FUELED BY
This week Chuck talks with StoneCastle’s President, Eric Lansky, about how RIAs have been using cash management solutions as a significant differentiator to both attract and retain new clients.
YOUR ONE-STOP RESOURCE FOR GOING INDEPENDENT
PODCASTS
How do RIAs use Cash Management to attract & retain new clients?
SPONSOR
Lorem ipsum dolor sit amet, consectetur adipiscing elit. Lorem ipsum dolor sit ametm dolor sit amem dolor sit.Lorem ipsum dolor sit ametm dolor.
Headline Goes here to fit Goes here to fit here
WEDNESday, may 30 4:00 pm et
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit amet.
What to Consider Before Going RIA: Custody, Compliance and Tech
WEBCASTS
AVAILABLE NOW
tuesday, may 30, 2023 4-5 pm et
Headline Goes here to fit
LIVESTREAMS
podcasts
BEST FOR BREAKAWAYS
WEBinars
SUBSCRIBE
INVESTMENTNEWS
Wednesday, DEC 13, 2023 4:00 PM ET
UPCOMING
THURSDAY, OCTOBER 5, 2023 4:00 PM ET
The DOs and DON’Ts of Transitioning Your Book
WEBINARS
REGISTER NOW
TERMS & CONDITIONS
PRIVACY POLICY
CONTACT US
ABOUT US
HOME
SEPTEMBER 27, 2023 | 32:34 | E11
SEPTEMBER 13, 2023 | 27:04 | E10
Think you still need your Series 7? Think again!
AUGUST 30, 2023 | 26:14 | E9
Ancillary business services for your RIA
ARCHIVE
APRIL 12, 2023 | E1
September 14, 2023 | E6
September 20, 2023 | E7
MORE ARTICLES
READ MORE >
Research from Advisor Growth Strategies sees smaller firms facing increased pressure to grow or specialize to meeting rising client expectations.
Fee pressures, interest rates could decimate asset management industry: PWC
According to the latest report from Schwab Advisor Services, RIAs need to jump on the growth train in order to keep pace.
How tuck-ins help advisory firms grow effectively
Experts detail the nuances of navigating ownership transition plans, and it's rarely a straightforward and easy path.
Are you hiring or firing? Advisors and the end of the Great Resignation
An expansive network of platforms and services has evolved that's designed to support breakaway brokers.
Next DOL fiduciary proposal under attack prior to release
WEDNESDAY, SEP 27, 2023 4:00 PM ET
TUESDAY, June 20, 2023 4:00 PM ET
WEDNESDAY, MARCH 29, 2023 4:00 PM ET
HEAR MORE >
Guest: Mark Schoeff Jr., Senior Reporter, InvestmentNews Mark & Chuck answer the question: Will the DOL fiduciary proposal fuel the advisor migration from BD to RIA?
Guest: David Lau, Founder + CEO, DPL Financial Partners David & Chuck answer the question: “Do you need a Series 7 to be a financial advisor?”
September 6, 2023 | E5 August 30, 2023 | E4 APRIL 26, 2023 | E3 APRIL 19, 2023 | E2 APRIL 12, 2023 | E1
MORE LIVESTREAMS
The June employment report showed fewer new jobs than expected, but what does that mean for staffing advisory firms' back offices?
A new survey shows consolidation, business failures are on the cards as the asset management industry faces an 'existential' threat.
The approach, which is commonly part of an independent advisor's succession plan, also offers smaller firms the chance to scale quickly and efficiently.
Even before seeing the text, the insurance industry says the measure to raise advice standard for retirement accounts will hurt middle- and low-income savers.
THIS WAY TO RIA
Joining an RIA is a great solution for financial advisors who want more freedom and control over their business without starting a new venture from the ground up.
5 Factors to Consider When Joining a Registered Investment Advisor (RIA) Firm
Interested in starting your own RIA? Learn key processes, the average costs, and typical timeline for a successful launch.
Frequently Asked Questions about Starting an RIA - Answered
RIAs are the fastest-growing category in U.S. wealth management since 2016. In 2022, Cerulli estimated 2,100+ advisors joined the RIA channel, bringing roughly $290 billion in client assets.* What’s driving this growth?
