Shows
The COO RoundtableEpisode 80: Linda BreadyIn this episode, Matt sits down with Linda Bready, a renowned operations consultant to RIAs and author of the new book, The Exit Equation – M&A Strategies, Tools, and Insights for Financial Advisors. What started as a guide for sellers preparing for mergers or acquisitions, Linda’s book reveals itself as a comprehensive blueprint for operational readiness. It’s packed with practical strategies that empower firms to run more profitably and efficiently, whether or not a sale is on the horizon. As Linda writes, “a well-run firm isn’t just easier to sell, it’s easier to grow, scale, and live with...
2025-11-0554 min
The COO RoundtableEpisode 79: Morgan Bell & Lisa CraffordIn Episode 79, Matt welcomes two long-time friends and industry experts: Lisa Crafford and Morgan Bell of Constellation Wealth Capital (“CWC”). CWC is a Chicago-based private equity firm founded in 2023 that specializes in making minority investments in growth-oriented wealth management firms across the United States. Lisa and Morgan first met at BNY Mellon Pershing, while consulting for RIAs. Today, Lisa serves as Managing Director, Head of Advisory, and Morgan leads technology consulting at CWC. Matt has long considered both Morgan and Lisa fellow “operations nerds,” and has enjoyed collaborating with them on content aimed at helping operations professionals run better firms. A...
2025-10-0147 min
The COO RoundtableEpisode 78: Eric Stephenson & Shelly KapoorEpisode 78 dives deep into a challenge many COOs contend with on a daily basis: mastering M&A integration. Matt hosts a dynamic discussion with two former COOs who have recently stepped into groundbreaking roles focused exclusively on business integration: Eric Stephenson and Shelly Kapoor.
Eric is Managing Director of Integration and Optimization at Pathstone, a firm spanning 22 office locations, 800 employees, and managing over $100 billion of assets for clients. Shelly is a colleague of Matt’s at Coldstream, where she has taken on the new role of Manager of Business Integration. Coldstream now has approximately $13 billion of AUA, eigh...
2025-09-0337 min
The COO RoundtableEpisode 77: Brad Cox and Michael WalliserEpisode 77 finds Matt interviewing two seasoned RIA operators: Brad Cox and Michael Walliser, for an insightful conversation on growth, technology, and collaboration in the wealth management industry. Brad is COO, CCO, and Partner at Diversified Portfolios, Inc., based in Bloomfield Hills, Michigan. The firm was founded in 1993 and has grown to approximately $1.8 billion of client assets, with a team of 19 employees. Michael serves as President and CCO at Condor Capital Wealth Management in Martinsville, New Jersey. Established in 1988, Condor Capital oversees about $2 billion for clients and employs 28 professionals. In this episode, Brad and Michael discuss their 32-year-old study group, t...
2025-08-0641 min
The COO RoundtableEpisode 76: Tony Cox & Whitney ImerajWe are excited to return to our traditional interview format for Episode 76, but this time with a twist! For the first time, we are interviewing an RIA who is actively searching for a Chief Operating Officer. In this episode, we delve into the responsibilities they envision for their new COO, once hired.
Sage Mountain Advisors, founded in 2018 out of Goldman Sachs, has experienced remarkable growth. Starting with just six employees, the firm has expanded to 25 employees, managing approximately $5.5 billion for their clients. To date, the COO role has been filled by Whitney Imeraj, IACCP®, who also serves as...
2025-05-2137 min
The COO RoundtableEpisode 75: Why AI Is Not Your Top Tech PriorityIn the midst of volatile markets and a bustling tax season, Matt faced a unique challenge for Episode 75: he was unable to secure guests for the show. Rather than skipping an episode, he opted for a second monologue in a row, a format he typically reserves for special occasions. While he prefers to spotlight those leading operations at their firms, he chose a topic that resonates deeply with our listeners: leveraging technology to enhance the experiences of both teammates and clients.
Drawing on insights from his recent panel at the RIA Edge Nashville conference, titled Crafting a...
2025-04-2326 min
The COO RoundtableEpisode 74: The Importance of Client SegmentationIn Episode 74, Matt steps away from our usual interview format to share a vital message that could reshape how you approach your business. Drawing insights from his recent article in RIABiz, titled, How Fiduciary Duty Is Causing Confused Advisors to Run Bad Businesses, he dives deep into the crucial themes of firm capacity and RIA scalability. The primary function of a COO is to strategically allocate resources -- both human and technological -- across an expanding client base in a way that ensures every client experiences white glove service. In Matt’s mind, success as a COO hinges on a man...
2025-03-0533 min
The COO RoundtableEpisode 73: Carrie King and Jay TarnoWith Episode 73, Matt welcomes two thoughtful RIA operators to the podcast: Carrie King and Jay Tarno, CFP®. Carrie is Partner, Chief Compliance Officer, Director of Trading, and a Wealth Advisor at Ullmann Wealth Partners, located in Jacksonville Beach, Florida. Ullmann Wealth Partners was founded in 2002 and has grown from approximately $400 million in 2018 when Carrie joined, to about $1.1 billion today. Jay is the Chief Operating Officer at Cornerstone Planning Group in Fairfield, New Jersey. Cornerstone launched in 2020 with about $100 million of assets and today manages approximately $700 million for clients. Matt, Carrie, and Jay discuss the career paths that led them to wh...
2025-02-0544 min
The COO RoundtableEpisode 72: Brittany Manning & Brian HabasWe welcome Brittany Manning and Brian Habas for Episode 72! Brittany is the Chief Operating Officer at MCF Advisors, with offices in Covington, Lexington, and Louisville, Kentucky. The firm manages approximately $3.2 billion for both private clients and institutional clients and has 34 employees. Brian joined AlphaCore Wealth Advisory about six months ago as Chief Operating Officer. Alphacore is headquartered in La Jolla, CA, with additional offices in five other states. The firm manages around $3.5 billion and employes 49 team members. Britanny, Brian, and Matt discuss career paths for non-advisors in the wealth management industry, as well as:
How they identify different sk...
