https://advisorgrowthlab.com/resources/podcast/ Short audio episodes for experienced financial advisors evaluating firm changes, transition economics, business-model fit, and practice growth. en-us Copyright 2026 Advisor Growth Lab LLC. All rights reserved. Thu, 13 Aug 2026 08:37:00 -0400 Advisor Growth Lab Short audio episodes for experienced financial advisors evaluating firm changes, transition economics, business-model fit, and practice growth. no episodic Your firm does. Once you register as an investment adviser, Advisers Act Rule 206(4)-7 requires written policies, an annual review, and one named chief compliance. https://advisorgrowthlab.com/resources/podcast/who-does-my-compliance-when-i-go-independent https://advisorgrowthlab.com/resources/podcast/who-does-my-compliance-when-i-go-independent Thu, 13 Aug 2026 08:37:00 -0400 37 full 00:05:19 A TAMP handles model portfolios, trading, rebalancing, reporting, and billing so breakaway advisors can focus on clients and choose the right operating model. https://advisorgrowthlab.com/resources/podcast/what-is-a-tamp https://advisorgrowthlab.com/resources/podcast/what-is-a-tamp Thu, 13 Aug 2026 08:36:00 -0400 44 full 00:07:41 An independent RIA is a registered investment adviser firm you own, registered under the Investment Advisers Act with the SEC or your state and held to a fiduciary duty. https://advisorgrowthlab.com/resources/podcast/independent-ria https://advisorgrowthlab.com/resources/podcast/independent-ria Thu, 13 Aug 2026 08:35:00 -0400 43 full 00:07:58 Edward Jones layoffs or restructuring can signal a strategic shift, not a verdict on your worth. Learn how advisors can assess their options and respond deliberately. https://advisorgrowthlab.com/resources/podcast/edward-jones-layoffs-financial-advisor https://advisorgrowthlab.com/resources/podcast/edward-jones-layoffs-financial-advisor Thu, 13 Aug 2026 08:34:00 -0400 42 full 00:08:14 A TRO can briefly restrict a departing financial advisor from contacting clients or using firm data while a transition dispute moves toward FINRA arbitration. https://advisorgrowthlab.com/resources/podcast/tro-financial-advisor https://advisorgrowthlab.com/resources/podcast/tro-financial-advisor Thu, 13 Aug 2026 08:33:00 -0400 41 full 00:09:07 A walk through the four ways out of the practice you built, why ownership decides the menu, and why the wind-down quietly wins when you wait. https://advisorgrowthlab.com/resources/podcast/retiring-financial-advisor https://advisorgrowthlab.com/resources/podcast/retiring-financial-advisor Wed, 22 Jul 2026 08:32:00 -0400 40 full 00:06:33 What actually sets a book of business valuation, from recurring revenue and client aging to the ownership question that can make the rest academic. https://advisorgrowthlab.com/resources/podcast/what-is-my-book-of-business-worth https://advisorgrowthlab.com/resources/podcast/what-is-my-book-of-business-worth Wed, 22 Jul 2026 08:31:00 -0400 39 full 00:08:17 What the W-2 versus 1099 line really decides for advisors, from withholding and control to the ownership question that outlasts every tax season. https://advisorgrowthlab.com/resources/podcast/w2-vs-1099-financial-advisor https://advisorgrowthlab.com/resources/podcast/w2-vs-1099-financial-advisor Wed, 22 Jul 2026 08:30:00 -0400 38 full 00:09:25 What actually happens under supported independence: you keep ownership and the client relationships while a platform carries the operating load. https://advisorgrowthlab.com/resources/podcast/what-is-supported-independence https://advisorgrowthlab.com/resources/podcast/what-is-supported-independence Wed, 22 Jul 2026 08:28:00 -0400 36 full 00:09:24 Why the choice to start or join an RIA is really three roads, and how one honest question about running a business tells you which one is yours. https://advisorgrowthlab.com/resources/podcast/start-my-own-ria-or-join-one https://advisorgrowthlab.com/resources/podcast/start-my-own-ria-or-join-one Wed, 22 Jul 2026 08:27:00 -0400 35 full 00:09:09 What actually happens when