RIA 101: Understanding the RIA Model
MARCH 24, 2023 | 03:08 | E1
goRIA with Jeff & Chuck covers everything you need to know about becoming an independent registered investment advisor. From choosing a custodian and building a tech stack to deciding whether to tuck in to an existing RIA or build your own practice and everything in between. This podcast, co-hosted by an experienced journalist and a veteran advisor who made the transition to independence, is designed as a blueprint for going RIA.
Introducing goRIA with Jeff & Chuck
APRIL 11, 2023 | 38:10 | E2
The goRIA podcast with Jeff and Chuck kicks off with Phil Trueblood, managing partner at Trueblood Wealth, talking about the winding road toward becoming an independent registered investment advisor.
Blazing a trail to independence
goRIA covers everything you need to know about becoming an independent registered investment advisor. From choosing a custodian and building a tech stack to deciding whether to tuck in to an existing RIA or build your own practice and everything in between. This podcast is designed as a blueprint for going RIA.
goRIA
APRIL 26, 2023 | 41:34 | E3
This week Jeff and Chuck are joined by Brad Genser, co-founder and CTO of Farther Finance. Continuing down the path of their three part series, Jeff and Chuck talk with Brad about Farther's "tuck-in" strategy of going RIA.
Tuck in and go RIA
MAY 24, 2023 | 36:05 | E5
This week, Jeff and Chuck wrap up their three-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 featuring special guest Shirl Penny.
Go RIA with the help of a middle- and back-office provider
MAY 10, 2023 | 37:49 | E4
This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DO's 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.
Keeping Your New RIA Compliant
JUNE 7, 2023 | 35:42 | E6
This week, Jeff and Chuck talk with Brian Hamburger about the DO's and DON'Ts regarding making your move from your broker-dealer to the RIA space. Learn how to put together a game plan for a smooth transition to independence.
The DO's and DON'Ts when you transition your book
AUGUST 23, 2023 | 35:27 | E8
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.
Tuck or No Tuck – Should you build your own RIA or join a firm?
JUNE 21, 2023 | 30:50 | E7
This week, Jeff and Chuck will talk with RIA tech guru Tim Welsh, president of Nexus Strategy. Whether you plan to build your own RIA or tuck into an existing RIA, they cover how to (and how NOT to) address your current and future tech needs.
Building your RIA 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!
As we know by now… there are many alternatives to commission-based products. There are fee-based annuities, insurance, and, alternative investments. But, now, there’s actually another solution to consider for your “legacy” BD business. This week, Chuck talks with DPL’s David Lau about an interesting new way for advisors leaving the BD world to hold on to their legacy variable annuities & mutual funds (and get paid on them) all without needing to have a Series 7. Sound too good to be true? Check out this episode to see how.
August 30, 2023 | E4
Guest: Corey Whalen, Bridgemark Strategies Corey & Chuck talk about the pros and cons of building your own RIA vs tucking in to an existing one
APRIL 19, 2023 | E2
September 6, 2023 | E5
Guest: Ben Lewis, The Financial Planning Association Ben & Chuck share thoughts about “who can you trust” as you get advices about going RIA
APRIL 26, 2023 | E3
As RIAs chase scale, smaller practices will scramble to stay relevant
As RIA industry swells, advisors discover pros and cons of growth
Financial advisors ignore succession planning at their own peril
Custody, compliance and tech lay the foundation for going independent
A Morningstar report shows most clients want to feel connected to their advisor beyond just their investment account.
How to avoid being fired by your clients
'If you crack yourself open, they'll crack themselves open alongside you. It makes the focus of your relationship about the truth,' Lupe Camargo said at the InvestmentNews Women Advisor Summit.
Connecting with clients requires advisors to show their own vulnerability
A new generation of registered investment advisors are just building fintech themselves, since what's on the market falls short of the digital experience they want to offer.
Farther surpasses $675M AUM as digitally native RIAs gain traction
Private equity is still hungry for access to wealth management and smaller firms are fine-tuning their pursuit of scale.
Fidelity sees shifting dynamics among RIA buyers and sellers
The integration provides advisors with proposal generation tools, analytical features, trading workflows and the ability to integrate data on structured investments into client reports.
iCapital launches structured investments offering on Envestnet
Retirees need to consider a lot more than just the exchange rate, the cuisine and the climate before retiring in a foreign country.
Top things advisors need to tell their clients about retiring abroad
The SEC's current definition of small advisors is 'antiquated,' which means the agency's regulations are not properly calibrated for such firms, the Investment Adviser Association said.
