PODCAST · business
Behind The Breakaway
by Uptick Partners
Your guide to leaving the captive broker-dealer world behind and experiencing the movement to RIA independence.
Episodes
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Episode 24 - Why Are RIA Employee Advisors Breaking Away? | Behind The Breakaway
In this episode of Behind the Breakaway, we discuss the emerging trend of financial advisors breaking away from RIA employment to achieve greater independence. We explore the motivations behind this move, the differences between breaking away from broker-dealers and RIAs, and the challenges and...
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Episode 23 - Let's Talk: LPL & Commonwealth Deal With Special Guest, Jason Wenk | Behind The Breakaway
In this episode, we discuss the breaking news of LPL Financial's acquisition of Commonwealth. Jason Wenk, CEO and Founder of Altruist, joins the Behind the Breakaway podcast to share his perspectives on the merger's impact on the financial services industry, particularly for Commonwealth…
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Episode 22 - What Happens If I Lose A 'Good' Client? | Behind The Breakaway
In this episode of Behind the Breakaway, we discuss the challenges faced when transitioning from a captive broker-dealer to an RIA firm, particularly focusing on the emotional and mental hurdles. We tackle the common concern of losing key clients during the transition and offer insights on how to...
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Episode 21 - How Do I Minimize The Risk of Getting Sued? | Behind The Breakaway
In this episode, we delve into a recent lawsuit between Edward Jones and Commonwealth Financial, and we discuss the challenges advisors face when breaking away from captive broker-dealer firms. We also explore effective strategies for transitioning clients using social media and highlights the...
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Episode 20 - What's Ahead for 2025 and 2026? | Behind the Breakaway
In this episode, we discuss what's in our plans for 2025 and 2026 as well as more on the process of leaving a captive broker dealer firm for RIA independence, focusing on Uptick Partners' Guarantee. We highlight the benefits of going RIA over choosing the Independent Broker Dealer (IBD) channel,...
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Episode 19 - Myth Busted: 'I Need A Big Back Office'
In this episode, we debunk the myth that transitioning financial advisors need a massive back office. We explain how many back office tasks are already handled by custodians like Schwab, Pershing, or Fidelity, making additional back office support often unnecessary. We cover the inefficiencies…
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Episode 18 - The Uptick Transition Guarantee | Behind The Breakaway
In this episode, we are excited to introduce Uptick's Transition Guarantee, recently highlighted in a wealthmanagement.com interview. We discuss how this innovative approach can help advisors feel more confident in transitioning clients from captive broker dealer firms to RIA independence. We...
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Episode 17 - Pros And Cons Of AI | Behind The Breakaway
In this episode, we discuss the transformative impact of AI and data analytics on financial advising. Highlighting an article from FinancialAdvisorsIQ of Edward Jones's significant use of AI, we explore how these technologies anticipate client behaviors, enhance advisor productivity, and predict...
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Episode 16 - Bridge Builder Path To Independence Book Launch | Behind The Breakaway
In this episode, we announce the launch of our new book, 'Bridge Builder Path to Independence,' aimed at advisors considering leaving their captive broker dealer firms for RIA independence. We discuss the importance of understanding RIA independence, the benefits of skipping the IBD channel, and...
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Episode 15 - Partner Firm Transition Experience
In this episode, we share our experience of assisting an Uptick Partner firm in transitioning from a captive broker dealer to becoming an independent Registered Investment Advisor (RIA). We discuss the challenges, surprises, and critical steps involved in a successful transition. We provide...
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Episode 14 - Why Are Advisors Skipping the IBD Channel?
In this episode, we discuss a news article highlighting the shift of advisors from Independent Broker Dealers (IBD) directly to the Registered Investment Advisor (RIA) channel as reported by Bernie Clark of Charles Schwab. The episode explores why advisors are bypassing the IBD channel, the...
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Episode 13 - What Happens To My Commission Business?
In this episode, we explore the impacts on commissioned businesses when transitioning from a captive broker dealer to a fee-only RIA. We provide insights into share class conversions, annuity policies, 529 plans, and the necessary paperwork associated with these changes. This episode offers...
