on this week’s show:

- How the Entrepreneurial Operating System uses practical tools to help businesses achieve their goals and get organized.

- How EOS provides a blueprint for running a business effectively by addressing aspects such as conversions, strategy, and client service.

- Why EOS allows business owners to leverage the skills and capacities of their team.

- How EOS helps financial advisors to be more focused on their clients, investments, and financial pans.

- Why having the right team is essential for adapting to market changes.

Connect with Jamie:

Links Mentioned:

eosworldwide.com

Twitter

@EOSWorldwide

Instagram

@entrepreneurialoperatingsystem

Facebook

facebook.com/eosworldwide

LinkedIn

linkedin.com/company/eos-worldwide-llc

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Creekmur Wealth Advisors is a wealth management firm whose No. 1 goal is to help people discover, build, and live out ‘True Wealth,’ which we define as all the things in life that money cannot buy.

Even during his teens, John wanted to be in the financial field and, as a result, he pursued his bachelor’s degree in accounting and finance from Cedarville University. In addition, John has completed a Master of Business Administration degree and holds the Certified Financial Planner™ (CFP®) designation.

John enjoys working alongside his wife, Stacy. They like to spend time with family and friends, and they particularly enjoy being outdoors. John and his family make their home in rural Pekin, Illinois.

Listen to this insightful RIA episode with John Creekmur about managing wealth with Creekmur Wealth Advisors.

Here is what to expect on this week’s show:

- How Creekmur Wealth Advisors aims to provide solutions for clients to achieve their financial aspiration and make impactful decisions in their lives.

- Why it’s important to acknowledge what you don’t know and understand your strengths and weaknesses.

- How many people in the RIA space lack an exit strategy or succession plan for their businesses.

- How Creekmur Wealth Advisors partners with individuals to help them extract value from their RIA businesses through unique and tailored solutions.

- Why building your infrastructure and delegating responsibilities accommodates growth and improves operational efficiency.

Connect with John:

Links Mentioned:

creekmurwealth.com

Twitter

@CreekmurWealth

Instagram

@creekmurwealth

Facebook

facebook.com/CreekmurWealth

LinkedIn

linkedin.com/company/creekmur-wealth-advisors

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Designated as a CERTIFIED FINANCIAL PLANNER™ professional and Chartered Financial Consultant, Ed holds a Bachelor of Science in Business Administration from The Citadel and earned his MBA from the University of Arkansas. He has had articles published in numerous publications, including Barron's magazine. In 2020, Ed was recognized by Arkansas Money & Politics Magazine as one of "2020's Best Financial Advisors.” Also in 2020, ClientFirst made Investors.com's 2020 Top Financial Advisors Firms List.

Ed is a member of the National Association of Personal Financial Advisors (NAPFA) as well as the Financial Planning Association (FPA).

At ClientFirst, Ed is president and senior portfolio manager.

Listen to this insightful RIA episode with Ed Mahaffy about the art of fee-only financial advising.

Here is what to expect on this week’s show:

- How it’s important to stay informed about your clients’ lives and adapt to their financial plans accordingly.

- Why it’s vital to follow market trends and read periodicals, research papers, and whitepapers.

- How the increase of interest rates could impact the bond market.

- Why financial planners should be fully immersed in financial markets.

- How advisors should prioritize transparency, client education, and aligning financial strategies with clients’ goals and risk tolerance.

Connect with Ed:

Links Mentioned:

clientfirstwm.com

LinkedIn

linkedin.com/in/ed-mahaffy

All information provided through the following presentation is for educational purposes only and does not constitute investment, legal or tax advice; an offer to buy or sell any security or insurance product. Please consult a financial adviser for more complete information based on your personal circumstances and to obtain personal individual investment advice.

Diversification and asset allocation do not ensure a profit or guarantee against loss. 

Additional information, including management fees and expenses, is provided on our Form ADV Part 2 available upon request or at the SEC’s Investment Adviser Public Disclosure website. www.adviserinfo.sec.gov/ Past performance is not a guarantee of future results.

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A Fund Management Maestro: Over the course of his career, Mustafa has become adept at the intricacies of capital raising, raising over $20 million via WhatsApp alone. This achievement is not merely a testament to acumen but also to the skill of understanding prospective clients and leveraging the digital platforms to identify prospective clients in need and add value in novel and effective ways.

Moreover, Mustafa has revolutionized his clients 401Ks enabling them to invest in real estate and grow their wealth while differing taxes. Investing with Ethical Elegance:

Fostering a paradigm where investment strategies are not only financially rewarding but also ethically grounded, Mustafa has been pivotal in crafting and implementing Shariah-compliant investing strategies. This ethical investing approach underscores a commitment to ensuring that investment vehicles are not only profitable but also adhere to principled financial management and development strategies that align with particular ethical and moral guidelines. Client-Centered Approach: Central to Mustafa’s investment ethos is a profound commitment to understanding client’s needs and aspirations. This enables Mustafa to educate his clients - believing that informed clients are empowered to make decisions that resonate with their financial and ethical goals.

Mustafa dedicates time and resources to elucidate the often-complex world of real estate investing, demystifying processes and strategies to ensure alignment with client objectives. This has not only enriched the investment journey for clients but also builds a symbiotic relationship where education, trust and transparency prevail.

With a career that has seamlessly blended financial acumen, ethical investing, client education, and genuine human connection, Mustafa continues to carve a niche in the real estate investment landscape, creating not only profitable ventures but also fostering an environment where clients and colleagues alike are empowered, informed, and valued.

Listen to this insightful RIA episode with Mustafa Ladha about building passive wealth using innovative real estate investments.

Here is what to expect on this week’s show:

- How it’s important to educate your clients about their different investment options.

- How you can invest in real estate using your retirement accounts and defer taxes.

- Why you should invest in development projects with tax advantages to gain success.

- Why it’s important to create asymmetric risk profiles to offer high returns with lower risk.