Bill to ease regulatory burden on small advisors sails through committee
Research shows most new clients come directly from referrals from existing clients, yet most advisors are reluctant to ask for referrals.
RIAs need to get past their fear of asking for referrals
David DeVoe challenges the industry to refocus on organic growth, but not just for growth's sake.
Organic growth in the RIA space is fading away
In an era of increasingly complex regulatory oversight and possibly the most aggressive SEC ever, breakaway RIAs are realizing that compliance is not something to be ignored.
RIAs are embracing compliance as a necessary evil
Most clients believe AI will help their advisors, a Morgan Stanley report finds.
Investors want AI-powered advisors, and fintechs race to meet demand
When fiduciary duty is at odds with what’s right for clients
It's time for the financial services industry to rethink its rules when it comes to offsetting fees.
Since becoming a hybrid RIA, Concurrent has added five new firms that combine for $440 million and it's ramping up to co-brand advisors from every possible direction.
Concurrent restructures to recruit advisors from across wealth management
Since launching as a spinoff of Thrivent Financial in 2019, the platform has grown to $5 billion in client assets.
Thrivent Advisor Network adds 25th affiliate to its turnkey RIA platform
The technology is gaining appeal as way for advisors to separate themselves from the financial planning pack.
Direct indexing struts its tax management magic
The multicustodial open architecture platform promises to connect the various applications advisors use to service clients.
Pershing X moves into the fintech lane with new Wove platform
When advisors are ready to consider moving into the RIA space, they need reliable information and smart perspectives. InvestmentNews is here for them with a new resource for unbiased research and reporting on the tools, platforms and technologies required to help breakaway advisors: goRIA. This new content channel is built on InvestmentNews’ more than 25 years of experience and our reputation as the leading media platform covering the wealth management space. We will provide everything a breakaway advisor needs to go independent. Our multimedia platform offers podcasts, webcasts, livestream discussions with industry experts, workshops, how-to stories, and research on the independent advisory space. From setting fees and shopping for office space to choosing a custodian, navigating compliance, building a tech stack, and deciding when and how to outsource asset management, goRIA covers all the bases in an objective and conflict-free format. Welcome to our dynamic, interactive channel. We’re here to address the questions and needs of anyone considering a move into the independent financial advisory space. Have a question we haven’t answered yet? We’re just getting started—and we value your perspective, so please email us at customerservice@investmentnews.com.
TECHNICAL ASSISTANCE
LIVE STREAM
WEBcasts
goRIA may be reached at: goRIA, a channel of InvestmentNews 575 5th Ave, 14th floor New York, NY 10017 Fax: 212-210-0704 Email: customerservice@investmentnews.com
For more information about goRIA sponsorship opportunities, please contact Mike Schott at mschott@investmentnews.com.
SPONSORSHIP
For technical questions regarding goRIA.com, please email customerservice@investmentnews.com and include “goRIA” in the subject line.
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.
Headline goes here to fit here inthis space here
UPCOMING - WEDNESDAY, APRIL 2, 2023 | 5-5:00 PM ET
Sponsored by
5
4
3
2
1
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit
READ MORE
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit
April 2, 2023
EPISODE 1
Lorem ipsum dolor sit amet, consectetur Lorem ipsum dolor sit amet, consectetuLorem ipsum dolor sit amet, conssit amet, consectetuLorem ipsum do.Lorem ipsum dolor sit amet, consectetur Lorem ipsum dolor sit amet, consectetuLorem ipsum dolor sit amet, conssit amet, consectetuLorem ipsum do.
Headline Goes here to fit hiere in this space here first
Recent Episodes
PRODUCED BY
Steady guidance can calm consumers’ fears — and emotional reactions — around inflation and market volatility.
Playing the long game is key to navigating market uncertainty
LIVESTREAM
MAR 24, 2023 | 03:08 | E1
APR 11, 2023 | 38:10 | E2
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame
Headline goes here to fit here in this space here
Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolor sit amem dolor sit ame Lorem ipsum dolor sit amet, consectetur adipiscing elit.Lorem ipsum dolor sit ametm dolorelit.
Lorem ipsum dolor sit amet, consectetur Lorem ipsum dolor sit amet, consectetuLorem ipsum dolor sit amet, conssit amet, consectetuLorem ipsum do.
