What if you don’t actually own your book of business?

In this episode of RIA Collective, host Charlie Van Derven sits down with Tyson Ray of FORM Wealth Advisors to break down one of the most misunderstood topics in financial services: succession.

Tyson shares the eye-opening realization that many advisors, especially in W2 or hybrid models, may not truly own the goodwill of their clients. That has massive implications when it comes time to sell, transition, or exit your business.

He also introduces his S.P.A.C.E. framework, a practical way for advisors to think through succession beyond just retirement planning.

Together, Charlie and Tyson discuss:

• Why many advisors don’t actually own their client relationships
• The difference between W2, 1099, and RIA ownership structures
• Why succession planning is about more than retirement
• The biggest mistakes advisors make when planning an exit
• How to think about succession if something happens tomorrow
• The emotional and lifestyle side of stepping away from your firm

This episode is especially valuable for:

• Advisors at wirehouses or broker-dealers
• RIAs thinking about long-term exit strategies
• Advisors nearing retirement
• Anyone who wants more control over their business and future

Tyson also shares insights from his book “Total Succession”, designed to help advisors understand their options and make better decisions without bias.

🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and plan for the future.

🔗 Connect with Tyson Ray

📘 Book: https://totalsuccession.com
💼 LinkedIn: https://www.linkedin.com/in/tysonray/

🔗 Connect with Charlie Van Derven

🌐 Social Advisors: https://www.social-advisors.com
💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/

⏱️ Chapters

00:00 – Why succession matters now more than ever
02:00 – Do you actually own your book?
05:30 – W2 vs 1099 vs RIA explained
09:00 – The S.P.A.C.E. framework
13:00 – Common succession mistakes
17:00 – Planning for the unexpected
19:30 – Lifestyle, legacy, and exit decisions

What happens when a CRM is built for advisors with AI at its core, instead of having AI bolted on later?

In this episode of RIA Collective, host Charlie Van Derven sits down with Thomas Clawson, Co-Founder of Slant, to explore how AI-native CRM technology is changing the way financial advisors manage relationships, automate workflows, and grow their businesses.

Thomas shares how Slant evolved from a marketing automation tool into a full CRM after advisors kept asking for more powerful ways to manage workflows, notes, reviews, and client communication. He also explains why building a CRM from scratch in the AI era creates a major advantage over legacy systems that are still trying to retrofit modern functionality.

Together, Charlie and Thomas discuss:

• Why traditional CRMs are struggling to keep up with AI
• The difference between AI point solutions and AI-native platforms
• How advisors can automate client reviews, reminders, and workflows
• Creative ways to deepen relationships at scale
• How Slant approaches compliance, data protection, and security
• Why the future of advice is still rooted in relationships

Thomas also shares some of the most interesting use cases inside Slant, including AI-generated client outreach, review tracking, family relationship mapping, and workflows that help advisors stay connected not just with clients, but with spouses and the next generation as well.

This episode is especially valuable for:

• Independent advisors and RIAs
• Firms evaluating CRM and AI tools
• Advisors looking to improve efficiency without losing the human touch
• Leaders thinking about the future of advisor tech

🎧 Watch now and subscribe to RIA Collective for conversations that help independent advisors grow, adapt, and lead the future of financial advice.

Connect with Thomas Clawson

🌐 Slant: https://slant.app
💼 LinkedIn: https://www.linkedin.com/in/thomasclawson/

Connect with Charlie Van Derven

🌐 Social Advisors: https://www.social-advisors.com
💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/

Chapters

00:00 – Why this episode is different
02:00 – Why build a CRM for advisors
05:00 – Compliance, security, and protecting client data
07:00 – Moving beyond note takers
10:00 – AI workflows inside CRM
14:00 – What’s coming next for Slant
18:30 – The future of advisor growth and relationships
20:00 – Why the next generation matters more than ever

What does it really take to grow as a financial advisor?

In this episode of RIA Collective, host Charlie Van Derven sits down with Dennis Huergo of Wealth Enhancement Group to explore the mindset, career decisions, and experiences that shape successful advisors over time.

Dennis shares his journey from military service into financial services, starting in insurance and sales, and eventually transitioning toward true financial planning and independence. Along the way, he reflects on the lessons that accelerated his growth and the mistakes that slowed him down.

Together, Charlie and Dennis discuss:

• Why what you consume shapes the direction of your career
• How being the least experienced person in the room can accelerate growth
• The difference between sales-driven roles and true financial planning
• What advisors often get wrong early in their careers
• The tradeoff between short-term income and long-term development
• How mindset, discomfort, and environment impact success

Dennis also shares how his upbringing as the child of Cuban immigrants shaped his perspective on responsibility, growth, and making the most of opportunities.

This episode is especially valuable for:

• Advisors early in their career
• Professionals considering independence
• Advisors feeling stuck in sales-focused roles
• Anyone looking to grow faster by learning from others

🎧 Watch now and subscribe to RIA Collective for conversations that elevate the independent advisor profession.

Connect with Dennis Huergo

🌐 Website: https://www.wealthenhancement.com
📧 Email: dhuergo@wealthenhancement.com

Connect with Charlie Van Derven

🌐 Social Advisors: https://www.social-advisors.com
💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/

Chapters

00:00 – From military to financial services
03:30 – The impact of upbringing on financial mindset
07:10 – What you consume shapes your career
11:00 – Growth through uncomfortable environments
15:20 – Sales vs financial planning
19:00 – Lessons Dennis would do differently
22:30 – Advice for advisors considering independence