Tag Archives: #WealthManagement

Episode 150 – The Evolution of Investors, Advisors, and the Client – With Gerald Graves

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , , ,

Gerald Graves is a Managing Partner at Filigree Wealth Advisors, LLC, an independent RIA located in various areas of the West Coast but managing clients nationwide. 

In this podcast, Doug and Gerald dive into the journey of Graves through the financial services industry and the takeaways he recommends to current investors and advisors.

They also discussed:

  • Advice for younger individuals building a career and the importance of knowing who exactly you’re working for
  • Seeing the history of corporate America unravel in real-time, developing an understanding of which business structures work and which do not
  • The freedom to information clients now have with the internet and technology pulling back the curtain on the industry
  • Charles Schwab’s influence on the industry as a trailblazer, focusing on technology and the client
  • How advisors can navigate the way they want their business to look and which resources they should utilize for their business structure
  • Focusing on the end investor

 

Resources: 

Filigree Wealth Advisors

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Episode 149 – Humanizing the Language of Wealth Management – With Laton Spahr

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , ,

Laton Spahr is the President & Portfolio Manager of ALPS Advisors, the innovative asset management, distribution, and fund services business within SS&C Technologies.

In this podcast, Doug and Laton discuss the importance of understanding the spectrum of investment management, and how to get great investment ideas in the client’s hands more efficiently.

They also discussed:

  • Spahr’s transition from portfolio management to leading an asset manager focused on ETFs and wealth management integration
  • Disintermediation across the industry and visions of that change
  • How technology will improve the ability of wealth management managers to deliver on their value proposition
  • How asset managers adapt to the changes in wrappers, distribution, and the overall influence of wealth managers
  • Who ALPS Advisors is both cooperating with and competing with 
  • The most significant challenges heard from large wealth managers and smaller independent advisors

 

Resources: 

SS&C Technologies

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Episode 148 – Sanctuary Wealth Oasis: Women in Control of Their Wealth – With Lisa Bush

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , , ,

Lisa Bush is the Assistant Vice President and Wealth Advisor of Alluvial Private Wealth at Sanctuary Wealth. Lisa has worked in the financial services industry for over 10 years and serves on multiple nonprofit organizational boards, supporting her community and promoting women in business.

Live from the Sanctuary Oasis Conference in Las Vegas, Lisa sheds light on the financial and investing space for women and her mission to educate and empower this group so that they may achieve their financial goals. 

They also discussed:

  • Lisa’s path to and experience being a female financial advisor
  • Why Lisa works with mostly woman investors, empowering this demographic to take hold of and leverage their financials 
  • The challenges and opportunities women are facing on their journey to achieving their financial goals 
  • How advisors can help empower women to learn and invest more

 

Resources: 

Sanctuary Wealth

Alluvial Private Wealth

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Episode 147 – Sanctuary Wealth Oasis: Believing in the Independent Advisor – With Massimo Guiati

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , , ,

Massimo Guiati is the CEO of the Azimut Group, and is responsible for the development and distribution of business globally. Azimut is a leading Italian independent asset manager. The group specializes in wealth management and offers financial advisory services for investors, primarily through its advisory networks.

Live from the Sanctuary Oasis Conference in Las Vegas, Massimo shares his global perspective on investing in both the alternative space as well as wealth management.

They also discussed:

  • The Azimut Group and its significant expansion in the United States over these past few years
  • The investments they have done to date being present in both the alternative space as well as wealth management
  • Their transaction with Sanctuary Wealth and thoughts on the investment right now
  • Massimo’s view of the financial advisory market in the US and the growth opportunities it provides 

 

Resources: 

Sanctuary Wealth

Azimut Group

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Episode 146 – Sanctuary Wealth Oasis: Partnerships in Both Family and Business – With Brian Cooke

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , ,

Brian Cooke, CIMA® is a Partner at Cooke Financial Group alongside his brother, Chris. Cooke Financial Group has been helping private and institutional clients plan and manage their wealth for over 50 years.

Live from the Sanctuary Oasis Conference in Las Vegas, Doug and Brian discuss the succession Cooke Financial Group has flourishingly maneuvered through and the relationship between their firm and Sanctuary Wealth.

They also discussed:

  • The long history of Cooke Financial Group 
  • When the business made the shift from selling plans and insurance to becoming wealth managers
  • How Cooke Financial became the first partner firm to join Sanctuary Wealth and why they bet on Sanctuary
  • The factors that make Cooke Financial so attractive for people to join
  • How the firm is thinking about working with future generations
  • Managing this new generation of individuals as well as clients as they approach decumulation 
  • The importance for advisors to think about succession plans moving forward

 

Resources: 

Sanctuary Wealth

Cooke Financial Group

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Episode 141 – Sanctuary Wealth Oasis: Connecting the Technology to the Advisor – With Ainslie Simmonds

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , ,

Ainslie Simmonds is a Managing Director and member of the executive committee at Pershing. She’s also Pershing’s President of Pershing X, a new business unit that designs and builds innovative digital solutions for Pershing’s wealth solutions clients including broker-dealers, RIAs, and trust companies.

