Mindy Diamond on Independence

Celebrity Estates: Wills of the Rich and Famous

With more investors seeking out financial advice than ever before, RIAs are in a position to capitalize on an evolving mix of investing, planning and technology developments that can create long-term business growth. 
 
In this episode of RIA Edge, Mark Bruno, managing director at Informa Wealth Management, speaks with Stan Gregor, CEO of Summit Financial. Stan shares details on Summit’s growth trajectory in recent years - while offering advice on how other firms can create scalable, repeatable growth strategies and transform their practices into truly unique advice platforms. 
 
Specifically, Mark and Stan discuss:
 
- Balancing organic and inorganic growth strategies
- How to identify the right types of acquisition, recruiting, and partnership opportunities
- The difference between growth and “good growth”
- The most valuable technology and communication lessons learned in the past 18 months
 
 
Connect With Mark Bruno:
 
WealthManagement.com
LinkedIn: Mark Bruno
Twitter: Mark Bruno
LinkedIn: Informa
 
Connect With Stan Gregor:
 
LinkedIn Stan Gregor
Summit Financial
 
About Stan Gregor:
 
As a senior executive with over 30 years of experience, I've operated in banking, private wealth management, investment management, fiduciary trust services, fixed income trading, investment banking, retirement services, insurance, financial planning and public finance. I've been involved in acquiring and integrating some of the largest and most complicated banking, wealth management, insurance, and capital markets businesses and cultures with a demonstrated track record of increasing productivity, profitability and shareholder value.
 
At Summit Financial, I apply these decades of financial services experience every day to ensure our firm continues to fully align client and advisor needs. Through SummitVantage, our fully integrated suite of advisor resources, we create legacy partnerships with leading advisors looking for full support--and full flexibility--to thrive in a crowded market.

From Practice to Platform: Strategic RIA Growth With Stan Gregor

Ep 57 - Prince: Planning for Intellectual Property With Matthew Erskine

Anne Heche was an actress known for her roles in a variety of genres in film, television and theater, receiving numerous accolades. On her tragic death in August 2022, Heche’s son Homer and her former partner James Tupper fought in court over who would be her estate administrator and guardian of her youngest son Atlas. 

In this episode, David Lenok is joined by Benazeer "Benny" Roshan, Partner at Greenberg Glusker, in differentiating the roles of trustee and administrator for an estate. They focus on how the court typically handles such roles and what their respective responsibilities and duties are.

Benny discusses:

- The benefits and detriments of probate;
- Who should be an executor or a trustee;
- The difference in responsibilities between trustees and administrators for estates;
- And more

Connect With Benny Roshan:

LinkedIn: Benny Roshan https://www.linkedin.com/in/benazeer-benny-roshan-94180a1/
Greenberg Glusker https://www.greenbergglusker.com/

Connect With David Lenok:

david.lenok@informa.com 
WealthManagement.com https://www.wealthmanagement.com/
LinkedIn: David Lenok https://www.linkedin.com/in/david-lenok-a481432a/
LinkedIn: Informa https://www.linkedin.com/company/informa/

About Our Guest:

For over 15 years, Benny has successfully represented a wide range of fiduciaries and beneficiaries in disputes involving trusts, fiduciary appointments, accountings, removal, and surcharge. Benny is recognized by Chambers and Partners in their High Net Worth Guide for 2021 and 2022. In 2018, the Daily Journal named Benny one of the Top 40 Lawyers Under 40 in the State of California.

Celebrity Estates: Anne Heche and the Roles of Trustees and Administrators in an Estate

Lisa Marie Presley was only 9 years old when her father, Elvis Presley, died and she gained control of his whole estate at the age of 25. When she passed in 2023, her mother, Pricilla Presley, challenged the legitimacy of Lisa Marie’s daughters being named trustees of the trust containing the assets in Lisa Marie’s estate.

In this episode, David Lenok talks to Brian Dillon, partner at Lathrop GPM, about the problems that arise when estate documents are suspicious or improperly filed and how those problems impact the legal process of handling an estate.

Brian discusses:

- What casts doubt on the legitimacy of estate documents;
- When third party knowledge can be considered hearsay versus legitimate evidence to the deceased intent;
- Why having the conversation on inheritance before death can help avoid disputes;
- How previous paperwork sets a precedent of the deceased state of mind when determining influence on the estate plan
- And more

About Our Guest:

Brian Dillon is the Partner in Charge of the Minneapolis office for Lathrop GPM. Brian is an experienced litigator who specializes in trusts and estates litigation, complex business and shareholder disputes, and responding to government investigations and enforcement actions.  Clients value Brian’s diverse range of litigation experience and practical, down-to-earth approach in resolving disputes, both in and outside the courtroom.

Resources:

Listen to the latest episodes of Celebrity Estates: https://www.wealthmanagement.com/featured-series/celebrity-estates 

Connect With [GUEST NAME]:

LinkedIn: Brian Dillon: https://www.linkedin.com/in/brian-dillon-6997a28/ 
Lathrop GPM: https://www.lathropgpm.com/ 

Connect With David Lenok:

david.lenok@informa.com 
Website: https://www.wealthmanagement.com/
LinkedIn: David Lenok : https://bit.ly/DavidLenokLI
LinkedIn: Informa :https://bit.ly/InformaLI
LinkedIn: WealthManagement: https://bit.ly/WealthManagementLI

Celebrity Estates: Lisa Marie Presley and Estate Litigation

While markets have presented more challenges than opportunities over the last 18 months, the role of a financial advisor has never been more important – and both the demand for access and advice has never been greater. 

In this first episode of the Wealth Management Edge Podcast, shot live on location at the largest independent gathering of financial advisors, BlackRock’s Michael Lane sits with Informa’s Mark Bruno to discuss the rapidly accelerating opportunities for financial advisors in today’s market.
 
Specifically, Mark and Michael discuss:

- Why this is a once-in-a-lifetime growth opportunity for advisors – and where the largest pockets of opportunity exist
- The largest changes the investment and wealth management needs of today's investors 
- How these needs will continue to evolve, and advisors should be thinking about aligning their services and businesses to be more in sync with the true needs of their next generation of clients
- How BlackRock is investing in tools, resources or solutions that can help advisors optimize their businesses and capitalize on future growth opportunities

Resources:
 
RIA Edge Podcast: http://bit.ly/3YVhfof 
 
Connect With Mark Bruno:
 
WealthManagement.com: http://bit.ly/3RKHvyY 
LinkedIn: WealthManagment.com: https://bit.ly/3YkoRAv 
LinkedIn: Mark Bruno: https://bit.ly/3lkoK9A 
Twitter: Mark Bruno: https://bit.ly/3DUICGB 
LinkedIn: Informa: https://bit.ly/3leEF9g

Connect Michael Lane:
LinkedIn: https://www.linkedin.com/in/michael-lane-3b1a664/
BlackRock Website: https://www.blackrock.com/ca/investors/en/biographies/michael-lane
“Hey Dad” – Michael Lane’s Video Series: https://www.youtube.com/watch?v=T0wwjBEp8ig

About Our Guest:

Michael Lane is Head of iShares U.S. Wealth Advisory and a member of the US Wealth Advisory and US iShares Executive Committees. Working with financial advisors for nearly three decades, Michael oversees the development of advisor centric solutions, due diligence and implementation of iShares, helping advisors build better portfolios with core, fixed income, factor and model-based ETFs.
 
Prior to joining iShares at BlackRock in 2018, Michael served as the Global Head of Strategic Retirement Initiatives at Dimensional Fund Advisors, responsible for the strategic development and global distribution of retirement solutions for one of the world's premier asset managers. During his 14-year tenure at Dimensional, Michael played a range of leadership roles, including CEO of Dimensional SmartNest LLC, providing customized managed account solutions for defined contribution plans. He additionally worked in the office of the chairman as well as leading the development of the retirement, broker-dealer, bank and TAMP businesses. Prior to Dimensional, Michael served as a director of advisor services at TIAA-CREF.

