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S1E24 Episode 24 - Why Are RIA Employee Advisors Breaking Away? | Behind The Breakaway
In this episode of Behind the Breakaway, we discuss the emerging trend of financial advisors breaking away from RIA employment to achieve greater independence. We explore the motivations behind this…
S1E23 Episode 23 - Let's Talk: LPL & Commonwealth Deal With Special Guest, Jason Wenk | Behind The Breakaway
In this episode, we discuss the breaking news of LPL Financial's acquisition of Commonwealth. Jason Wenk, CEO and Founder of Altruist, joins the Behind the Breakaway podcast to share his perspectives…
S1E22 Episode 22 - What Happens If I Lose A 'Good' Client? | Behind The Breakaway
In this episode of Behind the Breakaway, we discuss the challenges faced when transitioning from a captive broker-dealer to an RIA firm, particularly focusing on the emotional and mental hurdles. We…
S1E21 Episode 21 - How Do I Minimize The Risk of Getting Sued? | Behind The Breakaway
In this episode, we delve into a recent lawsuit between Edward Jones and Commonwealth Financial, and we discuss the challenges advisors face when breaking away from captive broker-dealer firms. We…
S1E20 Episode 20 - What's Ahead for 2025 and 2026? | Behind the Breakaway
In this episode, we discuss what's in our plans for 2025 and 2026 as well as more on the process of leaving a captive broker dealer firm for RIA independence, focusing on Uptick Partners' Guarantee.…
S1E19 Episode 19 - Myth Busted: 'I Need A Big Back Office'
In this episode, we debunk the myth that transitioning financial advisors need a massive back office. We explain how many back office tasks are already handled by custodians like Schwab, Pershing, or…
S1E18 Episode 18 - The Uptick Transition Guarantee | Behind The Breakaway
In this episode, we are excited to introduce Uptick's Transition Guarantee, recently highlighted in a wealthmanagement.com interview. We discuss how this innovative approach can help advisors feel…
S1E17 Episode 17 - Pros And Cons Of AI | Behind The Breakaway
In this episode, we discuss the transformative impact of AI and data analytics on financial advising. Highlighting an article from FinancialAdvisorsIQ of Edward Jones's significant use of AI, we…
S1E16 Episode 16 - Bridge Builder Path To Independence Book Launch | Behind The Breakaway
In this episode, we announce the launch of our new book, 'Bridge Builder Path to Independence,' aimed at advisors considering leaving their captive broker dealer firms for RIA independence. We…
S1E15 Episode 15 - Partner Firm Transition Experience
In this episode, we share our experience of assisting an Uptick Partner firm in transitioning from a captive broker dealer to becoming an independent Registered Investment Advisor (RIA). We discuss…
S1E14 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…
S1E13 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…
S1E12 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…
S1E11 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…
S1E10 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…
S1E9 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…
S1E8 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…
S1E7 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.…
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…
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…
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Behind The Breakaway has published 24 episodes since February 2024, covering topics in Business, Investing.
Behind The Breakaway is currently dormant with new episodes monthly. Average episode length is 29m.
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