Registered Investment Advisor Podcast

Market Domination
Market Domination
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The Registered Investment Advisor podcast is a financial services marketing podcast for every financial service from insurance to investment advising. Host Seth Greene is a nationally recognized direct response financial services marketing expert. Guests on the RIA Podcast will include experts in the insurance marketing field. In each interview, they share financial tips and tricks to help other people in financial services and producers to up their game.

  1. 6d ago

    Episode 268: From Small Startup to Global Financial Platform

    What does it take to transform a small startup into a global financial services company while building a culture that can scale through constant change?     In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews David Johnson, CEO & Founder of Vervent, who shares how he built Vervent from a small loan servicing company into a global financial services platform serving lenders, lessors, and credit providers. He explains the leadership principles that guided the company’s growth, including embracing discomfort, building strong teams, integrating acquisitions successfully, and evolving as an organization. David also discusses the future of financial services, including Vervent’s enterprise-wide AI transformation and how technology can create new efficiencies, opportunities, and better client outcomes.    Key Takeaways: → Starting a company during challenging economic conditions can reveal whether a business idea has true market demand. → Great leaders must evolve as their companies grow by shifting from having all the answers to building teams of capable people who can contribute expertise and perspective. → “Comfort with discomfort” can become a powerful cultural principle that helps organizations handle difficult conversations and challenging situations. → Successful acquisitions require more than cost-cutting. Companies create value by integrating people, culture, and capabilities to move the organization forward. → The hardest part of acquisitions is often the people integration, not the technology. David Johnson spearheads the bold leadership that Vervent brings to clients and the industry. He drives our business and people forward with a penchant for innovation, a talent for developing expert teams, and a passion for creating impactful results.     Connect With David: Website: https://www.vervent.com/ Facebook: https://www.facebook.com/Vervent/ Instagram: https://www.instagram.com/VerventSD/ LinkedIn: https://www.linkedin.com/company/verventsd/ X: https://x.com/verventSD YouTube: https://www.youtube.com/channel/UCR5iV1H4bK4FNp-5JbAmz2Q

    Episode 268: From Small Startup to Global Financial Platform

  2. Sep 23

    Episode 267: The Exit Planning Mistakes Owners Make Too Late

    Selling a business can create life-changing wealth, but without the right planning, the transaction itself may be the easiest part of the transition.     In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Michael “Mic” Lundon, CEPA®, J.D., Founder and Managing Director of Evertern Wealth, who shares what business owners should consider years before a potential sale, including financial planning, tax strategy, estate planning, succession, and reducing the company’s dependence on the founder. He explains why a successful exit requires more than getting the highest offer and how owners can determine whether a sale will actually support the life they want afterward. Michael also explores how to manage wealth after a liquidity event, build the right advisory team, prepare for the emotional transition out of the business, and plan for future generations.    Key Takeaways: → Business owners should begin preparing for an eventual exit several years before they expect to sell, rather than waiting until a transaction is already approaching. → Exit planning should coordinate financial, business, tax, and estate planning so major decisions are not made under time pressure. → Entrepreneurs often have much of their wealth concentrated in their businesses and may need to relearn investing, tax planning, and estate planning after a liquidity event. → A successful exit depends on thoughtful planning, not simply completing the sale of the company. → Reducing dependence on the founder can make a business more transferable by creating strong management, documented processes, and broader organizational responsibility.   Michael “Mic” Lundon is the Founder and Managing Director of Evertern Wealth, where he provides portfolio management, financial planning, and guidance on estate, trust, and business transition matters. He works closely with business owners, senior executives, and multigenerational families, delivering personalized advice for clients with complex financial needs.    Connect With Michael: Website: https://www.everternwealth.com/ LinkedIn: https://www.linkedin.com/company/everternwealth/ https://www.linkedin.com/in/michael-lundon-661b681/