Live from the Sanctuary Oasis Conference in Las Vegas, Doug and Ainslie discuss the exciting launch of the Pershing X platform while also diving into the relationship between the digital world and financial advisors.

They also discussed:

  • The career shift from consumer products to the financial services industry and the insight Simmonds learned about the consumer 
  • How to think about marrying the digital world with financial advisors and both the opportunities and challenges that might ensue
  • Some of the gaps that exist with advisor tech that can be seen today
  • The launching of Pershing X and what went into the creation of it
  • The Pershing X platform and the feedback they have been receiving 

 

Resources: 

Sanctuary Wealth

Pershing

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Episode 140 – Sanctuary Wealth Oasis: Passion Under the Hood of Portfolios – With EJ Kahn

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , ,

EJ Kahn is the Founder and Managing Partner at SLK Private Wealth. SLK offers distinctive wealth management solutions for individuals and families who seek a partner who can provide all-encompassing financial expertise founded in genuine care for their success. 

Live from the Sanctuary Oasis Conference in Las Vegas, Doug and EJ discuss the principles behind SLK Private Wealth and the attributes that have contributed to the firm’s consistent growth.

They also discussed:

  • Why Kahn was drawn to the vision behind Sanctuary Wealth and its management team
  • The principles the practice is originally centered on and how they have shifted over the years
  • What Kahn attributes to the firm’s consistent growth since joining the team 
  • The decision behind remaining an active manager as a practice 
  • Navigating volatility in the markets this year
  • How Kahn’s team is differentiated on both sides of the balance sheet

 

Resources: 

Sanctuary Wealth

SLK Private Wealth

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Episode 139 – Sanctuary Wealth Oasis: How to Foster an Enduring Enterprise – With Mark Tibergien

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , ,

Mark Tibergien has been a leader in the financial services industry for many years, most recently having retired in 2020 from Pershing where he served as the CEO. Mark continues his contributions to the industry by now working as a consultant, speaker, or board member with other enterprises that are going through a dynamic transformation.

Live from the Sanctuary Oasis Conference in Las Vegas, Doug and Mark discuss the challenges industry business leaders are facing, and ways advisors can evolve to better serve their clients in the long run.

They also discussed:

  • Some of the recent changes in the IRA industry and the transformation we are experiencing
  • What the rapid industry consolidation means for advisors
  • The characteristics of an enduring business that advisors can take into account when considering their own challenges
  • How an advisor can evolve from building a book of business to creating an enduring enterprise
  • Asking the question “how are advisors being prepared to help clients navigate their lives?”
  • Why custody matters so much beyond being a requirement to hold the assets somewhere

 

Resources: 

Sanctuary Wealth

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Episode 129 – NYC Pop-Up Podcast: Retirement is Only the Starting Line  – With Steve Gresham

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Steve Gresham is the Founder and CEO of The Execution Project, a consulting firm providing tools, training, and adoption strategies in support of better “retirement.” 

Live from our fall Advisorpedia Podcast Pop-Up in New York City, Doug and Steve explore The Execution Project’s initiatives of wealth management and retirement while also examining industry trends from different perspectives. 

They also discussed:

  • Financial Wellness and monetizing peace of mind
  • The keys to successful execution for companies
  • The Execution Project’s industry initiative being all over retirement
  • The baby boomers and how the wave has yet to hit the beach
  • The new bull market being about protection
  • The “Holistic wealth management” push in the big firms
  • A view on the industry’s lost focus on the end investor from a retail perspective
  • How people can take advantage of The Execution Project

Resources: 

The Execution Project



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Episode 120 – Empowering & Inspiring Confident Outcomes with Scott Enger & Steve Sullivan

Advisorpedia, Finance, Industry Innovators, Power Your Advice, Uncategorized, , , , , , , ,

Logicly is a comprehensive web-based analytics and portfolio management platform for advisors to automate their day-to-day portfolio management workload. Doug is joined today by Logicly’s chief revenue officer, Scott Enger, and head of marketing Steve Sullivan. They discuss their respective journeys to Logicly, and how the platform can help advisors empower & inspire confident outcomes. They also discuss

  • The big idea behind Logicly
  • How the company expanded from serving ETFevolution to serving financial advisors
  • Why they think Logicly is an evolution of the advice model that advisors can use to help make their clients’ portfolios stronger
  • Recent partnerships with Syntax and 401 Financial and how they help make the platform stronger for advisors
  • What the future holds for Logicly

Resources: Logicly



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