2025-01-0846 min
The COO RoundtableEpisode 71: Amy Flourry & Maria MillnerMatt was joined by Amy Flourry, Director of Operations of Rehmann Wealth, and Maria Millner, Partner and Head of Operations of Transcend Capital Advisors. Rehmann Wealth is headquartered in Lansing, MI, with additional offices in Ohio and Florida, and advises on approximately $4 billion across private client and retirement plan assets. Transcend Capital Advisors is headquartered in Madison, NJ, with additional office locations in Michigan and Florida, and works with approximately $3 billion in client assets and has 40 employees. Matt, Amy, and Maria have a deep conversation on the struggles of work/life balance in a hybrid environment, as well as:...
2024-12-0449 min
The COO RoundtableEpisode 70: Jeremy Massullo & Dr. Jordan HutchisonMatt was joined by Jeremy Massullo of Concurrent and Dr. Jordan Hutchison of RFG Advisory for Episode 70. Jeremy was Concurrent’s very first employee seven years ago, and currently serves as VP of Operations. The firm is headquartered in Tampa, FL, started as an OSJ on Raymond James’ platform, and currently has approximately $9.5 billion of client assets. Jordan serves as RFG’s Vice President of Technology and Operations. RFG Advisory is headquartered in Birmingham, AL, and manages approximately $5.5 billion with 65 employees. Matt, Jeremy, and Jordan tackle many operational topics that RIAs struggle with, including:
What day-to-day services they have ce...
2024-11-0552 min
The COO RoundtableEpisode 69: Jina Yi and Victoria LathamWe are joined by Jina Yi of Wealth Architects and Victoria Latham of Parallel Financial and the Fiduciary Alliance for Episode 69. Jina has been with Wealth Architects, headquartered in Mountain View, CA, since 2007 and was appointed the Chief Operating Officer and Chief Compliance Officer in 2021. The firm employes 25 team members, managing close to $2 billion in assets under management for approximately 400 clients. Victoria is the Director of Operations for Parallel Financial, located in Greenville, South Carolina, and also the Chief Compliance Officer for Fiduciary Alliance, a roll-up of which Parallel Financial is one of 11 member firms under Fiduciary Alliance. Matt...
2024-10-0252 min
The COO RoundtableEpisode 68 - Rachel LebowitzEpisode 68 could very well be the most impactful episode we have recorded. For five and a half years, The COO Roundtable has highlighted the incredible work COOs perform daily across the RIA industry. As such, we’ve tended to focus on the tactical elements of the job: How do you effect change at your organization? How do you approach technology or process implementations? How do you tackle your never-ending to-do list?
In this episode, Matt focuses on the essential soft skills required for the COO role and interviews author Rachel Lebowitz about her research and new book, “Empo...
2024-09-0440 min
The COO RoundtableEpisode 67 - Chrissy Lee & Meghan MartinWith Episode 67, we are joined by Meghan Martin of Apella Wealth and Chrissy Lee of Merit Financial Advisors. Meghan is the newly appointed Chief Operating Officer at Apella Wealth, headquartered in Hartford, CT. The firm advises on approximately $4.35 billion and has 93 employees across 16 office locations. Chrissy is the Chief Operating Officer at Merit Financial Advisors headquartered in Atlanta, GA. The firm manages approximately $12 billion of client assets and currently has close to 250 employees firmwide, with 48 locations around the United States. Matt, Meghan, and Chrissy focus their conversation on the operational aspects of mergers and acquisitions in the RIA space, but...
2024-08-0748 min
The COO RoundtableEpisode 66 - Carolyn ArmitageFor Episode 66, we break the rules of a “roundtable” and have only one guest, Carolyn Armitage, joining Matt for a deep conversation around our industry’s continuing evolution of turning practices into businesses. It was a real thrill for him to interview one of his most respected RIA leaders for this conversation. As he states in the introduction, his Mount Rushmore of RIA practice management leaders consists of Mark Tibergien, Michael Kitces, and Carolyn Armitage. You will see very quickly why he holds Carolyn in such high regard. From her time heading up LPL’s enterprise business management consulting business, to...
2024-07-1054 min
The COO RoundtableEpisode 65 - Rebecca Davis & Joe KleinWe are joined by Rebecca Davis of Greenspring Advisors and Joe Klein from The Bahnsen Group for Episode 65. Rebecca is the Director of Operations at Greenspring, headquartered in Townson, MD with additional offices in New Jersey and Pennsylvania. The firm has 41 team members and manages approximately $6.8 billion. Joe has the dual role of Chief Operating Officer and Executive Director of the firm’s Family Office offering. The Bahnsen Group is headquartered in Newport Beach, CA with offices in 6 other states. The firm manages about $5.5 billion of client assets and employs 60 team members. Matt, Rebecca, and Joe discuss what makes their fi...
2024-06-0541 minThe COO RoundtableEpisode 64 - Adrian Chastain & Kailee OstroskiIn this episode, Matt welcomes COO Adrian Chastain of Gratus Capital and Partner and COO Kailee Ostroski from Connecticut Wealth Management. Gratus Capital manages approximately $3 billion of client assets, has 50 team members, and is located in Atlanta, GA. Connecticut Wealth Management, in Hartford, CT, has 65 team members and oversees about $3.3 billion of client assets. Matt, Adrian, and Kailee discuss what it means to be an RIA Operations professional, the core focus on People, Process, and Technology, as well as:
How to best promote a “Culture of Operations” at your RIA
Tips for getting “buy in” from team members for the ado...
