Episodes

  • Episode 249: The Reverse Multifamily Office: Accounting First, Then Wealth

    Episode 249: The Reverse Multifamily Office: Accounting First, Then Wealth
    Mar 25 2026
    What if your accountant helped you build wealth instead of just filing forms? On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with CPA and entrepreneur Sean Duncan, founder of SMD Consulting & Accounting, who shares his unconventional journey from preparing for a career in the FBI to sparking a reinvention of the traditional CPA model. Instead of stopping at compliance, Sean built a subscription-based, holistic advisory firm that brings together tax strategy, wealth management, insurance, and legal coordination to deliver a true family office experience for everyday clients. He shares powerful insights on building a purpose-driven business, scaling with culture, and turning accounting into a strategic engine for growth. Key Takeaways: → Career purpose matters more than titles. → Traditional accounting leaves opportunity on the table. → SMD thrives with solo and small-group medical practices, particularly surgeons, who earn significant income but are often underserved by traditional family offices. → Moving to fixed-fee, subscription-style services eliminates billable-hour friction and encourages deeper client engagement. → Leading with tax strategy and integrated wealth management through partnerships creates a comprehensive solution for high-earning professionals. Sean M. Duncan has built a powerful reputation as a thought leader in the accounting industry by championing proactive strategy, education, and real-world guidance over routine tax preparation. Through SMD Consulting and Accounting, LLC, he operates on the belief that business owners and individuals need forward-thinking advice as much as they need financial compliance. With more than 25 years of experience, Sean shares his deep expertise in tax strategy, wealth building, asset protection, legacy planning, and philanthropy through conferences, private seminars, client advisory, and mentorship, all driven by a passion for helping others achieve lasting success. Connect With Sean: Website: https://smdaccounting.com/ LinkedIn: https://www.linkedin.com/in/sean-m-duncan-cpa/ Facebook: https://www.facebook.com/SMDConsultingAndAccounting Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins
  • Episode 248: Why RIAs Are Reconsidering Annuities (For Real)

    Episode 248: Why RIAs Are Reconsidering Annuities (For Real)
    Mar 18 2026
    What if the annuity conversation your clients avoid is actually the simplest way to lower costs, maintain liquidity, and unlock advisory revenue you’re currently missing out on? In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Tom McCarthy, Chief Distribution Officer at DPL Financial Partners. He discusses the quiet yet powerful shift transforming the RIA space through the modernization of annuities. They explore how 1035 exchanges are unlocking billions in legacy commission assets, how advisors can convert outdated products into recurring advisory revenue, and why education remains the biggest barrier to adoption. For RIAs navigating independence, mergers and acquisitions, or enterprise valuation, this conversation provides timely insights into how annuities are evolving into strategic planning tools instead of traditional sales products. Key Takeaways: → The advisory model is no longer limited to investments. Modern annuities now support fee billing, liquidity, and tax efficiency, aligning with the RIA model. → Through 1035 exchanges, advisors can convert commission-based annuities into advisory-fee structures. → Commission revenue can complicate valuations and M&A deals. Converting legacy commission books into advisory assets enhances firm valuation and deal flexibility. → Many RIAs still associate annuities with high costs, illiquidity, and a sales culture, not realizing the product has significantly modernized. → DPL allows advisors to fully detach from broker/insurance licenses while maintaining advisory economics on legacy annuity books, removing a major barrier to independence. Tom McCarthy is the Chief Distribution Officer at DPL Financial Partners, where he leads sales and distribution strategies to drive growth in advisory-focused insurance and structured solutions within the RIA and wealth management sectors. Previously, he served as EVP and Head of Wealth Sales at Orion Advisor Solutions, overseeing significant asset growth, doubling RIA adoption of wealth services, and securing key enterprise integrations. Before that, he spent over 20 years at AssetMark, helping grow the firm from $1B to more than $100B in AUM and guiding it through a successful IPO. Connect With Tom: Website: https://www.dplfp.com/ LinkedIn: https://www.linkedin.com/in/tomwmccarthy/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    15 mins
  • Episode 247: Harnessing AI to Revolutionize Financial Services Marketing