    Episode 267: The Exit Planning Mistakes Owners Make Too Late

  3. Sep 16

    Episode 266: Why Financial Planning Must Go Beyond Taxes

    A strong financial life is not just about what you earn today, but whether your family has a clear plan for what happens next.    In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Vishaw Sondhi, Founder and President of Vishaw Sondhi, CPA P.C., who shares why financial planning should extend far beyond tax preparation to include retirement income, family preparedness, business succession, and long-term tax strategy. He explains why business owners need an exit plan, why families should regularly evaluate their financial readiness, and how starting earlier gives people more options when preparing for retirement and unexpected life events. Vishaw also discusses the importance of coordinating tax, retirement, and financial decisions around each family’s unique situation rather than relying on a one-size-fits-all approach.    Key Takeaways: → Financial planning should address more than annual taxes by considering retirement, family needs, and long-term financial security. → Families can benefit from planning well before a crisis occurs so spouses and children understand what to do if something unexpected happens. → Starting retirement planning earlier gives time a greater opportunity to work in your favor, but it is still valuable to begin even if you feel behind. → A periodic “financial checkup” can help people identify whether they are still on the right path as laws, products, and personal circumstances change. → One of the biggest financial risks for business owners is not having a clear exit or succession plan.   Vishaw Sondhi is the founder and president of Vishaw Sondhi, CPA P.C., a firm that provides comprehensive wealth management, tax planning, and accounting services for business owners and individuals. He is a Certified Public Accountant (CPA) a Retired Income Certified Professional (RICP®), and a Personal Financial Specialist (PFS) with over 35 years of experience in the financial industry.    Connect With Vishaw: Website: https://www.vsondhicpa.com/ Facebook: https://www.facebook.com/vsondhicpa LinkedIn: https://www.linkedin.com/in/vishaw-sondhi-cpa-pfs-ricp%C2%AE-ab717b26/

    Episode 266: Why Financial Planning Must Go Beyond Taxes

  4. Sep 9

    Episode 265: How to Talk Your Book Into Existence

    Financial advisors can have decades of expertise, but if prospects do not recognize that expertise, it may never translate into trust, differentiation, or new business.    In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Michael Giannulis, Founder of Dictate, who shares how experts can turn the knowledge already in their heads into books that demonstrate authority, communicate their expertise, and support lead generation. He explains the difference between simply being an expert and being recognized as an authority, and why publishing gives professionals a tangible way to showcase what they know in an increasingly crowded marketplace. Michael also discusses how AI-powered interviewing can reduce the friction of writing a book while keeping the author’s own ideas, experiences, and voice at the center of the finished product.    Key Takeaways: → Being knowledgeable and being perceived as an authority are two different things, and professionals need a way to make their expertise visible to the marketplace. → A book can give advisors and other experts a tangible asset that demonstrates their knowledge beyond short-form social media content. → Professionals who have a defined process, philosophy, or methodology already possess much of the intellectual property needed to create a book. → Books can support lead generation by helping service professionals package and communicate their expertise to prospective clients. → Many experts find it easier to explain what they know when answering questions than when staring at a blank page and trying to write from scratch.   Michael Giannulis has spent over 20 years in direct response marketing, producing copy and building systems for hundreds of clients across financial services, real estate, coaching, and professional consulting, with combined attributed revenue exceeding $25 million. He is the founder of Dictate, an AI-powered interview-to-book platform, as well as Appendment (AI sales intelligence) and RunFrame. He is currently pursuing his PhD in Bible Exposition at Liberty University.    Connect With Michael: Website: https://onlyonemike.com/ Facebook: https://www.facebook.com/MikeGiannulis/ Instagram: https://www.instagram.com/mikegiannulis LinkedIn: https://www.linkedin.com/in/michaelgiannulis X: https://x.com/mikegiannulis