2024-05-0848 minThe COO RoundtableEpisode 63 - Do's and Don'ts of COO OnboardingIn his third ever monologue “rant,” Matt takes a break from our normal interview format to speak directly to RIA owners and COO candidates to discuss the “Do’s and Don’ts of COO Onboarding.” Referencing conversations with COOs, past articles he’s written, and former podcast guests, Matt urges RIA owners to have a clear understanding of what they need from their next Operations hire before beginning a search (how will you know you’ve found a good candidate if you don’t know exactly what you are hiring for?). He also recommends that newly-appointed COOs consider the firm’s capacity for c...
2024-04-0323 minThe COO RoundtableEpisode 62 - Megan Hannah of Emerald Advisors and Spencer Rand from Five Oceans AdvisorsWe are joined by Megan Hannah of Emerald Advisors and Spencer Rand from Five Oceans Advisors for Ep 62. Megan has the unique position of Chief Operating Officer and Portfolio Manager. Emerald Advisors is located in Bellevue, WA and manages approximately $700 million of client assets. Spencer has the dual role of Director of Operations and Chief Compliance officer at Five Oceans Advisors, headquartered in Los Angeles with a fully remote staff, managing around $500 million. Matt, Megan, and Spencer discuss their varied histories in the business, the fact that both guests have earned their Chartered Financial Analyst (CFA) designation, as well as:
2024-03-0646 minThe COO RoundtableEp 61 - Janelle Anderson of Grand Wealth Management & David Lehman of Wealthbridge AdvisorsWe welcome Janelle Anderson and David Lehman for Ep 61! Janelle is the Operations Manager and Chief Compliance Officer at Grand Wealth Management, located in Grand Rapids, MI. The firm manages approximately $600 million and has 13 employees. Matt and Janelle met at a DFA study group in May 2023. David is a financial advisor and the Chief Operating Officer with Wealthbridge Advisors, headquartered in Lake Oswego, OR. Wealthbridge is affiliated with Ameriprise Financial, has 18 employees and manages around $760 million for clients. David has been a member of the COO Society since March of 2023. Janelle and David discuss with Matt how they both juggle...
2024-02-0754 minThe COO RoundtableEp 60 - Amber Salzman of Capstone Financial Advisors & Jean Paul Atallah of RZH AdvisorsEpisode 60 marks our 5-year anniversary, and Matt was feeling nostalgic for this conversation with Amber Salzman of Capstone Financial Advisors and Jean Paul Atallah of RZH Advisors. Amber is Manager of Client Services and a partner of the firm, which is located in Downers Grove, IL, and manages approximately $1.8 billion with 35 employees. She also has her Financial Paraplanner Qualified Professional (FPQP®) certification. Jean Paul has spent his entire career in the financial services industry, but only joined RZH Advisors about 18 months ago, where he is the Chief Operating Officer and Chief Compliance Officer. The firm is located in Stamford, CT, m...
2024-01-1737 minThe COO RoundtableEp 59 - Allison Felix of Cassaday & Company & Erika Yelle of Coldstream Wealth ManagementWith “The Sabbatical Episode,” Matt welcomed two highly respected RIA professionals to tackle a topic not often discussed in our industry: mental health. Allison Felix, a two-time guest to the podcast, is Managing Partner and Chief Operating Officer of Cassaday & Co. Erika Yelle is Chief Compliance Officer at Coldstream Wealth Management. Both guests have been with their firms for over two decades and have held various positions and witnessed incredible growth at both RIAs. Cassaday & Co. is headquartered in McLean, Virginia, has 86 employees and currently manages just under $5 billion of AUM. Coldstream Wealth Management employs approximately 160 employees, manages just under $7...
2023-12-0656 minThe COO RoundtableEp 58 - Cameron Herold Author of The Second in Command: Unleash the Power of Your COOFor this episode, we step away from our normal format of speaking with operations professionals in the trenches, to speaking with an author and entrepreneur about the role of the COO. Cameron Herold has written a fabulous book directed at CEO’s who are contemplating hiring a COO, titled, Second in Command – Unleash the Power of Your COO. He is also the founder of the COO Alliance and the host of his own podcast dedicated to the role of COOs, Second in Command. Cameron has sat in the COO seat himself, overseeing the growth at 1-800-GOT-JUNK from $2 million to $106...
2023-11-0130 minThe COO RoundtableEp 57 - Trevor Hodges of Sax Wealth Advisors & Sean Chen of Validus CapitalMatt welcomes two long-time RIA operations professionals for Episode 57. Trevor Hodges is the relatively new Director of Operations at Sax Wealth Advisors, headquartered in Parsippany, New Jersey with a few offices in the New York and New Jersey area. While he has spent his entire career within the RIA space, Trevor joined Sax Wealth a few months ago. Sean Chen has known Matt since they were both 21 years old and working together at Merrill Lynch, and continued their professional relationship at Luminous Capital. Sean is the COO and CCO at Validus Capital in Los Angeles. Sax Wealth Advisors formed...
2023-10-0429 minThe COO RoundtableEp 56 - Rachel Rant of Aspen Capital Management & Scott Swanson of Quantum Financial AdvisorsThe COO Roundtable Episode 56
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For Episode 56, Matt invited two operations professionals that he met at a DFA Operations Strategy session earlier this year. Rachel Rant is a partner and Director of Operations at Aspen Capital Management, located in Boise, ID. Scott Swanson is a partner, Chief Operating Officer, and financial advisor with Quantum Financial Advisors, with several office locations in the Los Angeles area. Aspen Capital management was founded in 2002 as a solo advisor practice and stayed that way until about 2017. Fast forward to today, the firm manages approximately $900 million in a...
2023-09-0639 minThe COO RoundtableEp 55 - Tee Meeks of Waddell & Associates & Cory Jackmuff of BLB&B AdvisorsThe COO Roundtable Episode 55
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Matt was joined by two thoughtful and experienced Operations professionals for Episode 55. Tee Meeks is the Chief Administrative Officer and Chief Compliance Officer at Waddell & Associates, headquartered in Memphis, TN. Cory Jackmuff, from BLB&B Advisors in Montgomeryville, PA, is the firm’s Operations Manager. Waddell & Associates was founded in 1986, currently manages approximately $1.4 billion of client assets, and has 7 advisors with 19 full-time employees. BLB&B Advisors dates its inception to its broker dealer days, all the way back to 1964. The firm currently has 30 employees and has app...
