Leveraging Financial Planning to Attract and Retain Assets

In this episode we discuss aligning the proper dynamics for financial planning to have a significant impact on the quality of client relationships and the resulting business growth. We address user adoption, client engagement, plan delivery, and related best practices.

Our panel of experts includes:

  • David Ellman – Team Leader, Bank of the West
  • Robert Gewecke – Private Client Advisor, Bank of the West
  • Angie Cheung – Private Client Advisor, Bank of the West
  • Jen Shields – National Training Director, Midwood Financial Services
  • Chris O’Malley – Regional Training Director, Midwood Financial Services

(Note that we had some audio challenges during the recording of parts of this episode. While a few segments have digital “embellishments” they are still perfectly understandable.)

The Next Wave of Gathering & Retaining Assets

In this episode we discuss what it takes to stay relevant in the wealth management space as acute technology disruptors, generational shifts, and quickly evolving client expectations present existential challenges.

Our panel consists of Mike Prior from Priority Financial Group, a third-party RIA, Jim Fujinaga from Hancock Whitney, and David Zimmerman, who ran the wealth program at Atlantic Union and First Citizens, among others. Discussion topics include the progression towards an RIA-like fiduciary model, engaging the next generation, building trust, and the importance of data in the evolution of our business.

Leveraging Long Term Care Options to Enhance Client Relationships

This episode focuses on how to leverage the variety of LTC options to close the gap between those that have coverage, and those that need coverage. And doing it in such a way that positions you as a subject matter expert, helps educate your clients, and enables you to become a Trusted Advisor and grow your asset base. To do this we have assembled a group of subject matter experts from three different facets of our industry.

Top Women Advisors Unpack Success

Four top women advisors discuss topics such as what has contributed to their success, advice they have for male advisors, advice for firms looking to hire more women advisors, and the importance of effectively attracting and serving the women’s market.

We would like to thank Raymond James for partnering with us to make this episode possible.

Optimizing Advisor Recruiting

In this special episode of Industry Leadership & Success called “Optimizing Advisor Recruiting” Jennifer Tedder of Cetera Financial Institutions interviews Scott Stathis on how to successfully optimize the advisor recruiting process. Topics include the following:

  • How the most successful firms recruit advisors
  • Adding the necessary rigor to the recruiting process
  • When to add more advisors
  • Adding specialty advisors
  • Biggest mistakes made during recruiting advisors

We would like to thank Cetera Financial Institutions for partnering with us to make this episode possible.

Deepening Client Relationships and Increasing AUM with Policy Reviews

This best-practices discussion with a panel of three subject matter experts focuses on leveraging the policy review process to enable advisors to do a better job helping clients protect their assets. We’ve always said that if an advisor is helping clients grow their assets but not protect their assets, they are doing only half their job. Servicing the protection need is a relationship development opportunity and helps significantly in the asset gathering process.

Newest Trends in Life Settlements

What’s Driving Life Settlement Growth?

  • 85% of term policies and 88% of universal life policies will expire, lapse, or be surrendered before a death benefit is paid – a significant loss for the policyholders.
  • $200 billion worth of life insurance will be surrendered or lapsed annually through 2027.
  • 55% of client’s don’t know they can sell their life insurance.
  • The life settlement industry is growing on average 34% per year.

The demand for life settlements has seen a resurgence as seniors realize the benefits of reevaluating their life insurance strategy. Join us and a panel of subject matter experts as we examine current market trends in life settlements and how you can leverage this important financial tool.

Topics we will explore include:

  • How the marketplace is evolving, including new capital sources driving flexibility and higher payouts for your clients.
  • How firms are creating value for clients within the financial planning process while driving new sources of revenue.
  • Why more policyowners are open to selling their existing life insurance
  • How to identify life settlement opportunities in your client base and business growth plans.


Scott Stathis and Bob Mittel


  • Alan Buerger, Neal Jacobs, Peter Hershon, and Patrick Cahill of Coventry
  • Hugh Cameron of JBC Companies, and…
  • David Henry of Financial Independence Group

Sponsoring Partner:


Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: Someone New

Case Study: Bank Increases Revenues with Advisor Financial Planning Adoption

This episode is a case study on how to increase financial planning adoption and the resulting program productivity effects.

We will talk with two program executives, and trainer, and an advisor to learn about effective training strategies, success measurement, and business impact.


Scott Stathis and Bob Mittel

Discussion Guests (alphabetical order):

  • Ken Flaherty – SVP Chief Sales Strategy Officer at Frost Brokerage
  • Angela Holliday – President at Frost Brokerage
  • Marco Rodriguez – Wealth Advisor at Frost Brokerage
  • Jennifer Shields – National Training Director at Midwood Financial

Sponsoring Partner:

Midwood Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: Someone New

Executing Effective Broker-Dealer Due Diligence

In this episode we talk with industry executives who have recently conducted broker dealer due diligence projects and tackled conversions. We discuss lessons learned and extract best practices.

Servicing the Protection Need

In this episode called “Servicing the Protection Need”, we discuss the critical importance of not only helping clients grow their assets, but also helping them protect their assets.

We talk with five subject matter experts on topics ranging from leveraging the middle-market dominance of banks for life sales, removing life sales obstacles, the single best way to jump-start life sales, and effective long term care discovery.

This episode is made possible by support from Westland Financial, and we would like to thank them for their partnership in producing this podcast.


Scott Stathis and Bob Mittel

Discussion Guests:

Sponsoring Partner:

Westland Financial

Music Credits:

Band: A Rusty Something (Nick Simpson)

Song: Someone New