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The WealthStack Podcast: Democratization and Digitization of Estate Planning with Andres Mazabel

The WealthStack Podcast: Democratization and Digitization of Estate Planning with Andres Mazabel

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More than 60% of families in the U.S. do not have a plan to protect their loved ones. Estate planning can have several moving parts, and many people get turned off by the process. But, Trust & Will is on a mission to make estate planning simple and affordable—with the end goal to make it accessible to everyone.

In this episode, Shannon Rosic, Director of WealthStack Content and Solutions, speaks with Andres Mazabel, Head of Advisor Sales at Trust & Will, about how they’ve helped streamline estate planning for thousands of advisors.

Shannon and Andres discuss:

  • How advisors can incorporate estate planning into their practice
  • Why more Americans need to get their trust and estate “house” in order
  • Why the demand for estate planning is booming among millennials
  • What the great wealth transfer means for advisors in the context of estate planning

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Andres Mazabel is the Head of Advisor Sales at Trust & Will. After spending 10+ years in private banking, he’s now on a mission to help advisors implement estate planning and deliver more comprehensive planning. Andres views estate planning as a huge opportunity for financial advisors to deepen relationships, add value, and implement legacy planning conversations. Trust & Will now works with over 8,000 financial advisors nationwide to help solve the fact that more than 60% of individuals don’t have an estate plan in place.



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The WealthStack Podcast: Making the Digital Asset Investing Ecosystem Accessible with Eric Ervin

The WealthStack Podcast: Making the Digital Asset Investing Ecosystem Accessible with Eric Ervin

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*Since recording this episode, Onramp Invest has been acquired by Securitize, with a mission to expand alternative asset access for RIAs.

The advent of digital assets has led to the development of new financial products with the ability to profoundly change where and how wealth is invested. Fortunately, Onramp is on a mission to bring together everything financial advisors need to safely invest in an array of digital assets for their clients.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Eric Ervin, CEO of Onramp Invest, about wealth management in the age of digital assets. 

Shannon and Eric discuss:

  • Why tokenization is a key driver of digital asset adoption
  • The opportunities and challenges advisors face when approaching digital assets
  • What’s happening in the regulatory space when it comes to crypto and digital assets
  • What this all means for the custodial landscape

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Eric Ervin is the CEO of Onramp Invest. After nearly 20 years at Morgan Stanley in wealth management, in 2011, Eric Ervin founded Reality Shares, a firm known for innovation in Exchange Traded Funds. The firm’s first ETF, DIVY, was the first ETF based entirely on the dividend swap market. He also pioneered DIVCON™, a quantitative method for analyzing and ranking companies according to their dividend health. As the portfolio manager on seven publicly traded funds as well as other private funds, he has demonstrated expertise in alternatives e.g., dividend swaps, long-short equity, and quant-based cryptocurrency strategies. He is passionate about driving innovation in financial markets, he is a member of the CFTC Virtual Currency Subcommittee for the Technology Advisory Council, he is also regularly featured in the Wall Street Journal, New York Times, Barron’s CNBC, Bloomberg, and other media outlets.



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The WealthStack Podcast: Future-proofing the Next Generation of Wealth Management Firms with Anton Honikman

The WealthStack Podcast: Future-proofing the Next Generation of Wealth Management Firms with Anton Honikman

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What happens to the wealth management industry when your clients can leave you with a click of a button on their smartphone? Change continues to sweep through the industry, with technology playing a critical role. In order for firms to succeed, they should be focused on future-proofing their practice, which means they need to adapt and adopt new technology in order to remain competitive.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Anton Honikman, CEO of MyVest, about how advisors need to evolve and elevate the way they do business.

Shannon and Anton discuss:

  • The importance of embracing ‘holistic’ wealth management by considering all of a client’s assets and liabilities
  • Trends around autonomous finance 
  • What personalized portfolio construction means to the client experience 
  • Why the industry needs to expand from wealth management to financial wellness, including non-investment advice 

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Anton is the CEO of MyVest, a wholly owned wealthtech subsidiary of TIAA, where he drives the company’s strategic vision, culture, and business development. He is a regular speaker and commentator in the fields of wealth management, wealth technology and the future of financial advice.

Anton’s career has focused on the confluence of investments and technology. Prior to joining MyVest in 2012, Anton served as President of Ada Investments, a startup investment manager that built innovative ESG strategies, he launched the corporate venture capital group at Barclays Global Investors (now BlackRock), and he spent 10 years in a variety of roles at Barra, Inc. (now MSCI), where he led the team that created BarraOne, a leading multi-asset class portfolio analytics platform.

Anton holds a BS in financial economics and applied statistics from the University of Cape Town, South Africa. He is a former trustee and Chair of the Finance Committee of The San Francisco School.



