RIA Collective

Charlie Van Derven
  • 5.0 (3)
  • Investing

Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com.

  1. RIA Collective: Damian Lo Basso | Why RIAs Need a CFO Before They Think They Do

    1d ago

    RIA Collective: Damian Lo Basso | Why RIAs Need a CFO Before They Think They Do

    Most RIAs don’t think they need a CFO… until they realize they do. In this episode of RIA Collective, host Charlie Van Derven sits down with Damian Lo Basso, Founder of My RIA CFO, to discuss the financial blind spots that hold advisory firms back during transition, growth, and scaling. Damian brings a rare level of experience to the RIA space. After working in investment banking and M&A, he helped build Dynasty Financial Partners’ OCFO program, launched one of the industry’s first outsourced CFO firms, and later served as CFO for multi-billion-dollar RIAs before launching My RIA CFO. Together, Charlie and Damian discuss: Why many RIAs wait too long to professionalize financial operationsThe hidden risks advisors overlook during transitionWhy bookkeeping alone is not enough for growing firmsHow RIAs should think about forecasting, hiring, and scalingWhy fractional leadership is reshaping the independent advisor spaceHow advisors can access institutional-level support without institutional-level overheadThe growing ecosystem helping RIAs thrive after leaving wirehousesDamian also explains why many firms mistakenly believe “money in the bank” means the business is healthy, while missing the larger strategic picture hidden inside the numbers. This episode is especially valuable for:  ✔️ Advisors considering independence  ✔️ RIAs preparing to scale  ✔️ Firms evaluating outsourced leadership support  ✔️ Advisors navigating M&A or transition decisions In addition to this conversation, Charlie and Damian recently joined forces with other industry leaders for a webinar focused on how RIAs can leverage fractional leadership to grow more efficiently without adding massive overhead. The webinar covers: Fractional CFO, CMO, COO, and CIO supportHow outsourced leadership creates leverage for RIAsThe economics of scaling smarterCommon mistakes advisors make during growth and transition🎥 Watch the webinar replay here https://youtu.be/khHHwwMrvHs 🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and build stronger businesses. 🔗 Connect with Damian Lo Basso 🌐 Website: https://www.myriacfo.com 📧 Email: dlobasso@myriacfo.com 🔗 Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ ⏱️ Chapters 00:00 – Why RIAs are evolving  02:00 – Damian’s background in M&A and CFO work  05:00 – Why RIAs underestimate financial operations  08:00 – The future of independent advisory firms  11:00 – Why outsourcing leadership roles works  14:00 – Transition mistakes advisors make  18:00 – What the SEC is looking for during audits  21:00 – Why bookkeeping is not enough  24:00 – Scaling an RIA the right way

    27 min
  2. RIA Collective: Andree Mohr | Why Advisor Independence Starts With Your “Why”

    May 18

    RIA Collective: Andree Mohr | Why Advisor Independence Starts With Your “Why”

    What does advisor independence actually mean? In this episode of RIA Collective, host Charlie Van Derven sits down with Andree Mohr, President of Integrated Partners, to explore why the move to independence is about much more than business structure. Andree shares her unique journey from starting as a PR intern at 17 years old to becoming president of one of the largest independent firms in the country. Along the way, she explains why the best advisors are not just building businesses, they’re building lives and practices aligned with their values. Together, Charlie and Andree discuss: Why independence is really about serving clients without conflicting prioritiesThe biggest misconceptions wirehouse advisors have about independenceWhy advisors need to understand their “why” before making a moveHow independence changes the role from advisor to business ownerThe importance of planning-first advice versus product-first adviceHow Integrated Partners helps entrepreneurial advisors thriveAndree also explains why the word “fiduciary” has become overused in the industry and why true independence may be the better way to think about client-first advice. This episode is especially valuable for:  ✔️ Wirehouse advisors considering independence  ✔️ RIAs looking to scale intentionally  ✔️ Advisors exploring different business models  ✔️ Anyone wanting to build a more fulfilling advisory career 🎧 Watch now and subscribe to RIA Collective for conversations that elevate the independent advisor profession. 🔗 Connect with Andree Mohr 💼 LinkedIn: https://www.linkedin.com/in/andree-peterson/  🌐 Integrated Partners: https://integrated-partners.com/ 🔗 Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ ⏱️ Chapters 00:00 – From PR intern to president 03:00 – Why financial services matters 05:00 – Independence vs fiduciary language 08:00 – Misconceptions about independence 10:00 – Becoming a true business owner 13:00 – Why advisors need clarity before transitioning 15:00 – Building a fulfilling career in wealth management

