Registered Investment Advisor Podcast

Are you a financial advisor struggling to break through the growth ceiling? Learn how to overcome key obstacles and unlock the path to scaling your practice to new heights.

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Dr. Jon Randall, PhD., Founder & Leader of XFA.COACH, who helps financial advisors scale their practices faster and smarter by addressing the hidden bottlenecks holding them back. With over 21 years of consulting experience, Jon has worked with some of the fastest-growing financial practices, helping them optimize client relationships, scale their teams, and boost profitability. In this episode, he reveals how to break free from capacity constraints and implement the right mindset for explosive growth.

Key Takeaways:

→ How you must fix all foundational issues before trying to grow your practice.

→ Why many advisors face productivity issues.

→ How advisors need to raise their floor by working with clients that bring in higher revenue per account.

→ Why many advisors hit a growth ceiling at around $1 million in revenue.

→ How maximizing the profitability of current clients is the key to unlocking additional revenue.

Dr. Jon Randall has been coaching and consulting the fastest growing financial advisors in the industry since 2004. As a transformational leader, he is passionate about making a positive difference in the industry and has received numerous awards, including Outstanding Leader and Consultant of the Year, and is ranked the #1 Consultant for firms that track results. The average production of practices Jon works with has exceeded $5 million. He is a sought-after national presenter at financial service conferences and published author; his book titled The Extraordinary Financial Advisor Practice. Prior to coaching, Jon was a seasoned financial advisor where he learned the ins and outs of the industry. Jon holds a Doctorate in Performance Psychology and currently resides in Greenville, North Carolina with his wife Kathleen and their two sons, James and William.

Connect With Jon:

Website: https://www.xfa.coach/

Instagram: https://www.instagram.com/xfa.coach

Facebook: https://www.facebook.com/XFA.COACH

LinkedIn: https://www.linkedin.com/company/xfa-coach/

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You don’t need to budget to get ahead financially, you just need to change the way you think about money.

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Lisa Chastain, Money Coach, Mentor, and Unshakeable Optimist, who shares her journey from a single mom struggling in a tough spot to building a six-figure business in just 10 months. Lisa talks about how emotions drive money decisions and why addressing your unconscious beliefs around money is crucial for success. She explains why traditional budgeting doesn’t work, offering a transformative approach to managing finances that starts with shifting your mindset, not restricting your spending.

Key Takeaways:

→ How addressing emotional beliefs about money is the first step to financial success.

→ Why financial habits are often rooted in childhood experiences.

→ How it’s important to uncover how early memories around money shape your decisions today.

→ How high net-worth individuals create and manage cash flow to allow for more freedom.

→ Why traditional budgeting restricts people and doesn’t lead to long-term wealth.

Lisa Chastain is a Personal Finance Coach with over 20 years of experience offering independent financial advice to executives, professionals, and business owners. She has been featured in Cosmopolitan, CNBC, NBC News, MSN Money, O – The Oprah Magazine, Fortune, Forbes, Business Insider, Business Newsweek, and Entrepreneur Magazine, and is one of Las Vegas Women Magazine’s people to watch. A best-selling author, Lisa is also the host of the Real Money radio show on VoiceAmerica, the second-largest online radio broadcaster in the nation, with over 3 million listeners. After burning through $100,000 and nearly going completely broke, Lisa was forced to reinvent herself. Her aspiration wasn’t to own a mansion or drive a Ferrari; she wanted simple things, like so many of the women she now works with, such as savings, retirement funds, and a secure future for her family. Put plainly, she didn’t want to have to stress about money any longer. In 2016, Lisa applied what she had learned and launched her business as a money coach, with a mission to help women manage their finances effectively without a budget, enabling them to live their best lives. She has now helped countless clients learn how to track their expenses without budgets, invest wisely, and make informed financial decisions, enabling them to escape the financial rollercoaster and achieve long-term stability.

Connect With Lisa:

Website: https://lisachastain.com/

Instagram: https://www.instagram.com/savvymoneywithlisa/

Facebook: https://www.facebook.com/savvymoneywithlisa

LinkedIn: https://www.linkedin.com/in/lisachastain/

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Are you using your technology to its fullest potential?

