RIAcast is a podcast focused on the investment advisory community. In our episodes, we aim to provide interesting, provocative, and entertaining conversations with key players and thought leaders in the investment adviser space. Our goal at RIAcast is to provide a platform to present their stories and ideas.
Matt Baum, RIAcast's host, is an active securities and commercial litigator with the law firm Ellenoff Grossman & Schole LLP.
Please visit our website at http://www.riacast.com for more information.
The content contained in RIAcast podcasts is meant for informational purposes only, should not be relied on, and should not be construed as legal, investment, or tax advice. Attorney Advertising.
Ep. 16: The CIO Roundtable, Part 1
On this episode, RIAcast is joined by four Chief Investment Officers who have been participating for several years in a roundtable with regular meetings in which they openly share ideas and discuss and troubleshoot issues relating to their respective businesses. RIAcast gets to be a "fly-on-the-wall" on this first of two episodes.
It is our privilege to be joined by:
Christine McDermott, Avalon Trust
Justin Pawl, Covenant Multi-Family Offices
Leia Carpenter, Adell, Harriman & Carpenter
Tim Hartzell of Sequent Asset Management
In this episode, we discuss, among other things:
The biggest benefits of participating in a roundtable Their most significant takeaways from the roundtable Their level of interaction with clients Their favorite part of the CIO role The role of benchmarks Investing rules they never break
Ep. 1, Transition Success Series, featuring Fidelity: Wealth Alliance's Gary Decker and Fidelity's Andy Burgess
On this first episode of a planned RIAcast Transition Success Series, featuring Fidelity, we speak with Gary Decker, RIA Wealth Alliance Advisory Group's President and CEO as well as Fidelity Vice President Andy Burgess.
Gary and Andy discuss their successful collaboration after Gary and his colleague's breakaway from a traditional brokerage firm.
Gary and Andy discuss with Matt, among other things: The impetus for Gary's going independent * How Gary worked through the challenges of going from an employee to a business owner * How Andy walks advisors through the process after they decide to breakaway from a traditional brokerage firm * The biggest challenges Gary faced in his transition * Gary's advice for advisors considering going independent * Andy's take on how breaking away has changed for advisors facing non-Protocol transitions.
Special Edition Episode 1: No Protocol, No Cry
This special edition episode of RIAcast was prompted by Morgan Stanley's departure from the Protocol this past Friday, November 3, 2017. Morgan Stanley's Protocol exit has caused considerable buzz and debate in the industry.
In this episode, Matt provides an overview of some of the salient legal considerations for advisors facing non-Protocol transitions. Successful non-Protocol transitions are common, when handled appropriately.
The content contained in this episode is meant for informational purposes, should not be relied on, and should not be construed as legal, investment or tax advice. This podcast may be considered ATTORNEY ADVERTISING. Prior results do not guarantee similar outcomes.
Episode 15: Interview with Trust Company of America CEO Josh Pace
On RIAcast's 15th episode, we speak with Trust Company of America (TCA) CEO Josh Pace. TCA is an independent RIA custodian.
Josh and Matt discuss, among other things: TCA's consultative approach * its MMX initiative * TCA's use of data to advise its clients * the biggest challenges facing custodians * what the next generation of advisors is going to look like * Josh's non-profit Bicycles for Humanity
Episode 14: Redtail's Brian McLaughlin Discusses CRM
On this episode, Matt chats with Brian McLaughlin, CEO and Founder of Redtail Technology. Redtail has the largest RIA market share for client relationship management solutions delivered on a web-based platform.
Brian and Matt discuss, among other things: the founding of Redtail * Redtail’s mantra of “create raving fans” * Favorite war stories of RIAs successfully using CRM * How advisors can better use data * New initiatives at Redtail that Brian is most excited about * Brian's passion for weather and planes.
Episode 13: Ashland Partners' Richard Kemmling Discusses GIPS and Performance Standards
On this episode, we speak with Richard Kemmling, President of Ashland Partners, an accounting firm that provides due diligence solutions to the financial services industry. Ashland Partners is the largest provider of Global Investment Performance Standards (GIPS) verification services.
Richard and Matt discuss, among other things: Richard's background * His vision as Ashland Partners’ President * The increasing demand for GIPS compliance * Performance composites * GIPS marketing standards * Common mistakes by breakaways and performance documentation * Richard's passion for scouting.
Great perspective and delivery
Matt has the right mix of smarts and personality to deliver on topics of relevance to those in the financial advisory space with an interest in the legal implications of doing business in a changing landscape.
Off to a great start!
I have enjoyed this podcast in its early days and look forward to more. Keep up the great job, guys.
Smart and informative!