RIA Collective

Charlie Van Derven

Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com. read less

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Driving Success with Judd Allen

Driving Success with Judd Allen

In this insightful episode of RIA Collective, host Charlie Van Derven engages in a captivating conversation with Judd Allen of Judd Allen Financial and the ICG Group. They delve into Judd's strategic transition from a broad financial advisory role to mastering a niche within the automotive sector. Reflecting on his initial uncertainties and the transformative journey to becoming a specialist, Judd shares how his passion for cars and understanding of automotive professionals' unique financial needs fueled his success.The discussion explores the profound satisfaction Judd finds in building long-term relationships and witnessing his clients achieve their retirement dreams, highlighting that some rewards far surpass monetary compensation. They also touch on the importance of adapting to industry changes, leveraging technology, and the impact of specialized knowledge in fostering client trust and business growth.Tune in for an inspiring look at how dedication to a niche, combined with genuine passion, can drive a fulfilling and successful career in financial advisory.

Episodes

Driving Success with Judd Allen

Driving Success with Judd Allen

In this insightful episode of RIA Collective, host Charlie Van Derven engages in a captivating conversation with Judd Allen of Judd Allen Financial and the ICG Group. They delve into Judd's strategic transition from a broad financial advisory role to mastering a niche within the automotive sector. Reflecting on his initial uncertainties and the transformative journey to becoming a specialist, Judd shares how his passion for cars and understanding of automotive professionals' unique financial needs fueled his success.The discussion explores the profound satisfaction Judd finds in building long-term relationships and witnessing his clients achieve their retirement dreams, highlighting that some rewards far surpass monetary compensation. They also touch on the importance of adapting to industry changes, leveraging technology, and the impact of specialized knowledge in fostering client trust and business growth.Tune in for an inspiring look at how dedication to a niche, combined with genuine passion, can drive a fulfilling and successful career in financial advisory.

Blueprint for Independence with Justin Stevens

Blueprint for Independence with Justin Stevens

In this compelling episode of RA Collective, host Charlie Van Derven welcomes Justin Stevens, co-founder of O'Keefe Stevens Advisory, based in Rochester, New York. Justin shares his unconventional journey into the financial services sector, starting from a pivotal internship that steered him away from pre-med to finance, inspired by a family friend's recommendation. Their conversation dives deep into Justin's early career experiences, working in a nurturing family-run business, and the invaluable mentorship that shaped his professional philosophy.Justin details the deliberate and thoughtful process behind founding O'Keefe Stevens Advisory with his partner Peter, highlighting the importance of philosophical alignment, integrity, and client-first values in their move towards independence. Their discussion uncovers the strategic planning, challenges, and teamwork involved in transitioning to an independent firm, growing their assets under management from 135 million to 350 million, and the vision driving their future growth towards a billion in AUM.Tune in for an inspiring exploration of building a successful financial advisory firm from scratch, the power of supportive partnerships, and the relentless pursuit of growth aligned with core values. Justin's story is a testament to the transformative power of strategic planning, dedication, and the right team dynamics in the journey towards independence in the financial advisory world.

From Marketing to Finance with Sara Stanich

From Marketing to Finance with Sara Stanich

In this episode of RIA Collective, Charlie van der Ven welcomes Sara Stanich of Cultivating Wealth, based in Montauk, New York. Transitioning from a vibrant marketing career to founding her own RIA, Sara shares her journey through the early days of internet advertising, the .com crash, and eventually, the financial sector. Their conversation sheds light on the unique challenges and insights gained from transitioning to an independent financial advisor role, with a special focus on empowering women and navigating the divorce financial planning niche.Listeners will gain valuable perspectives on leveraging diverse backgrounds for success in financial planning and the strategic moves that propelled Cultivating Wealth. Sarah's story is an inspiring example of how adaptability and passion can pave the way for a fulfilling career in finance.