    Episode 247: Harnessing AI to Revolutionize Financial Services Marketing
    Mar 11 2026
    Are you ready to revolutionize your marketing with artificial intelligence? AI tools are transforming the way insurance agencies operate, from lead magnets to full marketing automation. On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Michael Jans, Founder of The Society of Insura-Preneurs, Creator of the AI Growth Academy, and Co-Founder of Agency Revolution. Michael shares insights from his 30-year journey in the property, casualty, and financial services industries. He shares lessons from building and selling one of the leading marketing automation platforms in insurance and reveals what is next in his AI-driven evolution. In a live walkthrough, he builds a complete cross-sell campaign in under 40 minutes! Tune in to this masterclass on leveraging AI to scale without sacrificing personalization. Key Takeaways: → AI is only as powerful as the strategy behind it. → Using tools such as the Lead Magnet Machine, Email Genius, Message Multiplier, and Post Promoter, advisors can rapidly and systematically create multi-channel campaigns. → Data-driven email copy dramatically improves performance. → One core piece of content can be transformed into videos, podcasts, LinkedIn posts, carousel graphics, and surveys. → Constraints can become strategic assets. Michael Jans is a leading business and marketing coach for insura-preneurs ready to grow faster, earn more, and build agencies designed for long-term value rather than burnout. For more than twenty years, he has helped insurance agency owners evolve from income-driven operations into scalable, equity-focused businesses built for valuation and lasting impact. As founder of Insurance Profit Systems, The Quantum Club, Agency Revolution, and the Annual Insurance Marketing Boot Camp, and now the founder of The Society of Insura-Preneurs and creator of the AI Growth Academy, Michael equips agency leaders with AI-enabled systems that accelerate growth while expanding freedom and legacy. Connect With Michael: Website: https://www.insura-preneur.com/ LinkedIn: https://www.linkedin.com/in/michaeljans/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    18 mins
  • Episode 246: Scaling a Boutique Wealth Management Firm

    Episode 246: Scaling a Boutique Wealth Management Firm
    Mar 4 2026
    What’s the secret to growing a successful wealth management business? It’s not just about the investments, it’s about the deep relationships and personalized service you provide to clients. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Adam Spiegelman, CFP®, Wealth Advisor at Spiegelman Wealth Management, who shares insights from his 25-year journey in the financial services industry, focusing on his recent transition to a Registered Investment Advisor (RIA). From managing $440 million in assets to building an RIA from the ground up, Adam reveals the challenges and strategies behind his firm’s success. Tune in for valuable advice on client engagement, business growth, and the importance of personalized financial planning. Key Takeaways: → The breakaway decision is as emotional as it is operational. → “Living wealthy” is about permission, not just money. Enjoy the wealth you’ve spent decades building, whether that means travel, volunteering, or small lifestyle upgrades. → Transitioning away from third-party models allows for greater customization, cleaner fee structures, and stronger alignment with client goals. → Growth must align with values, not ego. Emphasize stabilizing systems and client experience before pursuing expansion, ensuring growth never compromises service quality. → Consistent saving beats flashy investment schemes. Save regularly, max out retirement accounts, and avoid chasing unrealistic returns. Adam Spiegelman is a Wealth Advisor with Spiegelman Wealth Management, which offers investment and wealth management programs and services for high-net-worth clients. The company’s mission is to develop enduring relationships with clients by providing professional guidance for a lifetime of financial security. Adam Spiegelman can help create a complete financial plan - whether a client is focused on managing current financial success, or on protecting and preserving assets over the long term. Connect With Adam: Website: https://www.spiegelmanwealth.com/ LinkedIn: https://www.linkedin.com/in/adamspiegelman/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    15 mins
  • Episode 245: The Changing Landscape of Venture Capital

