Introducing goRIA with Jeff & Chuck Episode 1
More episodes
Episode 23
April 17, 2024
Chuck talks with industry thought leader, Jamie Hopkins, about how RIAs can "bolt on" a trust solution. We have all heard of the "Great wealth transfer" and this trust solution can help RIAs best position themselves to retain client assets as they pass to G2.
Episode 22
March 27, 2024
Chuck talks with PR and Marketing pro, Marie Swift (Founder & CEO of Impact Communications) about all things related to crafting your Breakaway narrative. Marie has extensive experience helping breakaway advisors and she shared a ton of actionable information about PR, marketing and much, much more!
Episode 21
March 18, 2024
Chuck catches up with podcast guru Matt Halloran to talk about ‘Atomic Content.’
Advisors look to the RIA space for many reasons. One of the biggest reasons is the increased flexibility the RIA space affords advisors when it comes to marketing yourself and your business.
Episode 20
February 28, 2024
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). Check out this episode to learn all the details...
Episode 19
February 14, 2024
Chuck catches up with marketing guru, April Rudin to talk about how marketing in the RIA space compares to marketing in the BD world. SPOILER ALERT: It can be much better!
Episode 18
January 31, 2024
Chuck had the chance to catch up with Michael Kitces and Michael delivered the goods. They discussed everything from Michael's "origin story" to his thoughts on PE, RIA compliance, video games and much more. This is an absolute "must listen" episode!
Episode 17
January 17, 2024
Very few people love the RIA space more than Chuck Failla, but, during this podcast, Chuck will explore who should NOT go RIA. This week's special guest is Jackie Wilke from First Trust and together they will unpack who should and should not take the leap.
Episode 16
December 13, 2023
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.
Episode 15
November 29, 2023
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.
Episode 14
November 08, 2023
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.
Episode 13
October 25, 2023
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.
Episode 12
October 11, 2023
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.
Episode 11
September 27, 2023
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.
Episode 10
September 13, 2023
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.
Episode 9
August 30, 2023
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!
Episode 8
August 23, 2023
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.
Episode 7
June 21, 2023
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.
Episode 6
June 07, 2023
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.
Episode 5
May 24, 2023
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.
Episode 4
May 10, 2023
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.
Episode 3
April 26, 2023
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.
Episode 2
April 11, 2023
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.
Episode 1
March 24, 2023
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.
