In this insightful episode of RIA Collective, host Charlie Van Derven engages in a captivating conversation with Judd Allen of Judd Allen Financial and the ICG Group. They delve into Judd's strategic transition from a broad financial advisory role to mastering a niche within the automotive sector. Reflecting on his initial uncertainties and the transformative journey to becoming a specialist, Judd shares how his passion for cars and understanding of automotive professionals' unique financial needs fueled his success.

The discussion explores the profound satisfaction Judd finds in building long-term relationships and witnessing his clients achieve their retirement dreams, highlighting that some rewards far surpass monetary compensation. They also touch on the importance of adapting to industry changes, leveraging technology, and the impact of specialized knowledge in fostering client trust and business growth.

Tune in for an inspiring look at how dedication to a niche, combined with genuine passion, can drive a fulfilling and successful career in financial advisory.

In this compelling episode of RA Collective, host Charlie Van Derven welcomes Justin Stevens, co-founder of O'Keefe Stevens Advisory, based in Rochester, New York. Justin shares his unconventional journey into the financial services sector, starting from a pivotal internship that steered him away from pre-med to finance, inspired by a family friend's recommendation. Their conversation dives deep into Justin's early career experiences, working in a nurturing family-run business, and the invaluable mentorship that shaped his professional philosophy.

Justin details the deliberate and thoughtful process behind founding O'Keefe Stevens Advisory with his partner Peter, highlighting the importance of philosophical alignment, integrity, and client-first values in their move towards independence. Their discussion uncovers the strategic planning, challenges, and teamwork involved in transitioning to an independent firm, growing their assets under management from 135 million to 350 million, and the vision driving their future growth towards a billion in AUM.

Tune in for an inspiring exploration of building a successful financial advisory firm from scratch, the power of supportive partnerships, and the relentless pursuit of growth aligned with core values. Justin's story is a testament to the transformative power of strategic planning, dedication, and the right team dynamics in the journey towards independence in the financial advisory world.

In this episode of RIA Collective, Charlie van der Ven welcomes Sara Stanich of Cultivating Wealth, based in Montauk, New York. Transitioning from a vibrant marketing career to founding her own RIA, Sara shares her journey through the early days of internet advertising, the .com crash, and eventually, the financial sector. Their conversation sheds light on the unique challenges and insights gained from transitioning to an independent financial advisor role, with a special focus on empowering women and navigating the divorce financial planning niche.

Listeners will gain valuable perspectives on leveraging diverse backgrounds for success in financial planning and the strategic moves that propelled Cultivating Wealth. Sarah's story is an inspiring example of how adaptability and passion can pave the way for a fulfilling career in finance.

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.

Securities through Raymond James Financial Services, Inc. Member FINRA / SIPC. Investment advisory services are offered through Raymond James Financial Services Advisors Inc.  FORM Wealth Advisors is not a registered broker/dealer and is independent of Raymond James Financial Services. Raymond James and its advisors do not provide tax advice. Podcast guest is Tyson Ray, CEO, Founding Partner, Senior Wealth Advisor at FORM Wealth Advisors. FORM Wealth Advisors is located at 431 Geneva National Ave S, Lake Geneva, WI, 53147; 262-686-3005.

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.

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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
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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
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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
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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
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In this episode of RIA Collective, host Charlie Van Derven is joined by Scott Matasar, a seasoned attorney with a unique perspective on the intersection of law and business. Dive into the intricacies of navigating legal complexities in the corporate world, the importance of understanding both the courtroom and the boardroom, and the strategies Scott employs to ensure success in both arenas.

Tune in for an enlightening conversation that sheds light on the synergy between legal acumen and business strategy, offering professionals insights into the challenges and rewards of blending two distinct yet interconnected fields. Learn about the art of negotiation, the significance of building robust business relationships, and the unparalleled value of legal expertise in the world of commerce.

Scott Matasar
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