    Episode 245: The Changing Landscape of Venture Capital
    Feb 25 2026
    What separates investors who chase deals from those who consistently engineer successful exits? On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews Scott Kelly, Founder and CEO of Black Dog Venture Partners, who shares his extensive experience in venture capital, having raised billions and facilitated over 30 successful exits. From his early days as a stockbroker to founding one of the largest investor syndicates in the tech space, Scott's journey offers invaluable insights into the rapidly evolving investment environment. Tune in as Scott discusses how AI is reshaping investment strategies, how startups can succeed in a competitive market, and the future of venture capital. Key Takeaways: → Strong outcomes often stem from early positioning, strategic networking, and aligning founders with the right investors. → Well-curated pitch forums create efficient deal flow, surface high-quality founders, and accelerate trust between investors and operators. → Companies that generate real revenue attract better capital, partners, and exit opportunities. → Today’s investors must adapt to new technologies, faster cycles, and more competitive deal environments. → Referrals and long-standing relationships consistently yield stronger investments than transactional deal sourcing. Scott Kelly is the Founder and CEO of Black Dog Venture Partners, a national accelerator helping disruptive startups secure funding, forge strategic partnerships, and scale with executive support. With more than 20 years of experience across venture capital, marketing, sales, and leadership, Scott has guided hundreds of companies by leveraging a powerful network of over 13,000 investors and 40,000 business partners. He also produces VC Fast Pitch, a premier national event series that connects high-growth startups with top-tier investors. Beyond building companies, Scott is a college professor, mentor, and champion of leadership and personal development, sharing the journey with Melvin, the beloved black dog who inspired the brand. Connect With Scott: Website: https://blackdogventurepartners.com/ LinkedIn: https://www.linkedin.com/company/blackdogventurepartners/ Twitter/X: https://x.com/BlackDogCEO Instagram: https://www.instagram.com/blackdogceo Facebook: https://www.facebook.com/blackdogventurepartners Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins
  • Episode 244: Building Wealth Through Strategic Hospitality Investments

    Episode 244: Building Wealth Through Strategic Hospitality Investments
    Feb 18 2026
    What happens when a wealth manager applies institutional discipline and global insight to hospitality investing? On this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews William Huston, Founder and General Partner at Bay Street Hospitality, who discusses his journey from a call center business to creating global hospitality-focused funds designed to deliver high yields through quant-driven strategies. William shares deep insights into hospitality investment, covering topics from student housing in Hong Kong to tourism growth in India, and how his firm’s data-driven approach maximizes returns for institutional investors. He explains how combining local market intelligence, government partnerships, and strategic acquisitions has enabled Bay Street to scale rapidly while maintaining high-quality service for asset owners, operators, and developers worldwide. Key Takeaways: → Long-term success depends on backing proven operators and developers—not just attractive properties. → Student housing shortages in Hong Kong, India’s tourism boom, and Australia’s Olympic-driven infrastructure investments all represent distinct, time-sensitive market drivers. → The same disciplined frameworks used in wealth management, including risk assessment, alignment, and scalability, can be successfully applied to hospitality. → Hospitality is an experience-driven business, shaped by human connection, culture, and memory. → Growth should align with life priorities. In 2018, William Huston founded Bay Street Hospitality, where he currently serves as General Partner. Bay Street started as a call center based in El Salvador, structured as an LLC, serving his own investment fund rather than other companies' clients. The firm operates globally across public and private markets and applies a proprietary quantamental investment framework that integrates quantitative scoring models with fundamental underwriting discipline and targets hospitality operators, developers, and asset owners, offering equity, credit, and hybrid capital solutions. In May 2025, Huston launched a $430 million hospitality investment fund aimed at combining financial returns with positive social impact, targeting underinvested hotel markets globally, with a particular emphasis on India’s fast-growing tourism sector. Connect With William: Website: https://www.baystreethospitality.com/ LinkedIn: https://www.linkedin.com/in/huios/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    19 mins
  • Episode 243: How One RIA Scaled to $16 Billion and 23 Acquisitions