Wealth Management Edge Podcast: BlackRock’s Michael Lane: A Bull Market for Advice?

This episode of the RIA Edge podcast features a conversation between Mark Bruno, Managing Director of Wealth Management Group at Informa, and Arthur Ambarik, CEO of Perigon Wealth Management. The discussion delves into  Perigon’'s unique position and model within the RIA channel, as well as the  primary contributors to its impressive growth trajectory. Arthur shares the story of Perigon's evolution from a small firm with under $150 million in assets under management (AUM) to its current status of around $6 billion in AUM.

Specifically, Mark and Arthur discuss:
- Perigon’s distinct business model, emphasizing a blend of autonomy and collaboration.
- How Perigon bridged the gap between traditional consolidator and enterprise firm models, fostering an environment where advisors could bring diverse skills to the table and create a better client experience.
- Key industry trends, including mergers and acquisitions (M&A) activity and the battle for talent. 
- Arthur reflects on the challenges of growth, particularly during the COVID-19 pandemic, and the importance of building a strong team with specialized roles like COO, CCO, and CTO to manage the firm effectively.

Mark and Arthur also discuss the growth journey through acquisitions, strategic partnerships, and attracting like-minded professionals. He acknowledges the competitive landscape in the RIA industry and offers insights for firms aspiring to grow and professionalize their operations. Overall, the conversation provides valuable lessons on managing human capital, adapting to unique challenges, and building a successful RIA firm amid evolving industry dynamics.

Resources:
 
RIA Edge Podcast: http://bit.ly/3YVhfof 
Register for RIA Edge West, September 27-29: https://informaconnect.com/ria-edge-west/purchase/select-package/
 
Connect With Mark Bruno:
 
WealthManagement.com: http://bit.ly/3RKHvyY 
LinkedIn: WealthManagment.com: https://bit.ly/3YkoRAv 
LinkedIn: Mark Bruno: https://bit.ly/3lkoK9A 
Twitter: Mark Bruno: https://bit.ly/3DUICGB 
LinkedIn: Informa: https://bit.ly/3leEF9g 


Connect With GUEST:


LinkedIn: Arthur Ambarik: https://www.linkedin.com/in/arthur-ambarik-cfp®-75359457/
Perigon Wealth: https://www.perigonwealth.com

About Our Guest:


Arthur Ambarik, CFP® is Chief Executive Officer of Perigon Wealth Management. Since joining Perigon in 2013, the firm’s assets under management have grown to more than $4.8* billion from less than $150 million. He has overseen several recent acquisitions including PM Wealth Management, Nauset Wealth Management and Stakeholders Capital.

Arthur brings more than 20 years of years of experience to his role with Perigon including advisory and operational positions he held previously with Ameriprise and LPL. He has been named to the Forbes Best in State Wealth Advisors for California in 2021 and 2022 and is a member of the Financial Advisor IQ Leadership Council. Perigon’s accolades include being named to the Financial Times Top 300 RIA 2020, RIA Channel ® Top 50 Wealth Managers by Growth 2022, Forbes Top 100 RIA 2022 and USA Today Best Financial Advisory Firm 2023 lists.

Arthur holds a B.A. in Economics from Williams College.

RIA Edge Podcast: Perigon’s Arthur Ambarik: The Journey to Build a $6BN RIA

This era in wealth management has seen unparalleled growth opportunity. Lido Advisors has embraced this golden age of shifting demographics and technological advancements to be one of the fastest growing and successful firms in the industry. 

In this episode of the RIA Edge podcast, Mark Bruno, managing director of the wealth management group at Informa, and Ken Stern, president of Lido Advisors talk about Lido’s growth and strategies in the wealth management industry. Ken shares how Lido emphasizes a client-first approach and values cultural alignment in partnerships and acquisitions. 

Specifically, Mark and Ken discuss:
- Clear value proposition and its importance as a driving factor for successful growth
- The significance of organic growth, utilizing existing clients as valuable sources of referrals and business expansion opportunities
- Mergers and acquisitions (M&A) and the need for cultural alignment when considering partnerships or acquisitions
- The role of technology, AI, and digital strategies in reaching a wider audience

Resources:
 
RIA Edge Podcast: http://bit.ly/3YVhfof 
 
Connect With Mark Bruno:
 
WealthManagement.com: http://bit.ly/3RKHvyY 
LinkedIn: WealthManagment.com: https://bit.ly/3YkoRAv 
LinkedIn: Mark Bruno: https://bit.ly/3lkoK9A 
Twitter: Mark Bruno: https://bit.ly/3DUICGB 
LinkedIn: Informa: https://bit.ly/3leEF9g 


Connect With GUEST:

LinkedIn: Ken Stern: https://www.linkedin.com/in/ken-stern-77839b149/
Lido Advisors: https://www.lidoadvisors.com

About Our Guest:


Ken Stern is President of Lido Advisors. Ken is focused on executing Lido’s vision in growing Lido Advisors into a nationally recognized leader in advanced wealth management and investment strategy. After working with and helping grow various financial institutions, Ken saw a need for a client-centric financial advisory firm focused on comprehensive planning and dynamic investment management. As a result, he founded both Asset Planning Solutions, Inc. and Ken Stern & Associates. 

Ken has authored seven personal finance books and appeared in or been quoted on several TV and radio shows including “The Today Show,” CNBC, and CNN. Authored books include: “To Hell and Back,” “Pounce,” “Secrets of the Investment All-Stars,” “Senior Savvy,” “50 Fabulous Places to Retire in America,” “Safeguard Your Hard Earned Savings” and “Secrets of the Investment All-Stars.” 

Ken is an Alumnus of Harvard Business School, is a Certified Financial Planner and speaks extensively on wealth transfer, alternative investments, and legacy planning. Originally from Farmington Hills, MI, Ken enjoys spending time with his family, traveling, skiing, public speaking, writing, and reading.

RIA Edge Podcast: Lido’s Ken Stern on Navigating Growth and Culture in Wealth Management

Schwab’s Bernie Clark and Rick Wurster on the “Unprecedented” Migration of Assets From TD Ameritrade

In the latest episode of Focused on the Future, veteran industry leader, Suzanne Siracuse, talks with Kay Lynn Mayhue, President of Merit Financial Advisors, on the importance of cultivating top talent and creating a strong company culture, organic growth tactics that work, and the many ways to attract and support women in financial services.

Specifically, Kay Lynn discusses:
- Why Merit’s Servant leadership style has been instrumental in creating a firm culture where team members thrive.
- How to meet and exceed client expectations as they continue to evolve
- Effective organic growth strategies including digital marketing initiatives and revenue share programs.
- Why setting personal boundaries and being transparent are critical when it comes to attracting and supporting women in financial advice.
- The significance of having an adaptable tech stack to meet future business needs

Connect With Suzanne Siracuse:
 
WealthManagement.com: bit.ly/3RKHvyY
LinkedIn: WealthManagment.com: bit.ly/3YkoRAv
LinkedIn: Suzanne Siracuse: www.linkedin.com/in/suzanne-siracuse-722b777/
Twitter: Suzanne Siracuse: @suzsiracuse
Email: Suzanne@suzannesiracuse.com

Connect with Kay Lynn Mahue:

Website: https://www.meritfinancialadvisors.com/
Company LinkedIn: https://www.linkedin.com/company/meritfinancialadvisors/
Personal LinkedIn: https://www.linkedin.com/in/kaylynnmayhue/
Company Twitter: https://twitter.com/meritfinadvisor
Email: kmayhue@meritfa.com

About Our Guest:

Kay Lynn Mayhue is the President of Merit Financial Advisors, a national wealth management firm that supports advisors affiliated with independent broker-dealers, as well as those who are registered investment advisors

Kay Lynn has played many roles in the financial advisory industry: as a successor, partner, seller, and buyer. This unique and diverse background allows her to be able to relate to advisors in all phases of their careers and mergers and acquisitions. With a background in financial planning and leadership, her career expands over several areas, including advising clients, mergers and acquisitions, and strategic growth.

