Behind The Breakaway

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 Fidelity, making additional back office support often unnecessary. We cover the inefficiencies and potential complications introduced when involving middlemen, the misconceptions advisors face when leaving captive broker dealer firms, and how large aggregator firms' back office models may not offer the intended efficiencies. We emphasize the importance of advisor independence, and encourage stepping away from costly and inefficient structures to truly capitalize on the benefits of the RIA model. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

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 more confident in transitioning clients from captive broker dealer firms to RIA independence. We emphasize the importance of a solid marketing plan, client communication, and strategic support to ensure a smooth and successful transition. Tune in to learn how Uptick's unique offering aims to get advisors back to 100% of their revenue more swiftly and securely. Check out the full WealthManagement.com article here: Uptick Partners Launches Guarantee Program for Partner Firms For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/ -- Sign up for Uptick's Newsletter: Bridge Builder Monthly

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 explore how these technologies anticipate client behaviors, enhance advisor productivity, and predict advisor departures. Our conversation includes the challenges and proactive measures for breakaway advisors, emphasizing the importance of making strategic decisions early on. We also examine how tools like Finny match clients and advisors based on values, and how Uptick Partners supports advisors in achieving independence. This episode provides critical insights for financial advisors navigating the future of advisor-client interactions and the RIA transition. FinancialAdvisorsIQ - EJ AI Play?  For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/

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 discuss the importance of understanding RIA independence, the benefits of skipping the IBD channel, and how the book condenses years of knowledge into an insightful read. The episode dives into the evolving technological landscape, the rising trend of RIA adoption, and the value of having more control over investment options. This episode is a must-listen for advisors pondering the shift towards true business ownership. Contact us if you are interested in receiving a free copy of our book or purchase it on Amazon!  -- For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/ Legal Disclosures https://uptickpartners.com/disclosures/

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 the challenges, surprises, and critical steps involved in a successful transition. We provide insights on managing paperwork, setting client expectations, and leveraging marketing strategies like Facebook ads and digital billboards. We emphasize the importance of preparation and support for achieving a high rate of client retention during the transition. For advisors contemplating independence, Uptick Partners offers expertise and a white-glove service to ensure a smooth and efficient transition. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/   Legal Disclosures https://uptickpartners.com/disclosures/

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 Clark of Charles Schwab. The episode explores why advisors are bypassing the IBD channel, the benefits of the RIA model, and the industry changes driving this movement. We provide a candid conversation about the advantages and considerations for advisors contemplating this transition and offer their expertise to help guide those exploring RIA independence. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/   Legal Disclosures https://uptickpartners.com/disclosures/ --- Financial Advisors IQ Article - RIA Channel a Growing Sore Spot for IBDs: Schwab's Bernie Clark

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 policies, 529 plans, and the necessary paperwork associated with these changes. This episode offers practical advice for financial advisors looking to make a smooth transition into the world of RIA Independence. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website https://uptickpartners.com/   Legal Disclosures https://uptickpartners.com/disclosures/

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 efficiency and discuss the services required for a smooth transition. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website Legal Disclosures

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 away from captive broker-dealers and offer strategies for turning these discussions into positive, informative interactions. The conversation highlights how to convey the advantages of going independent and maintaining client trust during the transition. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website Legal Disclosures

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 pursue purpose-driven missions. For more information about Uptick Partners and how we can help you in your breakaway journey learn more about the RIA world, visit us at UptickPartners.com. Visit Our Website Legal Disclosures --- For more information about Strive visit: Strivefunds.com