an independent broker-dealer advisor eyes the RIA model: the revenue mix, the FINRA clock, and tuck-in versus full build. https://advisorgrowthlab.com/resources/podcast/leaving-independent-broker-dealer-for-ria https://advisorgrowthlab.com/resources/podcast/leaving-independent-broker-dealer-for-ria Wed, 22 Jul 2026 08:26:00 -0400 34 full 00:11:28 Why the urge to leave your broker-dealer deserves four honest tests instead of a resignation letter, and how to run each one this week. https://advisorgrowthlab.com/resources/podcast/should-i-leave-my-broker-dealer https://advisorgrowthlab.com/resources/podcast/should-i-leave-my-broker-dealer Wed, 22 Jul 2026 08:25:00 -0400 33 full 00:09:41 A walk through what really separates an RIA from a broker-dealer: who regulates you, how you get paid, and what you own the day you leave. https://advisorgrowthlab.com/resources/podcast/ria-vs-broker-dealer https://advisorgrowthlab.com/resources/podcast/ria-vs-broker-dealer Wed, 22 Jul 2026 08:24:00 -0400 32 full 00:09:11 A walk through the crossover point between a big recruiting check and building equity, and how horizon and growth decide which one wins. https://advisorgrowthlab.com/resources/podcast/take-the-check-or-build-equity https://advisorgrowthlab.com/resources/podcast/take-the-check-or-build-equity Wed, 22 Jul 2026 08:23:00 -0400 31 full 00:08:22 What actually happens when you compare wirehouse and independent payout: gross versus net, the exit costs, and why ownership sits on a separate axis. https://advisorgrowthlab.com/resources/podcast/wirehouse-vs-independent-advisor-payout https://advisorgrowthlab.com/resources/podcast/wirehouse-vs-independent-advisor-payout Wed, 22 Jul 2026 08:22:00 -0400 30 full 00:09:59 A walk through what a wirehouse really is, how the economics differ, what leaving costs, and exactly what the Broker Protocol lets you take. https://advisorgrowthlab.com/resources/podcast/wirehouse https://advisorgrowthlab.com/resources/podcast/wirehouse Wed, 22 Jul 2026 08:21:00 -0400 29 full 00:09:28 Why the barriers to independence are rarely the paperwork, and what confidence and permission have to do with the years that keep passing. https://advisorgrowthlab.com/resources/podcast/what-holds-financial-advisors-back-from-independence https://advisorgrowthlab.com/resources/podcast/what-holds-financial-advisors-back-from-independence Wed, 22 Jul 2026 08:20:00 -0400 28 full 00:08:54 Why the AUM threshold for going independent is folklore, and the revenue-and-cost questions that actually decide whether you are ready. https://advisorgrowthlab.com/resources/podcast/what-aum-do-you-need-to-break-away https://advisorgrowthlab.com/resources/podcast/what-aum-do-you-need-to-break-away Wed, 22 Jul 2026 08:19:00 -0400 27 full 00:09:59 What actually happens when an advisor breaks away: four things the word carries, and why ownership is the real decision hiding inside it. https://advisorgrowthlab.com/resources/podcast/what-is-a-breakaway-advisor https://advisorgrowthlab.com/resources/podcast/what-is-a-breakaway-advisor Wed, 22 Jul 2026 08:18:00 -0400 26 full 00:09:00 A walk through the three phases of a Merrill Lynch breakaway, from resignation day to the thirty-day build, and what to settle before you give notice. https://advisorgrowthlab.com/resources/podcast/leaving-merrill-lynch-to-go-independent https://advisorgrowthlab.com/resources/podcast/leaving-merrill-lynch-to-go-independent Wed, 22 Jul 2026 08:17:00 -0400 25 full 00:10:54 A walk through the three lenses that estimate client portability far better than any industry average, and why the client talk comes last. https://advisorgrowthlab.com/resources/podcast/will-my-clients-follow-me https://advisorgrowthlab.com/resources/podcast/will-my-clients-follow-me Wed, 22 Jul 2026 08:16:00 -0400 24 full 00:09:50 A walk through what the Broker Protocol actually lets you carry out the door, why advisors still get sued, and the membership check that has to be true twice. https://advisorgrowthlab.com/resources/podcast/what-is-the-broker-protocol