Gary is back! Join Gordo and Gary as they unravel the complexities of RIA transactions, from the nuances of equity to the art of negotiation. They'll discuss how understanding these elements can transform your approach to selling your RIA and more. Learn:

• Insights into the negotiation strategies that can maximize the value of a sale.
• How client consent works in the transaction process.
• The importance of understanding equity structures and their impact on sellers.
• Four key components of an RIA transaction: closing cash, equity, deferred payments, and earn-outs.

Subscribe to our Other Channels!

• https://www.youtube.com/@MeetModernWealth
• https://www.youtube.com/@AmericasWealthManagementShow

Episode 012: https://youtu.be/e5g_d_XF7wk

Episode 013: https://youtu.be/3BC7LibB4OI

Episode 014: https://youtu.be/zkEMqaZkVMk

Follow Us on LinkedIn: https://www.linkedin.com/company/meet-modern-wealth-management/

Connect with Us: Modcast.show

In this Modcast episode, Gordo and Mike Capelle explore strategies for building enterprise value in financial advisory firms. They highlight client-centric growth, post-acquisition integration, scalable investment management, next-gen advisor development, and key performance metrics. They'll dig into that and more:

• Understand your client and target market to deliver focused value.
• Distinguish between market-driven growth and genuine business expansion.
• Maintain a consistent brand message and client experience for maximum value.
• Invest in career paths and the next generation of advisors for sustained growth.

Subscribe to our Other Channels!

• https://www.youtube.com/@MeetModernWealth
• https://www.youtube.com/@AmericasWealthManagementShow

Episode 013: https://youtu.be/3BC7LibB4OI

Episode 006: https://youtu.be/2uK-wZgYLh0

Follow Us on LinkedIn: https://www.linkedin.com/company/meet-modern-wealth-management/

Connect with Us: Modcast.show

In this episode, Gordo welcomes Mike Capelle, Co-Founder and Co-CEO. They dive into the evolution of tech stacks and platforms, exploring how technology has transformed the financial advisory landscape since he started his career in wealth management.

• Tech evolution from 2004 to now.
• Importance of interconnectivity in tech.
• AI's role in wealth management.
• Building proprietary tools vs. leveraging existing ones.

Future tech trends in financial services. Subscribe to our Other Channels!

• https://www.youtube.com/@MeetModernWealth
• https://www.youtube.com/@AmericasWealthManagementShow

Episode 001: https://youtu.be/yJuil2Iu2FU

Episode 010: https://youtu.be/qWw9hQZS_IQ

Connect with Us: Modcast.show

In episode 12 of The Modcast, we dive into the world of investment management with Stephen "Tuck" Tuckwood, the Director of Investments at Modern Wealth Management. Hosted by Jason Gordo, this episode offers a blend of professional insights and background, making it a must-listen for anyone interested in the intricacies of investment platforms and the dynamics of a growing financial firm.

Tuck elaborates on his role as the Director of Investments, emphasizing the importance of being an extension of the advisory team. He explains how his team provides critical support to advisors, offering a wide array of vetted investment options. This approach allows advisors to tailor strategies to their clients' unique needs, fostering a culture of open architecture and choice rather than a one-size-fits-all model.

The episode also delves into the firm's impressive growth trajectory, with Tuck discussing the strategic acquisitions that have expanded the team to 249 employees and increased assets under management to over $10 billion.

He highlights the collaborative nature of the investment committee, which includes strong advisor representation to ensure that the platform meets the evolving needs of clients. There is more than that in this episode, so tune in to learn more.

Subscribe to our Other Channels!

https://www.youtube.com/@MeetModernWealth https://www.youtube.com/@AmericasWealthManagementShow

Episode 011: https://youtu.be/OJ7HMMifsUM

Connect with Us: Modcast.show

In episode 11 of The Modcast, hosts Jason Gordo and Gary Roth host our first guests and dive into:

• Real Stories from Real Offices
  • Guests Dean Barber and Mark King shared how their teams experienced meaningful career growth after joining Modern Wealth. From investment platform roles to office leadership, their stories illustrate the human impact of strategic decisions.
• Selling a Business Is More Than a Financial Transaction
  • The decision to sell or merge a firm impacts more than just ownership, it reshapes the career trajectories of the entire team. Advisors must consider how their team will be supported, challenged, and elevated post-transaction.
• Career Pathing Is a Strategic Priority
  • Firms like Modern Wealth prioritize career development, offering team members the chance to grow into national roles, leadership positions, and specialized departments. Employees can stay in their current roles or explore new ones across the organization.
• Rebranding Requires Courage and Clarity
  • Transitioning from a legacy brand to a unified national identity can be emotionally challenging, but it reinforces consistency, scalability, and long-term vision. Clients care more about relationships than logos.
• Operational Relief Unlocks Growth
  • Centralized compliance, marketing, and investment support free up advisors and staff to focus on client service and business development. This operational lift is often a key motivator for joining a larger platform.

