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Financial Advisor Success

The Financial Advisor Success podcast brings you real success stories and insights from the most successful financial advisors, and leading industry consultants, about how to take your advisory business to the next level. Get a glimpse of what it's like behind the scenes building a successful advisory business, and how entrepreneurial advisors navigate the inevitable highs, and lows, of growing a firm. Whether you're a new financial advisor trying to get started on the right foot, or an experienced advisor who's hit a wall, we're here to give you the insights and inspiration you need to break through and reach the level of success you want to achieve. Subscribe to the show, and get even more at the leading industry blog Nerd’s Eye View at www.Kitces.com.
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Now displaying: October, 2023
Oct 31, 2023

Jon Henderson is the Founder and CIO of Echo45 Advisors. Based in Walnut Creek, California, Echo45 Advisors oversees $163 million in assets under management for more than 180 client households. What sets Jon apart is his meticulous approach to integrating technology and personalized service, culminating in a finely-tuned advisor tech stack and a dedicated "Client Concierge" team member armed with a series of checklists to ensure unparalleled client experiences.

In this episode, we delve deep into Jon's journey, from his transition to his own firm after he left his more-than-$1 billion AUM team serving 420 clients at Merrill Lynch to his strategic use of technology. You'll learn about his "high tech and high touch" mindset as he expertly navigates the dynamic landscape of financial advisory and hear insights on his holistic perspective on delivering financial services in the modern age. From his pursuit of blockchain and digital asset knowledge to his unique amalgamation of cutting-edge software and personalized service, Jon's story is a testament to the coexistence of technology and human interaction in the realm of wealth management. 

For show notes and more visit: https://www.kitces.com/357 

Oct 24, 2023

Sarah-Catherine Gutierrez is the founder of Aptus Financial, a fee-only financial planning firm based out of Arkansas that is nearing $2 million in revenue for 480 client households. What stands out about Sarah Catherine is how she has built a multi-advisor, flat-fee, advice-only firm, challenging the industry's common reliance on AUM. Her success is attributed to sustainable marketing systems that allow advisors to concentrate solely on efficient financial planning, free from the distractions of client prospecting.

Listen in as Sarah-Catherine shares her strategic approach to transparently communicate her value through her financial planning fee structure and the creation of a trust-based Center of Influence, which eliminates the stress of prospect acquisition. We also discuss her efficient onboarding process that transforms prospects into clients within just two calls, her decision to segment planning fees, and the inspiration behind her custom financial planning spreadsheet. You'll hear about her tailored cashflow strategies for new physicians, her journey in trusting her instincts as a founder, and the ways her unique marketing approach has opened doors to speaking engagements and fresh prospect avenues.

For show notes and more visit: https://www.kitces.com/356

Oct 17, 2023

Brad Arends is the co-founder and CEO of Intellicents, an independent RIA based out of Minnesota that oversees $6 billion in assets under management for more than 3,000 households. Brad stands out for having built a multi-billion-dollar advisory firm by offering comprehensive financial planning to large company employees as an added benefit, rather than targeting multi-millionaire clients.

Listen in as Brad delves into his transition from focusing on 401(k) plan participants to expanding into wealth management, addressing the challenges of shifting advisors' mindsets and the evolution of his multi-pronged business model. We also explore the implications of the Pension Protection Act on his decision-making, his strategic move to sell a significant portion of his business to prioritize personal wealth management, and his innovative use of data to craft personalized financial plans.

For show notes and more visit: https://www.kitces.com/355

Oct 10, 2023

Grier Rubeling is the founder of Advisor Transition Services, a consulting firm based out of North Carolina that helps advisors move from one broker-dealer or custodian’s platform to another—often while breaking away to start their own firm. Grier stands out with her meticulous approach to aiding firms in swiftly transitioning custodians, a complex task both legally and emotionally. She has developed advanced, real-time Excel tools to keep advisors updated throughout the entire transition process, enabling them to resume their billing services as promptly as possible.

Listen in as Grier shares her strategic approach to aiding advisors in navigating the intricate terrain of transitioning between Broker Protocol, non-Protocol, and Protocol Not Applicable (PNA) scenarios, ensuring efficient client data organization and getting advisors back to billing as soon as possible. We also discuss Grier's unique journey into the financial realm (where her intrinsic ability to streamline systems and processes established her as a distinctive expert in advisor transitions), the challenges of hiring and firing her first full-time employee, and what poses the most significant obstacle in advisor transitions.

For show notes and more visit: https://www.kitces.com/354

Oct 3, 2023

Brett Danko is the Founder of Brett Danko Educational Center, a CFP Board Education and Exam Prep Provider, and the CEO and Managing Partner for Main Street Financial Solutions, an independent RIA based out of Pennsylvania that oversees nearly $2 billion in assets under management for 1,700 households. Brett stands out for combining his love for teaching with financial expertise, creating one of the nation's leading CFP exam prep programs and growing his own RIA to $2 billion in AUM. 

Listen in as he shares his unique approach to CFP exam preparation, as well as insights into his hourly financial planning model and the innovative structure of his firm—which empowers advisors to own their client relationships and design their own fee schedules. You'll also hear about his personal journey from job loss and depression to renewed purpose, highlighting the importance of delegation, mentorship, and self-awareness in building a fulfilling career.

For show notes and more visit: https://www.kitces.com/353

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