She holds her CFP®, AEP®, and RFC® and has been a critical decision-maker for two firms over the past twenty years. Kay Lynn has overseen the majority of Merit’s mergers and acquisitions and has been recognized for that by winning the 2023 WealthManagment.com M&A Leader of the Year. 

She is passionate about helping people take their careers – and themselves – to exceptional levels. Kay Lynn’s influence in the industry and her drive for success is a driving factor in Merit's ongoing growth and appeal to growth-oriented advisors.

Kay Lynn Mayhue:  Why Investing in TALENT is key to a Firm’s Long-term Success

In this episode, Informa Wealth Management’s Nabia Jenkins-Johnston is joined by Shana Sissel, founder, president and chief executive officer of Banríon Capital Management. Shana shares her insight on the importance of alternative investments, the evolution of asset allocation and the potential of interval funds. She also discusses how her media appearances and presence helps with connecting with advisors and clients. 

Nabia and Shana discuss: 
- The importance of alternative investments in portfolio planning
- How asset allocation has evolved
- The impact of new investment strategies on the use of alternative investments
- The importance of financial and investment education in the industry
- And more

Resources
https://www.wealthmanagement.com/ 
Listen to the latest episodes of The Inside ETFs Podcast: https://www.wealthmanagement.com/featured-series/inside-etf-podcast%20 

Connect with Nabia Jenkins-Johnston
LinkedIn: Nabia Jenkins-Johnston: https://www.linkedin.com/in/nabia-jenkins-johnston-4b025418/ 
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 
LinkedIn: WealthManagement.com: https://bit.ly/WealthManagementLI 

Connect with Shana Sissel
LinkedIn: Shana Sissel: https://www.linkedin.com/in/shsissel/ 
Banríon Capital Management: https://www.banrioncapital.com/ 

#podcast #ETFs #investmentmanagement #alternativeinvestments #portfolioplanning

The Inside ETFs Podcast: Shana Sissel on The Rise of Alternative Investments

Dan Seder shares Blue Chip Partners’ unique approach to managing human capital and building a growth engine inside a $1 billion AUM firm. 

In this episode of the RIA Edge Podcast, David Armstrong, managing director of editorial and content strategies for the Wealth Management Group at Informa, talks with Dan Seder, managing partner with Blue Chip Partners, about the firm’s rapid, and continuing, trajectory from a modest $300 million firm just a few years ago to one now approaching $1.2 billion. He discusses bringing a structured sales process into the RIA, including a strategic approach to client referrals, and why he feels a focus on growth is something the firm owes to its employees. 

Specifically, David and Dan discuss:

- How Dan brought sales skills from the insurance world to the RIA and quickly grew the client base, and his ownership stake.
- How he and his partner realized early on that rapid growth requires more structure around the business and adopted the EOS (Entrepreneurial Operating System) program; Dan describes what EOS is and how it helped them build a better chassis to support their growth. 
- How they are looking to expand services to include taxes and estate planning to not only provide current clients more services, but as a tool toward more client acquisition.
- The six core values the firm adopted to achieve their goals.
- The firm’s decisions around their investment strategy for clients.
- The rewards of building a strong team culture that fosters a collaborative, vibrant workplace, and why growing the firm is important to ensure employees feel they have opportunities in the business.

Connect With David Armstrong:
WealthManagement.com: https://www.wealthmanagement.com/
LinkedIn: WealthManagment.com: https://bit.ly/WealthManagementLI
LinkedIn: David Armstrong: https://www.linkedin.com/in/djamesarmstrong/
Twitter/X: @djamesarmstrong
LinkedIn: Informa: https://www.linkedin.com/company/informa/

Connect With Dan Seder:
LinkedIn: https://www.linkedin.com/in/daniel-seder/
Blue Chip Partners https://www.bluechippartners.com/

About Our Guest: 

As Managing Partner of Blue Chip Partners, Dan is a holder of the right to use both the Chartered Financial Analyst® (CFA®) and Chartered Market Technician® (CMT®) designations. He is also a Certified  Financial Planner™ professional.

Dan joined Blue Chip Partners in 2005 and became a shareholder in 2010. Dan specializes in addressing the unique needs of corporate executives. This includes demystifying complex compensation packages, maximizing executive benefit platforms, and integrating equity grants (i.e., stock options, restricted stock, performance shares) into a financial plan. In addition, Dan leverages technical analysis when structuring 10b5-1 trading plans for executives interested in reducing their concentration in company stock.

Dan graduated with a B.A. from the University of Michigan, where he was a four-year member of the varsity wrestling team. Dan is the former president of the CFA Society of Detroit, a member of the CFA Institute, and has served as an instructor for the Stalla CFA Exam review program.

RIA Edge Podcast: A Blueprint for Navigating Growth and Building Client Wealth with Dan Seder

LPL Financial has been a leader in the independent broker/dealer space for years, serving nearly 22,000 financial advisors representing over $1 trillion of brokerage and advisory assets. This means the business needs its infrastructure to be fast, reliable and secure. Everything LPL does is positioned around helping advisors take care of their clients, with technology being a driving force. 

In this episode, Shannon Rosic, director of WealthStack content and solutions, speaks with Greg Gates, CTO of LPL, about how technological advancements are driving the firm’s digital transformation.

Shannon and Greg also discuss:

- 2024 plans around tech spend 
- LPL’s stance on artificial intelligence
- How the firm prioritizes tech initiatives for advisors 
- Striking the right balance when it comes to scaling the business 

Connect with Shannon Rosic:

LinkedIn: https://www.linkedin.com/in/shannonrosic/
WealthStack website: https://informaconnect.com/wealthstack/ 
WealthManagement.com: https://www.wealthmanagement.com

Connect with Greg Gates:

LinkedIn: Greg Gates: https://www.linkedin.com/in/greg-gates-lpl/ 
LPL: https://www.lpl.com/ 

About Our Guest:

Greg Gates is managing director and Chief Technology & Information Officer for LPL Financial. In this role, Mr. Gates is responsible for managing all aspects of the firm’s technology and systems applications. He leads a high-performing information technology organization responsible for delivering technology solutions and market-leading platforms that enable positive, compelling experiences for LPL advisors and employees.

Mr. Gates joined LPL in 2018 with nearly two decades of senior-level management experience focused on the application of technology to solve business challenges on a global scale. Before joining LPL, Mr. Gates led Product Management and Engineering teams at PayPal from 2011 to 2018, focusing on internal technology platforms, merchant and consumer experiences, risk and security, and global operations. Prior to that, at Bank of America, he led a number of technology organizations, culminating in leadership of Bank of America’s Contact Center Technology from 2002 to 2011.

Mr. Gates earned his bachelor’s degree in biomedical engineering from Vanderbilt University in 1999, and successfully completed multiple leadership, continuing education, and certification programs from several organizations. He recently served on the Pega Platform Customer Advisory Board at Pegasystems, and previously served on Avaya’s customer advisory board. He is currently on Box, Inc.’s CIO Advisory Board.

The WealthStack Podcast: How LPL Approaches Digital Transformation with Greg Gates

Kimberly Sanders followed a typical path into financial services, gaining an undergrad in finance and working for a series of banks and brokerage firms. When she became pregnant, she made the decision to stay home for eight years to raise her kids. But when it was time to return to work, the path was not so smooth.
 
For Anna Howard, her path into the industry was driven by a desire to earn validation from her father, also an executive in financial services. Later in her career, she realized the path she took and focused on building a more authentic and fulfilling life for herself. She and her husband recently went through a multi-year process to become foster parents, so now they’re managing four kids, two of which have special needs, while working full-time.
 
