Episodios

  • Episode 246: Scaling a Boutique Wealth Management Firm

    Episode 246: Scaling a Boutique Wealth Management Firm
    Mar 4 2026
    What’s the secret to growing a successful wealth management business? It’s not just about the investments, it’s about the deep relationships and personalized service you provide to clients. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Adam Spiegelman, CFP®, Wealth Advisor at Spiegelman Wealth Management, who shares insights from his 25-year journey in the financial services industry, focusing on his recent transition to a Registered Investment Advisor (RIA). From managing $440 million in assets to building an RIA from the ground up, Adam reveals the challenges and strategies behind his firm’s success. Tune in for valuable advice on client engagement, business growth, and the importance of personalized financial planning. Key Takeaways: → The breakaway decision is as emotional as it is operational. → “Living wealthy” is about permission, not just money. Enjoy the wealth you’ve spent decades building, whether that means travel, volunteering, or small lifestyle upgrades. → Transitioning away from third-party models allows for greater customization, cleaner fee structures, and stronger alignment with client goals. → Growth must align with values, not ego. Emphasize stabilizing systems and client experience before pursuing expansion, ensuring growth never compromises service quality. → Consistent saving beats flashy investment schemes. Save regularly, max out retirement accounts, and avoid chasing unrealistic returns. Adam Spiegelman is a Wealth Advisor with Spiegelman Wealth Management, which offers investment and wealth management programs and services for high-net-worth clients. The company’s mission is to develop enduring relationships with clients by providing professional guidance for a lifetime of financial security. Adam Spiegelman can help create a complete financial plan - whether a client is focused on managing current financial success, or on protecting and preserving assets over the long term. Connect With Adam: Website: https://www.spiegelmanwealth.com/ LinkedIn: https://www.linkedin.com/in/adamspiegelman/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    15 m
  • Episode 245: The Changing Landscape of Venture Capital

    Episode 245: The Changing Landscape of Venture Capital
    Feb 25 2026
    What separates investors who chase deals from those who consistently engineer successful exits? On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Kelly, Founder and CEO of Black Dog Venture Partners, who shares his extensive experience in venture capital, having raised billions and facilitated over 30 successful exits. From his early days as a stockbroker to founding one of the largest investor syndicates in the tech space, Scott's journey offers invaluable insights into the rapidly evolving investment environment. Tune in as Scott discusses how AI is reshaping investment strategies, how startups can succeed in a competitive market, and the future of venture capital. Key Takeaways: → Strong outcomes often stem from early positioning, strategic networking, and aligning founders with the right investors. → Well-curated pitch forums create efficient deal flow, surface high-quality founders, and accelerate trust between investors and operators. → Companies that generate real revenue attract better capital, partners, and exit opportunities. → Today’s investors must adapt to new technologies, faster cycles, and more competitive deal environments. → Referrals and long-standing relationships consistently yield stronger investments than transactional deal sourcing. Scott Kelly is the Founder and CEO of Black Dog Venture Partners, a national accelerator helping disruptive startups secure funding, forge strategic partnerships, and scale with executive support. With more than 20 years of experience across venture capital, marketing, sales, and leadership, Scott has guided hundreds of companies by leveraging a powerful network of over 13,000 investors and 40,000 business partners. He also produces VC Fast Pitch, a premier national event series that connects high-growth startups with top-tier investors. Beyond building companies, Scott is a college professor, mentor, and champion of leadership and personal development, sharing the journey with Melvin, the beloved black dog who inspired the brand. Connect With Scott: Website: https://blackdogventurepartners.com/ LinkedIn: https://www.linkedin.com/company/blackdogventurepartners/ Twitter/X: https://x.com/BlackDogCEO Instagram: https://www.instagram.com/blackdogceo Facebook: https://www.facebook.com/blackdogventurepartners Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 m
  • Episode 244: Building Wealth Through Strategic Hospitality Investments

