goRIA Podcast

Chuck talks with Schwab's Head of Enterprise Solutions Group, Julian Lopez, about their exciting new offering that helps advisors stand up their own RIA.

In this satirical episode of goRIA, Chuck goes toe-to-toe with the one and only PE Guy — the viral finance parody persona who’s built a cult following roasting private equity bros and bragging about his role, his wifey, and “it’s decent” deal flow. It starts off civil enough — a few laughs about zip codes, Lake Como vacations, and children's naming conventions... but soon The PE Guy launches his most ambitious pitch yet: “Chuck, sell Sovereign Financial to my PE shop.” Spoiler alert: Chuck holds firm. (Because no amount of humblebrags about substantial composite metrics can sway a fiduciary.) Expect: 🔥 Deadpan satire that hits every PE-world trope 🤣 Chuck trying — and failing — to keep a straight face 💼 A mock negotiation that’s more comedy than capital 🎧 And one unforgettable line: “Due to my role…” (you’ll be saying it for days) If you’ve ever wondered what happens when private equity swagger meets fiduciary skepticism, this episode delivers — with plenty of laughs and just the right amount of decent chaos.

Chuck catching up with industry icon, Ric Edelman, to talk about college, crypto, and, of course, an amazing origin story!

Chuck catches up with industry thought leader Frank LaRosa, Founder & CEO of Elite Consulting Partners. Together, they unpack who should (and who should NOT) goRIA. If you know Frank, you know he never pulls his punches… literally or figuratively. This episode is a MUST LISTEN if you're thinking of going independent.

Chuck catches up with Laura Lutton, Head of Manager Research for Morningstar, to talk about their exciting new offering — coverage of ALTS and Semi-liquid funds.

Chuck talks with industry legend, Thomas Peterffy about his "origin story", his thoughts on building a "customer first" enterprise, and, of course, his thoughts on going RIA. This is a MUST LISTEN episode.

Chuck talks with industry legend, Bob Veres, about his new book: A Behind-the-Scenes History of the Financial Planning Profession. Tune in to hear some amazing anecdotes that Bob has collected over his 45 year long history in our industry.

Chuck talks with industry icon, Joe Duran, about succession planning and what advisors need to think about as they plan for "what's next"...

Chuck catches up with Shawnette Gauer, Schwab Advisor Services' Managing Director of Enterprise Solutions, to talk about their new program designed specifically to help sub $300M advisors #goRIA.

Chuck chats with communication guru and author Matt Halloran about his new book, "𝙎𝙝𝙪𝙩 𝙏𝙝𝙚 𝙁 𝙐𝙥 𝙖𝙣𝙙 𝙇𝙞𝙨𝙩𝙚𝙣!". Matt shares some surprising facts about how poor communication can cost advisors their clients—and offers easy, practical advice on becoming a better listener. Tune in to find out how improving your communication skills can make your clients feel truly valued and keep them coming back!

Chuck is looking to sell a portion of his firm, Sovereign Financial Group, to his #NextGen staff and advisors. So, of course, he turned to industry M&A guru, Corey Kupfer, for some advice...

Chuck catches up with content marketing guru, Nick Meyer, to discuss how advisors can leverage content marketing to fuel growth.

Chuck catches up with Orion's Adam Palmer to talk Data Warehouses, Data Lakes and even Data Lake Warehouses. And... Adam shares an exciting new announcement -- Orion is now partnering with Snowflake? Why should you care? Why is Chuck so... so... so... excited about the news? Tune in to find out!

Chuck talks with Shelby Nicholl, Founder of Muriel Consulting, about what challenges she sees advisors facing when going independent (and how she helps them overcome those challenges).

Chuck talks with Matthew Jarvis, Co-Founder of The Perfect RIA about, well, lots of things: his “origin story”, advisor payout myths, conferences and more…

Chuck talks with industry icon, Marty Bicknell, about how he went from being a receptionist at AG Edwards to building and running one of the country's largest and most successful RIAs.

Chuck checks in with Robb Baldwin, Founder of TradePMR about the recent announcement about his merging TradePMR with Robinhood.

Ed Slott is a leading authority on IRAs, but, this week Ed mixes things up a bit to talk about RIAs. Check out this episode to see what Ed had to say about the future of RIAs and fiduciary advice. SPOILER ALERT: Clients want to pay a premium for premium advice.