- How collaboration and a shared vision among team members are crucial for success in the real estate investment landscape.

Connect with Mustafa:

Links Mentioned:

velocecapital.com

Facebook

facebook.com/VeloceCapitalUSA

LinkedIn

linkedin.com/in/Mustafa-ladha

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Dave then spent nine years as a principal with The Vanguard Group of Investment Companies, beginning as the assistant to John C. Bogle, Vanguard’s chairman.  Dave managed a number of groups serving institutional investors and 401k sponsors and was instrumental in establishing Vanguard’s first satellite operations in Phoenix.   After leaving Vanguard, he served as Chief Administrative Officer of Bradford & Marzec, Inc., a Los Angeles institutional fixed income management firm that grew from $3.5 billion in assets under management to over $6 billion during his tenure. 

Dave returned to Arizona in 1999 and joined Greenberg Financial Group, a Tucson investment advisor and broker-dealer, as a principal and compliance officer.  In October 2002, Dave established Gordian Advisors to apply the many lessons learned over twenty years in financial services to helping individuals enjoy financial success.  

Dave is a Certified Financial Planner™ and was previously a Certified Divorce Financial Analyst.  He has lectured on interest rates and the economy for real estate professionals and is a frequent contributor to local publications on financial issues.  Dave was also an adjunct professor in the Personal and Family Financial Planning program at the University of Arizona.

Listen to this insightful RIA episode with David Hamra about leadership and navigating change.

Here is what to expect on this week’s show:

- How effective financial planning requires presenting concepts in terms people can understand.

- How change is constant and why adaptation is necessary.

- Why it’s important to protect clients from investment noise and anxiety.

- How financial planner should teach their clients the “why” behind financial decisions.

- Why maintaining a work-life balance is important for success.

Connect with David:

Links Mentioned:

https://gordianadvisors.com/

Facebook

facebook.com/gordiandavisors

LinkedIn

linkedin.com/in/dave-hamra-416b581

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As a CERTIFIED FINANCIAL PLANNER™, he has not only passed a rigorous education program and certification exam to receive the CFP® designation, he has spent over 6,000+ hours of professional experience to meet the CFP’s experience requirements.

What’s more, Joe has received the Certified Kingdom Advisor® designation, showing that he has learned the finer points of retirement planning, investing, insurance and taxation in accord with Christian principles. By creating a firm to help you have a deep sense of purpose in how you steward your wealth.

Joe got his start in the financial services industry in 2015. Joe graduated with a Bachelor of Science in finance and financial planning from Mount Vernon Nazarene University, where he played basketball and ran track. He has lived near Columbus his entire life.

When Joe is not in the office, you can find him running, hiking, biking or reading. He also enjoys traveling and spending time with family and friends. In addition, Joe sponsors and coaches a youth basketball team for Nova Village Athletic Club.

Listen to this insightful RIA episode with Joe Schmitz about navigating retirement planning.

Here is what to expect on this week’s show:

- How Peak Retirement Planning helps people achieve the retirement they deserve.

- Why people need help safely navigate the transition from the accumulation phase to the distribution phase of retirement.

- How Peak Retirement Planning uses a five-pillar approach that includes tax planning, income planning, investment planning, healthcare planning, and estate planning.

- Why you should make wise financial decisions that align with your personal beliefs.

- How Peak Retirement Planning focusses on education and aims to improve the financial industry’s standards.

Connect with Joe:

Links Mentioned:

https://peakretirementplanning.com/

Facebook:

Facebook.com/profile.php?id=100077579853181

LinkedIn:

linkedin.com/company/peak-retirement-planning-inc

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Will graduated from the University of Hartford majoring in Finance and Economics. He obtained his MBA shortly thereafter. Will has experience in the financial planning area but also has experience in the real estate and mortgage fields as well.

Will lives in Newington, CT with his wife and two daughters. When not working he enjoys spending time with family, traveling and reading. Will started his very first business at 12 detailing cars.

Listen to this insightful RIA episode with Will Rodriguez about managing multimillion-dollar portfolios.

Here is what to expect on this week’s show:

- How scalability and streamlined processes is important for the growth of an RIA firm.

- Why in-house tax return preparation can be beneficial for businesses.

- How fiduciary duty means doing what’s right for the client and eliminating conflicts of interest.

- Why it’s important to under-promise and overdeliver by going the extra mile for your clients

- How cybersecurity is a top priority for Briggs Wealth Management.

Connect with Will:

Links Mentioned:

https://www.briggswealthmgmt.com/

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As corporate banker at MUFG, she managed the accounts for multinational corporations and significantly increased the bank’s loan portfolio during her tenure. Most recently, she managed a total of $1.6 billion in credit facilities at RBC Royal Bank and mentored commercial markets managers on credit structures.

Alma has over 20 years of experience and a proven track record in evaluating businesses for institutional funding. She has published numerous articles on M&A, private equity, senior debt, management buyout, business strategy and infrastructure in PROFIT Guide, Canadian Business and Canadian Metalworking. Her passion is to help successful business owners maximize their valuation at “exit” and help ambitious entrepreneurs access capital to grow their businesses.

Listen to this insightful RIA episode with Alma Johns about mastering mergers and acquisitions.

Here is what to expect on this week’s show:

- How it’s important to have a background that allows you to understand businesses from various angles, whether within the company or as an advisor.

- Why business owners must make a plan and set clear financial goals when selling their business.

- How having key differentiators will help businesses stand out in the market.

- Why it’s crucial to build trust with clients and provide white-glove service during the M&A process.

- How aspiring M&A professionals should work on building their financial skills and networking within the industry.

Connect with Alma:

Links Mentioned:

https://benchcapital.ca/

LinkedIn

linkedin.com/in/almajohns

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What sets William and UPGRD® apart is a unique blend of expertise in computer science and a data-driven approach. They envisage the human mind as an operating system, and their mission is to elevate it to new heights. This isn't just theory; it's a practical, tangible solution. Their work primes individuals to access the unconscious mind with unprecedented speed, acting as a bridge between one's inner world and external reality. In essence, UPGRD® sets the stage for a mindset calibrated for profitability and tangible results.