    Episode 244: Building Wealth Through Strategic Hospitality Investments
    Feb 18 2026
    What happens when a wealth manager applies institutional discipline and global insight to hospitality investing? On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews William Huston, Founder and General Partner at Bay Street Hospitality, who discusses his journey from a call center business to creating global hospitality-focused funds designed to deliver high yields through quant-driven strategies. William shares deep insights into hospitality investment, covering topics from student housing in Hong Kong to tourism growth in India, and how his firm’s data-driven approach maximizes returns for institutional investors. He explains how combining local market intelligence, government partnerships, and strategic acquisitions has enabled Bay Street to scale rapidly while maintaining high-quality service for asset owners, operators, and developers worldwide. Key Takeaways: → Long-term success depends on backing proven operators and developers—not just attractive properties. → Student housing shortages in Hong Kong, India’s tourism boom, and Australia’s Olympic-driven infrastructure investments all represent distinct, time-sensitive market drivers. → The same disciplined frameworks used in wealth management, including risk assessment, alignment, and scalability, can be successfully applied to hospitality. → Hospitality is an experience-driven business, shaped by human connection, culture, and memory. → Growth should align with life priorities. In 2018, William Huston founded Bay Street Hospitality, where he currently serves as General Partner. Bay Street started as a call center based in El Salvador, structured as an LLC, serving his own investment fund rather than other companies' clients. The firm operates globally across public and private markets and applies a proprietary quantamental investment framework that integrates quantitative scoring models with fundamental underwriting discipline and targets hospitality operators, developers, and asset owners, offering equity, credit, and hybrid capital solutions. In May 2025, Huston launched a $430 million hospitality investment fund aimed at combining financial returns with positive social impact, targeting underinvested hotel markets globally, with a particular emphasis on India’s fast-growing tourism sector. Connect With William: Website: https://www.baystreethospitality.com/ LinkedIn: https://www.linkedin.com/in/huios/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    19 m
  • Episode 243: How One RIA Scaled to $16 Billion and 23 Acquisitions

    Episode 243: How One RIA Scaled to $16 Billion and 23 Acquisitions
    Feb 11 2026
    What happens when a $16 billion RIA decides to double down on leadership, integration, and “advisor intelligence” in the middle of an AI-driven vortex of change? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jennifer des Groseilliers, CEO of The Mather Group, who shares how her path from Vermont to law school to leadership roles at Ameriprise, MetLife, and a MassMutual franchise ultimately led her to the helm of The Mather Group, a $16 billion fee-only RIA. As a key leader at The Mather Group, Jennifer oversees a 190-person team, 40 wealth advisors, and a growth engine built on 23 acquisitions, an integrated planning platform, and a niche focus on Fortune 200 executives nearing retirement. She discusses leadership development, behavioral finance, and the rise of AI in wealth management—explaining why “advisor intelligence” is now the real differentiator for firms that want to win the next decade. Key Takeaways: → How taking over compliance, portfolio management, and back-office operations for acquired firms frees advisors to focus on client-facing work and deep planning. → Why it’s essential to bifurcate sales and advice and how that structure enhances both growth and advisor effectiveness. → How AI is creating a vortex of change in financial services and why advisor intelligence around values, behavior, and trust matters more than ever. → Why The Mather Group sees itself as an integrator, not an aggregator. → How carefully refined and consistent platform allowed the firm to scale to roughly $16 billion in AUM. Jennifer des Groseilliers is the Chief Executive Officer of The Mather Group. Jen cultivates a collaborative culture through inclusive and supportive leadership. Her unwavering commitment to keeping clients at the center of all efforts drives her approach. Jen’s extensive professional experience includes serving as a Managing Partner in the MetLife Premier Client Group in 2013, leading a team of over 160 financial advisors. She became the CEO of MassMutual Illinois in 2016 and, in 2020, after a merger with WestPoint Financial Group, assumed the role of Partner and Chief Experience Officer, leading various departments, including Investments, Compliance, Practice Development, and Financial Planning. Connect With Jennifer: Website: https://www.themathergroup.com/ Instagram: https://www.instagram.com/officialtmgwealth/ Facebook: https://www.facebook.com/TMGTheMatherGroup LinkedIn: https://www.linkedin.com/in/jenniferadesgroseilliers/ https://www.linkedin.com/company/themathergroup Learn more about your ad choices. Visit megaphone.fm/adchoices
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    14 m
  • Episode 242: Bringing Private Equity to the Mass Affluent