In this episode, WealthManagement.com Managing Editor Diana Britton explores the balance between work and home life with Anna Howard, head of Private Wealth at LPL Financial, and Kimberly Sanders, head of Strategic Wealth Services at LPL.
 
They touch on: 

- The unique struggles faced by women in the financial services industry, particularly with work-life balance
- The journey back into the workforce after taking a hiatus and the obstacles encountered along the way
- The importance of male sponsors
- Strategies for managing personal well-being and family life while pursuing a demanding career
- The importance of mentorship, advocacy, and building a support network for women in finance
 
Connect With Anna Howard:

LinkedIn: Anna Howard: https://www.linkedin.com/in/anna-howard-003a21a/ 
LPL Financial: https://www.lpl.com/ 
 
Connect With Kimberly Sanders:

LinkedIn: Kimberly Sanders: https://www.linkedin.com/in/kimberly-sanders/ 
LPL Financial: https://www.lpl.com/ 
 
Connect With Wealth Management & NREI:

https://www.wealthmanagement.com/ 
Email: diana.britton@informa.com
LinkedIn: Diana Britton: https://www.linkedin.com/in/diana-britton-8826b53/ 
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 
LinkedIn: WealthManagement: https://bit.ly/WealthManagementLI 
 
About Our Guests:
 
At LPL Financial, Anna Howard focuses on serving high-net-worth advisors and their clients, launching LPL Private Wealth Management to offer industry-leading benefits and enhanced service. Prior to LPL, she advanced her career at First Republic Bank and Wells Fargo Private Bank, where she developed innovative resources and grew assets under management.
 
Kimberly Sanders, Senior Vice President, Advisor Solutions at LPL Financial, leads LPL Strategic Wealth Services, a modern supported independence solution that enables advisors and business owners to build and grow their firms according to their vision. In this role, Kimberly oversees a seasoned management team that enables advisors to optimize on LPL’s relationships, resources, and services to build equity in their brand and business so advisors can continue to thrive. Prior to LPL, Kimberly served RIA clients and prospects at Schwab Advisor Services, providing business consulting to support the custodian’s existing and potential clients.

The Healthy Advisor: The Juggle Is Real With Anna Howard and Kimberly Sanders

Join us on this installment of "Focused on the Future" as Suzanne Siracuse sits down with Stacy Francis, the Founder and CEO of Francis Financial, and the nonprofit, Savvy Ladies™. Stacy shares the heartbreaking story of her grandmother’s life, and how it impacted her becoming a financial advisor working with women in transition such as divorce or widowhood. Stacy also discusses her firm’s growth strategy focused solely on organic growth and why every advisor should start a succession plan earlier than they think.

Key discussion points include:

- The story of Stacy's grandmother and its impact on her career
- Opportunities for advisors to get involved with Savvy Ladies™ through pro bono work
- Discovering her "superpower" through adversity
- The benefits of early succession planning
- The power of a niche practice focused on divorced women
- Her role as an expert witness in divorce cases
- Her firm’s thoughtful approach to nurturing COI’s

Resources:
Free Financial Help for Widows Resource Guide: https://francisfinancial.com/financial-help-for-widows/
Free Divorce Financial Help for Women Resource Guide: https://francisfinancial.com/divorce-financial-guide-women/

Connect With Suzanne Siracuse:
 
WealthManagement.com: bit.ly/3RKHvyY
LinkedIn: WealthManagment.com: bit.ly/3YkoRAv
LinkedIn: Suzanne Siracuse: www.linkedin.com/in/suzanne-siracuse-722b777/
Twitter: Suzanne Siracuse: @suzsiracuse
Email: Suzanne@suzannesiracuse.com

Connect With Stacy Francis:

www.FrancisFinancial.com 
https://linktr.ee/francisfinancial 
LinkedIn: Francis Financial Inc https://www.linkedin.com/company/francisfinancialinc
LinkedIn: Stacy Francis https://www.linkedin.com/in/stacyfrancis/
Facebook: Stacy Francis Financial https://www.facebook.com/FrancisFinancialInc/
Email: stacy@francisfinancial.com

About Stacy Francis:

Stacy is the President and CEO of Francis Financial, a fee-only boutique wealth management, financial planning, and divorce financial planning firm dedicated to providing ongoing comprehensive advice for successful individuals, couples, and women in transition such as divorce or widowhood. She is a Certified Financial Planner™ (CFP®), Certified Divorce Financial Analyst® (CDFA®), and Certified Estate and Trust Specialist (CES™) with over 20 years of experience in the financial industry. Stacy is also the founder of the non-profit, Savvy Ladies™, host of the Financially Ever After podcast, and the author of the white paper, Unveiling the Unspoken Truth: The Financial Challenges Women Face During and After Divorce and Financial Help for Widows - A Complete Resource Guide.

Stacy Francis:  Driving Firm Growth, 100% Organically

It’s no secret that the healthcare and financial services industries are incredibly complicated and often don’t easily talk to one another. In fact, medical bills are reported to be the number-one cause of U.S. bankruptcies. Healthcare costs represent a significant portion of an individual's or family's financial landscape, especially as they age. Ignoring this critical component can lead to unforeseen financial burdens, which may disrupt even the most meticulously crafted financial plans. By proactively addressing healthcare costs, advisors can help clients better anticipate and manage these expenses, thereby ensuring a more secure and predictable financial future.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Christine Simone, CEO of Caribou, about why healthcare planning can differentiate financial advisors in a competitive market.

Shannon and Christine also discuss:

- Common challenges when it comes to healthcare planning
- Tangible benefits for advisors and their clients 
- How integration of healthcare planning enhances the personalization of financial advice
- How AI is changing the healthcare industry

Connect with Shannon Rosic:

LinkedIn: https://www.linkedin.com/in/shannonrosic/
WealthStack website: https://informaconnect.com/wealthstack/ 
WealthManagement.com: https://www.wealthmanagement.com

Connect with Christine Simone:

LinkedIn: Christine Simone: https://www.linkedin.com/in/christinesimone3/ 
Caribou Wealth: https://www.caribouwealth.com/

About Our Guest:

Christine co-founded Caribou in 2020, where she serves as the CEO and plays a central role in developing and offering their healthcare planning software. Prior to that, she worked at CoHealth (formerly Dash MD) from 2019 to 2020 as the Manager of Client Success and Implementation. At CoHealth, she oversaw the successful implementation of their mobile platform within healthcare systems and acted as a liaison for communication with partners. From 2017 to 2019, Christine worked at eSight Eyewear as a Special Project Coordinator and Vision Advocate, where she was responsible for growing the business in a designated territory and evaluating client eye conditions. Christine's earlier work experience includes a role as a Researcher at Vancouver Coastal Health, where she gained valuable skills and knowledge in behavioral neuroscience and conducted research on potential novel therapeutics.

Christine holds a Bachelor of Science (BSc) degree in Biology from The University of British Columbia.

The WealthStack Podcast: Financial Fitness: Strengthening Futures with Healthcare Planning

While studying at Duke University, Martine Lellis started to feel sick. It developed quickly into a hospital visit where she was diagnosed with pneumonia in both her lungs. The condition escalated into a near-deadly situation, so her doctors decided to induce a coma even before her parents were able to reach her.
 
It became so serious that while in a coma, she received her last rites, the religious ceremony performed by a Catholic priest for someone who was dying.
 
Thankfully, she woke up three weeks later to make a full recovery, although the road back to normal functionality was difficult.
 
Diana Britton speaks with Martine Lellis, principal of M&A partner development at Mercer Advisors, on her near-death experience, its profound impact on her life, and how it has fueled her passion for making bold, compassionate choices in the financial services industry.
 