Investors often walk a tightrope, where slow decision-making can lead to missed opportunities. William's methodology aligns personality with training, ensuring a predictable timeframe for achieving tangible outcomes. Beyond financial success, UPGRD® emphasizes the profound importance of self-investment. It teaches individuals how to leverage their potential with a finely tuned mindset. By reshaping internal programming and environment in harmony, UPGRD® paves the way for lasting, conflict-free change, ultimately creating a stress-free ecosystem for exponential growth.

This isn't just about setting goals; it's about becoming the person equipped to achieve them.

Listen to this insightful RIA episode with William Lam about data-driven personal development.

Here is what to expect on this week’s show:

- How people should approach personal development with a calculated strategy.

- Why people need to identify and modify when necessary, their values, beliefs, and identity.

- How it’s important to set long-term goals and to think beyond short-term gains.

- Why embracing your true self can lead significant transformations in personal and professional life.

- How entrepreneurs should be authentic on social media so they reach a broader audience.

Connect with William:

Links Mentioned:

https://upgrd.com/

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Listen to this insightful RIA episode with David Marra about using AI to reduce risk.

Here is what to expect on this week’s show:

- Why it’s it important to not be over-trusting of algorithms and remember the principles of finance and investing.

- How Markin Asset Management takes a proactive approach to investing by targeting specific investor preferences to achieve desired outcomes.

- Why Markin Asset Management methodology allows for better risk control, reduced exposure to downside risk, and improved income profiles for clients.

- How Markin Asset Management aims to achieve a higher risk-adjusted return.

- Why Markin Asset Management uses datasets and new technologies, like ChatGPT, to enhance their algorithms.

Connect with David:

Links Mentioned:

https://markinfunds.com/

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Listen to this insightful RIA episode with Rick Kahler about financial therapy.

Here is what to expect on this week’s show:

- How incorporating the emotional side of money in financial planning addresses both the financial and emotional aspects of a client’s situation.

- Why 80% to 100% of financial decisions are made emotionally.

- How financial therapy helps its clients identify and resolve emotional blocks that may be hindering their financial progress.

- Why it’s important to understand the underlying emotions affecting financial decisions.

- How financial therapy addresses emotional issues and helps clients overcome areas where they feel stuck.

Connect with Rick:

Links Mentioned:

https://kahlerfinancial.com/

Twitter

@RickKahler

Facebook

https://www.facebook.com/KahlerFinancialGroup

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John served as a United States Marine Officer and is honored to be an Investment Advisor Representative at Smarter Retirement Solutions leading our team of advisors across the country. As our company grows to meet the increased demand for quality and thoughtful retirement advice, John provides oversight of our expansion both domestically and internationally. A proud sponsor of federal retirement workshops around the U.S., John empowers federal employees to maximize their benefits and live their retirement dreams. John appears in this year’s “Retirement Planning” edition of Kiplinger’s Magazine and can be seen on ABC, CBS, NBC and FOX on the “Retire Happy Hour” TV program.”

Listen to this insightful RIA episode with John Ripley about helping federal employees.

Here is what to expect on this week’s show:

- How hosting educational workshops online and in person can help attract potential clients.

- Why it’s important for people to plan for the future instead of overspending on luxuries.

- How Smarter Retirement Solutions helps federal employees understand the power of their resources, optimize their investments, maximize Roth opportunities, and manage risk at different stages of life.

- How people should be able to enjoy their retirement without fear of running out of money.

- Why you should define your success by how much time you can spend with your loved ones.

Connect with John:

Links Mentioned:

https://smarterretirementsolutions.com/

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Founded in 2012, John is president of J- Ensley Financial, a fiduciary, financial planning company. John holds a Chartered Financial Consultant® designation from the American College of Financial Services, passed the rigorous series 65, investment advisers law exam, and is part of an elite group of highly trained Bank On Yourself® Professionals. 

Listen to this insightful RIA episode with John Ensley about infinite banking expanded.

Here is what to expect on this week’s show:

- How people must think critically about their finance goals rather than relying solely on marketing messages.

- Why it’s important to be committed to constantly improving yourself and growing your skills.

- How there is tremendous value in plugging into a community of like-minded individuals.

- Why it’s important to have mentors you can rely on and learn from.

- How it can be challenging to attract the right clients to expand your business, making marketing important.

Connect with John:

Links Mentioned:

https://jensley.com/

Twitter

@johnensley

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Terry is a Chartered Retirement Plans Specialist, Certified Wealth Preservation Planner and Certified Philanthropic Developer. He is a much sought-after speaker, and author, as well as founder of Blue Ocean Consulting, an advanced strategic planning firm, and DreamCatchers Initiative, a non-profit personal and business leadership and development curriculum, utilizing new worldwide cultural teachings and breakthrough thinking.

Listen to this insightful RIA episode with Terry DuPont about what his virtual family office provides.

Here is what to expect on this week’s show:

- How people don’t have to take on excessive risks to achieve their financial goals.

- How many business owners overlook opportunities for risk mitigation and tax reduction because they are often unaware of available strategies.

- How Terry created a virtual family office to bring advanced planning techniques and weal preservation strategies to a wider range of clients.

- Why it’s important to build a network of experts across various fields.

- Why using the power of zero concept helps working Americans retire with minimal tax obligations.

Connect with Terry:

Links Mentioned:

https://www.dupontadvisory.com/

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David believes that it is his duty to shepherd his clients. He empowers them to make the best possible financial decisions for the reasons that are important to them. By developing plans and strategies for business owners and individuals for all areas of financial planning, such as investment planning, risk management, tax planning, estate planning, etc., David believes that he can help his clients’ overall financial wellbeing. In order to promote sound financial planning principals to the masses, David started The Weekly Wealth Podcast in 2020. 