    18 min
  3. RIA Collective: Tyson Ray | What Advisors Don’t Know About Succession (And It Costs Them)

    Apr 28

    RIA Collective: Tyson Ray | What Advisors Don’t Know About Succession (And It Costs Them)

    What if you don’t actually own your book of business? In this episode of RIA Collective, host Charlie Van Derven sits down with Tyson Ray of FORM Wealth Advisors to break down one of the most misunderstood topics in financial services: succession. Tyson shares the eye-opening realization that many advisors, especially in W2 or hybrid models, may not truly own the goodwill of their clients. That has massive implications when it comes time to sell, transition, or exit your business. He also introduces his S.P.A.C.E. framework, a practical way for advisors to think through succession beyond just retirement planning. Together, Charlie and Tyson discuss: Why many advisors don’t actually own their client relationshipsThe difference between W2, 1099, and RIA ownership structuresWhy succession planning is about more than retirementThe biggest mistakes advisors make when planning an exitHow to think about succession if something happens tomorrowThe emotional and lifestyle side of stepping away from your firmThis episode is especially valuable for: Advisors at wirehouses or broker-dealersRIAs thinking about long-term exit strategiesAdvisors nearing retirementAnyone who wants more control over their business and futureTyson also shares insights from his book “Total Succession”, designed to help advisors understand their options and make better decisions without bias. 🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and plan for the future. 🔗 Connect with Tyson Ray 📘 Book: https://totalsuccession.com 💼 LinkedIn: https://www.linkedin.com/in/tysonray/ 🔗 Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ ⏱️ Chapters 00:00 – Why succession matters now more than ever 02:00 – Do you actually own your book? 05:30 – W2 vs 1099 vs RIA explained 09:00 – The S.P.A.C.E. framework 13:00 – Common succession mistakes 17:00 – Planning for the unexpected 19:30 – Lifestyle, legacy, and exit decisions

    21 min
  4. RIA Collective: Thomas Clawson | The AI CRM Changing How Advisors Build Relationships

    Apr 28

    RIA Collective: Thomas Clawson | The AI CRM Changing How Advisors Build Relationships

    What happens when a CRM is built for advisors with AI at its core, instead of having AI bolted on later? In this episode of RIA Collective, host Charlie Van Derven sits down with Thomas Clawson, Co-Founder of Slant, to explore how AI-native CRM technology is changing the way financial advisors manage relationships, automate workflows, and grow their businesses. Thomas shares how Slant evolved from a marketing automation tool into a full CRM after advisors kept asking for more powerful ways to manage workflows, notes, reviews, and client communication. He also explains why building a CRM from scratch in the AI era creates a major advantage over legacy systems that are still trying to retrofit modern functionality. Together, Charlie and Thomas discuss: Why traditional CRMs are struggling to keep up with AIThe difference between AI point solutions and AI-native platformsHow advisors can automate client reviews, reminders, and workflowsCreative ways to deepen relationships at scaleHow Slant approaches compliance, data protection, and securityWhy the future of advice is still rooted in relationshipsThomas also shares some of the most interesting use cases inside Slant, including AI-generated client outreach, review tracking, family relationship mapping, and workflows that help advisors stay connected not just with clients, but with spouses and the next generation as well. This episode is especially valuable for: Independent advisors and RIAsFirms evaluating CRM and AI toolsAdvisors looking to improve efficiency without losing the human touchLeaders thinking about the future of advisor tech🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and lead the future of financial advice. Connect with Thomas Clawson 🌐 Slant: https://slant.app 💼 LinkedIn: https://www.linkedin.com/in/thomasclawson/ Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ Chapters 00:00 – Why this episode is different 02:00 – Why build a CRM for advisors 05:00 – Compliance, security, and protecting client data 07:00 – Moving beyond note takers 10:00 – AI workflows inside CRM 14:00 – What’s coming next for Slant 18:30 – The future of advisor growth and relationships 20:00 – Why the next generation matters more than ever