Moving from Asset Centric to Client Centric in Finance: A Conversation with Tyson Ray

Moving from Asset Centric to Client Centric in Finance: A Conversation with Tyson Ray

In this insightful episode of RIA Collective, host Charlie Van Derven engages in a thought-provoking conversation with guest Tyson Ray, the founding partner of Form Wealth Advisors. Urging a transition from a riches-focused mindset to a wealth-centered perspective, Tyson underscores the importance of nurturing total client relationships based on wealth, not just riches. Through anecdotes and experiences, Tyson details his journey in the finance industry, his transition towards total relationship investing, and the concept of 'funded contentment.' This episode unveils Tyson's passion for guiding clients toward their financial goals, breaking traditional molds, and employing technology to enhance client experiences. Listen in to understand his unconventional approach to wealth management and how he considers clients' lifetime goals central to wealth management. This conversation offers valuable insights for young advisors, independent advisors, and anyone seeking to redefine their perspective on wealth and client relationships.Securities through Raymond James Financial Services, Inc. Member FINRA / SIPC. Investment advisory services are offered through Raymond James Financial Services Advisors Inc. FORM Wealth Advisors is not a registered broker/dealer and is independent of Raymond James Financial Services. Raymond James and its advisors do not provide tax advice. Podcast guest is Tyson Ray, CEO, Founding Partner, Senior Wealth Advisor at FORM Wealth Advisors. FORM Wealth Advisors is located at 431 Geneva National Ave S, Lake Geneva, WI, 53147; 262-686-3005.

Navigating Independent RIA Setups with Michael Rasmussen

Navigating Independent RIA Setups with Michael Rasmussen

In this episode of RIA Collective, host Charlie Van Derven invites Michael Rasmussen of United Atlantic Legal Services to share his expertise in aiding financial advisors in their transition to independent practices. Michael, with a background as a chief compliance officer and general counsel for various investment advisors, as well as experience as a regulator with FINRA, provides valuable insights into the complexities of starting an independent RIA. LinkedInWebsite

Niche Mastery in Finance with Emily Haberkern

Niche Mastery in Finance with Emily Haberkern

In this episode of RIA Collective, host Charlie Van Derven sits down with Emily Haberkern of Evangelista & Associates to discuss the triumphs and trials of niche marketing within the financial advisory sector. Emily recounts her path to alignment with the firm's values and the unique approach to servicing university employees, emphasizing the importance of specialized knowledge and targeted service in a competitive industry. They tackle the topics of gender dynamics in finance and the benefits of a supportive RIA community. Tune in to gain strategic insights on carving out a niche and understanding the impact of focused marketing on client trust and growth.Emily HaberkernLinkedInWebsite

Mastering Independence: Data Aggregation and Client Management with Sam Kingston

Mastering Independence: Data Aggregation and Client Management with Sam Kingston

In this episode of RIA Collective, host Charlie Van Derven sits down with Sam Kingston from Arch, a SaaS platform serving family offices and RIAs, to discuss the transition of financial advisors from large firms to independent practices. They cover the challenges of data aggregation and investment management for affluent clients, the benefits of early engagement with platforms like Arch, and the technological strides independent advisors are making to provide sophisticated services rivaling those of wirehouses.Sam KingstonLinkedInWebsite

Mastering Client-Centric Financial Transitions with Anthony Mlachnik

Mastering Client-Centric Financial Transitions with Anthony Mlachnik

In this episode of RIA Collective, host Charlie Van Derven sits down with financial expert Anthony Mlachnik in a reflective conversation about the complexities and nuances of navigating client-focused transitions in the financial industry. Anthony shares his professional journey, emphasizing the importance of a meticulously professional approach and the virtues of patience in ensuring decisions align with clients' best interests.Anthony MlachnikLinkedInWebsite

Navigating Independence: The Evolving Landscape of Financial Advising with David Pappalardo

Navigating Independence: The Evolving Landscape of Financial Advising with David Pappalardo

In this episode of RIA Collective, host Charlie Van Derven sits down with David Pappalardo of Segal Marco Advisors. Together, they dive deep into the world of financial advising and the ever-evolving trajectory towards independence. David sheds light on the dual-edged sword of independence: while it offers freedom, it also comes with significant responsibilities. Listen in as they discuss the nuances of being a solo player in the financial market, the essential need for planning, and how advisors can carve out unique identities in a saturated market. David PappalardoLinkedIn Website

