About RIAcast's Host:Matt Baum, Esq. is an active securities and commercial litigator. He is a Partner at Ellenoff Grossman & Schole LLP. Matt's practice focuses on representing financial industry participants, including broker-dealers, advisors, and investment advisory firms. He represents clients in customer and industry disputes, FINRA and SEC Enforcement proceedings and investigations, securities licensing issues, employment matters, transitions, arbitrations, and court actions. Matt can be contacted at (212) 370-1300 or at matt@riacast.com.
On this episode, RIAcast is joined by four Chief Investment Officers who have been participating for several years in a roundtable with regular meetings in which they openly share ideas and discuss and troubleshoot issues...
Read MoreOn this first episode of a planned RIAcast Transition Success Series, featuring Fidelity, we speak with Gary Decker, RIA Wealth Alliance Advisory Group’s President and CEO as well as Fidelity Vice President Andy Burgess....
Read MoreThis special edition episode of RIAcast was prompted by Morgan Stanley’s departure from the Protocol this past Friday, November 3, 2017. Morgan Stanley’s Protocol exit has caused considerable buzz and debate in the...
Read MoreOn RIAcast’s 15th episode, we speak with Trust Company of America (TCA) CEO Josh Pace. TCA is an independent RIA custodian. Josh and Matt discuss, among other things: TCA’s consultative approach; its MMX initiative;...
Read MoreOn this episode, Matt chats with Brian McLaughlin, CEO and Founder of Redtail Technology. Redtail has the largest RIA market share for client relationship management solutions delivered on a web-based platform. Brian and Matt...
Read MoreOn this episode, we speak with Richard Kemmling, President of Ashland Partners, an accounting firm that provides due diligence solutions to the financial services industry. Ashland Partners is the largest provider of Global...
Read MoreOn this episode, Matt chats with Ed O’Brien, CEO of eMoney Advisor. Ed and Matt discuss, among other things: Ed’s background in fintech; His vision as eMoney’s CEO; The greatest challenges currently facing eMoney; eMoney’s...
Read MoreOn this episode, Matt chats with Wes Stillman, founder of RightSize Solutions, a cloud-based technology solution company servicing the wealth management industry. This episode provides tons of insight for RIAs to enhance their...
Read MoreOn RIAcast’s 10th episode, we have an insightful conversation with Bill Van Law, President of Raymond James’ Investment Advisors Division. Bill and Matt discuss, among other things: Bill’s vision as President of...
Read MoreOn this episode, we have an engaging conversation with Gino DeRango, Managing Director of Institutional Sales at TD Ameritrade Institutional. Gino and Matt discuss, among other things: Gino’s leadership role at TD Ameritrade;...
Read MoreOn this episode, we gain insight into Dynasty Financial Partners through our conversation with its CEO and Co-Founder, Shirl Penney. Among other topics, Shirl and Matt discuss: Dynasty’s service model Shirl’s predictions...
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