『RIA Collective』のカバーアート

RIA Collective

RIA Collective

著者： Charlie Van Derven
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 Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com.© 2025 RIA Collective マネジメント・リーダーシップ マーケティング マーケティング・セールス リーダーシップ 個人ファイナンス 経済学
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  • What Independent Advisors Are Getting Wrong About Cybersecurity - With Carm Cicalese

    What Independent Advisors Are Getting Wrong About Cybersecurity - With Carm Cicalese
    2025/11/03

    Independent advisors often think cybersecurity is something “the big firms” need to worry about. But the truth? RIAs are often at greater risk.

    In this episode of RIA Collective, host Charlie Van Derven sits down with Carmine “Carm” Cicalese, founder of CYBER CIC (“CHICK”) and partner at Digital Privacy & Protection, to unpack what every independent advisor needs to know about protecting sensitive client data, staying compliant, and maintaining client trust.

    Carm breaks down cybersecurity into three key areas - People, Processes, and Technology - and shares how most advisors are investing in the wrong one. He also explains why compliance doesn’t equal security, and what steps RIAs must take to close that dangerous gap.

    In this episode:
    00:00 – Why trust in financial services depends on data security
    03:15 – The #1 cybersecurity mistake independent advisors make
    06:42 – How hackers target RIAs and their clients

    09:30 – Why “adequate compliance” isn’t the same as “protection”
    13:10 – The 50/30/20 rule for cybersecurity investment
    17:45 – Practical steps to protect your firm and your clients

    Whether you’re a new RIA, breaking away from a wirehouse, or running a mature independent firm, this conversation will help you understand the human, operational, and tech layers of cybersecurity that protect both your clients and your reputation.

    🎧 Listen now and subscribe to RIA Collective for more conversations that help independent advisors grow, protect, and scale their businesses.

    Connect with Carm Cicalese:
    💼 linkedin.com/in/carmcicalese
    🌐 https://cybercic.com/

    Connect with Charlie Van Dervenn:
    🌐 https://www.social-advisors.com/
    💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/
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    18 分
  • Unapologetically Jen: Building a Client-First Practice on Her Own Terms

    Unapologetically Jen: Building a Client-First Practice on Her Own Terms
    2025/10/06

    Welcome to a high-energy, no-BS conversation with Jen Staben, Financial Advisor at Prime Capital and unapologetic force of nature in financial services.

    In this episode of the RIA Collective, Jen sits down with host Charlie Van Derven to share how she built a client-first practice her way - and why that meant leaving behind big-name firms, scripts that didn’t sound like her, and a system that prioritized products over people.

    💥 Topics Covered:

    • Why Jen left a major national firm to launch her own brand
    • The power of building a business around your values
    • How she made the transition seamless for clients
    • Why “Unapologetically Jen” isn’t just a brand - it’s a mission
    • The book and podcast she’s launching to pull back the curtain on financial services

    If you're an advisor who's felt out of place in a system that doesn't align with your values - this episode will hit home.

    📣 Resources Mentioned:
    Jen’s Website: https://www.unapologetically-jen.com
    Connect with Jen on LinkedIn: https://www.linkedin.com/in/jen-staben-weinberg-crpc%C2%AE-6947b710b/
    Connect with Charlie on LinkedIn: https://www.linkedin.com/in/charlievanderven/

    👉 Don’t forget to subscribe, like, and share this episode with an advisor who needs to hear it.

    #RIACollective #FinancialAdvisor #IndependentAdvisor #WomenInFinance #AdvisorBranding #AuthenticAdvising #Core4 #UnapologeticallyJen #SocialAdvisors
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    29 分
  • Building Pillars of Independence with Greg Curry

    Building Pillars of Independence with Greg Curry
    2025/09/18

    In this engaging episode of RIA Collective, host Charlie Van Derven sits down with Greg Curry, founder of Pillar Financial in Louisville, Kentucky. With nearly three decades of experience spanning accounting, insurance, and independent advisory, Greg shares his unique journey from CPA and institutional product management to building a successful fee-only RIA.

    The conversation dives into the lessons Greg has learned along the way—why simplicity and operational excellence are critical to client success, how a focus on planning over products builds lasting trust, and why clear processes and systems are the backbone of a thriving practice. Greg reflects on early challenges, the importance of owning mistakes and making clients whole, and the power of delivering financial advice that clients can truly understand and act on.

    Listeners will gain insights into cash flow–based planning, the use of homegrown tools like Excel alongside specialized software, and Greg’s philosophy that true value lies not in predicting markets but in guiding clients confidently through them.

    Tune in for a thoughtful discussion on the intersection of simplicity, transparency, and genuine client care, and how these principles can shape both a successful advisory practice and deeply rewarding client relationships.
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    26 分
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