    Episode 242: Bringing Private Equity to the Mass Affluent
    Feb 4 2026
    What if your accredited clients could tap into institutional-quality private deals without locking up their money for a decade? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Joseph DaGrosa, Jr., Chairman and CEO of Axxes Capital, who explains how his career evolved from auditing at a wirehouse to partnering with an early leveraged buyout pioneer and ultimately building Axxes Capital to open private equity and private credit to the mass affluent accredited investor market. He also shares why interval funds, rigorous sub-advisor due diligence, and his new educational resource, The Financial Advisor’s Guide to Private Investments, are helping RIAs bring institutional-style private allocations to a broader client base. Key Takeaways: → Why the accredited investor segment represents a massive, historically underserved opportunity for private investments. → How the rules of the Investment Company Act of 1940 limit traditional private equity vehicles. → How Access Capital structures registered vehicles to bring private equity and private credit access to mass affluent accredited investors. → What interval funds are, how their semi-liquid structure works, and why they may be a fit for long-term investors who want private exposure with periodic liquidity. → Why RIAs and RIA aggregators are turning to outsourced CIO relationships to help them evaluate and implement private investments at scale. Joseph DaGrosa, Jr., is the Chairman and CEO of Axxes Capital. Mr. DaGrosa has over 30 years of private equity experience successfully investing in multiple industries, including insurance (where he served as Co-CIO), retail, food & beverage, real estate, hospitality, healthcare, aviation, and sports & entertainment. He is a recognized industry authority and the co-author of The Financial Advisor’s Guide to Private Investments, a book designed to provide advisors with access, insight, and confidence as they navigate the growing private markets landscape. Mr. DaGrosa also serves as Chairman of the private equity firm DaGrosa Capital Partners LLC, a Miami-based private equity firm that is focused on control and influential minority investments in exceptional companies located throughout the United States. Connect With Joe: Website: https://axxescapital.com/ X: https://x.com/joe_dagrosa LinkedIn: https://www.linkedin.com/in/joseph-dagrosa-jr-59415934/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    14 m
  • Episode 241: Life-Informed Wealth Planning Across Generations

    Episode 241: Life-Informed Wealth Planning Across Generations
    Jan 28 2026
    What if the most important part of your financial plan has nothing to do with the numbers on your statement? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Mitch Hamer, Founder and Lead Advisor at Intersecting Wealth, who shares how his psychologically informed approach helps high-net-worth families navigate money across multiple generations. Drawing on his background in psychology, Mitch explains why the most impactful conversations rarely revolve around spreadsheets and how “life-informed” planning better reflects clients’ real goals, stories, and risk capacity. He also discusses evolving the business from a trusted practice into an enduring enterprise while adapting to AI, shifting client expectations, and a rapidly changing wealth landscape. Key Takeaways: → How life, psychology, behavior, and money shape every client’s decision. → More client breakthroughs come from conversations about biases, fears, and dreams than from portfolio models. → How estate planning, account titling, and goal-setting are often underserved, and each entity in a complex family structure deserves its own balance sheet with clear objectives. → What life-informed planning looks like in practice and why a one-size-fits-all model can cause advisors to miss what truly matters to clients. → Why LinkedIn and content creation are key to Intersecting Wealth’s next chapter. Mitch Hamer is the Founder and Lead Advisor at Intersecting Wealth. He values guiding families through the comprehensive financial planning process. Given his approach, which is more psychological and behavioral than financial, Mitch enjoys helping families zoom out on what gets too much attention, zoom in on what is largely ignored by advisors, and then pull it all together. He finds being on the journey with families as they find clarity around their goals and dreams, and supporting them in implementation, uniquely rewarding. Prior to founding Intersecting Wealth in 2024, Mitch spent the previous eleven years as a Financial Advisor to high-net-worth individuals and families. Connect With Mitch: Website: https://intersectingwealth.com/ LinkedIn: https://www.linkedin.com/in/mitchellphamer/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    15 m
  • Episode 240: Building a Firm Around the FORM of Life