As an entrepreneur, David has held to the philosophy that “we all need to do our parts to make the world a better place.” He heads a financial literacy program for The Foothills Care Center. David is the current President of the South Carolina Chapter of the Financial Planning Association. 

Listen to this insightful RIA episode with David Chudyk about how business owners can benefit from working with Parallel Financial.

Here is what to expect on this week’s show:

- How increasing the value of your business allows you to achieve higher selling multiples in the future.

- Why people need to act when it comes to retirement plans instead of delaying financial planning.

- How business owners should focus on the eight drivers using the value building system.

- Why business owners should adopt a CEO mindset and run their businesses like franchises.

- How owners need to delegate tasks to their employees so they can focus on the bigger picture. 

Connect with David:

Links Mentioned:

https://www.parallelfinancial.com/

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For the next 13 years she would work as a financial advisor also penning a financial planning column for the local paper. Eventually the rough and tumble of the securities business took its toll, and she embarked on a third career as a full-time financial writer. Her employer was iMoneyNet, the go-to place for money-market mutual fund data. Over 11 years she wrote hundreds of stories for the firm’s flagship publication, “Money Fund Report.” She also wrote for other publications, all related to money market funds. 

Hired in 2006, initially the work was uninspiring. What can you say about money-market mutual funds? Then came the financial crisis and everything changed. What had been a job writing about sleepy money-market mutual funds turned into a journey deep into the recesses of shadow banking. For money-market mutual funds played an integral role in the financial meltdown that dwarfed all others.

Tuthill was hooked. She wanted to learn everything about shadow banking and as the days, weeks, months, and years passed, hundreds of articles, scholarly papers, marketing material from the banks and government reports. Laid off in 2017, Tuthill found herself with boxes and boxes of material. Her first task was to organize it by subject. Then, she continued to pursue her research. The result is “Repo-Madness: A Simpleton’s Guide to the Street’s Wicked Ways.” 

Listen to this insightful RIA episode with Mary Ellen Tuthill about shadow banking and her book, Repo-Madness.

Here is what to expect on this week’s show:

- How shadow banking evolved outside the purview of regulators in the 1980s and is largely misunderstood by the public.

- How investment institutions started using repos to manipulate trading strategies in massive amounts.

- Why many people don’t know what shadow banking really is, including economic professors and experts in the field.

- How repo agreements refer to short-term overnight loans involving trillions of dollars used by financial institutions

- Why low interest rates make people overlook the potential risks of not rolling overloads every day.

Connect with Mary Ellen:

Links Mentioned:

https://www.amazon.com/Repo-Madness-Simpletons-Streets-Wicked-ebook/dp/B0C2SRMXZP/ref=sr_1_2?crid=3EJFQ9ZXCZ314&keywords=repo+madness+book&qid=1693274589&sprefix=repo+madness+book%2Caps%2C261&sr=8-2

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Listen to this insightful RIA episode with Brian Kasal about doubling $1 billion in AUM with FourStar Wealth.

Here is what to expect on this week’s show:

- How FourStar Wealth aims to provide unique and comprehensive solutions that incorporate real estate, early-stage angel investments, and Bitcoin.

- Why it’s important to be able to partner with other specialists when needed.

- How leveraging recruitment efforts and industry relationships leads to great success.

- Why firms offering flexibility and independence are the ones experiencing growth, not large national firms.

- How podcasting is a great way to communicate with your clients on a regular basis.

Connect with Brian:

Links Mentioned:

https://fourstarwealth.com/

Facebook

https://www.facebook.com/fourstarwealth

Twitter

@FourStarWealth

LinkedIn

linkedin.com/company/fourstar-wealth-advisors-llc

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Listen to this insightful bonus RIA episode about getting weekly referrals from accountants and attorneys.

Here is what to expect on this week’s show:

- How you should comment on accountants and lawyers three times a week to build relationships with potential referral sources.

- Why constantly engaging in and showing support on social media allows people to recognize who is behind the comments.

- How being featured on a podcast provides credibility and prestige while allowing you to share your website and social media information.

- Why sending gifts helps activate and maintain the relationship with your interviewees.

- How building goodwill allows people to feel a strong connection to you.

Connect with Seth:

Links Mentioned:

https://marketdominationllc.com/

Twitter

@mktdominationus

Instagram

@market_domination_llc

Facebook

facebook.com/MarketDominationLLC

LinkedIn

linkedin.com/company/market-domination-llc

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Prior to Percent, Nelson founded a strategy consulting firm that helped companies build products and raise capital for growth, creating over $1B in equity value. He also brings his background from global financial institutions, including Bank of America and BlackRock, to Percent. 

Outside of Percent, Nelson pursues his personal interests in angel investing, art, and philanthropy. His angel investment portfolio includes companies such as BlockFi, Care/Of (Acq: Bayer AG), Clover Health (NAS: CLOV), dv01 (Acq: Fitch), Eden Health, Plentina, Tala, and Uala. He has been actively involved in several nonprofits, including serving as a Board Member of The Bubble Foundation, Host Committee Member for Alicia Keys’ Keep a Child Alive, and Yamba Malawi. Nelson graduated from Rutgers University with a B.A. in Economics and Political Science.

Listen to this insightful RIA episode with Nelson Chu about Percent – a credit platform unlike any other.

Here is what to expect on this week’s show:

- How Percent was created to fill a gap in the market for investor-friendly alternative investments.

- Why private credit has traditionally been less accessible.

- How Percent aimed to create a platform with shorter duration investments, lower minimums, and high yields.

- Why private credit lenders typically have higher costs and minimum requirements.

- How the high bar for private credit offers investors attractive returns.

Connect with Nelson:

Links Mentioned:

https://percent.com/

Instagram

https://www.instagram.com/investpercent/

Facebook

https://www.facebook.com/investpercent

LinkedIn

linkedin.com/company/percent-technologies

Twitter

@investpercent

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His company, Synergy Asset Management, LLC offers the tools and solutions that enable clear communication with clients while securing additional clients and accelerating sales revenue.

