Navigating Independent RIA Setups with Michael Rasmussen

11/22/23 • 27 min

In this episode of RIA Collective, host Charlie Van Derven invites Michael Rasmussen of United Atlantic Legal Services to share his expertise in aiding financial advisors in their transition to independent practices. Michael, with a background as a chief compliance officer and general counsel for various investment advisors, as well as experience as a regulator with FINRA, provides valuable insights into the complexities of starting an independent RIA.
LinkedInWebsite

Previous Episode

Niche Mastery in Finance with Emily Haberkern

In this episode of RIA Collective, host Charlie Van Derven sits down with Emily Haberkern of Evangelista & Associates to discuss the triumphs and trials of niche marketing within the financial advisory sector. Emily recounts her path to alignment with the firm's values and the unique approach to servicing university employees, emphasizing the importance of specialized knowledge and targeted service in a competitive industry. They tackle the topics of gender dynamics in finance and the benefits of a supportive RIA community.
Tune in to gain strategic insights on carving out a niche and understanding the impact of focused marketing on client trust and growth.
Emily Haberkern
LinkedInWebsite

Next Episode

Moving from Asset Centric to Client Centric in Finance: A Conversation with Tyson Ray

In this insightful episode of RIA Collective, host Charlie Van Derven engages in a thought-provoking conversation with guest Tyson Ray, the founding partner of Form Wealth Advisors. Urging a transition from a riches-focused mindset to a wealth-centered perspective, Tyson underscores the importance of nurturing total client relationships based on wealth, not just riches. Through anecdotes and experiences, Tyson details his journey in the finance industry, his transition towards total relationship investing, and the concept of 'funded contentment.' This episode unveils Tyson's passion for guiding clients toward their financial goals, breaking traditional molds, and employing technology to enhance client experiences. Listen in to understand his unconventional approach to wealth management and how he considers clients' lifetime goals central to wealth management. This conversation offers valuable insights for young advisors, independent advisors, and anyone seeking to redefine their perspective on wealth and client relationships.
Securities through Raymond James Financial Services, Inc. Member FINRA / SIPC. Investment advisory services are offered through Raymond James Financial Services Advisors Inc. FORM Wealth Advisors is not a registered broker/dealer and is independent of Raymond James Financial Services. Raymond James and its advisors do not provide tax advice. Podcast guest is Tyson Ray, CEO, Founding Partner, Senior Wealth Advisor at FORM Wealth Advisors. FORM Wealth Advisors is located at 431 Geneva National Ave S, Lake Geneva, WI, 53147; 262-686-3005.

RIA Collective - Navigating Independent RIA Setups with Michael Rasmussen

Transcript

Charlie Van Derven00:00:17.123

Thank you for tuning into another episode of RIA Collective. My name is Charlie Van Derven. I'm your host for the next 20 or 30 minutes or so. I've got a good guest today that I think brings a lot of value to our listening community. Of course, our initiative here at RIA Collective is to help those of you who maybe are in an environment or with a firm that no longer serves your needs to make that transition of independence. We want to gi