    Episode 243: How One RIA Scaled to $16 Billion and 23 Acquisitions
    Feb 11 2026
    What happens when a $16 billion RIA decides to double down on leadership, integration, and “advisor intelligence” in the middle of an AI-driven vortex of change? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Jennifer des Groseilliers, CEO of The Mather Group, who shares how her path from Vermont to law school to leadership roles at Ameriprise, MetLife, and a MassMutual franchise ultimately led her to the helm of The Mather Group, a $16 billion fee-only RIA. As a key leader at The Mather Group, Jennifer oversees a 190-person team, 40 wealth advisors, and a growth engine built on 23 acquisitions, an integrated planning platform, and a niche focus on Fortune 200 executives nearing retirement. She discusses leadership development, behavioral finance, and the rise of AI in wealth management—explaining why “advisor intelligence” is now the real differentiator for firms that want to win the next decade. Key Takeaways: → How taking over compliance, portfolio management, and back-office operations for acquired firms frees advisors to focus on client-facing work and deep planning. → Why it’s essential to bifurcate sales and advice and how that structure enhances both growth and advisor effectiveness. → How AI is creating a vortex of change in financial services and why advisor intelligence around values, behavior, and trust matters more than ever. → Why The Mather Group sees itself as an integrator, not an aggregator. → How carefully refined and consistent platform allowed the firm to scale to roughly $16 billion in AUM. Jennifer des Groseilliers is the Chief Executive Officer of The Mather Group. Jen cultivates a collaborative culture through inclusive and supportive leadership. Her unwavering commitment to keeping clients at the center of all efforts drives her approach. Jen’s extensive professional experience includes serving as a Managing Partner in the MetLife Premier Client Group in 2013, leading a team of over 160 financial advisors. She became the CEO of MassMutual Illinois in 2016 and, in 2020, after a merger with WestPoint Financial Group, assumed the role of Partner and Chief Experience Officer, leading various departments, including Investments, Compliance, Practice Development, and Financial Planning. Connect With Jennifer: Website: https://www.themathergroup.com/ Instagram: https://www.instagram.com/officialtmgwealth/ Facebook: https://www.facebook.com/TMGTheMatherGroup LinkedIn: https://www.linkedin.com/in/jenniferadesgroseilliers/ https://www.linkedin.com/company/themathergroup Learn more about your ad choices. Visit megaphone.fm/adchoices
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    14 mins
  • Episode 242: Bringing Private Equity to the Mass Affluent

    Episode 242: Bringing Private Equity to the Mass Affluent
    Feb 4 2026
    What if your accredited clients could tap into institutional-quality private deals without locking up their money for a decade? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Joseph DaGrosa, Jr., Chairman and CEO of Axxes Capital, who explains how his career evolved from auditing at a wirehouse to partnering with an early leveraged buyout pioneer and ultimately building Axxes Capital to open private equity and private credit to the mass affluent accredited investor market. He also shares why interval funds, rigorous sub-advisor due diligence, and his new educational resource, The Financial Advisor’s Guide to Private Investments, are helping RIAs bring institutional-style private allocations to a broader client base. Key Takeaways: → Why the accredited investor segment represents a massive, historically underserved opportunity for private investments. → How the rules of the Investment Company Act of 1940 limit traditional private equity vehicles. → How Access Capital structures registered vehicles to bring private equity and private credit access to mass affluent accredited investors. → What interval funds are, how their semi-liquid structure works, and why they may be a fit for long-term investors who want private exposure with periodic liquidity. → Why RIAs and RIA aggregators are turning to outsourced CIO relationships to help them evaluate and implement private investments at scale. Joseph DaGrosa, Jr., is the Chairman and CEO of Axxes Capital. Mr. DaGrosa has over 30 years of private equity experience successfully investing in multiple industries, including insurance (where he served as Co-CIO), retail, food & beverage, real estate, hospitality, healthcare, aviation, and sports & entertainment. He is a recognized industry authority and the co-author of The Financial Advisor’s Guide to Private Investments, a book designed to provide advisors with access, insight, and confidence as they navigate the growing private markets landscape. Mr. DaGrosa also serves as Chairman of the private equity firm DaGrosa Capital Partners LLC, a Miami-based private equity firm that is focused on control and influential minority investments in exceptional companies located throughout the United States. Connect With Joe: Website: https://axxescapital.com/ X: https://x.com/joe_dagrosa LinkedIn: https://www.linkedin.com/in/joseph-dagrosa-jr-59415934/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    14 mins