    Episode 265: How to Talk Your Book Into Existence

  5. Sep 2

    Episode 264: Why April 15 Is Not the Most Important Tax Deadline

    The biggest tax-saving opportunities often disappear long before your return is due.   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jake Birnberg, Chief Tax Strategist of Deduction Detectives, Inc., who shares why proactive tax planning can be especially important for business owners, property sellers, retirees, and others facing significant tax liabilities. He explains why December 31 can matter more than April 15 for planning purposes, how waiting too long can eliminate available strategies, and why tax decisions should be coordinated with both financial and life goals. Jake also discusses combining multiple tax strategies, using cash flow mapping to improve outcomes, and the importance of getting tax advice from someone who can defend that advice before the IRS.   Key Takeaways: → Tax planning is most effective when it happens before a major financial transaction rather than after the tax year has already closed. → December 31 can be more important than April 15 because many planning opportunities disappear once the tax year ends. → Selling a business, selling appreciated property, retiring with significant pretax assets, or earning substantial business income can create major tax-planning needs. → Waiting until after a property is listed or sold can eliminate strategies that might otherwise have been available. → Tax advice is more valuable when it comes from a professional who understands how to defend the strategy if the IRS challenges it.   Jake Birnberg, EA, graduated with a degree in finance from UC Berkeley in 1988. His career has spanned investment banking, retirement planning/wealth management, and tax planning/representation at firms such as Dean Witter, Shearson Lehman, and Hambrecht & Quist. As an IRS Enrolled Agent (EA), he is licensed to prepare taxes in all 50 states and to represent people before the IRS. He builds systems that integrate tax and financial planning to minimize taxes over his clients’ lifetimes and maximize the retirement income available for spending.   Connect With Jake: Website: https://deductiondetectives.com/ LinkedIn: https://www.linkedin.com/in/jakebirnberg/

    Episode 264: Why April 15 Is Not the Most Important Tax Deadline

  6. Aug 26 ·  Bonus

    Bonus Episode: Bringing Private Equity to the Mass Affluent

    What if your accredited clients could tap into institutional-quality private deals without locking up their money for a decade?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Joseph DaGrosa Jr., Founder and Chairman of DaGrosa Capital Partners LLC, who explains how his career evolved from auditing at a wirehouse to partnering with an early leveraged buyout pioneer and ultimately building Access Capital to open private equity and private credit to the mass affluent accredited investor market. He also shares why interval funds, rigorous sub-advisor due diligence, and his new educational resource, The Financial Advisor’s Guide to Private Investments, are helping RIAs bring institutional-style private allocations to a broader client base.   Key Takeaways: → Why the accredited investor segment represents a massive, historically underserved opportunity for private investments. → How the rules of the Investment Company Act of 1940 limit traditional private equity vehicles. → How Access Capital structures registered vehicles to bring private equity and private credit access to mass affluent accredited investors. → What interval funds are, how their semi-liquid structure works, and why they may be a fit for long-term investors who want private exposure with periodic liquidity. → Why RIAs and RIA aggregators are turning to outsourced CIO relationships to help them evaluate and implement private investments at scale.   Joseph DaGrosa Jr. is the Founder and Chairman of DaGrosa Capital Partners (DCP) and a veteran investor with over 30 years of experience across sports, entertainment, real estate, hospitality, aviation, retail, and more. He has led more than $2 billion in capitalized transactions and oversees several DCP portfolio companies, including Axxes Capital, Kapital Football Group, and Soccerex, the world’s largest organizer of soccer business conferences. DaGrosa previously co-founded Quinn Residences, a $900 million single-family rental platform, and played key leadership roles in major turnarounds and acquisitions, including Heartland Food Corp., Jet Support Services Inc., and F.C. Girondins de Bordeaux. Earlier in his career, he was a partner at Maplewood Partners and began in capital markets at Paine Webber.   Connect With Joe: Website: https://dagrosacp.com/ X: https://x.com/joe_dagrosa LinkedIn: https://www.linkedin.com/in/joseph-dagrosa-jr-59415934/