2023-08-0256 minThe COO RoundtableEp 54 - Bryce Wisan of Sepio Capital & Angie Tower of Prairie Capital ManagementThe COO Roundtable Episode 54
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In Episode 54, Matt is joined by two operations professionals he has worked with in the past. Bryce Wisan is the Managing Director, CFO, and CCO with Sepio Capital, headquartered in Salt Lake City, UT. Angie Tower is Managing Director and COO at Prairie Capital Management, located in Kansas City, MO. Sepio Capital manages approximately $7 billion for high net worth and ultra high net worth clients, many who have recently experienced an exit from a startup. The firm currently has 28 employees and is contemplating a shift in focu...
2023-07-1253 minThe COO RoundtableEP 53 - Julie Higgins of Geometric Wealth Advisors and Kevin Galvin of Hopwood Financial ServicesThe COO Roundtable Episode 53
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With episode 53, Matt welcomes two guests that both take a very measured approach to Operations at their firms: Julie Higgins, Chief Operating Officer at Geometric Wealth Advisors and Kevin Galvin, Executive Vice President and Senior Advisor with Hopwood Financial Services. Geometric Wealth provides comprehensive financial planning for executives and partners in management consulting. The firm is roughly 8 years old, manages approximately $600 million of client assets, and has 21 employees, all working remotely full-time (the firm was fully remote pre-COVID). Hopwood Financial Services is headquartered in Reston, VA, was...
2023-06-191h 04The COO RoundtableEP 52 - Matt Sonnen of Coldstream Wealth ManagementThe COO Roundtable Episode 52
Powered by Coldstream Wealth Management
In episode 52, Matt assures our listeners that no major changes will occur with the podcast moving forward, despite its new sponsor (and Matt’s new employer), Coldstream Wealth Management. As of May 1, 2023, Matt has taken the role of Chief Operating Officer at Coldstream, headquartered in Bellevue, WA. The firm employs 135 people and manages roughly $6.5 billion of client assets, spread across 7 client service teams. Coldstream has three affiliated businesses (Fit Insurance, Ascent Capital, and Rainier Group) and has additional office locations in Portland, OR, Boise, ID, and Kenai...
2023-05-0922 minThe COO RoundtableEP 51 - Vince Crane of Flower City Capital and Zach Morris of Paces Ferry Wealth AdvisorsThe COO Roundtable Episode 51
By PFI Advisors
For our 51st episode, Matt welcomed two operations professionals who run relatively new firms, Vince Crane, COO, CCO and Partner of Flower City Capital and Zach Morris, Managing Partner and Founder of Paces Ferry Wealth Advisors. Flower City Capital was founded in 2016 and is located in Rochester, New York. They are currently a team of 5 and manage roughly $200M in AUM. Paces Ferry Wealth Advisors was founded in 2018 and is located in Atlanta, Georgia. They have 6 employees and manage approximately $300M in assets. Matt, Vince, and Zach chat a...
2023-04-0445 minThe COO RoundtableEP 50 - Allison Felix of Cassaday & Co. and Scott Brown of Pinnacle AssociatesThe COO Roundtable Episode 50
By PFI Advisors
For our milestone 50th episode, Matt is joined by two guests who are equally committed to highlighting the importance of professional management across the RIA industry: Allison Felix, Managing Partner and Chief Operating Officer of Cassaday & Co. and Scott Brown, President of Pinnacle Associates. Celebrating their 30th anniversary, Cassaday & Co was founded in 1993 and is a hybrid broker dealer and RIA. They are located in McLean, Virginia, have 85 employees, and currently manage $4.5B in AUM. Pinnacle Associates was founded in 1984 and has both an institutional and a wealth man...
2023-03-151h 01The COO RoundtableEP 49 - Edgar Collado of Tobias Financial Advisors & Alex Satterfield of Byron FinancialThe COO Roundtable Episode 49
By PFI Advisors
Our latest episode of The COO Roundtable features two guests who challenge our audience to think of the COO role in different ways - Edgar Collado of Tobias Financial Advisors and Alex Satterfield of Byron Financial. Tobias Financial Advisors is based in Florida and has a strong foundation in tax planning. They were founded in 1980 as a CPA firm and currently manage about $700M in AUM and have 19 employees. Byron Financial is headquartered in North Carolina and began in 1985 with a focus on life insurance. Currently they have 7 empl...
2023-02-0152 minThe COO RoundtableEP 48 - Daryl Seaton of Sowell Management & Barrett Karvis of Edge Capital GroupThe COO Roundtable Episode 48
By PFI Advisors
For our first podcast of the new year (and our fourth year running!), Matt is welcomed by two exciting guests – Daryl Seaton, President at Sowell Management and Barrett Karvis, Managing Director and Chief Operating Officer of Edge Capital Group. Sowell Management is headquartered in North Little Rock, Arkansas. Founded as a TAMP, they recently celebrated 20 years in business and have 29 employees. They currently manage $4B in AUA. Edge Capital Group is headquartered in Atlanta, Georgia. Founded in 2007, their AUM as of last year was approaching $5 billion and...
2023-01-0350 minThe COO RoundtableEP 47 - Julie Allen of FirstWave Financial & Chris Pelch of Vance WealthThe COO Roundtable Episode 47
By PFI Advisors
For our final episode of 2022, we were joined by two incredible members of our COO Society community: Julie Allen, Vice President of Business Operations at FirstWave Financial, and Chris Pelch, Chief Operating Office of Vance Wealth. FirstWave Financial began as a CPA firm in 1995 with a strong family foundation aimed to help its clients “deal with the complexity that wealth brings.” They are located in Satellite Beach, Florida, and currently have $400M in AUM and a team of 12 employees. Vance Wealth was founded in 2003 and helps its clients tackle...