Diana and Martine discuss: 

- Martine's near-death experience and its aftermath
- Her recent experience meeting with the doctor who saved her life at Duke
- Another health scare she had with long COVID
- How overcoming significant health challenges shaped her professional and personal outlook
- The importance of gratitude and resilience in her leadership role
- Her current philanthropic efforts and commitment to giving back to the community

Resources: 

Listen to the latest episodes of The Healthy Advisor: https://www.wealthmanagement.com/featured-series/transparency 
 
Connect With Martine Lellis:

LinkedIn: Martine Lellis: https://www.linkedin.com/in/martine-e-lellis/ 
Mercer Advisors: https://www.merceradvisors.com/ 

Connect With Wealth Management & NREI:

https://www.wealthmanagement.com/ 
Email: diana.britton@informa.com
LinkedIn: Diana Britton: https://www.linkedin.com/in/diana-britton-8826b53/ 
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 
LinkedIn: WealthManagement: https://bit.ly/WealthManagementLI

The Healthy Advisor: From Near-Death to New Purpose with Martine Lellis

Join us on this episode of Focused on the Future as host Suzanne Siracuse sits down with Beth Bosworth, wealth advisor and head of planning at Perigon Wealth Management. Beth highlights her effective strategies for attracting and retaining next-gen clients, how being a member of the LGBTQ community influenced her planning services with clients, how she participates as a team member and leader, and her recommendations for evaluating which tech tools work best for your firm.

Key discussion points include:

- Her unique journey from a banker on Music Row in Nashville to a leading financial planner 
- Why her mantra is "living life alongside her clients" 
- The importance of leaning into the personal 
- Why using inclusive language matters
- Why advisors should throw traditional minimums "out the window" to attract next-gen clients
- How offering financial education for clients’ children leads to engagement and retention
- How tech assists with efficiency, but human's own personalization.  

This episode is a must-listen for financial professionals looking to modernize their practices, deepen client relationships, attract new clients, and embrace inclusivity as a core component of their firm.

Connect With Suzanne Siracuse:
 
WealthManagement.com: bit.ly/3RKHvyY
LinkedIn: WealthManagment.com: bit.ly/3YkoRAv
LinkedIn: Suzanne Siracuse: www.linkedin.com/in/suzanne-siracuse-722b777/
Twitter: Suzanne Siracuse: @suzsiracuse
Email: Suzanne@suzannesiracuse.com

Connect With Beth Bosworth:

https://www.perigonwealth.com/ 
LinkedIn: Beth Bosworth: https://bit.ly/3WY3pTN 
LinkedIn: Perigon Wealth Management, LLC: https://bit.ly/3yJ441W

Focused on the Future: Embracing the Personal in Planning with Beth Bosworth

In her role as head of culture and field experience at RBC Wealth Management U.S., Shareen Luze is responsible for making sure the firm’s 2,200 financial advisors feel supported and have a similar employee experience as those in the home office.
One particular area of focus, which has become more acute in the global pandemic, has been mental wellbeing. 
 
But Shareen has had her own mental health challenges, having struggled with anxiety for years. She first realized she had the mental health disorder after the birth of her first child, a son. At the time, she wanted to make it look like she had everything together to the outside world. But on the inside, she was dealing with feelings of excessive worry, an inability to relax or sit still, and lack of sleep. She was diagnosed with postpartum anxiety.
 
WealthManagement.com Managing Editor Diana Britton speaks with Shareen Luze, head of culture and field experience at RBC Wealth Management U.S., who opens up about her mental health and how these experiences have shaped her approach to employee well-being.
 
Shareen discusses: 
 
- Her journey with postpartum anxiety and her realization about her mental health
- The impact of perfectionist tendencies and societal pressures on mental well-being
- Why she initially avoided talking about her mental health at work
- How her life changed after being more vulnerable at work
- Her experience with breast cancer and how she dealt with her anxiety during that time
- The biggest mental health challenges facing financial advisors

Resources: 

Listen to the latest episodes of The Healthy Advisor: https://www.wealthmanagement.com/featured-series/transparency 
 
Connect With Shareen Luze:

LinkedIn: Shareen Luze: https://www.linkedin.com/in/shareen-luze-53117711/ 
RBC Management: https://www.rbcwealthmanagement.com/en-us/ 
Email: Shareen.luze@rbc.com 


Connect With WealthManagement.com:

https://www.wealthmanagement.com/ 
Email: diana.britton@informa.com
LinkedIn: Diana Britton: https://www.linkedin.com/in/diana-britton-8826b53/ 
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 
LinkedIn: WealthManagement: https://bit.ly/WealthManagementLI

The Healthy Advisor: Struggling With Anxiety With RBC’s Shareen Luze

Schwab’s Lisa Salvi shares insights from the firm’s annual benchmarking report, revealing how top-performing RIAs are driving significant organic growth amidst industry challenges. 


In this episode of the RIA Edge Podcast, David Armstrong, editorial director for Informa Connect’s Wealth Management Group, talks with Lisa Salvi, managing director of advisor services at Schwab, about the firm’s annual advisor benchmarking report that reveals a strong rebound in 2023. While M&A remains prevalent, organic growth is increasingly prioritized as a key driver for top-performing firms. Finding the right talent continues to pose challenges as firms are urged to invest in career pathing and employee development programs.

Specifically, David and Lisa discuss:

- How advisors are rebounding by defining ideal client personas and cultivating long-term relationships. 
- Using technology as a catalyst for driving efficiency and enhancing client experience.
- Attracting and retaining clients based on value proposition, independent of market fluctuations.
- The need for strategic hiring and employee development programs amidst an industry facing a critical talent shortage.  
- How M&A continues to be a strategic option for many advisory firms seeking to expand their reach and talent pool.
- Why succession planning is vital for firms to ensure long-term stability.

Resources:
 
RIA Edge Podcast: http://bit.ly/3YVhfof 


Connect With David Armstrong:
 
WealthManagement.com: http://bit.ly/3RKHvyY 
LinkedIn: WealthManagment.com: https://bit.ly/3YkoRAv 
LinkedIn: David Armstrong: https://www.linkedin.com/in/djamesarmstrong/ 
Twitter: David Armstrong: https://twitter.com/djamesarmstrong 
LinkedIn: Informa: https://bit.ly/3leEF9g 


Connect With Lisa Salvi:


LinkedIn: Lisa Salvi: https://www.linkedin.com/in/lisa-salvi-1699982/ 
Charles Schwab: https://www.aboutschwab.com/ 
LinkedIn: Schwab: https://www.linkedin.com/company/charles-schwab/

RIA Edge Podcast: Organic Growth Fuels Industry Rebound in 2023

Mergers and acquisitions often mark the beginning of a transformative journey, filled with both incredible opportunities and challenging headaches. Few industries offer more enticing M&A potential than wealth management, a fragmented sector where performance, processes, and personnel must consistently operate at peak efficiency. For financial advisory firms, regardless of size or type, preparing for acquisition is vital, which is why thorough planning and having a well-defined project plan are crucial for a successful merger.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Verity Larsen, Founder and CEO of Versoft Consulting, about the importance of a comprehensive post-deal integration strategy.

Shannon and Verity also discuss:

- Why working with reliable vendors and partners can significantly streamline the merger process
- The role of data accuracy
- Why assessing cultural and operational compatibility between merging firms is essential for smooth integration
- How to ensure user adoption of new systems

Connect with Shannon Rosic:

LinkedIn: https://www.linkedin.com/in/shannonrosic/
WealthStack website: https://informaconnect.com/wealthstack/ 
WealthManagement.com: https://www.wealthmanagement.com

Connect with Verity Larsen:

LinkedIn: Verity Larsen: https://www.linkedin.com/in/veritylarsen/ 
Versoft Consulting: https://versoftconsulting.com/

About Our Guest:

Verity is Versoft’s heart and soul. She co-founded the company in 2015 after spending 7.5 years as Team Lead and Senior Consultant at SS&C Advent. Prior to entering the consulting field, she worked as Assistant Director of Information Systems at a Portland-based asset management firm and has been in the investment management industry since 2000.
Verity graduated with an A.A.S. in Computer Information Systems from Portland Community College. She also spent 3 years on the Board of Directors for The Exchange Network (formerly Advent Users Group) serving as VP and President in her 2nd and 3rd years.