Listen to this insightful RIA episode with Joe Maas about empowering advisors with Synergy Asset Management.

Here is what to expect on this week’s show:

- What the Strategically Aligned Asset Manager is, how it works, and how it can benefit you.

- How it’s important to adapt money management strategies to the ever-changing market conditions by using AI tools and a team of experts.

- Why advisors should stay flexible and employing different tools based on market cycles instead of relying on a single approach.

- How the market cycle assessment tool evaluates economic fundamental, and technical factors to determine their weight.

- Why writing a book is a powerful marketing tool and establishes expertise while attracting clients.

Connect with Joe:

Links Mentioned:

https://synergy-am.com/

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He has extensive experience in the areas of business continuation, employee fringe benefits, and retirement planning for corporations and the self-employed.

Steve has taught classes and seminars on retirement planning, pension plans, disability, and life insurance. While living in Phoenix, Arizona, he was a frequent guest commentator on The Keith DeGreen Personal Finance Show on KFYI Radio from 1991-93. One of the original founders of 20/20 Financial Advisers, he was inducted in the UNIFI Hall of Fame in 2013.

Listen to this insightful RIA episode with Stephen Ambrosini about mining your book of business.

Here is what to expect on this week’s show:

- Why it’s important to listen to and understand your clients’ needs before offering solutions.

- How asking someone if they have an objection to your pitch allows you to guide the conversation based on their answer.

- How orphaned accounts and house accounts offer warm prospects to engage with.

- Why you should leverage organizations you have something in common with to connect with potential clients.

- How you can generate referrals both organically and by proactively reaching out to satisfied clients.

Connect with Stephen:

Links Mentioned:

https://www.2020fa.com/

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Listen to this insightful RIA episode with David Cohne about the Bloomberg Mutual Fund.

Here is what to expect on this week’s show:

- How the cost of mutual funds has decreased over the past decade.

- How ETFs have gained popularity due to their lower costs and tax efficiency.

- Why ETFs have seen increased inflows compared to active mutual funds.

- How active managers have faced criticism for struggling to consistently beat their benchmarks.

- How there are opportunities for active managers in other asset classes.

Connect with David:

Links Mentioned:

https://www.bloomberg.com/asia

Twitter

@bloomberg

Instagram

@bloomberg

Facebook

facebook.com/bloomberglp

LinkedIn

linkedin.com/company/bloomberg

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An admitted bookworm and nerd, she loves to increase her knowledge about all things financial. In 2020 alone, she accumulated over 290 continuing education hours. A spectacular achievement when you consider her license requirement is only 30 hours every two years.

Over the last 20 years, Alynn has acquired five specific financial retirement designations. This has established Godfroy Financial as the most trusted source for financial advice and one of the most qualified in Windsor/Essex County.

Alynn is committed to helping her clients in these key areas: Tax Optimization, Wealth Preservation and Estate Planning. In addition, Godfroy Financial offers you a complimentary second opinion on your financial plan.

Listen to this insightful RIA episode with Alynn Godfroy about her book, Retire on Purpose.

Here is what to expect on this week’s show:

- How Retire on Purpose is a financial blueprint for protecting your family and preserving your wealth.

- How being a financial architect believes in creating a blueprint for retirement rather than only creating a portfolio of investments.

- Why you shouldn’t have all your money in one retirement account and only rely on government pensions.

- Why your tax preparation and financial planning should help you optimize your retirement income.

- How the pandemic made people more mindful of their financial security and many purchased more life insurance.

Connect with Alynn:

Links Mentioned:

godfroyfinancialgroup.com

Facebook

https://www.facebook.com/godfroyfinancialgroup

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Franklin serves on the advisory board of the Journal of Wealth Management, and his written work has appeared in Forbes, Financial Planning Magazine, Enterprising Investor, RealClear Markets, CityWire, Foundation of Economic Education, Journal of Behavioral Finance, Journal of Wealth Management, and many others.

Since beginning his career in 2007, Franklin has been dedicated to helping investors of all kinds achieve their goals using financial markets.

Listen to this insightful RIA episode with Franklin Parker about his firm, Directional Advisors.

Here is what to expect on this week’s show:

- How marketing is essential for financial advisors and registered investment advisors if they want to reach the right people.

- Why many advisors would benefit from a system that consistently connects them with the right clients without excessive effort.

- How there are two main approaches for lead generation: networking while actively prospecting or hiring a marketing firm.

- Why having better ideas lets people achieve better results in their lives and businesses.

- How Directional Advisors aims to provide hyper-customized solutions to the mass affluent with the help of technology.

Connect with Franklin:

Links Mentioned:

https://directional-advisors.com/

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Listen to this insightful RIA episode with Jack Sharry about cultivating business.

Here is what to expect on this week’s show:

- How it’s important that advisors move beyond single products and focus on a coordinated and holistic strategy.

- Why it can be challenging bringing together AI and ChatGPT into a comprehensive ecosystem for improved outcomes.

- How it will take a while for AI to have an impact on the financial advisory industry.

- Why it’s vital to quantify the benefits of financial services in terms of dollars and cents.

- How having a podcast is a great way to generate more business and become an authority in your field.

Connect with Jack:

Links Mentioned:

https://www.lifeyield.com/

Twitter

@lifeyield

Instagram

Facebook

https://www.facebook.com/LifeYieldCompanyPage

LinkedIn

linkedin.com/companylifeyield-llc

linkedin.com/company/the-money-management-institute

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Tom helped build Merriman Capital into one of the premier fee-only investment advisory firms in the country. In 2009 he founded Vestory with his long-time friend and associate Don McDonald. Together they created one of the fastest growing Registered Investment Advisory firms in the country before merging with Apella Wealth in 2020. Tom is currently a Regional Director at Apella Wealth and is responsible for offices in Bellevue, Olympia, Portland, San Francisco, and Dallas managing approximately $1 billion dollars in client assets.