2022-12-0655 minThe COO RoundtableEP 46 - Stacey McKinnon of Morton WealthThe COO Roundtable Episode 46
By PFI Advisors
Our latest episode of The COO Roundtable features a rare single-guest format. Stacey McKinnon of Morton Wealth recently wrote an important paper titled, “Your Career is Up to You” which features Philip Palaveev of the Ensemble Practice. Matt and Stacey discuss the paper by turning the spotlight inward and instead of focusing on how listeners can help their firms achieve more growth, they discuss ways everyone can be more fulfilled and successful in their professional life. Matt and Stacey have an honest and revealing conversation about their own career...
2022-11-011h 15The COO RoundtableEP 45 - Michael Wagner of Omnia Family Wealth & Ben Gurley of Heartwood Wealth AdvisorsThe COO Roundtable Episode 45
By PFI Advisors
Our latest episode of The COO Roundtable features two leaders of relatively young and evolving RIAs. We are joined by Michael Wagner, Co-Founder and Chief Operating Officer of Omnia Family Wealth and Ben Gurley, Director of Heartwood Wealth Advisors. Omnia Family Wealth was launched in 2015 and started with a team of 5 members. Currently headquartered in Aventura, Florida, they are now a team of 11 people and advise on $2.2B in assets. Heartwood Wealth Advisors joined the RIA space in 2019. They are headquartered in Richmond, VA, have 11 employees, and $1B in...
2022-10-0445 minThe COO RoundtableEP 44 - Crystal Creekmore of SYM Financial Advisors & Gary Bonner of Southwestern Investment Group In the “Reggie Jackson episode” of The COO Roundtable, Matt welcomes two thoughtful leaders of their organizations, Principal and Chief Compliance Officer of SYM Financial Advisors, Crystal Creekmore, and returning guest Gary Bonner, COO of Southwestern Investment Group. SYM Financial Advisors is headquartered in Winona Lake Indiana and has 5 offices across Indiana and Michigan. Founded in 1968, they are currently in their 3rd generation of ownership. They manage $3.7B in AUM and have 68 employees. Founded 20 years ago, Southwestern Investment Group is headquartered Franklin, Tennessee. They currently have 11 offices across 5 states and manage $5.5B in AUM with 176 employees. Together, Matt, Crystal and Gary...
2022-08-3135 minThe COO RoundtableEP 43 - Amanda Barrale of Moneta & Eric Sontag of WealthspireIn our latest episode of The COO Roundtable, Matt welcomes two impressive guests: Amanda Barrale, Chief Platform Officer of Moneta and Eric Sontag, President and Chief Operating Officer of Wealthspire. Moneta is headquartered in St Louis and has offices in Kansas City, Denver, and Boston and currently manages $32.8B in AUM with 440 employees. Wealthspire is headquartered in New York City and has 19 offices around the country. Founded in 1995, they manage $19B in AUM and have 270 employees. Together, Matt, Amanda, and Eric have a great discussion about building RIA Operations at scale and much more, including:
The crucial role Op...
2022-08-0246 minThe COO RoundtableEP 42 - Kristie Clayton of iMatter and the Visionary Forum & Melissa Bushman of AltruVistaIn our latest episode, Matt welcomes two incredible guests: Kristie Clayton, Integrator at iMatter and the Visionary Forum, and Melissa Bushman, VP of Operations at AltruVista. Kristie’s experience in banking and credit unions led her to wealth management where she found her true passion – leading teams and developing people to their full potential. Melissa brings a history of project management consulting, sports and entertainment, and non-profits to her current role at AltruVista. In this episode, Matt, Kristie, and Melissa discuss their role as an “integrator” and the impact it has on their firms. Other topics of discussion include:
...
2022-07-0650 minThe COO RoundtableEP 41 - Lauren Oschman, Tommy Martin, & Brad Quick of Vestia Personal Wealth AdvisorsFor the 41st episode of The COO Roundtable, Matt welcomes three special guests from Vestia Personal Wealth Advisors – CEO and Co-founder, Lauren Oschman, Co-founder and board member, Tommy Martin, and Partner and Chief Operating Officer, Brad Quick. Vestia has offices in Fort Wayne, IN, Indianapolis, IN, Los Angeles, CA, and Omaha, NE. They currently manage $500M and specialize in serving physicians. Together, Matt, Lauren, Tommy, and Brad have an insightful discussion about how focusing on their niche has helped Vestia become more efficient, knowledgeable, and consistent in providing stellar service to their clients’ unique needs. Other topics of conversation inclu...
2022-05-181h 03The COO RoundtableEP 40 - Yonhee Gordon of JMG Financial Group & Christine DeMao of Gibson CapitalIn the 40th episode of The COO Roundtable, Matt welcomes two extremely thoughtful and strategic guests, Yonhee Gordon, Principal, Chief Operating Officer, and Chief Marketing Officer of JMG Financial Group, and Christine DeMao, Chief Operating Officer and Managing Partner of Gibson Capital. JMG Financial Group is headquartered in Downers Grove, IL just outside of Chicago. They recently celebrated 38 years in business, have 86 employees, and currently manage $4.7B in AUM. Celebrating 33 years in business, Gibson Capital is headquartered in Wexford, PA, currently manages $2.3B, and has 15 employees. Together, Matt, Yonhee, and Christine have a comprehensive discussion on the many ways a C...
