Tag Archives: #RIAs

Episode 62 – Helping Advisors Transform Their Practices – With Brad Bueermann

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Brad Bueermann is the chief executive officer of FP Transitions, a specialized business consulting firm dedicated to wealth managers and independent financial advisors. With a full-service, concierge approach to supporting advisors during key points in their life cycle, they offer comprehensive, coordinated, and customized solutions to achieve long-term, sustainable business growth. 

Doug and Brad caught up at the MarketCounsel Summit and talked about FP Transitions and how they have continued to grow and stay connected to each other and their clients over the past couple of years. They also discuss

  • Why advisors get “itchy” to make a change
  • How growth looks different for every advisor
  • What questions should advisors be able to answer about objectives in making change
  • What is really challenging advisors right now
  • Advisors are not retiring – how are they going to blend with the next generation of advisors entering our industry
  • What Brad is most excited about in 2022

Resources: FP Transitions

 

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Episode 61 – Access Tomorrow’s IPOs – With Nick Worontzoff

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Nick Worontzoff is the founder and managing partner of NW3 Access, a company that gives clients access to private markets in pre-IPOs, providing investors with superior asset allocation options within various industries and sectors, with the goal of improving a portfolio’s efficiency and risk-adjusted returns.

In today’s episode, Doug and Nick talk about how and why Nick founded NW3 Access, and the opportunity for advisors and investors in the pre-IPO space. They also discuss

  • The world of IPOs and why companies are waiting longer to go public
  • Whether or not there is a perfect time for companies to go public
  • What NW3 Access is making better in this space, and what the difference is going to be for the advisors they work with
  • The importance of building solid relationships
  • Why advisors should be interested in IPOs for their clients – where do they fit inside a client portfolio

Resources: NW3 Access

 

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Episode 60 – Recognize When to Partner to Drive Growth – With Scott Rothbort

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Scott Rothbort is the Founder and President of Lakeview Asset Management, an advisory firm that specializes in the development of multi-strategy investments that seek to generate returns that exceed benchmarks of the client’s choosing. They accomplish this by developing and executing low-risk, proprietary trading strategies, and by using a variety of investment techniques and tools that include options, structured products, and ETFs.

In today’s episode, Doug and Scott talk about Scott’s road to financial services and why he started Lakeview Asset Management. They also discuss

  • How Scott adapts in an ever-changing industry
  • How Scott grew his business, and when he knew he needed an established partner to help him go further
  • His experience in the Kingswood U.S./Benchmark Investments onboarding process
  • Why mobile home communities remain attractive to tenants throughout the pandemic and through current economic pressures
  • What’s next for Lakeview Asset Management

Resources: Lakeview Asset Management 

 

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Episode 59 – Providing Affordable Housing Through Mobile Home Communities – With Michael Anise

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Michael Anise is the President and Chief Financial Officer of Manufactured Housing Properties, Inc. (MHPC), a company that, together with its affiliates, acquires, owns, and operates manufactured housing communities. 

In today’s episode, Doug and Michael talk about MHPC’s commitment to providing housing affordability and a high level of service to their residents. They also discuss

  • The current state of the real estate market, and general unaffordability within it
  • Why MHPC specializes in mobile home communities
  • The challenges of working within the mobile home community space
  • Why mobile home communities remain attractive to tenants throughout the pandemic and through current economic pressures
  • Future plans for MHPC

Resources: Manufactured Housing Properties, Inc.

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Episode 58 – The Importance, Opportunity & Challenges of Investing in Senior Housing – With Jade Miller

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Jade Miller is the vice president of capital markets for the Bourne Financial Group, a real estate financial equity company specializing in healthcare development, acquisitions and asset management. 

In today’s episode, Doug and Jade talk about how Bourne develops and acquires private pay senior housing across the United States. They also discuss

  • How Jade got involved with financial services and commercial real estate
  • Whether or not she is seeing a recovery in senior housing after the pandemic
  • The types of facilities Bourne invests in
  • Why there is such a huge need for senior housing
  • The due diligence Bourne conducts on each opportunity, and the economic challenges they face
  • Why technology is the biggest driver in this area

Resources: Bourne Financial Group

 

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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 56 – Building a City Through Revitalization – With Erik Hayden

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Erik Hayden is the founder of Urban Catalyst,  a real estate equity fund focused on ground-up development projects in downtown San Jose.

In today’s episode, Doug and Erik talk about the types of projects in which Urban Catalyst gets involved, and how they choose them. They also discuss:

  • Opportunity zones and opportunity zone funds
  • How Urban Catalyst is more than just a fund manager – they are the developer on all their projects
  • Why they chose to focus on San Jose
  • How their process works from inception to completion
  • How they work within the tax laws to pay out dividends to investors
  • What the future may bring for Urban Catalyst

Resources: Urban Catalyst

 

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Episode 55 – The Power of Choice When Active Trading – With Joe Ely

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Joe Ely is the President & CEO of Mint Global Markets, the online retail brokerage firm and parent company of the SpeedTrader platform for active traders.

In today’s episode, Doug and Joe discuss the definition of an active trader and the ebbs and flows over the past few decades of the active trading world. They also discuss 

  • Why active trading isn’t talked about like it used to be
  • Consolidation of active trading platforms
  • What has driven the recent reinvigoration of active trading
  • Has active trading gone international?
  • What makes Mint Global Markets unique
  • What direct access trading means to Mint, and how that benefits advisors

Resources: SpeedTrader

 

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Episode 54 – Rapid-Fire Q&A with James Pollard

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James Pollard founded The Advisor Coach, LLC, with a simple goal: to help financial advisors build their businesses. He is one of the youngest coaches in the financial services industry, and his brash, honest approach backed by his deep expertise has helped tens of thousands of advisors to date.

Today’s episode is a little different. Doug unleashes rapid-fire questions on James – some scripted, some not – all with the goal of helping you take a hard look at how your firm approaches marketing. What is working out there? What is not? Where should advisors spend their marketing time and dollars? 

  • What three pages are most important on your website?
  • Should you bother to blog?
  • Is email marketing worth it? 
  • Which is more effective – social media or email marketing?
  • Things to keep in mind if you’re thinking about podcasting.
  • Why you should love LinkedIn.

Resources: The Advisor Coach | The Financial Advisor Marketing Podcast

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Episode 53 – Uncovering Investment Opportunity all Over the World – with Russell Platt

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Russell Platt is the Co-Founder and CEO of Forum Partners, a global real estate investment and asset management firm. Founded in 2002, Forum is recognized for investing in and alongside public and private real estate companies, with a focus on income and capital preservation. 

In today’s episode, Doug & Russell talk about how Forum Partners finds real estate investment opportunities all over the world. They also discuss:

  • How they find opportunity in distressed retail space
  • What they look out for when considering investment
  • How Forum structures deals between the investors, the institutions and themselves
  • How advisors can take advantage of the opportunities provided by Forum Global
  • How advisors can explain these types of investments to their clients

Resources: Forum Partners

 

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