Listen to this insightful RIA episode with Tom Cock about helping people transition from work to retirement.

Here is what to expect on this week’s show:

- How it’s important to have a retirement plan that determines the necessary amount of money for retirement while optimizing investment portfolios.

- Why having a podcast is a great way to educate people and get more customers.

- How building relationships with your listeners is a vital part of having a podcast.

- Why a podcast helps your listeners feel more connected to you and your business.

- How it can be difficult help others in your organization develop their own unique voice so they can best assist clients. 

Connect with Tom:

Links Mentioned:

https://talkingrealmoney.com/

https://apellawealth.com/

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After graduating from Duke University, where Dr. Saide earned his Ph.D., MA, MBA and his BA from Adelphi University. He earned a second Ph.D. by state examination in Germany. He went on to earn certificates for studies at Purdue University, the American College of Financial Services, and Fairleigh Dickinson University.

Listen to this insightful RIA episode with Fred Saide about managing risk and client expectations.

Here is what to expect on this week’s show:

- How even small businesses need an exit strategy and a succession plan in place. 

- Why it’s important to have a detailed plan with action steps that can be implemented.

- How risk tolerance changes over time for most people.

- How risk capacity is not behavioral, it’s quantifiable, and why that’s important.

- What it means to lose 35% from your portfolio, and why it’s a smaller issue than most people think.

Connect with Fred:

Links Mentioned:

https://moneymattersusa.net/

Twitter

@fredericksaide

Facebook

facebook.com/FoundationInsuranceServices

LinkedIn

linkedin.com/in/fredricksaide

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Listen to this insightful RIA episode with Nicholas Stuller about the eharmony of advisor client matchmaking.

Here is what to expect on this week’s show:

- How listening to your paying clients is the best product development for your business.

- Why having three clients who want the same thing provides enough statistical data to prove it’s a needed service.

- How in the past investors didn’t want to give people money over the internet but that has since changed.

- Why a matchmaking service for investors and advisors was really needed.

- How MyPerfectFinacialAdvisor serves the investor first and the advisor second.

Connect with Nicholas:

Links Mentioned:

https://myperfectfinancialadvisor.com/

Facebook

https://www.facebook.com/myperfectfinancialadvisor

Twitter

@PerfectAdvisor

LinkedIn

linkedin.com/company/myperfectfinancialadvisor

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Listen to this insightful RIA episode with Russ Piazza about running equity portfolios.

Here is what to expect on this week’s show:

- How managing your company the right way gives you an advantage over your peers.

- Why buying a stock is becoming a partner in a business.

- How you should trust the companies you invest in.

- Why it’s rewarding to work with companies that fill a societal need.

- How internal competition is a disease, which is why communication in your company is vital.

Connect with Russ:

Links Mentioned:

https://frontstreetcap.com/

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He has worked closely with over 500+ financial advisors, CPAs, life insurance producers, and business advisors since 2015. He is also the author of Million Dollar Producer: The Secret Playbook For Financial Professionals To Land High-Value Clients Using LinkedIn. He lives in San Diego, California with his wife Atsuko and his two Boston Terriers, Moo and Potato Chips. 

Listen to this insightful RIA episode with Paul McManus about his book, The Short Book Formula.

Here is what to expect on this week’s show:

- How publishing a book is a great way attract more customers.

- Why getting leads and appointments is easy but converting them to be a client is not.

- How becoming an author gives you a piece of marketing collateral that you can use and leverage for years.

- Why writing a book helps you identify your target audience and what they are attracted to.

- How authors can and should tie in LinkedIn marketing and messaging with their book.

Connect with Paul:

Links Mentioned:

https://www.theshortbookformula.com/?r_done=1

LinkedIn

linkedin.com/in/paulmcmanus

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Listen to this insightful RIA episode with Maxwell Nee about investing in Whisky & Wine.

Here is what to expect on this week’s show:

- How 6 years of aging whisky equals a 500x return on the top end.

- Why you shouldn’t buy wine or whisky and hope it goes up in price.

- How acquisition of the wine and whisky is the hardest part of this business.

- Why you’ll rarely find a public company in the wine and whisky industry.

- How building relationships is important to grow any kind of business.

Connect with Maxwell:

Links Mentioned:

https://oenowinewhiskyfund.com/

LinkedIn

linkedin.com/in/maxwellnee

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He is a member of the National Federation of Municipal Analysts, the Municipal Analysts Group of New York, the Fixed Income Analysts Society. Pat received his BA from the University of Florida.

Listen to this insightful RIA episode with Patrick Luby about the authority on credit markets, CreditSights.

Here is what to expect on this week’s show:

- How the market can change without from an investor’s perspective without being aware of it.

- Why it’s more difficult for investors or advisors to change positions in the Municipal Market.

- How CreditSights is a subscriber paid business that gives opinions about the market.

- Why you shouldn’t automatically turn down a bond with a smaller safety margin.

- How ultra-safe but expensive investments might not belong in your portfolio.

Connect with Patrick:

Links Mentioned:

creditsights.com

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While at Smith Barney, Peter developed some quantitative models in 1991 that represent the first investment quantitative work ever done at Smith Barney. These models focused on earnings estimate revisions, earnings surprises and relative stock strength. These models today are used for screening stock ideas for investigation.

Peter graduated with a B.S. degree in Economics from Ohio Wesleyan University in 1974 and an MBA from Columbia University in 1979. Additionally, Peter Scholtz has passed several licensing exams including the Series 65, 63, 7, and 5.

Peter currently lives in Darien, CT with his wife of over 35 years. In his free time, he enjoys sailing, fishing, swimming and spending time with his three children and three grandchildren.

Listen to this insightful RIA episode with Peter Scholtz about being the first quant.

Here is what to expect on this week’s show:

- How running a company perfectly isn’t cheap and they outperform others in the long run.

- Why you want to buy a good company for fair price instead of a bad company for a cheap price.

- How AI can’t predict human emotion which is what drives the market.