https://advisorgrowthlab.com/resources/podcast/what-is-the-broker-protocol Wed, 22 Jul 2026 08:15:00 -0400 23 full 00:08:22 Why succession planning starts with ownership, not a valuation, and how to tell whether you are selling a business or just walking away from a job. https://advisorgrowthlab.com/resources/podcast/financial-advisor-succession-planning https://advisorgrowthlab.com/resources/podcast/financial-advisor-succession-planning Wed, 22 Jul 2026 08:14:00 -0400 22 full 00:09:07 Why a multi-year deliberation about going independent is evidence of seriousness, not weakness, and how to tell real research from a comfortable hiding place. https://advisorgrowthlab.com/resources/podcast/how-long-do-advisors-think-about-going-independent https://advisorgrowthlab.com/resources/podcast/how-long-do-advisors-think-about-going-independent Wed, 22 Jul 2026 08:13:00 -0400 21 full 00:08:09 What actually happens when you run the asset, ownership, and control tests on your own practice, and why most advisors discover the equity was never theirs. https://advisorgrowthlab.com/resources/podcast/building-a-business-or-renting-a-job https://advisorgrowthlab.com/resources/podcast/building-a-business-or-renting-a-job Wed, 22 Jul 2026 08:12:00 -0400 20 full 00:09:29 What an ordinary day as an independent advisor really looks like, and why the calm Tuesday is downstream of a clean resignation. https://advisorgrowthlab.com/resources/podcast/day-in-the-life-independent-financial-advisor https://advisorgrowthlab.com/resources/podcast/day-in-the-life-independent-financial-advisor Wed, 22 Jul 2026 08:11:00 -0400 19 full 00:09:33 A walk through what an independent broker-dealer actually is, how the money flows, and where the OSJ and hybrid models fit. https://advisorgrowthlab.com/resources/podcast/independent-broker-dealer https://advisorgrowthlab.com/resources/podcast/independent-broker-dealer Wed, 22 Jul 2026 08:10:00 -0400 18 full 00:06:38 What actually happens when a captive insurance advisor goes independent, from the agreement review to the policies that never move. https://advisorgrowthlab.com/resources/podcast/captive-insurance-advisor-going-independent https://advisorgrowthlab.com/resources/podcast/captive-insurance-advisor-going-independent Wed, 22 Jul 2026 08:09:00 -0400 17 full 00:11:07 A walk through the four preparations behind a clean Edward Jones exit, from the Protocol question to the destination you choose first. https://advisorgrowthlab.com/resources/podcast/leaving-edward-jones-financial-advisor https://advisorgrowthlab.com/resources/podcast/leaving-edward-jones-financial-advisor Wed, 22 Jul 2026 08:08:00 -0400 16 full 00:09:38 What actually happens when you leave Morgan Stanley or UBS after both firms left the Broker Protocol, and the three questions that decide it. https://advisorgrowthlab.com/resources/podcast/can-i-take-clients-leaving-morgan-stanley-or-ubs https://advisorgrowthlab.com/resources/podcast/can-i-take-clients-leaving-morgan-stanley-or-ubs Wed, 22 Jul 2026 08:07:00 -0400 15 full 00:10:30 Why resigning well is a preparation problem wearing a courage costume, and the five things to settle before you hand in the letter. https://advisorgrowthlab.com/resources/podcast/how-to-resign-as-a-financial-advisor https://advisorgrowthlab.com/resources/podcast/how-to-resign-as-a-financial-advisor Wed, 22 Jul 2026 08:06:00 -0400 14 full 00:09:18 What actually happens when an advisor quietly explores other firms, what compliance can and cannot see, and the two moves that trigger a lawsuit. https://advisorgrowthlab.com/resources/podcast/explore-other-firms-without-your-firm-finding-out https://advisorgrowthlab.com/resources/podcast/explore-other-firms-without-your-firm-finding-out Wed, 22 Jul 2026 08:05:00 -0400 13 full 00:08:48 Why no honest single retention number exists, and what actually decides how many clients stay with you through a move you can go assess today. https://advisorgrowthlab.com/resources/podcast/how-many-clients-do-you-lose-switching-firms