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This week, Chuck talks with Aaron Klein, founder of Nitrogen (formerly Riskalyze) about how he sees advisors taking a “risk first” approach to building their business. In addition to that, there are a number of great tidbits about Riskalyze’s recent rebranding to Nitrogen, goRIA’s “origin story” (that includes Aaron’s co-founder, Mike McDaniel), and much more.
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What to Consider Before Going RIA: Custody, Compliance and Tech
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NOVEMBER 29, 2023 | 28:27 | E15
NOVEMBER 8, 2023 | 29:49 | E14
Leveraging technology to make advisor forms easier to manage
OCTOBER 25, 2023 | 29:37 | E13
Things you can’t do at your B-D: Build your own Trust Department
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September 28, 2023 | FPA E2
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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
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Guest: Dan Moisand, Board Chair, CFP Board Chuck and Dan talk about how the increased focus on fiduciary care has been impacting the BD & RIA space.
Guest: James Lee, President, FPA National Chuck and James talk about “Title Protection” and how that may help consumer discern “real planners” from “PINOs” (Planners In Name Only).
September 28, 2023 | FPA E3 September 28, 2023 | FPA E4 September 28, 2023 | FPA E5 September 28, 2023 | FPA E6 September 28, 2023 | FPA E7 September 28, 2023 | FPA E8 September 20, 2023 | E7 September 14, 2023 | E6 September 6, 2023 | E5
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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.
But even those who already work in a fiduciary capacity will be affected, one lawyer says.
DOL’s rule would add a lot of fiduciaries into the mix
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
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.
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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.
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
AUGUST 30, 2023 | 26:14 | E9
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!
Ancillary business services for your RIA
SEPTEMBER 13, 2023 | 27:04 | E10
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.
Think you still need your Series 7? Think again!
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.
How do RIAs use Cash Management to attract & retain new clients?
SEPTEMBER 27, 2023 | 32:34 | E11
OCTOBER 11, 2023 | 31:46 | E12
Chuck talks with the Steve Chen, Founder & CEO of NewRetirement, about their “DIY” Planning solution. They drill down into the specifics of how RIAs are using this tool as a way to prospect and gain new clients – especially in the 401K space.
How RIAs are using “DIY” planning solutions to gain new clients
This week Chuck talks with James Combs, CEO of National Advisors Trust. Together they unpack the many options RIAs have to build and deploy a private labeled trust solution for their clients. In addition to this being an excellent solution for current clients… this is also a great way to connect with “Next Gen” clients to better ensure the KOCs (Kids of Clients) know who you are. This way, when the great “wealth transfer” happens, you will increase your chance of retaining AUM for multiple generations. Listen to the entire episode now.
There are many reasons why people choose to become advisors – filling out forms is NOT one of those reasons. During this episode, Chuck talks with Rich Walker, Founder & CEO of Quik Forms, about how advisors are leveraging technology to make processing forms more efficient and less time consuming.
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 12, 2023 | E1
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
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 14, 2023 | E6
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?
September 20, 2023 | E7
Guest: Diana Cabrices, Founder, Diana Cabrices Consulting Chuck & Diana talk RIA marketing and compare / contrast how it is to market yourself in the RIA world vs the BD world.
September 28, 2023 | FPA E3
Guest: Laura Garfield, Co-Founder, Idea Decanter Laura shares some very important tips for advisors crafting their “breakaway story” for their clients.
September 28, 2023 | FPA E8
Guest: Mac Gardner, Executive Director, MNY Fraternity, Inc. A fraternity for financial planners? Yup! Chuck & Mac talk about how Mac’s MNY Fraternity is setting out to create a community of next-gen planners.
September 28, 2023 | FPA E7
Guest: David Blanchett, Head of Retirement Research, PGIM Chuck & David talk about the “A-Word” – annuities. They unpack how annuities have evolved from “dirty word” to most useful tool in the commission-free RIA space.
September 28, 2023 | FPA E6
Guest: Sonya Dreizler, Co-Founder, Choir Chuck & Sonia talk about DEI and “The Reluctant Entrepreneur” – these are advisors that used the RIA channel to create a DEI friendly environment for themselves and other advisors.
September 28, 2023 | FPA E5
Guest: Christian Nwasike, Chairman of the Board of Directors, Association of African-American Financial Advisors Chuck & Christian talk about the great work Christian is doing at “Quad A” – the Association of African-American Financial Advisors
September 28, 2023 | FPA E4
Are you looking to break away from your current firm to go independent? Watch this webinar On-Demand and discover the keys to a smooth transition, guiding advisors as they switch to a new firm. Watch Now
October 5, 2023 | 4:00PM ET
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.
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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.
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For technical questions regarding goRIA.com, please email customerservice@investmentnews.com and include “goRIA” in the subject line.
October 5, 2023 – 4PM-5PM
There are, of course, many items you will want to nail down before you pull the trigger. One of your first agenda items will be to get your ducks in a row regarding your transition plan: compliance, logistics, etc. Watch this webinar On-Demand and discover the keys to a smooth transition, guiding advisors as they switch to a new firm. Hosted by Charles ‘Chuck’ Failla, uncover essential do's and don'ts through real-life anecdotes and expert advice from industry leaders Tamara Williams, Sharron E. Ash, and Louis Diamond. Whether you're a seasoned professional or a fresh face in the field, this webinar will provide actionable insights to help you navigate the complexities of a transition. Hit play now and ensure your move to a new firm is a step towards a brighter and more prosperous future.
1. *Cerulli Associates, U.S. Broker-Dealer Marketplace Report, 2022
The views and opinions expressed by LPL Financial Advisor(s) may not be representative of the views of other Financial Advisors and are not indicative of future performance or success. Neither LPL Financial nor the LPL Financial Advisor can be held responsible for any direct or incidental loss incurred by applying any of the information offered.
This way to ria
This way to RIA
With LPL Financial, there’s more than one way to RIA. Whether you’re looking to start an RIA, join an existing RIA, or explore new custodian options, we can help bring your perfect fit into focus. Through our consultative fit process, we’ll work with you to determine which path best suits your innovative spirit—so you gain more control to customize your business and deepen your client relationships. As a leading custodian and top RIA in the country, LPL empowers you to go RIA, your way.
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Steady guidance can calm consumers’ fears — and emotional reactions — around inflation and market volatility.
Playing the long game is key to navigating market uncertainty
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