goRIA Podcast

Matt Halloran, co-founder of Proudmouth and known as the podcasting guru, joins to share insights on ‘Atomic Content.’ He discusses how financial advisors can leverage the flexibility of RIA marketing to create impactful content. Halloran emphasizes a five-step method for repurposing long-form content and the importance of brand messaging. He also highlights the significance of authentic relationships over traditional sales in client acquisition, and the power of repetition to enhance audience engagement. Exciting strategies for modern content marketing are shared!

Chuck talks with industry thought leader, David Blanchett [Managing Director of PGIM] about CDAs [Contingent Deferred Annuity]. Never heard of them? Either did Chuck. CDAs are the newest iteration of fee-based annuities and they seem to be custom-made for RIAs. In short... CDAs allow retail mutual funds and ETFs to be wrapped in brokerage accounts, IRAs or Roth IRAs to generate lifetime income for clients even if the covered assets are depleted (subject to the claims-paying ability of the insurance company). And since qualified or non-qualified assets may be covered, this Portfolio Retirement Income Guarantee does not change the tax status of the covered assets. Check out this episode to learn all the details.

Chuck had the chance to catch up with Michael Kitces and Michael delivered the goods. They discussed everything from Michale's "origin story" to his thoughts on PE, RIA compliance, video games and much more. This is an absolute "must listen" episode!

There are lots of reasons to go RIA. One of the biggest is the ability for you to tailor a tech stack that is precisely what you want. The good news = there are LOTS of options. The bad news = there are LOTS of options. This week Chuck talks with Diana Cabrices to unpack what you want to keep in mind as you build your tech stack.

So… you want to build your own RIA – congrats! In this episode, Chuck is joined by Barry Sloane, CEO of NewTek and together they unpack many of the “ancillary” services you’ll want to consider adding to your new RIA firm. They will cover: IT, cybersecurity, phones, payroll, health insurance, and more. Perhaps not as “sexy” as Direct Indexing, but, all important building blocks for your new firm. Enjoy!

In this episode, Chuck Failla is joined by Corey Walen from Bridgemark Strategies to discusses the pros and cons of the 2 main pathways to the RIA space: building your own firm or joining an existing one. As with most big decisions, there is much to be considered and the best choice for one may not be the best choice for another. During this podcast, Chuck and Corey flesh out the items you’ll want to add to your checklist as you figure out which route is best for you.

This week, Jeff & Chuck will talk with RIA Tech guru – Tim Welsh, President of Nexus Strategy. Whether you plan to build your own RIA or tuck-in to an existing RIA… they cover the how to (and how NOT to) address your current and future tech needs.

Brian Hamburger, founder of the Market Counsel and Hamburger Law Firm, shares his expertise on transitioning from broker dealers to independent advisory firms. He discusses crucial DOs and DON'Ts to ensure a smooth shift. The conversation covers the complexities of advisor transitions, the role of tailored strategies, and maintaining client relationships through social media. Hamburger emphasizes the need for strong personal convictions in decision-making and the challenges posed by remote work dynamics, highlighting the importance of discretion and alignment with personal values.

This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DOs and DON’Ts about RIA compliance. In addition to talking about how to form your RIA… they also discuss how to keep it compliant and what pitfalls you will want to avoid.

This week, Jeff and Chuck wrap up their 3 part series about “How to go RIA”. In their previous episodes, they unpacked going RIA by building from scratch and also tucking into an existing RIA. This week’s episode, with special guest Shirl Penny, they explore going RIA with the help of a middle and back office provider. Check out all 3 episodes to see which way makes the most sense for your journey to going RIA.