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Christopher Johnson, CEO of TrigaByte Technologies, who delves into the challenges wealth management firms face when integrating technology and maximizing its potential. With 30 years of experience, Chris shares his journey from working as a compliance officer to founding Trigger Byte, where he helps advisors leverage technology for greater efficiency and client satisfaction. Chris discusses everything from client onboarding to the rise of AI in wealth management, offering actionable insights for firms looking to scale smarter.

Key Takeaways:

→ Why the biggest challenge in wealth management is effectively integrating and using technology.

→ How optimizing tech usage helps firms increase their ROI.

→ How AI is the future of automating client interactions and tasks for wealth management firms.

→ Why wealth management firms are shifting from commission-based models to fee-for-service models.

→ Why it’s vital to choose and implement technology that fits a firm’s specific needs.

Christopher Johnson has spent over 30 years in the financial services industry, leading, growing, and guiding wealth management firms through both change and opportunity. With deep expertise in building strong operational foundations and scalable infrastructure, Chris understands what advisory offices need to truly thrive. He believes that when the right tools and technology are applied intentionally, they do more than improve efficiency—they create space for purposeful growth, elevate the client experience, and enhance team performance. Passionate about helping advisors reach their full potential, Chris works closely with firms to streamline processes, optimize existing systems, and deliver exceptional service at every stage of their evolution.

Connect With Christopher:

Website: https://www.trigabytetech.com/

LinkedIn: https://www.linkedin.com/in/christrigabytetech/

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What if adding a simple quote widget could turn your existing contacts into a steady stream of life-insurance buyers without high-pressure sales?

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Brian Greenberg, Co-Founder & CEO of Quoteplicity, who shares how running an all-inbound, phone-based life insurance agency for 15 years led him to build a platform that has helped create 200,000+ leads for agents and agencies. He breaks down low-friction funnels, quoting tools, carrier hand-offs, and practical tactics advisors can use to cross-sell life insurance without turning every conversation into a hard sell.

Key Takeaways:

→ Why people who sell life insurance should time their sales approach to meet buyers during key life events.

→ How using a quick quote widget lets shoppers self-serve and reach out when they are ready.

→ Why carrier “drop ticket” flows reduce friction time once the basics are submitted.

→ How Quoteplicity can be fully white-labeled on your domain, using your logo, phone number, and email, routing all leads to you.

→ Why the real challenge is traffic and outreach, not technology.

Brian Greenberg is a serial entrepreneur, published author, and pioneer in the life insurance industry. As Co-Founder and CEO of Quoteplicity, Brian brings over two decades of experience in growing successful businesses and revolutionizing how life insurance is sold online. Brian brings over 20 years of entrepreneurial experience and a proven track record in the life insurance industry. A pioneer in online sales and author of The Salesman Who Doesn’t Sell, Brian’s leadership drives Quoteplicity’s mission to revolutionize the way agents grow their businesses.

Connect With Brian:

Website: https://www.quoteplicity.com/

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Feeling stuck in your career and unable to break through? What if the key to unlocking your potential and achieving real growth lies in a simple shift in mindset and systems, not just working harder?

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jim Effner, founder of the P2P Group, a coaching and training firm dedicated to helping financial advisors turn their potential into real performance. With over 30 years of experience in the financial industry, Jim shares the mindset and systems that have enabled him to build high-performing teams and achieve lasting success. Whether you’re a seasoned professional or just starting out, Jim’s insights will help you reach your full potential and elevate your business.

Key Takeaways:

→ Why the biggest mistake advisors can make is winging it.

→ How successful business run on systems not improvisation.

→ Why empowering beliefs are crucial to overcoming self-doubt and achieving success.

→ How growth requires embracing risk and moving forward even when it’s uncomfortable.

→ Why the solo advisor model is dying and how a team-based approach provides scale, service, and succession.

Jim Effner is founder and President of P2P Group, a company specializing in sales training for financial services professionals. His mission is to help bridge the gap between financial advisors’ potential and their performance.

Prior to forming the P2P Group, Jim was Managing Partner of one of the largest Northwestern Mutual offices in the country. He built the Effner Financial Group to nearly 150 full-time and college advisors, insuring over 65,000 policyholders with a face amount of nearly $27 billion.

A Million Dollar Round Table qualifier every year he worked in the business, Jim is now a lifetime member of MDRT. He was a three-time Recognition Dinner/Forum qualifier, which represents the top 5% of all Northwestern Mutual advisors. In fact, he was the youngest person to make Forum the first two times he qualified. As a new advisor, he led his region in 1990, 1991 and 1992, placing runner-up in the Bronze and Silver awards, and 3rd in the Gold.