From Courtroom to Boardroom: Bridging Law and Business with Scott Matasar

From Courtroom to Boardroom: Bridging Law and Business with Scott Matasar

In this episode of RIA Collective, host Charlie Van Derven is joined by Scott Matasar, a seasoned attorney with a unique perspective on the intersection of law and business. Dive into the intricacies of navigating legal complexities in the corporate world, the importance of understanding both the courtroom and the boardroom, and the strategies Scott employs to ensure success in both arenas.Tune in for an enlightening conversation that sheds light on the synergy between legal acumen and business strategy, offering professionals insights into the challenges and rewards of blending two distinct yet interconnected fields. Learn about the art of negotiation, the significance of building robust business relationships, and the unparalleled value of legal expertise in the world of commerce.Scott MatasarLinkedIn Website

Mastering the Move: Navigating the Transition to Independence with Brandon Fink

Mastering the Move: Navigating the Transition to Independence with Brandon Fink

In this episode of RIA Collective, host Charlie Van Derven sits down with Brandon Fink from Claro Advisors to explore the challenges and triumphs of transitioning to an independent advisory firm. Dive into the significance of fostering strong client relationships, the value of consistent communication, and the role of trust in ensuring a smooth move.Listen in for an insightful discussion that offers a glimpse into the dynamics of a successful transition in the financial industry, providing advisors with valuable perspectives on the importance of preparation, the benefits of independence, and the power of client trust.Brandon FinkLinkedInWebsite

Charting New Waters: The Journey of Rebranding with Jorge Padilla

Charting New Waters: The Journey of Rebranding with Jorge Padilla

In this episode of RIA Collective, host Charlie Van Derven invites Jorge Padilla from Meira Wealth for a deep dive into the intricate process of rebranding in the world of financial services. Discover the motivations behind Meira Wealth's transformation, the emphasis on a team-centric approach, and the pivotal role of client feedback throughout the journey.Tune in for a compelling conversation that sheds light on the evolution of a financial advisory firm, equipping advisors with insights on brand transitions and the significance of client-centric strategies.Jorge PadillaLinkedIn Website

Gaming the System: Merging Finance with the Digital World of YouTubers & Streamers with Galen M Herbst de Cortina

Gaming the System: Merging Finance with the Digital World of YouTubers & Streamers with Galen M Herbst de Cortina

In this episode of RIA Collective, host Charlie Van Derven welcomes Galen M Herbst de Cortina from "Buff Your Finances" for an enlightening chat on blending finance with the virtual world of gaming. Dive into how niche markets can be game-changers, the story behind the intriguing name, and why virtual finance resonates so well with YouTubers and streamers.Tune in for a captivating discourse that unravels the merger of financial advising and the digital domain, arming advisors with fresh perspectives in this unique terrain.Galen M Herbst de CortinaLinkedInWebsite

Bridging the Advice Gap: Erin Redmond's Innovative Approach to Inclusive Finance

Bridging the Advice Gap: Erin Redmond's Innovative Approach to Inclusive Finance

In this episode of RIA Collective, host Charlie Van Derven converses with Erin Redmond of Ford Financial Group. Transitioning from a background in online media, Erin delves into her intriguing journey into the financial services realm. The duo discuss Ford Financial's rich history, their unique emphasis on client education, and the innovative subscription pricing model they're exploring.Central to their conversation is the idea of making financial advice accessible to a wider demographic, especially those who might not fit the mold of traditional asset management. By bringing a fresh and inclusive approach, Ford Financial aims to bridge the financial advice gap, with education as its cornerstone.Also highlighted is the firm's initial focus on women and how they've since broadened their reach. Erin speaks passionately about the potential of a subscription-based pricing model like AdvicePay, shedding light on the possibilities it opens up for younger individuals requiring financial guidance.Join us for this insightful episode, where traditional financial advisory meets modern innovation, all geared towards serving a diverse clientele.Erin RedmondLinkedInWebsite