2022-04-0554 minThe COO RoundtableEP 39 - Rob Ziliak of Buckingham Wealth Partners and Ryan Armock of Thrivent Advisor NetworkThis month’s episode features two incredible guests: Rob Ziliak, Chief Operating Officer at Buckingham Wealth Partners and Ryan Armock, Head of Operations at Thrivent Advisor Network. Founded in 2019, Thrivent currently has 450 employees, and manages $6.5B in AUM. Buckingham Wealth Partners, a well-known RIA founded in 1994, currently manages $65B in collective assets between Buckingham Strategic Wealth and Buckingham Strategic Partners and has 540 employees. Together, Matt, Rob, and Ryan discuss the effect their respective roles play in creating and ensuring a great client experience and much more, including:
An overview of each firm and their respective strategies for growth
How e...
2022-03-0149 minThe COO RoundtableEP 38 - Jennifer Wagoner Kirksey of Tolleson Wealth Management and Trevor Phillippi of 6 MeridianFor our latest episode, Matt welcomes two fantastic guests: Jennifer Wagoner Kirksey, Managing Director of Wealth Operations at Tolleson Wealth Management, and Trevor Phillippi, Chief Operating Officer of 6 Meridian. Originally founded as a single family office, Tolleson Wealth Management currently has $10B in assets under oversight and is headquartered in Dallas, Texas. 6 Meridian, founded in 2016, is located in Wichita, Kansas and currently manages $1.8B in AUM. Matt, Jennifer, and Trevor discuss how their role is critical to “running the business,” what excites them about the future, and much more, including:
An overview of each firm, and how they have b...
2022-02-1532 minThe COO RoundtableEP 37 - Jason Mirabella of WealthSource Partners & Tom Preston of Brighton JonesFor our first episode of the new year, Matt welcomes two highly accomplished guests: Jason Mirabella, Chief Platform Officer of Wealthsource Partners, and Tom Preston, Director of Client Service of Brighton Jones. Founded in 2009, Wealthsource Partners is headquartered in San Luis Obispo, California, has 35 employees and manages $1.8B in AUM. Brighton Jones was founded in 2000 and currently has 225 employees. They are headquartered in Seattle, Washington and manage $8.5B in AUM. Matt, Jason, and Tom discuss how operations plays a key role in firm growth, client experience, and much more, including:
An overview of each firm, including how eac...
2022-01-0445 minThe COO RoundtableEP 36 – Karl Heckenberg of Emigrant PartnersFor our special three-year anniversary episode, we put a twist to our regular format and Matt was joined by Karl Heckenberg, CEO and President of Emigrant Partners for a compelling conversation on the RIA industry. Known for their strategic partnership with RIAs, Emigrant Partners is currently invested in 19 firms and has close to $90B in cumulative assets. Matt and Karl talk about industry trends including the investment outlook for RIAs, the role of the COO moving forward, RIAs now being run as true business, and much more, including:
The history behind Emigrant Partners
After a bit of teasing by M...
2021-12-0139 minThe COO RoundtableEP 35 – Amanda Green of Matrix Private Capital Group & Gary Davis Jr. of Satovsky Asset ManagementIn the 35th episode of The COO Roundtable, Amanda Green of Matrix Private Capital Group and Gary Davis Jr. of Satovsky Asset Management join Matt to discuss all things RIA operations and change management. Matrix Private Capital Group manages nearly $600 million of AUM, is headquartered in New York City, and has offices in Chicago, Los Angeles, Newport Beach, and Palm Beach, Florida. Satovsky Asset Management manages $700 million from their headquarters in New York City. Matt, Amanda, and Gary discuss how an operations professional who is new to their firm should conduct an early assessment of the RIA and much mor...
2021-11-0238 minThe COO RoundtableEP 34 - Jennifer Papadopolo of RegentAtlantic & Matt Wiles of Crestone CapitalIn the 34th episode of The COO Roundtable, Matt welcomes two amazing guests: Jenn Papadopolo, COO of RegentAtlantic, and Matt Wiles, COO of Crestone Capital. RegentAtlantic is headquartered in Morristown, New Jersey and has a satellite office in New York City. They have 70 employees and manage $6B in AUM. With 50 employees and approximately $3.5 billion of AUM, Crestone Capital is headquartered in Boulder, Colorado and has offices in Denver, Austin, Los Angeles, and a brand-new office in Salt Lake City. Matt, Jenn, and Matt discuss the intersection of HR and Operations and much more, including:
An overview of each firm
...
2021-10-0625 minThe COO RoundtableEP 33 - Jandy Rowe of Wipfli Financial Advisors & Brad Hixson of Lido AdvisorsIn the 33rd episode of The COO Roundtable, Matt welcomes two highly respected operations professionals: Jandy Rowe, Principal and Chief Operating Officer of Wipfli Financial Advisors, and Brad Hixson, Director, Mergers and Acquisitions of Lido Advisors. Wipfli Financial Advisors has 90 employees, is headquartered in Milwaukee, Wisconsin with 19 offices around the country and manages $5B in AUM. Lido Advisors has 110 employees and is headquartered in Los Angeles with an additional 22 offices across the United States. Lido manage $10B in AUM. Matt, Jandy, and Brad discuss how operations plays a key role in growth by attracting both ideal advisors and clients, and...
2021-09-0837 minThe COO RoundtableEP 32 - Overview of Our New Digital Consulting PlatformFor the 32nd episode of The COO Roundtable, we wanted to pause from our regular interview format and answer some questions we have been receiving about our new digital consulting platform, The COO Society. PFI Advisors offers one-on-one consulting services on a project or retainer basis, but we also wanted to create a DIY consulting platform for RIAs looking to gain access to our insights at a lower price point. Our industry does a great job of providing sales training to advisors, and there are a lot of certifications investors and even compliance professionals can pursue, but we felt th...
2021-08-0519 minThe COO RoundtableEP 31 - Eric Stephenson of Align Impact & Natalie Wheeler of Berkshire Money Management In the 31st episode of The COO Roundtable, Matt welcomes two operations professionals who have had a huge impact on their respective organizations, Natalie Wheeler, Chief Operating Officer at Berkshire Money Management and Eric Stephenson, Director of Client Advisory and Operations at Align Impact. Celebrating 20 years in business this year, Berkshire Money Management is located in Dalton Massachusetts. They have 15 employees and manage $775 in AUM. Founded in 2014, Align Impact is headquartered in Los Angeles and has 20 employees. They manage $1.6B in AUA. Matt, Natalie, and Eric discuss how they have worked to standardize their firms’ processes and procedures and much mo...