    Bonus Episode: Bringing Private Equity to the Mass Affluent

  7. Aug 19 ·  Bonus

    Bonus Episode: Life-Informed Wealth Planning Across Generations

    What if the most important part of your financial plan has nothing to do with the numbers on your statement?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Mitch Hamer, Founder and Lead Advisor at Intersecting Wealth, who shares how his psychologically informed approach helps high-net-worth families navigate money across multiple generations. Drawing on his background in psychology, Mitch explains why the most impactful conversations rarely revolve around spreadsheets and how “life-informed” planning better reflects clients’ real goals, stories, and risk capacity. He also discusses evolving the business from a trusted practice into an enduring enterprise while adapting to AI, shifting client expectations, and a rapidly changing wealth landscape.   Key Takeaways: → How life, psychology, behavior, and money shape every client’s decision. → More client breakthroughs come from conversations about biases, fears, and dreams than from portfolio models. → How estate planning, account titling, and goal-setting are often underserved, and each entity in a complex family structure deserves its own balance sheet with clear objectives. → What life-informed planning looks like in practice and why a one-size-fits-all model can cause advisors to miss what truly matters to clients. → Why LinkedIn and content creation are key to Intersecting Wealth’s next chapter.   Mitch Hamer is the Founder and Lead Advisor at Intersecting Wealth. He values guiding families through the comprehensive financial planning process. Given his approach, which is more psychological and behavioral than financial, Mitch enjoys helping families zoom out on what gets too much attention, zoom in on what is largely ignored by advisors, and then pull it all together. He finds being on the journey with families as they find clarity around their goals and dreams, and supporting them in implementation, uniquely rewarding. Prior to founding Intersecting Wealth in 2024, Mitch spent the previous eleven years as a Financial Advisor to high-net-worth individuals and families. Connect With Mitch: Website: https://intersectingwealth.com/ LinkedIn: https://www.linkedin.com/in/mitchellphamer/

    Bonus Episode: Life-Informed Wealth Planning Across Generations

  8. Aug 12 ·  Bonus

    Bonus Episode: Building a Firm Around the FORM of Life

    What if your financial advisor cared less about beating benchmarks and more about the family tree, mission, and life you’re actually building?   In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Tyson Ray, CFP®, CExP®, CIMA®, CEO and Founding Partner of FORM Wealth Advisors, who shares how an eviction notice on his family’s fridge shaped a mission-driven approach to money. As the author of The Total Relationship and the forthcoming Total Succession, Tyson explains why real advisory work starts with family, occupation, recreation, and mission—not pie charts, past performance, or product pitches. He shares insights into scaling past a billion in assets, fixing painful missteps with clients and the team, and preparing both families and advisors for the next great wave of wealth transfer.   Key Takeaways: → How FORM Wealth Advisors structures reviews and planning to reflect the actual shape of a client’s life. → Why advisors stop selling last week’s winning lottery numbers and start owning real-life responsibility for clients. → How FORM Wealth Advisors serves every branch of the family tree and why that has been vital to the firm’s growth.   → Why cutting “smaller” clients can erode trust in a close-knit community. → How inheritances split one large relationship into many smaller ones.   Tyson Ray, CFP®, CExP®, CIMA®, CEO, and Founding Partner of FORM Wealth Advisors, has developed extensive expertise in investment management, financial planning, and business exit strategies, earning recognition from Forbes, Barron’s, and AdvisorHub as a top advisor. Tyson also actively contributes to his community through philanthropic initiatives, including Children’s World Impact. His journey began at Badger High School, where, as a sophomore, he invested $100 in mutual funds, sparking a lifelong passion for financial strategy. After graduating from the University of West Florida, he returned to Southern Wisconsin to launch his career in financial services. Tyson enjoys spending time with his wife and three children, as well as hunting, fishing, playing golf, and exploring the outdoors.   Connect With Tyson: Website: https://totalsuccession.com/ LinkedIn: https://www.linkedin.com/in/tysonray/

    Bonus Episode: Building a Firm Around the FORM of Life
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The Registered Investment Advisor podcast is a financial services marketing podcast for every financial service from insurance to investment advising. Host Seth Greene is a nationally recognized direct response financial services marketing expert. Guests on the RIA Podcast will include experts in the insurance marketing field. In each interview, they share financial tips and tricks to help other people in financial services and producers to up their game.

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