Building Your Ideal Practice with Bill Oakley

Building Your Ideal Practice with Bill Oakley

In this episode of RIA Collective, host Charlie Van Derven sits down with Bill Oakley from Family Wealth to dive deep into the technological advancements and innovations in the world of financial advising. They explore the ever-evolving fintech space, the importance of keeping up with the rapid pace of technological change, and how smaller firms can often be more agile than their larger counterparts. Join us for a riveting conversation that sheds light on the intersection of finance and technology, equipping advisors with the knowledge to stay ahead in this dynamic landscape.Bill OakleyLinkedInWebsite

Decoding Advisor Transition Deals: An Exclusive Insight with Charlie Van Derven & Mark Elzweig

Decoding Advisor Transition Deals: An Exclusive Insight with Charlie Van Derven & Mark Elzweig

In this episode of RIA Collective, host Charlie Van Derven invites Mark Elzweig, a seasoned recruiter, to discuss the intricacies of advisor deals. The world of advisor transition deals can often seem like deciphering a foreign language. What types of deals are really out there? Which one is the best fit for you?Join us for an enlightening conversation that demystifies these deals, offering advisors insights into navigating their professional journey with foresight and agility.Mark ElzweigLinkedInWebsite

The Future of Finance: Mario Payne's Blend of Tech, Philanthropy, and Stewardship

The Future of Finance: Mario Payne's Blend of Tech, Philanthropy, and Stewardship

In this episode of RIA Collective, host Charlie Van Derven is joined by Mario Payne of Toames Financial, based in Jacksonville, Florida. Together, they dive into Mario's intriguing journey from Edward Jones to Raymond James, retaining an impressive 85% of his assets during this pivotal transition. Dive deep into the significance of estate planning, the rising power of automation in financial advisories, and Mario's innovative venture into the ETF world.Join us as we explore the intricate dance between technology and finance, and how automation is reshaping the future of financial advising. Additionally, discover how Mario, with his unique blend of financial prowess and philanthropy, is making waves in the industry, all while emphasizing the importance of stewardship.Mario PayneLinkedInWebsite

Marketing Your Way with John Bovard

Marketing Your Way with John Bovard

In this episode, our Host, Charlie Van Derven, chats with John Bovard, the brains behind Incline Wealth Advisors. John shares his story of moving from a big firm to being an RIA. His story shows how becoming independent can bring new opportunities, especially in digital marketing. John's experiences and tips can help listeners who want to become independent advisors themselves.John talks about how important digital marketing has been for growing his business and keeping his clients throughout the transition and how independence has opened new avenues for marketing his authentic self. This episode is great for anyone thinking about becoming independent. Listen in to hear how John Bovard used digital marketing to become successful in the RIA world.John BovardLinkedInWebsite

How Delegating Helps Your Clients with Urban Adams

How Delegating Helps Your Clients with Urban Adams

Join us in this insightful episode with Urban Adams as he imparts practical advice on the role of delegation and the power of putting clients first. Uncover how delegating tasks can dramatically impact your efficiency, allowing you to focus on high-level activities that directly benefit your clients. Learn about Urban's unique approach to maintaining deep, quality relationships with his clients while efficiently managing his practice. Tune in to discover how you can streamline your operations and elevate your client engagement to new heights.Urban AdamsLinkedInWebsite

An Independent Mindset with Carmine Corino

An Independent Mindset with Carmine Corino

In this episode of RIA Collective, host Charlie Van Derven sits down with Carmine Corino, the CEO of Cornerstone Planning Group (CPG), to discuss the journey to independence and the importance of building a culture of service and accountability. Carmine shares his passion for fiduciary responsibility and client-centric financial planning, highlighting how CPG sets itself apart by prioritizing the needs of clients and providing personalized guidance.Discover how personal investment and mentorship play a crucial role in building strong relationships between Carmine and his advisors, ensuring they receive the support they need to provide exceptional service. Join us as we delve into the world of independent advising and uncover the secrets to creating a culture that fosters success, accountability, and unwavering dedication to clients.Carmine CorinoLinkedInWebsite