The Diamond Podcast for Financial Advisors
Mindy Diamond Financial Advisor Recruiter and Consultant
Launched in 2017 as Mindy Diamond on Independence, the show has taken on a broader perspective beyond the independent space to include topics, insights, and candid conversations around financial advisor transitions, growth, and an ever-changing industry landscape. Each episode is designed to offer objective guidance and actionable advice with some of the industry’s brightest movers and shakers.
Episodes
Mentioned books
Jun 13, 2019 • 36min
Freedom from the Big Brand: Unencumbered Growth for an $800mm Team
Morgan Stanley breakaway Steve Schwarzbach, Founder and Managing Partner of $800mm RIA Icon Wealth Partners, shares how he and his partners – free of the “big firm agenda” – regained the power to define their firm’s culture and offer best-in-class products and services.
May 30, 2019 • 44min
How this $2.5 Billion Team Saw Past the Handcuffs of Deferred Compensation
Former Morgan Stanley advisor Margaret Dechant had a successful “self-sufficient business” at the firm with $2.5B under management. So, what drove her and her partners to breakaway, leave deferred compensation behind and form their own independent firm?
May 16, 2019 • 26min
7 Things Advisors Need to Know About Succession Planning
Louis Diamond takes over the mic to share actionable advice on succession planning for all advisors no matter your age, stage of your career, or whether you’re seated at a wirehouse or are an independent business owner.
May 2, 2019 • 35min
4X Growth in 3 Years: A Regional Breakaway Success Story
Chip Munn reminds us that breakaways do not always come from the wirehouses. He left regional broker dealer Hilliard Lyons for RJFS in 2016 in search of more freedom and flexibility to grow his business. And grow he did: from $300mm in AUM to $1.2B in just a few short years.
Apr 25, 2019 • 16min
The Top 7 Turnkey Models that are Rocking the Independent Landscape
In a greatly expanded landscape, many independent models exist that provide varying levels of freedom and flexibility. Louis Diamond joins the episode to help identify, compare and contrast the 7 most popular options available to breakaway advisors.
Apr 18, 2019 • 38min
A Model of Supported Independence That Fills the “Fear Gap”
Rob Bartenstein discusses how Kestra Private Wealth Services offers a path to supported independence for advisors who want to go independent but do not want to build an RIA firm themselves.
Apr 4, 2019 • 42min
Rockefeller Capital Management Demystified
Industry superstar Greg Fleming at the helm, the Rockefeller name, an extraordinary financial advisor community and leadership dream team makes this firm a home run. COO Chris Dupuy shares some inside baseball on Rockefeller Capital Management.
Mar 22, 2019 • 36min
A Best-of-All-Worlds Model: Full-Service Independence with Equity Upside
Guest Jim Gold discusses breaking away from the senior leadership ranks at Morgan Stanley to build Steward Partners, a full-service employee-owned quasi-independent model, for advisors who are not interested in building something from scratch. He also shares some exciting news about the growth of the firm.
Mar 7, 2019 • 40min
Independence for Advisors with an Offshore Client Base
Merrill breakaway Lisa Van Walleghem of MAXIMAI shares why leaving the once “great school of experience” with a globally diverse book to form her own independent firm was the best way for her to serve her offshore clients and grow her business.
Feb 21, 2019 • 35min
An Attorney’s Advice on Navigating Transition
Attorney David Gehn shares his experience in working with advisors through non-Protocol moves, the challenges of terminations and hyper-compliance, avoiding TROs and other contractual matters that can arise even before an advisor considers a move.