    23 min
  5. RIA Collective: Dennis Huergo | What Advisors Get Wrong About Growth and Independence

    Mar 30

    RIA Collective: Dennis Huergo | What Advisors Get Wrong About Growth and Independence

    What does it really take to grow as a financial advisor? In this episode of RIA Collective, host Charlie Van Derven sits down with Dennis Huergo of Wealth Enhancement Group to explore the mindset, career decisions, and experiences that shape successful advisors over time. Dennis shares his journey from military service into financial services, starting in insurance and sales, and eventually transitioning toward true financial planning and independence. Along the way, he reflects on the lessons that accelerated his growth and the mistakes that slowed him down. Together, Charlie and Dennis discuss: Why what you consume shapes the direction of your careerHow being the least experienced person in the room can accelerate growthThe difference between sales-driven roles and true financial planningWhat advisors often get wrong early in their careersThe tradeoff between short-term income and long-term developmentHow mindset, discomfort, and environment impact successDennis also shares how his upbringing as the child of Cuban immigrants shaped his perspective on responsibility, growth, and making the most of opportunities. This episode is especially valuable for: Advisors early in their careerProfessionals considering independenceAdvisors feeling stuck in sales-focused rolesAnyone looking to grow faster by learning from others🎧 Watch now and subscribe to RIA Collective for conversations that elevate the independent advisor profession. Connect with Dennis Huergo 🌐 Website: https://www.wealthenhancement.com 📧 Email: dhuergo@wealthenhancement.com Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ Chapters 00:00 – From military to financial services 03:30 – The impact of upbringing on financial mindset 07:10 – What you consume shapes your career 11:00 – Growth through uncomfortable environments 15:20 – Sales vs financial planning 19:00 – Lessons Dennis would do differently 22:30 – Advice for advisors considering independence

    16 min
  6. RIA Collective: Sam Sova | AI Coworkers Are Changing Advisory Firms

    Feb 23

    RIA Collective: Sam Sova | AI Coworkers Are Changing Advisory Firms

    AI is everywhere in financial services, but most advisors are only scratching the surface. In this episode of RIA Collective, host Charlie Van Derven sits down with Sam Sova, Co-Founder of Subatomic AI, to explore how artificial intelligence is moving beyond basic tools and becoming a true collaborative partner inside advisory firms. Sam shares how RIAs can use AI to unify data across CRMs, custodians, portfolio platforms, email, and communication tools. The result is fewer manual tasks, more efficiency, and the ability to break through growth ceilings without adding headcount. Together, Charlie and Sam discuss: Why AI is at a “1995 moment,” similar to the early internetHow advisors are losing more than 40% of their time to tasks AI can now handleWhy meeting preparation is one of the biggest hidden time drains in advisory firmsHow AI coworkers can automatically generate agendas, insights, and recommendationsThe future of personalized client journeys and proactive touchpointsHow Subatomic approaches security, compliance, and transparency for RIAsWhy AI is not about replacing people, but about doing more with the same teamSam also explains how Subatomic helps firms save hundreds, and in some cases thousands, of hours per year. That time can be reinvested where it matters most: relationships, trust, and growth. This episode is especially valuable for: Independent advisors and RIAsFirms hitting a growth ceilingAdvisors curious about AI beyond note-taking toolsLeaders planning for the next decade of advice🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and lead the future of financial advice. Connect with Sam Sova 🌐 Subatomic AI: https://subatomic.ai Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ Chapters 00:00 – Why this episode is different 03:00 – AI’s “1995 moment” 07:45 – Where advisors lose the most time 11:00 – AI-powered meeting preparation explained 15:30 – Unifying data across advisor technology stacks 19:00 – Security, compliance, and transparency 22:30 – The future of AI coworkers in RIAs

    23 min
  7. RIA Collective: Jon Henderson | Building a One-Stop RIA for the Next Decade

