51 episodes

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.

RIA Collective Charlie Van Derven

    • Business
    • 5.0 • 3 Ratings

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.

    Moving from Asset Centric to Client Centric in Finance: A Conversation with Tyson Ray

    Moving from Asset Centric to Client Centric in Finance: A Conversation with Tyson Ray

    In this insightful episode of RIA Collective, host Charlie Van Derven engages in a thought-provoking conversation with guest Tyson Ray, the founding partner of Form Wealth Advisors. Urging a transition from a riches-focused mindset to a wealth-centered perspective, Tyson underscores the importance of nurturing total client relationships based on wealth, not just riches. Through anecdotes and experiences, Tyson details his journey in the finance industry, his transition towards total relationship investing, and the concept of 'funded contentment.' This episode unveils Tyson's passion for guiding clients toward their financial goals, breaking traditional molds, and employing technology to enhance client experiences. Listen in to understand his unconventional approach to wealth management and how he considers clients' lifetime goals central to wealth management. This conversation offers valuable insights for young advisors, independent advisors, and anyone seeking to redefine their perspective on wealth and client relationships.

    • 39 min
    Navigating Independent RIA Setups with Michael Rasmussen

    Navigating Independent RIA Setups with Michael Rasmussen

    In this episode of RIA Collective, host Charlie Van Derven invites Michael Rasmussen of United Atlantic Legal Services to share his expertise in aiding financial advisors in their transition to independent practices. Michael, with a background as a chief compliance officer and general counsel for various investment advisors, as well as experience as a regulator with FINRA, provides valuable insights into the complexities of starting an independent RIA.

    LinkedIn
    Website

    • 27 min
    Niche Mastery in Finance with Emily Haberkern

    Niche Mastery in Finance with Emily Haberkern

    In this episode of RIA Collective, host Charlie Van Derven sits down with Emily Haberkern of Evangelista & Associates to discuss the triumphs and trials of niche marketing within the financial advisory sector. Emily recounts her path to alignment with the firm's values and the unique approach to servicing university employees, emphasizing the importance of specialized knowledge and targeted service in a competitive industry. They tackle the topics of gender dynamics in finance and the benefits of a supportive RIA community.

    Tune in to gain strategic insights on carving out a niche and understanding the impact of focused marketing on client trust and growth.

    Emily Haberkern
    LinkedIn
    Website 

    • 21 min
    Mastering Independence: Data Aggregation and Client Management with Sam Kingston

    Mastering Independence: Data Aggregation and Client Management with Sam Kingston

    In this episode of RIA Collective, host Charlie Van Derven sits down with Sam Kingston from Arch, a SaaS platform serving family offices and RIAs, to discuss the transition of financial advisors from large firms to independent practices. They cover the challenges of data aggregation and investment management for affluent clients, the benefits of early engagement with platforms like Arch, and the technological strides independent advisors are making to provide sophisticated services rivaling those of wirehouses.

    Sam Kingston
    LinkedIn
    Website

    • 28 min
    Mastering Client-Centric Financial Transitions with Anthony Mlachnik

    Mastering Client-Centric Financial Transitions with Anthony Mlachnik

    In this episode of RIA Collective, host Charlie Van Derven sits down with financial expert Anthony Mlachnik in a reflective conversation about the complexities and nuances of navigating client-focused transitions in the financial industry. Anthony shares his professional journey, emphasizing the importance of a meticulously professional approach and the virtues of patience in ensuring decisions align with clients' best interests.

    Anthony Mlachnik
    LinkedIn
    Website

    • 19 min
    Navigating Independence: The Evolving Landscape of Financial Advising with David Pappalardo

    Navigating Independence: The Evolving Landscape of Financial Advising with David Pappalardo

    In this episode of RIA Collective, host Charlie Van Derven sits down with David Pappalardo of Segal Marco Advisors. Together, they dive deep into the world of financial advising and the ever-evolving trajectory towards independence. David sheds light on the dual-edged sword of independence: while it offers freedom, it also comes with significant responsibilities. Listen in as they discuss the nuances of being a solo player in the financial market, the essential need for planning, and how advisors can carve out unique identities in a saturated market.
     
    David Pappalardo
    LinkedIn
    Website 

    • 28 min

Customer Reviews

5.0 out of 5
3 Ratings

3 Ratings

xcyvtubhinjompk ,

Voice of Calm in the Noise

Charlie and his guests provide a needed clarity in a chaotic investmemt world. While CNBC talks about Bitcoin and SPACs, Charlie focuses on telling stories to help independent advisors. Lots of us have been great employees but he outlines becoming a business owners. He gives balanced advice in calm manner. No pressure, just thoughtful ideas!👍🥳

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