She’s committed to providing an exceptional consultative approach to every client and ensuring the work performed by the Versoft Team results in the highest level of customer satisfaction. Verity works to continue training and education throughout the Versoft team, passing on the knowledge she has gained being in this industry for so many years.  She also spends time building and maintaining relationships with vendors so the Versoft team can remain knowledgeable on technology platforms and tools, IT hosting, and data and outsourced service providers.

When she’s not doing CEO/Principal Consultant/Co-Founder things, Verity likes to spend time with family, including seven nieces and nephews and two great-nephews, in multiple states around the U.S. On rare occasions, she’ll hike around the Oregon Coast, Central Oregon, and other places throughout the Pacific Northwest.

The WealthStack Podcast: The Post-Merger Playbook

On the latest episode of Focused on the Future, host Suzanne Siracuse sits down with Sibyl Slade, founder and president of IntegriVest Wealth Advisors. Sibyl shares her journey from working at the Federal Reserve Bank of Atlanta to establishing her own independent financial planning firm. Their conversation delves into the evolution of her career, the what she learned after starting her own firm, and her innovative approach to structuring her fees in order to meet clients where they are.
 
Highlights from today’s episode include:
 
- An overview of Sibyl’s time at the Federal Reserve Bank of Atlanta and how she focused on ensuring underserved communities had access to financial products and services
- How her desire to aid families burdened by student loan debt drove her to establish her own independent firm, IntegriVest Wealth Advisors
- Her fee structure that adds flexibility in order to serve all interested parties
- The importance of non-judgmental and unbiased client interactions
- Effective client event strategies that drive organic growth
- How her Small Business Mastermind group has impacted her overall practice

Connect With Suzanne Siracuse:
 
WealthManagement.com: bit.ly/3RKHvyY
LinkedIn: WealthManagment.com: bit.ly/3YkoRAv
LinkedIn: Suzanne Siracuse: www.linkedin.com/in/suzanne-siracuse-722b777/
Twitter: Suzanne Siracuse: @suzsiracuse
Email: Suzanne@suzannesiracuse.com

Connect With Sibyl Slade:
 
https://www.integrivestwealthadvisors.com/ 
LinkedIn: IntegriVest Wealth Advisors: https://www.linkedin.com/company/integrivest-wealth-advisors-llc/
LinkedIn: Sibyl Slade: https://www.linkedin.com/in/SibylSlade/
Email: Sibyl.Slade@gmail.com

About Our Guest:

Slade is the founder and president of IntegriVest Wealth Advisors, LLC. an independent financial services firm. She lends her 28 years of banking and finance experience to provide personalized comprehensive financial planning and advisory services to small business owners and professionals. In 2022, she was recognized as a Visionary for Advisor Group’s Women Forum. In 2019, she was a nominee for the Ladenburg Institute of Women & Finance. Before founding IntegriVest Wealth Advisors, LLC, Slade began her financial services career as a financial advisor with Waddell & Reed, where she was recognized as a recipient of Waddell & Reed’s 2015 Pacesetter as well as received her Chartered Retirement Planning Counselor Designation. In 2017, Slade became an independent financial advisor and became an industry thought leader. A 21-year veteran of the Federal Reserve Bank of Atlanta, in this capacity, Slade served as a senior regional community development manager for the Atlanta Fed's community and economic development (CED) team whereby she provided regional and national input around these areas.

Building Community Through Planning with Sibyl Slade

Proactive client engagement through technology has become paramount, which means the role of the CRM has evolved. In an increasingly uncertain economic environment, advisors must future-proof their business models to scale operations and expand their reach. A key area to revisit is their CRM system, which has become crucial for delivering personalized services and enhancing client engagement. 

In this episode, Shannon Rosic, Director of WealthStack Content and Solutions, speaks with  Doug Fritz, CEO and founder of F2 Strategy, about the current state and future of CRM systems in the wealth management industry. 

Shannon and Doug discuss:

- The shift from traditional CRM systems to more integrated, automated solutions
- Key frustrations and wish list items for wealth management firms using CRM systems
- Differences in how firms view CRMs as either operational tools or client engagement tools
- The role of CRM maturity and workflow customization in increasing satisfaction

Connect with Shannon Rosic:

LinkedIn: https://www.linkedin.com/in/shannonrosic/
WealthStack website: https://informaconnect.com/wealthstack/ 
WealthManagement.com: https://www.wealthmanagement.com

Connect with Doug Fritz:

LinkedIn: Doug Fritz: https://www.linkedin.com/in/dougfritz/ 
F2 Strategy: https://www.f2strategy.com/

The WealthStack Podcast: Unpacking The State of CRM with Doug Fritz

Are you ready to learn the keys to building a profitable, sustainable, and impactful business in the ever-evolving financial landscape?
 
Join us for an insightful conversation with Brian Hamburger, the visionary founder, president, and CEO of MarketCounsel Consulting, and founder and chief counsel of the Hamburger Law Firm. In this episode, Brian sits down with host Suzanne Siracuse to share his journey through the wealth management industry, exploring the challenges advisors face today. Together, they dive into the critical role of objective advice and strategic planning in successfully navigating these complexities.

Brian and Suzanne discuss:

- How his father's career in wealth management shaped his journey in the industry
- Common frustrations and challenges faced by Independent Wealth Managers
- The critical role of objective advice in helping advisors navigate their careers
- The value of planning, discipline, and seeking external, unbiased guidance 
- Avoiding the most common pitfalls that advisors and firms face in transition

Connect With Suzanne Siracuse:
 
WealthManagement.com: bit.ly/3RKHvyY
LinkedIn: WealthManagment.com: bit.ly/3YkoRAv
LinkedIn: Suzanne Siracuse: www.linkedin.com/in/suzanne-siracuse-722b777/
Twitter: Suzanne Siracuse: @suzsiracuse
Email: Suzanne@suzannesiracuse.com

Connect With Brian Hamburger:

Hamburger Law Firm: https://hamburgerlaw.com/ 
MarketCounsel: https://marketcounsel.com/ 
LinkedIn: Brian Hamburger: https://www.linkedin.com/in/hamburger/ 
LinkedIn: Hamburger Law: https://www.linkedin.com/company/hamburgerlaw/ 
LinkedIn: MarketCounsel: https://www.linkedin.com/company/marketcounsel/

Brian Hamburger's Advice to Advisors and Firms: Hope is not a Plan

David Bodamer sits down with Joan Solotar, Global Head of Private Wealth Solutions at Blackstone, to explore the evolution of private market investments and how financial advisors can leverage these opportunities to enhance their clients' portfolios. Joan discusses how technology and innovation are reshaping investment processes, making it easier for a broader range of investors to participate in private markets.

Gain insight as David and Joan touch on:

- The increasing accessibility of private investments to individuals with lower investible assets
- The role of education in helping advisors effectively utilize private market solutions
- How technology is streamlining the investment process for advisors and investors
- Insights into portfolio construction using private equity, credit, and real estate
- And more

Connect With David Bodamer:

david.bodamer@informa.com 
Website: https://www.wealthmanagement.com/ 
LinkedIn: David Bodamer : https://www.linkedin.com/in/david-bodamer-9a0581a/  
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 

Connect With Joan Solotar:

Website: https://www.blackstone.com/ 
LinkedIn: Joan Solotar:  https://www.linkedin.com/in/joan-solotar/

About Our Guest:

Joan Solotar is the Global Head of Private Wealth Solutions. She serves on the firm’s Management Committee. Blackstone’s Private Wealth Solutions’ mission is to bring institutional quality products across a broad spectrum of alternative asset classes to high-net-worth clients and their advisors. Ms. Solotar also serves on the board of directors of First Eagle Investment Management.