Chuck sits down with Larry Sprung, CFP®, Founder and Wealth Advisor at Mitlin Financial, Inc., for a conversation full of insights, laughs, and a bit of nostalgia. As two former “cold callers,” Chuck and Larry share some entertaining “war stories” from their early days in the industry. But it’s not all reminiscing -- Larry dives into his inspiring journey, sharing how he built his business and what led him to establish Mitlin Financial. One highlight? Larry explains how a simple yet powerful tagline, “What did you do today that brought you JOY?®”, became a cornerstone of his business, helping him connect with clients and elevate his practice. Tune in for a mix of industry insights, engaging stories, and actionable takeaways - we’re confident you’ll enJOY this episode!

Chuck catches up with industry icon, Mindy Diamond, Founder + CEO of Diamond Consultants. Mindy shares some highlights from her new book, "Should I Stay, or, Should I Go: A Financial Advisor’s Guide to Thinking Through Your Biggest Decision". If you're looking to goRIA... this episode is a MUST LISTEN and the book is a MUST READ!

Chuck catches up with Brad Wright, CFP, Founder & CEO of Launch Financial Planning. When it comes to media... most advisors start as advisors, then, go on to work with the media. Brad took a different route... he started in the media, then, became an advisor. In this episode Brad shares many great ideas and tips for how advisors can leverage the media to help grow their business.

Chuck catches up with Dr. Daniel Crosby to unpack his amazing new book: "The Soul of Wealth". This is a great episode for any advisors looking to better connect the dots about wealth with their clients.

Karen Barr, President & CEO of the Investment Adviser Association (IAA), is Chuck's guest this week and she shares all the amazing resources the IAA offers to RIAs AND advisors looking to go RIA.

Chuck does a deep dive with Jon Beatty, Schwab's Head of Advisor Services, into Schwab's 2024 "Supported Independence" report. Together they parse through the 30+ page comprehensive study that is designed to help advisor better understand the journey to independence. If you're looking to go RIA... this is a MUST listen!

So... you're an IBD advisor and think you're getting a 92% payout... think again! During this episode, Chuck connects with Jamie Hopkins, CEO of Bryn Mawr Capital Management. Together they unpack how advisors can better understand the economics behind their True Net Payout. If you're looking to go RIA and want to better understand the numbers... this is a must listen episode!

SS&C's Tanya Tygesen joins Chuck to discuss best practices for how to have your CRM be the hub of your new RIA.

Mike Langford, Founder + CEO of PodBox, shares his vast expertise related to how to create your first podcast -- from what microphone to buy to editing tips. If you’re looking to launch your first podcast… this is the episode for you!

One of the most important steps for going RIA is your transition. Advisor360's Jeff Schwantz shares some very important tips that you'll want to keep in mind as you plan your course to going RIA!

Chuck catches up with Caleb Silver, Editor-in-Chief of Investopedia and host of the Investopedia Express podcast. Together they unpack how consumer demand for "fiduciary advice" is adding fuel to the RIA space.

Chuck talks with internet marketing guru, Samantha Russell (Chief Evangelist at FMG Suite) about what to do, and, perhaps more importantly, what NOT to do as you create your new RIA website.

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.

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!

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. Learn about how you can ramp up your content game with some excellent and actionable tips from Matt!

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). And since qualified or non-qualified assets may be covered, this Portfolio Retirement Income Guarantee does not change the tax status of the covered assets. Check out this episode to learn all the details.

Chuck had the chance to catch up with Michael Kitces and Michael delivered the goods. They discussed everything from Michale's "origin story" to his thoughts on PE, RIA compliance, video games and much more. This is an absolute "must listen" episode!

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.

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!

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.

This week, Jeff & Chuck will talk with RIA Tech guru – Tim Welsh, President of Nexus Strategy. Whether you plan to build your own RIA or tuck-in to an existing RIA… they cover the how to (and how NOT to) address your current and future tech needs.

This week, Jeff and Chuck talk with Brian Hamburger about the DOs and DONTs 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.

This week, Jeff & Chuck check in with Key Bridge’s Chief Compliance Officer, Alisha Dowell. Together they unpack the DOs 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.

This week, Jeff and Chuck wrap up their 3 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, with special guest Shirl Penny, they explore going RIA with the help of a middle and back office provider. Check out all 3 episodes to see which way makes the most sense for your journey to going RIA.

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.

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. Phil’s story of how he broke away from the brokerage channel to launch his own advisory practice took some unexpected turns that included being found out by his employer, forcing him to enter protocol, but the ultimate hurdle to getting the doors open on the new practice might have been a fire at his new office right before the big day. Like everything under the goRIA banner, this podcast is designed to be blueprint and evergreen resource for any advisor looking toward the path to independence.

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. IN_GoRIA