2021-07-0632 minThe COO RoundtableEP 30 - Michael Paley of Klingman & Associates and Kevin Hrdlicka of Savant Wealth ManagementIn the 30th episode of The COO Roundtable, Matt welcomes Michael Paley, Chief Operating Officer at Klingman & Associates and Kevin Hrdlicka, Chief Operating Officer at Savant Wealth Management. Klingman & Associates is located in New York City, has 18 employees and manages $2.7B in client assets. Savant Wealth Management is headquartered in Rockford, Illinois, has 18 offices across the country and manages just under $11B. Matt, Michael, and Kevin discuss how professional management drives RIAs to the next level and much more, including:
The background of each guest’s firm, their ideal clients, and how each firm has historically grown a...
2021-06-0250 minThe COO RoundtableEP 29 - Gina Bradley of Colony Group & Susan Korin of Balasa Dinverno FoltzIn the 29th episode of The COO Roundtable, Matt welcomes two highly accomplished RIA professionals, Gina Bradley, COO & General Counsel of Colony Group and Susan Korin, COO & CCO of Balasa Dinverno Foltz (“BDF”). Colony Group is celebrating its 35th anniversary this year and is headquartered in Boston, MA. With 15 offices nationwide and 260 employees, Colony Group manages $13B in AUM. BDF was also founded in 1986 and is headquartered in Chicago, IL. They have 67 team members and currently manage $5.3B in AUM. Matt, Gina, and Susan discuss the many areas a COO impacts their firm, how the COO manages people vs infrastru...
2021-05-0444 minThe COO RoundtableEP 28 - Tony Parkin & Nikolee Turner of Charles Schwab Advisor ServicesIn the 28th episode of The COO Roundtable, Matt welcomes two extremely experienced consultants from Charles Schwab Advisor Services’ Business Consulting & Education division, Tony Parkin and Nikolee Turner. Matt, Tony, and Nikolee discuss how professional management drives “lasting and significant changes” at organizations, the importance of clear and repetitive internal communication, the need to understand your ideal client before determining your firm’s organizational structure, and much more including:
An overview of Schwab’s consulting services and how they provide support to help RIAs run successful businesses
A funny story about Tony’s first time visiting the PFI Advisors’ off...
2021-04-0649 minThe COO RoundtableEP 27 - Kara Armstrong of CapSouth Wealth Management & Nick Maggiulli of Ritholtz Wealth ManagementFor this special edition of The COO Roundtable, Matt recorded live from Mercer Capital’s inaugural RIA Practice Management Insight’s conference. This virtual conference “focused on back of the house (operational) issues that are as vital to success as they are easy to ignore.” Joining Matt as guests were Kara Armstrong, Chief Operating Officer of CapSouth Wealth Management and Nick Maggiulli Chief Operating Officer (and Data Scientist) of Ritholtz Wealth Management. CapSouth Wealth Management is headquartered in Dothan, AL and has two other locations in Georgia and North Carolina, and they manage $650M in client AUM. Ritholtz Wealth Manageme...
2021-03-0442 minThe COO RoundtableEP 26 - Kelly Downs of Berman Capital Advisors & Matt Ran of Telemus Financial Life ManagementIn the 26th episode of The COO Roundtable, our host, Matt Sonnen, welcomes Matt Ran, Chief Operating Officer and Partner of Telemus Financial Life Management, and Kelly Downs, Chief Operating Officer of Berman Capital Advisors. Telemus has two offices in Michigan, another in Chicago, and manages $3.5B in AUM. Berman Capital Advisors also manages $3.2B is headquartered in Atlanta, GA and has two additional offices in Chicago. Matt, Kelly, and Matt discuss how a COO impacts all aspects of a firm’s success, including client “stickiness”, adopting new technology, and much more including:
An overview of their firms’ backgrounds
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2021-02-0243 minThe COO RoundtableEP 25 - Lisa Cook of Pacific Portfolio Consulting & Erica Farber of BalentineIn the 25th episode of The COO Roundtable, Matt welcomes Lisa Cook, the newly-appointed COO at Pacific Portfolio Consulting in Seattle, WA and Erica Farber, Partner at Balentine in Atlanta, GA. Balentine’s 39 employees manage $3.5B in assets under advisement and Pacific Portfolio Consulting manages $3.8B in client assets with 17 employees. Lisa and Erica join Matt to discuss how RIAs can leverage the role of the COO to its fullest potential, including the following topics:
The history, ideal client, and service offerings of both firms
Erica and Lisa’s respective backgrounds, including the support Erica received when she “raised...
2021-01-1236 minThe COO RoundtableEP 24 - Phil Hildebrandt & Paul Lythberg of Segall Bryant & HamillIn the 24th episode of The COO Roundtable, which marks our podcast’s 2nd anniversary, Matt welcomes two prominent guests from Segall Bryant & Hamill: Chief Executive Officer Phil Hildebrandt and Chief Operating Officer & Chief Compliance Officer Paul Lythberg. Segall Bryant & Hamill is headquartered in Chicago, IL, has been in business for over 26 years, and manages $22B of client assets. Matt, Phil, and Paul discuss how their CEO and COO roles work together to ensure “the trains are running on time,” the nuances of running a large organization, and much more, including:
Overview of Segall Bryant & Hamill’s history and servi...