Episode 010: https://youtu.be/qWw9hQZS_IQ

Connect with Us: Modcast.show

In episode 10 of The Modcast, hosts Jason Gordo and Gary Roth discuss what the workplace of the future might look like. From shifting real estate needs to evolving hiring practices, the post-COVID world has rewritten the rules on where and how we work. In this episode, Jason and Gary dive into:

• Work-from-home policies and how they've reshaped office space
• The rise of remote work and its impact on hiring
• Hybrid models—and whether they're here to stay

Remote Work Poll: https://www.linkedin.com/feed/update/urn:li:activity:7366099553327980544/

Episode 009: https://youtu.be/XpKBalA-Kn4

Connect with Us: Modcast.show

In episode nine of The Modcast, hosted by Gary Roth and Jason Gordo, they discuss the how private equity has changed the RIA industry over the last decade or so.

Episode Highlights:

• Private Equity's Role in RIA Space
• Impact on Valuation and Transactions
• Professionalization and Operational Excellence
• Scalability and Stability
• Industry Growth and Opportunities

Episode 005: https://youtu.be/LIx-CtFSA0g

Fidelity Source: https://clearingcustody.fidelity.com/app/literature/view?itemCode=9919281&renditionType=PDF

DeVoe & Co Source: https://static1.squarespace.com/static/5410ec1be4b0b9bdbd0cc342/t/67647b5a16b360607c495b19/1734638426541/Press+Release+-+December+Deal+Activity+Alert+FINAL+FINAL+12+19+24.pdf

S&P Global Source: https://www.spglobal.com/market-intelligence/en/news-insights/articles/2025/2/private-equity-deals-in-asset-management-sector-hit-3year-high-87617815

Echelon Partners Source: https://7475083.fs1.hubspotusercontent-na1.net/hubfs/7475083/ECHELON%202024%20RIA%20M%26A%20Deal%20Report.pdf

American Investment Council Source: https://www.investmentcouncil.org/new-ey-report-shows-private-equity-strengthens-u-s-economy-with-more-jobs-higher-pay-and-increased-investment/#:~:text=WASHINGTON%2C%20D.C.%20%E2%80%93%20Private%20equity%20continues,percent%20of%20total%20U.S.%20GDP.

In episode eight of The Modcast, hosted by Gary Roth and Jason Gordo, they discuss the elements of a deal.

Episode Highlights:

• Understanding the Letter of Intent and its role in deal-making.
• The significance of due diligence as an element of the deal and what it entails.
• How private equity is influencing the RIA & A space.
• The transition and integration process for new partners.
• The importance of cultural fit and team dynamics in successful mergers.

Episode 006: https://youtu.be/2uK-wZgYLh0

Connect: https://modcast.show

In episode seven of The Modcast, hosted by Gary Roth and Jason Gordo, they discuss 10 reason they said no to a deal, a buyer's perspective.

Episode Highlights:

• Client Demographics: Recognizing the impact of client concentration risk.
• Systems and Tech Stack: How technology influences business value and sustainability.
• Team Strength: The significance of having a strong, cohesive team.
• Transferability: Ensuring business processes are easily transferable.
• Sustainability: Evaluating the long-term viability of business practices.
• Ego in Business: Understanding how ego can affect decision-making.
• And more

Episode 001: https://youtu.be/yJuil2Iu2FU Episode 002: https://youtu.be/kaczbeteoeA Episode 003: https://youtu.be/ToN_dx4P1FI Episode 006: https://youtu.be/2uK-wZgYLh0 Connect: https://modcast.show

In episode six of The Modcast, hosted by Gary Roth and Jason Gordo, they discuss 10 reason they said yes to a deal, a buyer's perspective. Episode Highlights:

• Cultural Fit: The importance of aligning values and the "dinner test" for assessing compatibility.
• Business Model Alignment: Ensuring the business model fits with financial planning, tax engagement, and investment management.
• Control Sharing: The necessity of a shared control experience between buyers and sellers.
• Brand and Platform Adoption: The significance of adopting a unified brand and integrating into the existing platform.
• Equitizing the Next Generation: The need to incentivize and involve the next generation in the business.
• Focus on Core Strengths: Reducing noise by eliminating non-core activities and focusing on client engagement and problem-solving.

• And more

Episode 004: https://youtu.be/CHQLa2IQJ98

Episode 005: https://youtu.be/LIx-CtFSA0g

Connect: https://modcast.show