- How the stock market can stay irrational longer than you can stay solvent.

- How when the Fed speaks the market automatically moves.

Connect with Peter:

Links Mentioned:

https://www.scholtzandco.com/

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Dan mentors elite college-bound teens just like yours to gain admission to the schools of their dreams and achieve lifelong success. At the core of the program, he empowers them to identify their unique on-paper and in-person “voices,” write and present with clarity and impact, and tap into a wellspring of self-confidence. These skills are absolutely essential when it comes to crafting phenomenal college application essays and succeeding in virtual and on-campus interviews. 

Over the course of Dan’s 30 years as an educator, communications professional, and marketing executive, he has worked with hundreds of ambitious teenagers; taught creative writing at the prestigious Andover Academy; co-taught multinational management at The Wharton School; lectured at UCLA’s Anderson School of Management; and developed English-language curriculum materials for the Japanese high school system with Panasonic and the Ministry of Education in Osaka.

Dan has lived and worked in East and Southeast Asia, Europe, and the United States. He founded and ran his own highly successful marketing strategy firm and leveraged the key communication skills he first acquired as a teen in working with and for such organizations as Mercedes-Benz, Rolls-Royce, Boys & Girls Clubs of America, Toyota, American Airlines, BMW, Wharton Executive Education, Airbus, State Farm, and The House of Blues.

Listen to this insightful RIA episode with Dan Ulin about getting into the top 50 colleges.

Here is what to expect on this week’s show:

- Why it’s important for your child to become a master communicator.

- How Elite Student Coach strives to serve people in underrepresented communities who are trying to get into college.

- Why students should develop emotional intelligence and entrepreneurial skills before applying to college.

- How students should learn the importance of mentoring others and implement that into their lives.

- Why students should be learning skills that AI cannot perform.

Connect with Dan:

Links Mentioned:

https://elitestudentcoach.com/

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Most Notably, Anthony serves some of the largest and most successful construction companies in New Jersey including Vollers, Inc., Crisdel Group, Inc., JAG Companies and Earle Companies. Anthony is an Independent Fiduciary, Investment Advisor Representative, Certified Family Business Specialist and Certified Plan Fiduciary Advisor.

Anthony has authored multiple books, including Insurance Lies, Safe Money and his latest release is Tenacious Abundance. He speaks on unstoppable growth and success principles and was a speaker for the top 3% of advisors in the World for Million Dollar Round Table, in addition to Deutsche Bank, MetLife, Prudential, MassMutual & NY Life. He has also worked with Coach Tom Coughlin and his coaching staff of the NFL Jacksonville Jaguars with his company Mental Edge, to increase coaching and team performance.

Anthony and his wife, Sally, support organizations such as Feed America, ASPCA, Boy Scouts of America, Make a Wish Foundation, Shriners Hospital, Lakewood Church, Earle Family Foundation, Interfaith Hospitality and Midland School. His family, friends and clients know Anthony as a connector and trusted resource! He lives to achieve his late father’s advice of “always being an add value person”.

Listen to this insightful RIA episode with Anthony Trupiano about his latest book, Tenacious Abundance.

Here is what to expect on this week’s show:

- How writing a book allows you to leave lessons behind for future generations.

- Why having good habits can lead to great success.

- How entrepreneurs who are successful have five to ten good habits they are tenacious about.

- Why having an abundance mindset leads entrepreneurs to having a successful business.

- How you must maintain the right mindset when there is so much negativity to focus on.

Connect with Anthony:

Links Mentioned:

https://trupianoassociates.com/

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John is passionate about providing transparent financial services. He is committed to empowering his clients with financial knowledge and understanding so they can make the right decisions for their life and family.

John has a bachelor’s degree in financial management from Indiana University Bloomington. When he’s not working, John enjoys spending time with Maria, his wife of 32 years, and their four adult children. John loves to take family vacations which always include his favorite hobbies of golfing and fishing. John has taught 5th grade religious education at his local parochial school. He has been an usher at Sunday mass for the last 30 years and has held several positions within the parish, including being a founding member of the Parish Finance Council.

Listen to this insightful RIA episode with John Nowicki about low-cost management.

Here is what to expect on this week’s show:

- How bigger financial service firms end up losing their clients’ money in the long run.

- Why the financial services industry doesn’t want educated consumers.

- How it’s important to show your clients their entire financial picture for them to understand what’s best to do with their money.

- How most people don’t understand what they own and how much money they pay.

- Why your client should tell you what they want and how you should build their plan around that.

Connect with John:

Links Mentioned:

https://lcmcapital.com/

Facebook

https://www.facebook.com/lcmcapitalmanagement

LinkedIn

linkedin.com/company/lcmcapitalmanagement

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Frustrated by his observations with Modern Portfolio Theory and exposure to potential losses even with diversified portfolio positions, Larry Kriesmer, CLU, ChFC set about finding a portfolio risk management solution over which he could feel more in control. Finding nothing that fit his objective, he drew on his early training as an insurance professional, and along with his business partner, Bernard Surovsky, formed Measured Risk Portfolios, a registered investment advisor, in 2007. Initially deployed on a few select clients, the strategy is now used by the majority of his personal clients and hundreds of accounts that are referred to the firm by outside advisors.

Bernard Surovsky graduated from the University of Cape Town with a Bachelor of Science in Construction Management and Economics. He emigrated to the US in 1992 and passed the General Securities Representative Series 7 exam in 1996 and holds the designations of Certified Fund Specialist (CFS) from the Institute of Business & Finance.

Frustrated with the results of Modern Portfolio Theory and the significant losses incurred in client accounts, he set about finding a more predictable solution to managing portfolio risk. Finding nothing that fit the need, he drew on his early training as an insurance professional, and along with his business partner, Larry Kriesmer, formed Measured Risk Portfolios, a registered investment advisor, in 2007. Initially deployed on a few select clients, the strategy is now used by the majority of his personal clients and hundreds of accounts that are referred to the firm by outside advisors.