2020-12-0934 minThe COO RoundtableEP 23 - Aiki Altmets of Regimen Wealth & Lynne Born of Wealth ArchitectsIn the 23rd episode of The COO Roundtable, Matt welcomes Aiki Altmets, COO and CCO of the newly-formed Regimen Wealth and Lynne Born, President of Wealth Architects. Regimen Wealth is headquartered in Atlanta, Georgia, and manages $200 million in client assets with 6 employees. Located in Mountain View, California, Wealth Architects has over $1 billion in AUM with 20 employees. Matt, Aiki, and Lynne discuss the entrepreneurial spirit and the commitment necessary to be successful in professional management while growing an RIA, and much more, including:
Overview of their firms’ backgrounds, services, and ideal clients
We hear each guest’s fascinat...
2020-11-1033 minThe COO RoundtableEP 22 - Karen Denise of CAPTRUST & Kaylyn Melia of Socius Family OfficeIn this special episode of The COO Roundtable, Matt recorded live for Bob Veres’ Insider’s Forum. For those unfamiliar with Insider’s Forum, it “is designed to provide essential information for running and growing prosperous businesses and better serving clients, advanced technical content, as well as valuable opportunities for networking with industry thought leaders.” Matt had the pleasure of interviewing Kaylyn Melia, Chief Operating Officer at Socius Family Office and Karen Denise, Senior Director in charge of Client Service at CAPTRUST. Socius Family Office is headquartered in Ft. Lauderdale, Florida and has one office just outside of Pittsburg, Pennsylvania...
2020-10-0657 minThe COO RoundtableEP 21 - Doug Johnson of Parcion Private Wealth & Chris Keller of Benjamin F. Edwards & CompanyIn the 21st episode of The COO Roundtable, Matt welcomes Chris Keller, Executive Vice President and Director of Business Services at Benjamin F. Edwards & Company and Doug Johnson, newly appointed Chief Operating Officer at Parcion Private Wealth. The Benjamin F. Edwards & Company brand dates back 130 years, and the company is headquartered in St. Louis, Missouri with more than 600 employees and advisor affiliates and assets totaling about $27 billion. Parcion Private Wealth opened its doors in October 2019 and is headquartered in Bellevue, Washington with 16 employees and about $1.2 billion in assets under management. Matt, Chris, and Doug discuss a number of topics, inc...
2020-09-0233 minThe COO RoundtableEP 20 - Diane Gabianelli of Parallel Advisors & Cecilia Williams of Halbert HargroveIn the 20th episode of The COO Roundtable, Matt welcomes Diane Gabianelli, Co-President and Chief Financial Officer of Parallel Advisors and Cecilia Williams, Director of Investment Operations and Chief Compliance Officer of Halbert Hargrove. Parallel Advisors manages over $3 billion of client assets and is headquartered in San Francisco, with offices in Denver, Honolulu, Ohio, and Oklahoma City. Halbert Hargrove is headquartered in Long Beach, California and has over $2 billion in assets under management with 44 employees and offices in 5 states. Matt, Diane, and Cecilia discuss a myriad of topics, including how they oversee their firm’s operations, how they manage their...
2020-08-0436 minThe COO RoundtableEP 19 - Mike Reed of Dakota Wealth Management & Michelle Thetford of Hightower AdvisorsIn the 19th episode of The COO Roundtable, Matt welcomes Michelle Thetford, Chief Operations Officer of HighTower Advisors and Michael Reed, Chief Operating Officer of Dakota Wealth Management. HighTower Advisors is headquartered in Chicago, Illinois and has $57 billion under management with 108 different advisory businesses and 225 advisors. Founded in 2018, Dakota Wealth Management has $1.2 billion under management, 30 team members, and is headquartered in Palm Beach Gardens, Florida. Matt, Michelle, and Mike discuss how, even in the current climate with uncertainty around every corner, the COO continues to play a key role in a firm’s long-term success and goals. Other topics of con...
2020-06-3041 minThe COO RoundtableEP 18 - Steven Beals of EP Wealth Advisors & Eric Hehman of Austin AssetIn the 18th episode of The COO Roundtable, Matt welcomes Steven Beals, Chief Administrative Officer of EP Wealth Advisors and Eric Hehman, Chief Executive Officer and Principal of Austin Asset. EP Wealth Advisors manages $6B of AUM across 14 offices with their headquarters in Torrance, California. Managing over $1B in AUM, Austin Asset is aptly headquartered in Austin, Texas. As the country adjusts to “the new normal,” Matt, Steven, and Eric discuss how crucial the COO position has been in successfully keeping firms running now and in the future. Other topics of conversation include:
Background on their re...
2020-06-0348 minThe COO RoundtableEP 17 - Vibhaw Arya of Shufro Rose & Brandon McKerney of Columbia Pacific Wealth ManagementIn the 17th episode of The COO Roundtable, Matt welcomes Vibhaw Arya, Chief Operating Officer at Shufro Rose and Brandon McKerney, Partner and Director of Operations at Columbia Pacific Wealth Management. Headquartered in New York City, New York, Shufro Rose manages approximately $1.5B in AUM and was founded in 1938. Columbia Pacific Wealth Management manages almost $4.5B in AUM and is headquartered in Seattle, Washington. As the country continues to navigate the unfolding COVID-19 crisis, our guests detail their respective firms’ response to this operating challenge. Matt, Vib, and Brandon discuss the COO’s role in supporting a firm’s “People, Cultu...
2020-05-0542 minThe COO RoundtableEP 11 - Kelli Cruz of Cruz Consulting & Jim Regitz of Newport AdvisoryIn the eleventh episode of The COO Roundtable, Matt welcomes Kelli Cruz, CEO of Cruz Consulting and Jim Regitz, Founding Partner and Senior Advisor at Newport Advisory Financial Counsel. The three professionals discuss the importance of the COO role at growing RIAs, and what led Jim to realize he needed to hire professional management at his firm 2 years ago. Kelli is a well-known consultant to the wealth management space -- her firm specializes in human resource sourcing and human capital development. Based in Newport Beach, California, Newport Advisory is an independent wealth management firm that has more than tripled its...
2019-11-0742 min