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Episode 12 - Do I Need A Big Back Office?
In this episode, we delve into the importance and functions of a back office when transitioning from a captive broker dealer to an RIA. We explore misconceptions about needing a large back office for efficiency and discuss the services required for a smooth transition. For more information about...
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Episode 11 - How Do I Explain RIA To Clients?
In this episode, we tackle the challenge of explaining the term 'Registered Investment Advisor' (RIA) to clients, especially those unfamiliar with the concept. They delve into the nuances of breaking away from captive broker-dealers and offer strategies for turning these discussions into…
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Episode 10 - Why Are Company Cultures Changing? (w/ Strive CEO & CIO Matt Cole)
In this episode, Jason Barber interviews Matt Cole, CEO & CIO of Strive Asset Management, to discuss the importance of culture in financial firms and the motivations behind career transitions to pursue purpose-driven missions. For more information about Uptick Partners and how we can help you in...
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Episode 9 - What Does Going Independent Mean?
In this episode, we explore the different pathways and considerations for financial advisors considering the breakaway movement, from being an employee to going fully independent, including the roles of private equity and owning one's ADV in achieving true independence. For more information about...
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Episode 8 - What Is The First Step With Uptick?
In this episode, we discuss what to expect when engaging with Uptick Partners as you're navigating the breakaway from your captive broker-dealer. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at...
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Episode 7 - How Do I Pick A Custodian?
In this episode, we discuss the good and bad of various custodians, and how choosing the right custodian for your specific situation can lead to more assets successfully moved during your breakaway. For more information about Uptick Partners and how we can help you in your breakaway journey learn...
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Episode 6 - Do You Own Your Book?
In this episode, we talk about the advantage of owning your own book of business in the RIA space and when it comes to risk mitigation, business valuation, and succession planning. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the…
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Episode 5 - What Payout Should I Expect?
In this episode, we try to bring some transparency and clarity to what breakaway advisors should expect their payout to be in the RIA space and what Uptick Partners provides their partner firms! For more information about Uptick Partners and how we can help you in your breakaway journey learn…
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Episode 4 - Don't Move Your Book Twice
In this episode, we talk about the importance of taking a full measure when it comes to your breakaway to independence and why "Don't Move Your Book Twice" advice is so important. Listen as we discuss the reasons why so many advisors are leaving the IBD channel for RIA independence and why that...
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Episode 3 - Do I Need a Broker-Dealer?
In this episode, we answer the question "Do I need a Broker-Dealer?" and the answer might surprise you! Listen as we discuss the benefits of going Fee-Only, and not only for you, but for your clients and your future growth! For more information about Uptick Partners and how we can help you in…
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Episode 2 - What Happens on Transition Day?
In this episode, we walk through our Transition Day experience. Listen as we talk about details you won't hear anywhere else and dive into what you should expect when you transition your business! For more information about Uptick Partners and how we can help you in your breakaway journey learn...
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Episode 1 - Will My Clients Follow Me?
In this episode, we answer the biggest question every advisor has when thinking about leaving their current firm, "Will My Clients Follow Me?". Listen as we talk about our own experience in transitioning clients and what you should expect with your business! For more information about Uptick...
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Frequently Asked Questions
How many episodes does Behind The Breakaway have?
Behind The Breakaway currently has 24 episodes available on PodParley. New episodes are automatically indexed when they're published to the podcast feed.
What is Behind The Breakaway about?
Your guide to leaving the captive broker-dealer world behind and experiencing the movement to RIA independence.
How often does Behind The Breakaway release new episodes?
Behind The Breakaway has 24 episodes. Check the episode list to see recent publication dates and frequency.
Where can I listen to Behind The Breakaway?
You can listen to Behind The Breakaway on PodParley by clicking any episode. We provide an embedded audio player for direct listening, and you can also subscribe via your preferred podcast app using the RSS feed.
Who hosts Behind The Breakaway?
Behind The Breakaway is created and hosted by Uptick Partners.
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