Behind The Breakaway

Uptick Partners
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Your guide to leaving the captive broker-dealer world behind and experiencing the movement to RIA independence.

  1. 04/15/2025 · VIDEO

    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 advantages involved in such transitions. We also touch on the value of owning one’s book of business and the opportunities offered by Uptick Partners. 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 UptickPartners.com. Visit Our Website [https://uptickpartners.com/] Legal Disclosures [https://uptickpartners.com/disclosures/] -- Sign up for Uptick's Newsletter [BBMonthly.com]

    22 min

  2. 04/01/2025 · VIDEO

    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 advisors. We also delve into the challenges that Commonwealth advisors might face with technology and platform changes and explore the broader implications for the wealth management sector. Tune in for an insightful conversation about the future of financial advisory firms and the evolving landscape of financial technology. 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly [BBMonthly.com]

    29 min

  3. 03/26/2025 · VIDEO

    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 stay mentally resilient. They also discuss the unexpected client responses and the importance of building a client base that truly values their services. This conversation aims to empower advisors to embrace the transition confidently and build a stronger, more engaged clientele. 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly [BBMonthly.com]

    16 min

  4. 03/13/2025 · VIDEO

    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 benefits of seeking guidance from experienced firms like Uptick Partners. 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

    26 min

  5. 01/22/2025 · VIDEO

    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, addressing common advisor concerns, potential for higher payouts, and long-term growth. The episode also covers the limitations of being tied to one custodian, the possibilities unlocked by multi-custodial options, and how better economics can boost an advisor's business. Tune in to understand why RIA independence might be the right path for you. 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

    45 min

  6. 11/27/2024 · VIDEO

    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 and potential complications introduced when involving middlemen, the misconceptions advisors face when leaving captive broker dealer firms, and how large aggregator firms' back office models may not offer the intended efficiencies. We emphasize the importance of advisor independence, and encourage stepping away from costly and inefficient structures to truly capitalize on the benefits of the RIA model. 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

    29 min

  7. 11/06/2024 · VIDEO

    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 emphasize the importance of a solid marketing plan, client communication, and strategic support to ensure a smooth and successful transition. Tune in to learn how Uptick's unique offering aims to get advisors back to 100% of their revenue more swiftly and securely. Check out the full WealthManagement.com article here: Uptick Partners Launches Guarantee Program for Partner Firms 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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

    15 min

  8. 10/15/2024 · VIDEO

    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 advisor departures. Our conversation includes the challenges and proactive measures for breakaway advisors, emphasizing the importance of making strategic decisions early on. We also examine how tools like Finny match clients and advisors based on values, and how Uptick Partners supports advisors in achieving independence. This episode provides critical insights for financial advisors navigating the future of advisor-client interactions and the RIA transition. FinancialAdvisorsIQ - EJ AI Play?  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 UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/

    25 min
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Ratings & Reviews

5
out of 5
4 Ratings

About

Your guide to leaving the captive broker-dealer world behind and experiencing the movement to RIA independence.

Information

  • Creator
    Uptick Partners
  • Years Active
    2024 - 2025
  • Episodes
    24
  • Rating
    Clean
  • Copyright
    © 2024
  • Show Website
    Behind The Breakaway