Welcome back to another episode of the Independence Playbook. In today’s episode, John is joined by Harris Baltch, Head of M&A and Capital Strategies, to talk about how advisors can prepare for M&A pre-launch, prepare for M&A post-launch, and c

Independence Playbook Part 6: Remove Compliance and Legal Red Tape

Jan 23rd, 2023 12m 47s

Welcome back to another episode of the Independence Playbook. In today’s episode, John is joined by Jon Morris, Chief Legal and Governance Officer at Dynasty Financial Partners. Jon shares some of the essential items advisors need to know from

Independence Playbook Part 5: Move Beyond Antiquated Technology

Jan 23rd, 2023 13m 37s

Welcome back to another episode of the Independence Playbook. In today’s episode, John is joined by Frank Coates, Chief Technology Officer. Technology is a vital component of any business, but its rapidly evolving environment can make it more d

Independence Playbook Part 4: Best Practices for Operations

Jan 23rd, 2023 9m 18s

Welcome back to another episode of the Independence Playbook. In today’s episode, Angela Gingras, Chief Administrative Officer, joins John. Angela has deep experience in RIA operations and can provide great insight into best practices for advis

Independence Playbook Part 3: Marketing YOUR New Brand

Jan 23rd, 2023 12m 29s

Welcome back to another episode of the Independence Playbook. In today’s episode, John is joined by Gordy Abel, Chief Marketing Officer, to discuss how advisors should approach their brand development and marketing strategy as they transition t

Independence Playbook Part 2: The New Transition Checklist

Jan 23rd, 2023 13m 59s

Welcome back to another episode of the Independence Playbook. In today’s episode, John is joined by Caitlin Douglas, Director of Transition Services, to discuss the transition to the independence model. Caitlin shares the checklist for advisors

Independence Playbook Part 1: All Things Due Diligence

Jan 23rd, 2023 8m 22s

Welcome to the Independence Playbook Podcast! Join John Sullivan, Head of Network Development and Sean Lindenbaum, Director, South East Division, as they lay the foundation for this series and discuss all things due diligence. Some of the quest

The Future of Wealth Management

Feb 23rd, 2022 53m 9s

Episode 32: The Future of Wealth ManagementGuest Speaker: Anand Sekhar, Vice President, Practice Management & Consulting at FidelityThere are many forces driving innovation in wealth management and lots of questions around the future of wealth

How Great Leaders Combine Data and Instinct to Produce Results

Feb 7th, 2022 56m 3s

Episode 31: How Great Leaders Combine Data and Instinct to Produce ResultsGuest Speakers: Steve Tenney, Founding Partner & Chief Executive Officer at Great Diamond Partners. Nikolee Turner, Managing Director, Business Consultant, Advisor Servic

Getting the Inside Scoop on the Independent Space: A Conversation with Ben Harrison

Aug 19th, 2021 42m 15s

Episode 30: Getting the Inside Scoop on the Independent Space: A Conversation with Ben HarrisonIn this episode, Austin speaks to Ben Harrison, Co-Head of Wealth Solutions at BNY Mellon | Pershing. Their discussion covers Ben’s professional j

How to Find and Keep the Best Talent within Your Organization

Jul 8th, 2021 1h 1m

Episode 29: How to Find and Keep the Best Talent within Your OrganizationWith more than 30 years of experience in Financial Services, Mason Salit, Chief Talent Officer at Dynasty Financial Partners, has a very unique vantage point on identifyi

Inside the Deal Part 4: Integration

Jun 9th, 2021 45m 48s

Inside the Deal Part 4: IntegrationZero in on how to integrate an RIA, a new team, or a new advisor into your firm. In Part 4: Integration, Harris Baltch is joined by Jack Petersen, Co-Founder and Managing Partner of Summit Trail Advisors. Wit

Inside the Deal Part 3: Closing

May 24th, 2021 27m 45s

Inside the Deal Part 3: ClosingZero in on negotiating & closing RIA deals, and learn best practices for RIAs contemplating a sale. In Part 3: Closing, Harris Baltch, Dynasty Head of M&A and Capital Strategies, is joined by Marty Bick

