Tag Archives: #KingswoodUS

Episode 91 – What to Consider Before Changing Firms – with Jaime Golden

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Jaime Golden is the President of Acquisitions at Kingswood U.S., an SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor. 

In today’s episode, Doug and Jaime talk about the importance of advisors finding the right fit and what they should take under consideration when making a move to a new firm. They also discuss

  • Whether or not the types of advisors looking for new homes have shifted
  • How factors outside of market performance drive advisors to entertain a change
  • Why advisors should look for a good cultural fit in a new firm
  • How advisors can evaluate whether or not a new broker-dealer is a good fit
  • How Jaime & his team help advisors find a voice at Kingswood U.S.
  • How Kingswood U.S. works to ensure its culture carries through to all its employees and advisors

Resources: Kingswood U.S.



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Episode 82 – Building A Culture of Going the Extra Mile – With Mike Nessim

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Mike Nessim is the CEO and Managing Director of Kingswood U.S., an SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor. 

In today’s episode, Doug and Mike talk about Kingswood’s extraordinary growth and how his leadership style and focus on working hard, trying to do the right thing and being fair with people has helped shape the company. They also discuss:

  • The growing advisor need for help with succession planning
  • How Kingswood’s liquidity can help advisors decouple from their current broker-dealer
  • How alternatives can help make advisors more competitive
  • Why Kingswood is seeing an increase in the number of advisors between $50-$150 million looking to offload some of the operational aspects of their business to allow themselves to focus on their clients
  • Why Mike thinks advisors are choosing to join Kingswood now more than ever
  • What Mike is excited for in the future

Resources: Kingswood U.S.



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Episode 76 – What Advisors Should Know About Alternatives – Douglas Blake

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Douglas Blake is the managing director of investment solutions at Kingswood U.S., An SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor.

In this episode of Power Your Advice, Doug and Doug talk about one of the hottest asset classes around: alternatives. 

  • The basics of alternative investments – what they are & why people are crazy about them right now
  • Why they are an important resource for advisors to use in client portfolios
  • How Doug discovers and vets companies to put on the Kingswood platform, and how he monitors and manages the companies they work with
  • How advisors can equip themselves to deal with the onslaught of alternatives coming their way
  • What Doug sees coming in the alternative space

Resources:   Kingswood U.S.

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Episode 75 –  Partner to Take Your Business to the Next Level – With Paul Lee

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We love to hear, learn from and share advisor stories. What works for them, what challenges they face, how they continually up their game, and what they’ve learned along the way that has helped shape the advisor they are today. Today’s guest is Paul Lee from Kingswood U.S., an advisor with a rapidly advancing career who helps the next generation of investors make smart investment choices.

In this episode of Power Your Advice, Doug and Paul talk about his career in financial services and his perspective on some of the challenges advisors face today. They also discuss:

  • What he learned working in a wirehouse
  • What his sweet spot is in working with clients
  • How he manages the responsibility of being a financial advisor
  • What his thought process was in choosing a new firm with which to affiliate his business
  • Why he chose to work with Kingswood U.S. over other firms

Resources:   Kingswood U.S.

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Episode 57 – Benefits of Working with an Organization That Has Strong In-House Compliance – With Mike Alsoraimi

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Mike Alsoraimi is the Co-Chief Compliance Officer for Kingswood Group U.S., An SEC-registered RIA and a FINRA-licensed broker/dealer that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor

In today’s episode, Doug and Mike talk about the complexity of managing compliance across Kingswood’s two Broker-Dealers and two RIAs. They also discuss

  • The current state of compliance in the financial services industry
  • Whether it’s getting tougher or easier to “get things through compliance” 
  • Why it is important to automate the compliance process
  • Reg BI – who it affects, and who it helps
  • What regulators are looking for
  • What regulators mean by “active effort”
  • How advisors can communicate with their clients about regulation and how it exists to protect the investor

Resources: Kingswood U.S.

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Episode 48 – Building Advisor Businesses Through Partnership – with Val Peters Rayevskiy

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​​Val Peters Rayevskiy is the Chief Operating Officer of Kingswood U.S., an SEC-registered RIA and a FINRA-licensed broker/dealer with over $2B in assets under management, that offers comprehensive wealth management and business-building services designed specifically for the independent financial advisor.

In this episode of Power Your Advice, Doug Heikkinen and Val talk about his background, what drew him to financial services and why Kingswood U.S. is unique:

  • Why advisors should consider Kingswood, and why now
  • Why Kingswood works so hard to deliver personal touch and service to their advisors
  • How Kingswood’s culture of partnership drives everything they do
  • What the future holds for Kingswood U.S.

Resources: Kingswood U.S.

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Episode 28 – Helping Advisors Through Every Step of Transition – with Jaime Golden

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​​Jaime Golden is president of Acquisitions at Kingswood U.S., and spends most of his time working with financial advisors who are considering or working through full or partial acquisitions of their firms. In this episode of Power Your Advice, Doug Heikkinen and Jaime discuss trends Jaime is seeing for both rep movement and M&A in our industry.

  • Why might an advisor consider changing firms
  • The thought process advisors go through before making a change
  • What questions come up most in the process, and how Kingswood helps answer them
  • How Kingswood helps advisors who have plateaued achieve growth
  • What the biggest advantage is for advisors working with Kingswood

Resources: Kingswood U.S.

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Episode 20 – Investment Banking Can Enhance Financial Advisors’ Value Propositions- with Michael Nessim

Finance, Industry Innovators, IRIS Media Works, Power Your Advice, Uncategorized, , , , , , , ,

Michael Nessim is the President of Kingswood U.S. and the CEO of Benchmark Advisory Services, LLC. He has been in the financial services industry for more than 24 years and had been involved with investment banking for the last 20 years.

In this episode of Power Your Advice, Mike and Doug Heikkinen discuss investment banking – what it is and why financial advisors should consider including it in their client portfolios. They also talk about how Kingswood can help advisors provide access to this important and differentiating solution for their clients.

  • What does ‘investment banking” mean to advisors and their clients
  • How does Mike feel investment banking drives the economy
  • How can adding investment banking help strengthen advisors’ value propositions
  • The types of risks associated with investment banking and how can they be offset

Resources:  Kingswood U.S.

 

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