Exploring the Paths of Financial Advisors: Employment vs. Independence

Listen in…

> Download a transcript of this episode…

NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation.

About this episode…

So many of us wonder, “What does it REALLY take to get from here to there?”

This is one of those episodes that unpacks that query for advisors who are striving to elevate their production levels.

Whether you have your sights set on reaching a million in revenue or aiming to double or triple your current production, the guest on this episode offers tried-and-true best practices to help you get there.

Dave Mullen wrote three bestselling books based on the industry-leading methodologies he employed as a Managing Director at Merrill, where he hired, trained, and managed over 500 advisors during his tenure at the firm.

After retiring from Merrill in 2007, Dave launched the coaching and training firm LearnTactic, now known as Altius Learning to help advisors at all levels up their games.

So if you’re a fan of The Million Dollar Financial Services Practice, The Million Dollar Advisor, or The Million-Dollar Financial Advisor Team, this will serve as a mini-masterclass with Dave himself.

In this informative episode with Mindy Diamond, Dave shares powerful and proven strategies from his experience at Merrill and from his current coaching practice—and answers some of the top questions advisors have asked me about growth, including:

• The “secret sauce” that drove his success at Merrill—and how firms and advisors can integrate similar techniques for themselves or their team.
• Observations of top performers—and what they do differently from their peers.
• The value of training—and why it’s just as important to focus on the “emerging advisors” as it is on new recruits.
• Setting goals—and how the most successful advisors adapt their practices to changing environments.
• The low-hanging fruit that many advisors ignore—and how to take advantage of the opportunities before them.

Dave is a treasure trove of information, offering anecdotes from his experiences both at Merrill and from his own practice. It’s an episode that serves as a free coaching session with value for every advisor.

Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002.

Related Resources

Finding the Shortest Path to Excellence Can Be a Game Changer for Advisors
Doing everything you can to deliver better service, drive growth, and achieve your goals faster can result in extraordinary benefits.

How to Set Up Your Business to Maximize Enterprise Value
Jason and Louis Diamond explore strategies for maximizing enterprise value, whether or not an advisor plans to move. Learn actionable insights, key business practices, short-term vs. long-term tactics, and real-world examples.

The 2025 Annual Report on Transitions and Deals for Financial Advisors – 2024 Activity Data
Data-driven insights and analysis on advisor transitions, deals, and the evolving wealth management industry landscape.