Inside the Deal Part 2: Execution

May 12th, 2021 49m 46s

Inside the Deal Part 2: ExecutionZero in on RIA deal execution behind closed doors and learn best practices for RIAs contemplating a sale. Harris Baltch, Dynasty's Head of M&A and Capital Strategies, is joined by Liz Nesvold, Managing Director

Inside the Deal Part 1: Deal Readiness

Apr 28th, 2021 40m 43s

Inside the Deal Part 1: Deal ReadinessHow do RIAs know if they are M&A ready? How are deals sourced? Harris Baltch is joined by Mark Tibergien, Founder of Mark Tibergien Insights, former CEO of Pershing Advisor Solutions and current Board Me

Inside the Deal Part 1: Deal Readiness

Apr 28th, 2021 40m 43s

Improving Your Communication as a Leader

Mar 22nd, 2021 56m 2s

Episode 28: Improving Your Communication as a LeaderThis podcast focuses on a very important theme for leaders—communication. I am joined by Adam Piandes, who is a coach, author, speaker, and entrepreneur. We discuss how to have authentic

Trends in the Off-Shore Advisory Space

Mar 9th, 2021 52m 29s

Episode 27: Trends in the Off-Shore Advisory SpaceAs one of the major wealth management institutions exits the international market, we sit down with Miguel Sosa, Founder and Partner at Premia Global Advisors. After more than 30 years at Me

Hungry, Humble, Smart

Dec 17th, 2020 1h 4m

Episode 26:In this year’s final podcast, I speak with Lisa Crafford, a principal within the Platform Strategy and Consulting Group at BNY Mellon | Pershing. A former Australian National Trampoline Champion and world-wide traveler, we discuss

What it means to be a “Schwabie”—Examining the Powerful Culture of Charles Schwab through the Stories of its People

Nov 5th, 2020 1h

Episode 25: What it means to be a “Schwabie”—Examining the Powerful Culture of Charles Schwab through the Stories of its PeopleGuests: Brad Losson, VP & National Managing Director, Relationship Management at Charles Schwab Advisor ServicesJe

Making the Uncomfortable, Comfortable: How to Discuss the Meaning of Wealth as a Financial Advisor

Sep 28th, 2020 47m 22s

Episode 24: Making the Uncomfortable, Comfortable: How to Discuss the Meaning of Wealth as a Financial AdvisorGuest: Tobias Donath, Vice President, Fidelity's Center for Family EngagementThe roles of financial advisors have morphed over the

Homemade Volcanoes, Zoom Calls, and Snap Filters: Managing Work-Life Integration in Today’s Environment

Sep 1st, 2020 1h 7m

Episode 23: Homemade Volcanoes, Zoom Calls, and Snap Filters: Managing Work-Life Integration in Today's EnvironmentOne of the most obvious impacts of COVID-19 has been the need to integrate professional and family life in a much closer way. W

A Differentiated Business Model for Differentiated Clients: How Intellectus Built a Firm for Entrepreneurs

Jul 14th, 2020 1h

Episode 22: A Differentiated Business Model for Differentiated Clients: How Intellectus Built a Firm for Entrepreneurs Guest: Dave La Placa, Founder and CEO of Intellectus PartnersDave La Placa has an incredible background and many great expe

Operational Excellence

Jun 10th, 2020 1h

Episode 21: Operational Excellence: A Discussion on How to Effectively Translate Military Knowledge to Financial Services OrganizationsOn this episode of the podcast, Austin speaks to Jim Combs, Chief Executive Officer of National Advisors Tr

Into the Great Wide Open: Perspectives of the Advisor Transition Process from the Front Lines

May 19th, 2020 56m 35s

Episode 20: Into the Great Wide Open: Perspectives of the Advisor Transition Process from the Front Lines.Into the Great Wide Open was the eight studio album recorded by Tom Petty and the Heartbreakers in 1991. The title track follows Eddie a