Jim has overcome numerous life challenges, including losing his hearing just 30 days after taking his Managing Partner contract. He brings his commitment to excellence, his passion, energy and conviction – along with his perspective of 30+ years in the industry – to every aspect of his business.

Connect With Jim:

Website: https://jimeffner.com/

Facebook: https://www.facebook.com/jimeffnerp2p

LinkedIn: https://www.linkedin.com/in/jimeffner/

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Freedom gets a lot easier when your systems work harder than you do.

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Daniel Alonzo, Wealth Coach, who unpacks the mindset and mechanics of true financial freedom. Financially independent by 28, Daniel scaled to 1,500+ agents across 60 offices and hosts the Wealth on the Beach podcast. He breaks down scaling via leadership, content consistency, and modern messaging that attracts the next generation while building durable passive income.

Key Takeaways:

→ Why achieving true financial freedom requires both passive income and substantial cash reserves.

→ How building leaders who can operate independently allows a business to scale faster.

→ Why documenting systems, training materials, and repeatable processes is the foundation for sustainable growth.

→ How consistency is what separates those who get attention from those who fade away.

→ Why staying relevant means embracing new voices, listening to younger generations, and adapting your message to changing audience platforms.

Daniel Alonzo is a high-energy entrepreneur, wealth coach, and host of the Wealth on the Beach Podcast. He has built one of the largest financial teams in America, comprising over 1,500 licensed agents and 60 offices. He’s also the author of 3 books: Wealth on the Beach: 11 Laws to Building Financial Freedom, Wealth on the Beach: For Teens, and his latest, Wealth on the Beach: Why Most Life Insurance is a Scam – And How to Get It Right. Daniel’s Mission is to teach people how to build wealth, shift their mindset, and live a life of freedom, choices, and options.

Connect With Daniel:

Website

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Silence online isn’t neutral anymore; it’s a risk you can’t afford.

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jess Jensen, Founder and CEO of Co-pilot Communications, who is a former Fortune 500 leader who ran digital, social, and executive communications at Nestlé, adidas, Qualcomm, and Microsoft. Jess helps C-suite executives and founders present themselves online as authentic individuals—transforming leadership values into content that fosters trust, demand, and resilience. She shares why invisibility is dangerous, how to craft a durable leader brand, and what today’s LinkedIn favors beyond corporate PR blasts.

Key Takeaways:

→ How leaders must go beyond wins and launches.

→ Why you should treat LinkedIn like a conversation, not a press wire.

→ How your should build your professional brand before you need it.

→ Why personal narratives matter to earn trust and recall.

→ How balancing business value with human moments is critical.

Jess Jensen is the founder of Co-pilot Communications, a Portland-based advisory helping bold executives and founders build digital brands that actually sound like them. After 20 years inside Fortune 100 companies (Microsoft, Qualcomm, Nestlé, and Adidas), Jess stepped out of corporate to help leaders stop playing small online and start showing up with clarity and confidence.

Co-pilot works with curious, values-driven leaders who are tired of generic content and ghostwritten fluff. Jess believes that building a professional brand isn’t just smart—it’s your moat. Through sharp messaging, editorial strategy, and smart use of platforms like LinkedIn and podcasting, she helps her clients earn trust and build rapport in places where their stakeholders already spend hours every day.

Jess launched Co-pilot in 2024 to amplify the kind of leadership the world needs more of—clear, grounded, and human. She’s on a mission to help leaders take back the mic and shape their own narrative before someone else does.

Connect With Jess:

Website

LinkedIn

Subscribe to Jess’s Monthly Newsletter

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Why most advisors are drowning in marketing activity but starving for real results, and how to fix it before your pipeline runs dry.

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Matt Hicken, Senior Vice President of Consulting at Bill Good Marketing, who has coached hundreds of advisors and built practices from the ground up. In this discussion, Matt explains how Bill Good shifted from cold calling and direct mail to a system of documented best practices across 12 marketing channels, team structure, CRM, and branding. He details the key figures, the mistakes that hurt seminar ROI, and the step-by-step solutions that turn activity into assets.