    Episode 240: Building a Firm Around the FORM of Life
    Jan 21 2026
    What if your financial advisor cared less about beating benchmarks and more about the family tree, mission, and life you’re actually building? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Tyson Ray, CFP®, CExP®, CIMA®, CEO and Founding Partner of FORM Wealth Advisors, who shares how an eviction notice on his family’s fridge shaped a mission-driven approach to money. As the author of The Total Relationship and the forthcoming Total Succession, Tyson explains why real advisory work starts with family, occupation, recreation, and mission—not pie charts, past performance, or product pitches. He shares insights into scaling past a billion in assets, fixing painful missteps with clients and the team, and preparing both families and advisors for the next great wave of wealth transfer. Key Takeaways: → How FORM Wealth Advisors structures reviews and planning to reflect the actual shape of a client’s life. → Why advisors stop selling last week’s winning lottery numbers and start owning real-life responsibility for clients. → How FORM Wealth Advisors serves every branch of the family tree and why that has been vital to the firm’s growth. → Why cutting “smaller” clients can erode trust in a close-knit community. → How inheritances split one large relationship into many smaller ones. Tyson Ray, CFP®, CExP®, CIMA®, CEO, and Founding Partner of FORM Wealth Advisors, has developed extensive expertise in investment management, financial planning, and business exit strategies, earning recognition from Forbes, Barron’s, and AdvisorHub as a top advisor. Tyson also actively contributes to his community through philanthropic initiatives, including Children’s World Impact. His journey began at Badger High School, where, as a sophomore, he invested $100 in mutual funds, sparking a lifelong passion for financial strategy. After graduating from the University of West Florida, he returned to Southern Wisconsin to launch his career in financial services. Tyson enjoys spending time with his wife and three children, as well as hunting, fishing, playing golf, and exploring the outdoors. Connect With Tyson: Website: https://totalsuccession.com/ LinkedIn: https://www.linkedin.com/in/tysonray/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 m
  • Episode 239: The Art of Financial Matchmaking for Advisors

    Episode 239: The Art of Financial Matchmaking for Advisors
    Jan 14 2026
    Are you a financial advisor planning for succession or retirement? How to navigate the complex world of advisor transitions with a personalized, consultative approach. In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Andrew D. Mirolli, CEPA®, Co-Founder and Managing Partner at buyAUM.com, who explains how his company acts as a “financial matchmaker,” helping financial advisors plan their succession or sale to the right buyers. Drawing from over a decade in private equity and capital raising, Andrew shares insights on how to approach succession planning, what impacts valuations, and how technology like AI and blockchain is shifting the industry. If you’re a financial advisor thinking about the future of your practice, this episode provides invaluable advice on making your business more marketable and transferable. Key Takeaways: → How buyAUM.com matches financial advisors with the right buyers. → Why buyAUM.com focuses on deep conversations and understanding the seller’s needs. → How the surge in market consolidation has increased seller fatigue, making a personalized approach to matchmaking even more important. → Why AI and blockchain are changing the financial advising landscape, especially in managing client relationships and valuations. → How asking the right questions can help clients discover their ideal succession plan. Andrew D. Mirolli, CEPA®, is Vice President at buyAUM.com, where he helps independent RIAs and advisory teams design client-safe successions and growth-minded partial equity transactions. He partners with firm owners to evaluate strategic options—full exits, mergers, or “sell & grow” structures—then builds operator-grade playbooks around valuation levers, documentation, and client communications that protect trust, culture, and enterprise value. Drawing on experience with solo practices and multi-partner firms, Andrew focuses on aligning partner timelines, de-risking handoffs, and preserving retention through a clear cadence of client re-introductions and meetings. Known for translating complex deal mechanics into simple steps advisors can act on next quarter, he brings a practical lens to high-stakes transitions. Andrew is a Certified Exit Planning Advisor (CEPA®) and a frequent resource to advisors who want to prepare years before they sell—so they can exit (or scale) on their terms. Connect With Andrew: Website: https://buyaum.com/ Instagram: https://www.instagram.com/buyaum/ LinkedIn: https://www.linkedin.com/in/andrew-d-mirolli-cepa%C2%AE-7a304259/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 m