    Feb 9

    RIA Collective: Jon Henderson | Building a One-Stop RIA for the Next Decade

    What does the next generation of advisory firms actually look like? In this episode of RIA Collective, host Charlie Van Derven sits down with Jon Henderson, Founder of Echo45 Advisors, to explore how independent firms are evolving beyond traditional investment management into fully integrated advisory businesses. After spending 20 years at Merrill Lynch, Jon made the leap to independence and built a firm designed for where client expectations are heading - not where they’ve been. That includes adding tax and estate services, leveraging partnerships instead of doing everything in-house, and positioning his firm to thrive in a future shaped by automation and AI. Together, Charlie and Jon discuss: Why adding tax and estate services is a game-changer for advisory firmsHow AI will disrupt bookkeeping and compliance - and what advisors should focus on insteadWhy clients panic more about taxes than market volatilityThe rise of the “one-stop firm” and what clients actually want todayHow to create a family-office-like experience for the mass affluentWhy integration beats silos when it comes to long-term growthThis conversation is especially relevant for: ✔️ Independent advisors ✔️ RIAs thinking about adding tax or estate services ✔️ Firms planning for the next 5–10 years ✔️ Advisors who want to deepen client relationships without burning out 🎧 Listen now and subscribe to RIA Collective for conversations that elevate the independent advisor profession. Connect with Jon Henderson 🌐 Website: https://www.echo45advisors.com/ 💼 Firm: Echo45 Advisors 📘 Facebook: https://www.facebook.com/Echo45Advisors 🔗 LinkedIn (Company): https://www.linkedin.com/company/echo45advisors/ 📸 Instagram: https://www.instagram.com/Echo45_Advisors/ ▶️ YouTube: www.youtube.com/@UCkhMC5FRtPHf4_vnYp0tEIg  🐦 X (Twitter): https://x.com/echo45advisors 👤 LinkedIn (Jon Henderson): https://www.linkedin.com/in/jhendersonecho45/ Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/

    22 min
  8. RIA Collective - Jon Randall: How Capacity Constraints Kill Advisor Growth

    Jan 21

    RIA Collective - Jon Randall: How Capacity Constraints Kill Advisor Growth

    Most advisors don’t hit a growth ceiling because they lack effort - they hit it because their capacity is broken. In this episode of RIA Collective, host Charlie Van Derven sits down with Dr. Jon Randall, founder of Extraordinary Financial Advisors (XFA), to unpack what truly holds financial advisors back from sustainable growth - and how to break through it. With more than 20 years of experience coaching hundreds of top advisory firms (including many in the Barron’s Top 100), Jon brings a rare perspective that blends practice management, psychology, and real-world execution. Together, Charlie and Jon discuss: Why the “more clients, more assets” script works early - then sabotages growth laterHow capacity constraints quietly kill referrals and momentumWhy most advisors have too many of the wrong clientsThe psychology behind why it’s so hard to let go - even when you know you shouldHow narrowing your ideal client profile simplifies marketing, referrals, and scaleJon explains why demand for financial advice is increasing, while the number of advisors providing it is declining - creating massive opportunity for firms that fix their fundamentals instead of chasing shiny tactics. This conversation is essential listening for:  ✔️ Independent advisors  ✔️ RIAs feeling stretched thin  ✔️ Firms stuck at a growth plateau  ✔️ Advisors who want to scale without burnout 🎧 Watch now and subscribe to RIA Collective for more conversations that help independent advisors grow with clarity, confidence, and purpose. Connect with Dr. Jon Randall 🌐 Website: https://www.xfa.coach/ 📘 Book & Podcast: The Extraordinary Financial Advisor Connect with Charlie Van Derven 🌐 Social Advisors: https://www.social-advisors.com 💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/ Chapters 00:00 – Why advisors hit growth ceilings 02:30 – The “more clients” script and why it breaks 06:45 – Capacity constraints and referral breakdowns 11:20 – Right-sizing your book (and why it’s hard) 16:10 – Ideal client clarity and smarter growth 21:00 – Why fundamentals beat tactics every time #RIACollective #FinancialAdvisors #AdvisorGrowth #PracticeManagement #RIA #WealthManagement #AdvisorCapacity #IndependentAdvisor #AdvisorPsychology #ClientExperience

    24 min
See All (68)

Ratings & Reviews

5
out of 5
3 Ratings

About

Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com.

Information

  • Creator
    Charlie Van Derven
  • Years Active
    2022 - 2026
  • Episodes
    68
  • Rating
    Clean
  • Copyright
    © 2026 RIA Collective
  • Show Website
    RIA Collective

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