Before joining Blackstone in 2007, Ms. Solotar was Head of Equity Research at Bank of America Securities and a highly ranked Institutional Investor All-Star financial services analyst at Credit Suisse and Donaldson, Lufkin & Jenrette.

Wealth Management INVEST: Private Market Insights with Blackstone’s Joan Solotar

It was not just one struggle in her life that shaped Marissa Nehlsen. Since her formative years, she’s faced adversity and come out stronger every time. 

Despite significant hardships, including the loss of her family farm, enduring domestic abuse from her father, and coping with Stargardt disease, which has led to blindness, Marissa has built a seven-figure business and become a coach, speaker, and podcast host. 

In this episode, Nehlsen, the founder and CEO of Freedom Financial Group, discusses her journey from a challenging childhood on a North Dakota farm to leading a successful financial advisory firm. She offers a story of hope for others in pain, as she has yet to slow down or limit her goals.  

Marissa discusses:

- How she fought back against domestic abuse initiating a major change in her life
- Learning resilience while living in a trailer park with her mother and siblings
- Workplace challenges like sexism, favoritism and rejection
- Her battle with Stargardt disease and how her brother helped her through it
- Mourning the death of her fiancé
- The importance of faith and community support in overcoming life's hardships

Resources: 

Listen to the latest episodes of The Healthy Advisor: https://www.wealthmanagement.com/featured-series/transparency 

Connect With Marissa Nehlsen:

LinkedIn: Marissa Nehlsen: https://www.linkedin.com/in/marissa-nehlsen-b36500122/
Website: https://marissanehlsen.com/ 
Freedom Financial Group: https://www.planwithfreedom.com/ 
Email: info@marissanehlsen.com 

Connect With WealthManagement.com:

https://www.wealthmanagement.com/ 
Email: diana.britton@informa.com
LinkedIn: Diana Britton: https://www.linkedin.com/in/diana-britton-8826b53/ 
LinkedIn: Informa: https://www.linkedin.com/company/informa/ 
LinkedIn: WealthManagement: https://bit.ly/WealthManagementLI

#podcast #financialadvice #mentalhealth

The Healthy Advisor: Becoming Victorious, Not a Victim With Marissa Nehlsen

Learn how independent financial advisors can drive growth and streamline operations while maintaining their autonomy as David Armstrong, editorial director for Informa Connect’s Wealth Management Group, speaks with Nate Lenz, CEO & co-founder at Concurrent.

They explore talent development, organic growth strategies and the unique model Concurrent uses to allow advisors to thrive while maintaining their brand identity. 

David and Nate highlight the following:

- The evolution of Concurrent and its transition to a fully independent RIA
- Strategies for achieving organic growth and the critical role of talent development
- The significance of minority non-control stakes in building advisor partnerships
- Concurrent's approach to expanding service offerings through strategic acquisitions

Resources:
 
RIA Edge Podcast: http://bit.ly/3YVhfof 
 
Connect With David Armstrong:
 
WealthManagement.com: http://bit.ly/3RKHvyY 
LinkedIn: WealthManagment.com: https://bit.ly/3YkoRAv 
LinkedIn: David Armstrong: https://www.linkedin.com/in/djamesarmstrong/ 
Twitter: David Armstrong: https://twitter.com/djamesarmstrong 
LinkedIn: Informa: https://bit.ly/3leEF9g 

Connect With Nate Lenz:

Concurrent: https://poweredbyconcurrent.com/ 
LinkedIn: Concurrent: https://www.linkedin.com/company/poweredbyconcurrent/ 
LinkedIn: Nate Lenz: https://www.linkedin.com/in/nate-lenz/

About Our Guest:

At 25, Nate Lenz was the youngest vice president at Raymond James Financial Services, where he led the succession planning and acquisition team and helped recruit financial advisers from large, full-service brokers, providing them with the support they needed to grow their own businesses independently. That work helped shape his vision for Concurrent, which he co-founded in 2016 in Tampa, Florida, to build a better business model for advisers looking to go it alone. “Concurrent is a service provider to advisors that helps them make the jump to independence,” Lenz said.

RIA Edge Podcast: Talent Development and Client Engagement with Nate Lenz

Todd Clarke tells an embarassing story about his father, Patrick Clarke, who started the family financial services business.

Todd Clarke

In the first episode of her podcast on independence for financial advisors, Mindy Diamond explores the origins of the space, the backstory of its explosive growth, and introduces key players behind the momentum. She discusses key trends to be aware of, why so many advisors find independence attractive, and defines the profile of a typical independent advisor.

Diamond Consultants Financial Advisor Education Series

Independence: How did we get here, and where are we going?

After exploring the origins of independence in the first episode of this series on independence for financial advisors, Mindy Diamond walks advisors through a process to help them determine if the model is right for them. She’ll share a story of 2 advisors who, after asking themselves a series of questions, identified that independence was not right for them.

How to Determine if You've Got the "Right Stuff" for Independence

The Independent Broker Dealer or IBD model offers a mix of freedom and support for advisors who want flexibility but also to retain some of the “scaffolding” they’re accustomed to.

Exploring the Independent Broker Dealer Model

Advisors with their sights set on the highest level of freedom and flexibility, plus the maximum ability to build long-term enterprise value, owe it to themselves to take a closer look at the RIA model.

The RIA Space: Freedom and Flexibility Maximized

What drives a wirehouse advisor to make the leap to independence? And what happens once they get to the other side? Hear it first hand in this one-on-one interview with breakaway broker Matt Celenza.

A View from the Top: An Interview with Breakaway Broker Matt Celenza

familylegacy's Album

What Is a Sales Funnel and Why Is it Important to Estate Planning

Barry Glassman is the founder and president of Glassman Wealth Services, a wealth management firm in the Washington D.C. area that has grown to nearly $1.2 billion in assets under management in barely ten years. Now serving about 250 affluent client families, the company’s impressive growth makes sense when you consider the time and energy Barry spends focusing on building the firm as a business, as well as his distinct methods for standing out to clients. In this episode, he shares his unique approach to differentiating Glassman Wealth by doing what he calls “interrupting the pattern” from what clients and prospects are typically used to. Listen in to learn the uncommon industry practices that have worked to win over clients, advice for sticking out in prospects' minds, and more. For show notes and more visit: https://www.kitces.com/69&nbsp;

Ep 069: Interrupting The Pattern With The Philosophy That Each Client Is The Only Client with Barry Glassman

Craig Hersch and Patrick Carlson discuss what they call the "golden age of multimedia" for estate planners and how to use it to leverage their time and that of their staffs.

The Golden Age of Multimedia

Today’s guest brings a unique perspective to the show. Not many financial advisor coaches have experience actually being an advisor, but Diane MacPhee is one of the few who understands both sides of the divide. Now the founder of DMAC Consulting Services—a financial advisor coaching and practice management consulting firm—Diane spent over fifteen years as a fee-only financial advisor herself.&nbsp; In this episode, Diane shares the common challenges of being a successful solo financial advisor, as well as the self-limiting beliefs we sometimes inflict on ourselves that prevent us from growing and being as successful as we could be. Listen in to hear her tips for how to deal with the feeling of overwhelm that can come with growing your business, how to avoid becoming a bottleneck in your own practice, and what she says is the key to financial advisors achieving continued success. For show notes and more visit: https://www.kitces.com/74

Ep 074: Why Solo Financial Advisor Success Is All About Self-Confidence In Your Own Value with Diane MacPhee