Listen to this insightful RIA episode with Larry Kriesmer and Bernard Surovsky about eliminating risk while growing your nest egg.

Here is what to expect on this week’s show:

- How the old way of doing things in financial services doesn’t work during a crisis.

- Why you must do something different to achieve a different outcome.

- What an Index Annuity is and isn’t and how they work.

- Why a small allocation can control a large amount of capital and yield the desired return.

- How softened portfolios still carry a tremendous risk for clients.

Connect with Larry and Bernard:

Links Mentioned:

https://measuredriskportfolios.com/

LinkedIn

http://linkedin.com/company/measured-risk-portfolios

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Blake Brewer is on a mission to help 1 million dads write at least one well-written, meaningful, lasting Legacy Letter to their children.

Listen to this insightful RIA episode with Blake Brewer about the Legacy Letter Challenge.

Here is what to expect on this week’s show:

- How the idea of writing a letter is simple but writing one for your children can be difficult.

- Why your children need to hear your voice and what you have to say.

- How people from all different businesses and walks of life want to write their children a Legacy Letter.

- Why teams can bond when they write their Legacy Letters together.

- How your children can benefit from your Legacy Letter and why it’s a good idea to give it to them as soon as possible.

Connect with Blake:

Links Mentioned:

https://www.legacyletterchallenge.com/marketdomination

Twitter

https://twitter.com/giftofdad?lang=en

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Listen to this insightful RIA episode with Brian Boughner about transitioning to Independence with Fiduciary Alliance.

Here is what to expect on this week’s show:

- How Fiduciary Alliance is only interested in working with advisors in high growth mode.

- How Fiduciary Alliance provides systems, coaching, and ways for you to grow your business organically.

- Why networking with other RIAs is important and how Fiduciary Alliance helps them do that.

- How growing organically is more powerful than going out and buying a book of business.

- How RIAs need to have their own identity in their market.

Connect with Brian:

Links Mentioned:

https://www.fiduciaryalliance.org/

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Gil’s fee-only fiduciary firm, Segment Wealth Management, is a top-15 firm in Houston as ranked by the Houston Business Journal. Gil is perennially named a top-50 advisor in Texas by Barron’s, out of the state’s 26,002 registrants. 

Gil is also the best-selling author of FOOLISH: How Investors Get Worked Up and Worked Over by the System. The book takes readers through the dark tunnels of the brokerage fee ecosystem and takes a deep dive on investors’ self-harm tendencies driven by ego satisfaction.

Listen to this insightful RIA episode with Gil Baumgarten about unusual referral generation events.

Here is what to expect on this week’s show:

- How the brokerage industry should value and nurture client relationships. 

- Why holding events is a great way to build relationships with your clients.

- How your clients might be more interested in going to more creative events.

- Why it’s easy to figure out a group of people’s common denominator once you get to know them.

- How you should know how your clients will respond to a volitive market.

Connect with Gil:

Links Mentioned:

https://gilbaumgarten.com/

https://segmentwm.com/

Facebook

https://www.facebook.com/SegmentWealthManagement

LinkedIn

linkedin.com/in/gil-baumgarten

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As a Financial Planner, Andrew forges lifelong relationships with clients, coaching them through all stages of life and guiding them to better achieve their life goals.

Andrew loves helping others by spreading his knowledge on finance, investments, and the pursuit of happiness/fulfillment. He writes nationally recognized, weekly blog posts on these topics and is a regular contributor to Kiplinger and Forbes. Andrew has been published in The Wall Street Journal, Barron’s, Financial Advisor Magazine, US News & World Report, USA Today, CNBC, along with many other publications.

Andrew graduated from the University of Delaware with a BS in Finance and a minor in Economics. He continued his industry education by obtaining his series 6, 7, and 63, along with his health/life insurance licenses. In addition, Andrew received the CERTIFIED FINANCIAL PLANNER™ designation, the CERTIFIED ESTATE PLANNER™ designation, and has been named a Five Star Best in Client Satisfaction Wealth Managerin Philadelphia and Delaware.

Listen to this insightful RIA episode with Andrew Rosen about helping people live the American Dream.

Here is what to expect on this week’s show:

- How people need to craft a plan and then follow through with that plan to reach their life goals.

- Why people must be conscious of their actions and reactions and what their implications might be.

- How a little tweak can make a big difference when it comes to your finances.

- Why it’s important to have a map that leads you towards your goals.

- How might have to change your lifestyle to be able to reach your goals.

Connect with Andrew:

Links Mentioned:

https://diversifiedllc.com/

Twitter

https://twitter.com/DiversifiedLLC_

Facebook

https://www.facebook.com/DiversifiedLLCDE

LinkedIn

linkedin.com/company/diversifiedllc

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Dan Ryder is the Founder of Prime DeFi, the World’s #1 DeFi Education Company obsessed with helping clients achieve financial freedom leveraging DeFiCashFlow opportunities. Prepare to prosper!

Listen to this insightful RIA episode with Dan Ryder about how to use Prime DeFi.

Here is what to expect on this week’s show:

- How DeFi allows anyone to outperform hedge fund managers easily.

- What DeFi is and why it’s worth looking in to.

- How Smart Contracts removed the need for a centralized custodian to oversee your investments.

- Why individuals don’t need a bank charter to get into the world of lending.

- How Prime DeFi educates people on what DeFi is and how it is not like bitcoin.

Connect with Dan:

Links Mentioned:

https://rydermedia.com/go

Facebook

https://www.facebook.com/Dr.Daniel.Ryder

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Snehal also serves on the board of various high-growth, early-stage technology start-ups in the Financial Services and Healthcare industries.

He holds a master’s degree in software engineering from Carnegie Mellon and has previously worked with big-tech software firms, including Oracle and Adobe.

Listen to this insightful RIA episode with Snehal Fulzele about an advisor friendly client lending platform.

Here is what to expect on this week’s show:

- How many financial advisors spend more time on the assets side than the liability side of things.