https://advisorgrowthlab.com/resources/podcast/how-many-clients-do-you-lose-switching-firms Wed, 22 Jul 2026 08:04:00 -0400 12 full 00:09:36 Why the golden handcuffs number does emotional work the fine print never defends, and how to find the far smaller amount actually at risk. https://advisorgrowthlab.com/resources/podcast/golden-handcuffs-financial-advisors https://advisorgrowthlab.com/resources/podcast/golden-handcuffs-financial-advisors Wed, 22 Jul 2026 08:03:00 -0400 11 full 00:09:23 What actually happens between a quoted transition deal and the cash that lands in year one, and why your own trailing-twelve is the number that matters. https://advisorgrowthlab.com/resources/podcast/financial-advisor-transition-deal https://advisorgrowthlab.com/resources/podcast/financial-advisor-transition-deal Wed, 22 Jul 2026 08:02:00 -0400 10 full 00:08:46 What actually happens when you split a recruiting package into its two halves, and why the headline number hides where your income certainty really lives. https://advisorgrowthlab.com/resources/podcast/how-are-advisor-recruiting-packages-structured https://advisorgrowthlab.com/resources/podcast/how-are-advisor-recruiting-packages-structured Wed, 22 Jul 2026 08:01:00 -0400 9 full 00:08:38 Why the four phases of an advisor transition behave nothing alike, and how giving the middle edges turns dread into a plan. https://advisorgrowthlab.com/resources/podcast/financial-advisor-transition-timeline https://advisorgrowthlab.com/resources/podcast/financial-advisor-transition-timeline Wed, 22 Jul 2026 08:00:00 -0400 8 full 00:09:46 Whether the book you built is a sellable asset or a job well done: ownership, terminal value, and why recruiting money is never the same thing as equity. https://advisorgrowthlab.com/resources/podcast/advisor-practice-equity-value https://advisorgrowthlab.com/resources/podcast/advisor-practice-equity-value Tue, 21 Jul 2026 08:03:00 -0400 7 full 00:09:31 Why employee-model advisors end up feeling like their firm sits on the other side of the table, and what that structural conflict is actually telling you. https://advisorgrowthlab.com/resources/podcast/advisors-fighting-their-own-firm https://advisorgrowthlab.com/resources/podcast/advisors-fighting-their-own-firm Tue, 21 Jul 2026 08:02:00 -0400 6 full 00:09:26 Why a signed advisor non-compete is an opening argument rather than a verdict, and the clauses that often bind harder: non-solicits, garden leave, deferred comp. https://advisorgrowthlab.com/resources/podcast/are-non-competes-enforceable-financial-advisors https://advisorgrowthlab.com/resources/podcast/are-non-competes-enforceable-financial-advisors Tue, 21 Jul 2026 08:01:00 -0400 5 full 00:09:22 A walk through the seven-step advisor transition checklist: the private decision, the research, the model choice, and why resignation day should feel boring. https://advisorgrowthlab.com/resources/podcast/advisor-transition-checklist https://advisorgrowthlab.com/resources/podcast/advisor-transition-checklist Tue, 21 Jul 2026 08:00:00 -0400 4 full 00:09:59 A practical explanation of forgivable-note economics, remaining balances, and the clauses advisors should understand before signing. https://advisorgrowthlab.com/resources/podcast/forgivable-note-clawback https://advisorgrowthlab.com/resources/podcast/forgivable-note-clawback Wed, 08 Jul 2026 08:00:00 -0400 3 full 00:07:06 How advisors can evaluate a retention offer, business-model changes, and the choice to stay or move after an acquisition. https://advisorgrowthlab.com/resources/podcast/retention-offer-after-acquisition https://advisorgrowthlab.com/resources/podcast/retention-offer-after-acquisition Tue, 07 Jul 2026 08:00:00 -0400 2 full 00:06:27 A private framework for separating temporary frustration from real transition readiness before an advisor makes a move. https://advisorgrowthlab.com/resources/podcast/am-i-ready-to-leave-my-firm https://advisorgrowthlab.com/resources/podcast/am-i-ready-to-leave-my-firm Mon, 06 Jul 2026 08:00:00 -0400 1 full 00:06:30