My guest today comes from a different background than my usual guests, and she’s here to answer the fundamental question of why clients sometimes don’t take the advice we give them. Dr. Moira Somers is a clinical neuropsychologist who studies the complexities of how hard it is for people to change their behaviors, especially when it comes to money. Moira has applied her financial psychology expertise not just to consumers themselves, but also to teaching advisors how to better deliver advice in a way that actually sticks. In this episode, we discuss how patient compliance research from the medical field is being applied to help clients better adhere to financial advice, as well as how to assess whether someone is truly ready to apply what an advisor suggests. Listen in to learn why it’s unrealistic to expect even good-intentioned clients to always follow through on advice, why it’s important to measure client adherence, and specific steps advisors can take to improve the way they deliver advice in order to significantly increase the likelihood that it will be followed. For show notes and more visit:&nbsp;https://www.kitces.com/101

Ep 101: Financial Advisors As Adherence Partners To Deliver Advice That Actually Sticks with Moira Somers

There has been a lot of buzz over the past couple of years about the breakaway trend that has seen sizeable advisory firms moving away from wirehouses, and my guest today very recently went through that process himself. After spending the first decade of his career at Merrill Lynch, Michael Henley moved on to become co-founder and CEO of Brandywine Oak Private Wealth, an independent advisory firm that manages more than $500 million of client assets, at just thirty-four years old. In this episode, Michael shares what made him decide to go independent after he’d been so loyal to Merrill Lynch that he had a bull-shaped wedding cake, as well as how he handled the breakaway transition not quite going the way he expected. Listen in to hear what it was like for him to build an advisory firm in the wirehouse environment, the unique way he created the necessary startup capital to fund his transition, and how the grass is—and isn’t—greener in the independent channel. For show notes and more visit: https://www.kitces.com/102&nbsp;

Ep 102: Transitioning From Wirehouse To Independence with Michael Henley: Is The Grass Really Greener?

A Conversation with Chris Dupuy, Managing Director and Chief Operating Officer of Rockefeller Capital Management.

Diamond Consultants: Financial Advisor Recruiting Firm

Rockefeller Capital Management Demystified

Are you that person who thinks, “I don’t need to do that paperwork today. It can wait”?  Do you think it’s unnecessary to plan out your final wishes and make sure your estate plan is in order?

In this inaugural episode of Dead Celebrity, by Informa WealthManagement.com, we learn lessons from the life and death of celebrity Casey Kasem. Jim Dougherty from Withers Worldwide discusses the pitfalls of not being prepared when you either pass suddenly or become incapacitated.

In this episode, you will learn:

The basic background of the Kasem family
The importance of preparing the proper documents
Why it’s crucial to update your information as your life changes
What can go wrong when family members are not on the same page
And more!

Learn about the issues faced by the Kasem family and why blended families can be difficult to manage in this episode of Dead Celebrity!

Resources: WealthManagement.com | withersworldwide

Episode 1 - The Bizarre Story of Casey Kasem — With Guest Jim Dougherty

You can have everything planned out, accounted for, and your family members will still find something to fight over once you are gone.

In this episode of Dead Celebrity, by Informa WealthManagement.com, David Lenok and Avi Kestenbaum discuss the estate plan of beloved comedian and Oscar-winning actor Robin Williams. As you’ll soon find out, even the best of estate plans and legal advice can be a recipe for disaster when you have children from different marriages and a surviving spouse.

In this episode, you will learn:

The role of trusts
The importance of preparing the proper documents
Why it’s crucial to update your information as your life changes
How some people can be worth more once they are deceased
Whether David and Avi would consider Robin Williams’ estate plan to have been successful
And more!

Tune in and find out what went down in Robin Williams’ estate in this episode of Dead Celebrity!

Resources: WealthManagement.com | Meltzer, Lippe, Goldstein & Breitstone, LLP

Episode 2 -  Robin Williams Planned It Right — With Guest Avi Kestenbaum

Have you considered what would happen to your pet if something happened to you? Do you want to ensure that your family friend is taken care of after you’re gone?  

This episode will open your mind to the options available to you and your pet.

In episode three of Dead Celebrity, by Informa WealthManagement.com, David Lenok is joined by Megan Gorman of Chequers Financial Management. They speculate on the unreleased details of world-famous fashion designer Karl Lagerfeld’s estate plan and how he may have provided for his beloved cat, Choupette. Throughout the episode, you will hear examples of how your pet can be cared for after you’re gone.

In this episode, you will learn:

About the background on Karl Lagerfeld and his cat
How to use your estate plan to provide for your pet
Which options are available for ensuring your pet’s care, including trusts
The importance of picking the right guardian for your pet
And more!

If your dog/cat is your best friend, your child, your furbaby then you need to listen to this podcast.

Resources: Wealthmanagement.com | Chequers Financial Management | The Wealth Intersection

Episode 3 - Will Your Pets Become Heirs? A Look at Karl Lagerfeld — With Guest Megan Gorman

Too many times we allow our emotions to get the better of us, leading us to make unfair or judgmental decisions. Will you use your estate plan to punish your heirs? Or will you choose to resolve issues before it’s too late?

In this episode, David Lenok, senior editor at WealthManagement.com, speaks with Dr. Stanley Teitelbaum, PsyD. Together, they explore the estate of Joan Crawford, one of old Hollywood’s biggest stars. Up for discussion is Joan Crawford’s decision to deliberately exclude two of her children from her estate. Dr. Teitelbaum explains how estate planners and financial advisors can support clients who are tempted to make similarly harsh decisions.

In this episode, you will learn:

About the background of Joan Crawford, her relationship with her children, and her estate
How to help clients who are overly concerned about getting their children’s approval
How to determine if your clients would benefit from the support of a mental health professional
The benefits of sorting through your familial issues  
Possible options and alternatives for dividing your estate
And more!

Tune in to learn about Joan Crawford’s estate and how to help your clients resolve their family issues before it’s too late.

Resources: WealthManagement.com | Dr. Stanley Teitelbaum, PsyD

Episode 4 - Joan Crawford — With Guest Dr. Stanley Teitelbaum, PsyD

When you’re creating or updating your estate planning documents, using clear language takes on a whole new level of importance. Your carefully crafted language can ensure that your wishes leave no room for interpretation. 
 
In this episode, David Lenok, senior editor at WealthManagement.com, speaks with Megan Gorman, founding partner of Chequers Financial Management. Together, they discuss the estate of Tom Petty, one of rock and roll’s biggest icons, who died from an accidental drug overdose. Up for discussion is the dispute that broke out over Tom Petty’s estate among his widow, ex-wife, and two daughters.

In this episode, you will learn:

About the background on Tom Petty and his blended family
About the disputes that can occur when people interpret “equal” differently
The importance of being crystal clear in the wording of your wishes
Why estate attorneys need to push for absolute clarity when drafting these documents
Why blended families may not be as happy as they appear  
And more!

Tune in to learn about Tom Petty’s estate and how to help your clients ensure their wishes leave no room for disagreement once they are gone.

Resources:

WealthManagement.com | Chequers Financial Management | The Wealth Intersection

Episode 5 - Tom Petty’s Children and a Second Marriage — With Returning Guest Megan Gorman

Most people believe their marriages will last forever. But whether their marriage endures or ends, it’s in your clients’ best interests to have a prenuptial agreement –– especially if the split isn’t amicable

In this episode, David Lenok, senior editor at WealthManagement.com, talks with Aviva Pinto, a managing director at Wealthspire Advisors. This episode is inspired by American singer-songwriter Kenny Rogers, who was famously married five times and had five children with four different partners. Now, Aviva and David dive into The Gambler’s finances and marriages to discuss how to help your clients get a prenup in order and navigate a divorce. 

In this episode, you will learn:

- Why having a prenup would have saved Kenny Rogers a lot of money
- How to broach the subject of prenups with your clients
- Whether there’s room for flexibility in prenups
- How to help your clients talk to their spouses about doing a prenup
- Why the state you live in is important when it comes to splitting marital assets
- And more!

Tune in now for tips to help your clients get onboard with doing a prenup.

Resources: 

WealthManagement.com | Wealthspire

WealthManagement.com

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