Key Takeaways:

→ Why most firms drown in tactics but starve for leads and how to pick winners.

→ How to diagnose seminars that aren’t producing and the benchmarks to aim for.

→ How to identify which campaigns to scale and which to stop.

→ Why the best ideas should become best practices that you can repeat across markets.

→ The biggest myth about Bill Good Marketing and how the platform now covers the whole practice, not just marketing.

Matt Hicken is the Senior Vice President of Consulting and Triple Double Architect at Bill Good Marketing. During his nearly 14 years running an advisory business, Matt and his team tripled their output, growing from $500k annually to $4.5 million. In that time, they also made a major shift, moving from a 50% transactional model to a fee-based business.

Matt has over 23 years of combined experience working with advisors in practice management and consultative roles. He has traveled across North America, collaborating with some of the biggest advisory firms to analyze and overcome plateaus. Matt understands the industry and the unique challenges large teams face in running a business. He possesses the tools, processes, and real-world experience of building a business managing over half a billion dollars.

Connect With Matt:

Website

X

Facebook

LinkedIn

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What if you could score and rank hundreds of investment funds in mere moments, based on your unique preferences?

In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Eric Smith, J.D., Chairman & CEO of Decision Technologies Corporation, who discusses their patented decision assistant technology, designed to help investment professionals score and rank mutual funds and ETFs. This powerful tool allows advisors to customize 48 performance factors, enabling them to select the best funds for their clients and providing deeper insights than traditional rating systems like Morningstar. Tune in to learn how this innovative software can transform how you evaluate investments, optimize portfolios, and strengthen client relationships.

Key Takeaways:

→ Why investment professionals often struggle to understand how their choices compare across the market.

→ How Decision Technologies’ patented tool helps users score and rank investment funds objectively.

→ How this tool allows you to create personalized ranking systems tailored to your client’s goals.

→ How real-time ranking allows users to monitor funds and adjust as market conditions change.

→ Decision Technologies provides a game-changing tool for attracting new clients and managing existing investments more effectively.

Eric S. Smith, J.D., is the Chairman, CEO, and Co-Founder of Decision Technologies Corporation (DTC), where he co-invented the company’s patented decision-assistance technology. This technology powers DTC’s Professional RapidReview Tool (ProRRT) for investment advisors and its Retail Investment Tracking Application (RITA) for individual investors. DTC’s transformative technology enables both groups to make informed investment decisions in an increasingly complex financial landscape. Additionally, Mr. Smith serves as President of Trustee Empowerment & Protection, Inc. (TEPI), an SEC-registered investment adviser that helps retirement plan sponsors mitigate risks associated with class-action lawsuits. A licensed institutional investment consultant and attorney with over 22 years of experience in corporate and ERISA law, Eric brings a client-centric perspective to financial services, focusing on empowering individual investors and their advisors. He has spoken at various conferences on fiduciary responsibility, investment decision-making, and the flaws in the financial services marketplace.

Connect With Eric:

Website https://decisionengines.tech/ https://prorrt.com/

LinkedIn https://www.linkedin.com/in/eric-smith-82558710/

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– The RIA Podcast with Seth Greene Episode 226 Brett Meyer

The future of small cap investment is in active ETFs—and Toll & Co. is at the forefront. Brett Meyer, CFA, FRM, Head of Capital Formation at Towle & Co., explores the firm’s small-cap value strategy. With over 43 years of success, Toll & Co. focuses on undervalued, cyclical companies, using a disciplined approach that makes it a unique player in the investment world. Brett shares how their strategy fits into clients’ portfolios and the firm’s recent foray into active ETFs, which aims to enhance investment opportunities.Listen to this insightful RIA episode with Brett Meyer about how Small Cap strategy can complement your portfolio.
Here is what to expect on this week’s show:

• The unique small cap value strategy that Toll & Co. has run for over 43 years
• The growing role of active ETFs in investment strategies
• Why small cap and value strategies may be set to make a comeback
• The differences between ETFs, model delivery programs, and separately managed accounts
• The importance of understanding investor preferences and evolving trends like ESG

Connect with Brett:
Links Mentioned:
Website: https://www.towleco.com/

Towle ETFs: https://www.towleetfs.com/

Guest Contact Info:
 LinkedIn: https://www.linkedin.com/in/brett-meyer-cfa-frm-b612461/

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