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Behind The Breakaway episodes
- Episode 14 - Why Are Advisors Skipping the IBD Channel?
In this episode, we discuss a news article highlighting the shift of advisors from Independent Broker Dealers (IBD) directly to the Registered Investment Advisor (RIA) channel as reported by Bernie Clark of Charles Schwab. The episode explores why advisors are bypassing the IBD channel, the benefits of the RIA model, and the industry changes driving this movement. We provide a candid conversation about the advantages and considerations for advisors contemplating this transition and offer their expertise to help guide those exploring RIA independence.
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/
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Financial Advisors IQ Article - RIA Channel a Growing Sore Spot for IBDs: Schwab's Bernie Clark
21 min - Episode 13 - What Happens To My Commission Business?
In this episode, we explore the impacts on commissioned businesses when transitioning from a captive broker dealer to a fee-only RIA. We provide insights into share class conversions, annuity policies, 529 plans, and the necessary paperwork associated with these changes. This episode offers practical advice for financial advisors looking to make a smooth transition into the world of RIA Independence.
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/
16 min - Episode 12 - Do I Need A Big Back Office?
In this episode, we delve into the importance and functions of a back office when transitioning from a captive broker dealer to an RIA. We explore misconceptions about needing a large back office for efficiency and discuss the services required for a smooth transition.
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
Legal Disclosures
29 min - Episode 11 - How Do I Explain RIA To Clients?
In this episode, we tackle the challenge of explaining the term 'Registered Investment Advisor' (RIA) to clients, especially those unfamiliar with the concept. They delve into the nuances of breaking away from captive broker-dealers and offer strategies for turning these discussions into positive, informative interactions. The conversation highlights how to convey the advantages of going independent and maintaining client trust during the transition.
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
Legal Disclosures
39 min - Episode 10 - Why Are Company Cultures Changing? (w/ Strive CEO & CIO Matt Cole)
In this episode, Jason Barber interviews Matt Cole, CEO & CIO of Strive Asset Management, to discuss the importance of culture in financial firms and the motivations behind career transitions to pursue purpose-driven missions.
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
Legal Disclosures
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For more information about Strive visit:
Strivefunds.com
18 min - Episode 9 - What Does Going Independent Mean?
In this episode, we explore the different pathways and considerations for financial advisors considering the breakaway movement, from being an employee to going fully independent, including the roles of private equity and owning one's ADV in achieving true independence.
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
Legal Disclosures
38 min - Episode 8 - What Is The First Step With Uptick?
In this episode, we discuss what to expect when engaging with Uptick Partners as you're navigating the breakaway from your captive broker-dealer. 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
Legal Disclosures
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Check out the @DiamondconsultantsNJ podcast
50 min - Episode 7 - How Do I Pick A Custodian?
In this episode, we discuss the good and bad of various custodians, and how choosing the right custodian for your specific situation can lead to more assets successfully moved during your breakaway. 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
Legal Disclosures
36 min - Episode 6 - Do You Own Your Book?
In this episode, we talk about the advantage of owning your own book of business in the RIA space and when it comes to risk mitigation, business valuation, and succession planning. 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
Legal Disclosures
27 min - Episode 5 - What Payout Should I Expect?
In this episode, we try to bring some transparency and clarity to what breakaway advisors should expect their payout to be in the RIA space and what Uptick Partners provides their 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
Legal Disclosures
1 hr 10 min
About Behind The Breakaway
From the publisher's feed
Your guide to leaving the captive broker-dealer world behind and experiencing the movement to RIA independence.