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The WealthStack Podcast: Demystifying Risk Management with Rick Bookstaber and Govinda Quish

The WealthStack Podcast: Demystifying Risk Management with Rick Bookstaber and Govinda Quish

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The risk landscape is rapidly evolving, and wealth managers are seeking out new solutions to measure and manage risk for their clients’ investment portfolios. This area of financial planning goes well beyond a risk tolerance number, but, is technology keeping up? 

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with risk management expert, Rick Bookstaber and Govinda Quish, CEO and Co-Founder of Fabric, about how they differentiate themselves from other risk management tools out on the market.

Shannon, Rick and Govinda discuss:

  • Why financial advisors have evolved into a personal risk advisor
  • How the commoditization of data has changed the risk management landscape
  • The material risks that will impact individuals in 2023 and beyond 
  • How the platform provides the wealth management industry with institution-level risk management

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Rick is a noted expert in financial risk management, and is the author of The End of Theory (Princeton, 2017), and A Demon of Our Own Design (Wiley, 2007).

He has served in chief risk officer roles at Salomon, Morgan Stanley, Moore Capital, and Bridgewater Associates. From 2009 to 2015 he served at the SEC and the U.S. Treasury, drafting the Volcker Rule and modeling risk for the Financial Stability Oversight Council. Most recently he was the chief risk officer in the University of California Office of the CIO for the university’s $170 billion pension and endowment funds.

His roles have placed him at the center of financial crises of the last three decades – working with portfolio insurance during the 1987 Crash while at Morgan Stanley, overseeing risk at Salomon during the 1998 failure of Long-Term Capital Management (dubbed “Salomon North”), and with the aftermath of the 2008 Crisis while in the regulatory sphere.

A black belt in Brazilian jiu-jitsu, Rick can be found training at the Renzo Gracie Academy in his free time.

Rick received a Ph.D. in economics from MIT.

Govinda Quish is the CEO and Co-Founder of Fabric (www.fabricrisk.com), a software company that powers portfolio design, customization and analytics, creating client value at scale for investment advisors.

Govinda served as an Investment Fellow and Senior Risk Management Professional at the University of California pension and endowment funds.

His career has been focused on risk analysis and portfolio management for global family offices in the U.S., Hong Kong, the UK, and Switzerland.

He has developed risk and portfolio management models for institutional asset managers and family offices such as the Mellon Family Office, SAP Family Office, and Synergy Fund Management.

In 2007, he co-founded Quish & Co, LP, an RIA in Boulder, CO. In 2014 he founded Quish & CO AG, an asset manager in Zurich, Switzerland serving the interests of European families.

Govinda loves to play polo, you can find him with his horses.

He received a Masters in Religious Studies from Naropa University.



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The WealthStack Podcast: 2023 Market Predictions with Marc Chaikin

The WealthStack Podcast: 2023 Market Predictions with Marc Chaikin

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Marc Chaikin didn’t have to come out of retirement, but after watching the 2008 financial crisis unfold around him, he decided to build a technological solution. Based on a 20-factor quantitative model to generate investing ideas, the hope was to build a platform that would make managing money easy for retail investors. It all came to fruition, and the Chaikin Power Gauge was born.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Wall Street legend Marc Chaikin, Founder of Chaikin Analytics, about his market predictions and why he believes growth in the economy is going to come in the sectors that are involved with productivity.

Shannon and Marc discuss:

  • His biggest takeaways from navigating through 10 bear markets
  • How to pick stocks using fundamental and technical analysis 
  • How the advent of AI is changing wealth management 
  • What’s on the roadmap for Chaikin Analytics 

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After 40 years on Wall Street as a trader, stock broker, analyst and head of the options department for a major brokerage firm, Marc founded Chaikin Analytics LLC to deliver proven stock analytics to investors and traders, based on the Chaikin Power Gauge, a 20-factor alpha model proven effective at identifying a stock’s potential. Chaikin developed computerized stock selection models and technical indicators that have become industry standards (including Chaikin Money Flow) and pioneered the first real-time analytics workstation for portfolio managers and stock traders.

Chaikin Investments has collaborated with Nasdaq and IndexIQ to bring the Chaikin Power Gauge stock rating approach to the ETF marketplace for the first time. Marc and the Chaikin Analytics team rang the NASDAQ Opening Bell on April 30, 2018 to celebrate the one-year anniversary of this very successful launch. The Nasdaq Chaikin Indexes, powered by the Power Gauge Rating, have outperformed their benchmarks since their inception in April 2014.



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Lacey Shrum
The WealthStack Podcast: Fixing the RIA Fee Billing Conundrum with Lacey Shrum

The WealthStack Podcast: Fixing the RIA Fee Billing Conundrum with Lacey Shrum

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RIAs have a billing problem. Mainly because the process has always been manual and prone to errors. Enter Smart Kx – the only software system designed specifically to help financial advisors dynamically and accurately manage client contracts and fee billing. 

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Lacey Shrum, Founder of Smart Kx, about how her software has helped eliminate the manual process of contract management and billing.

Shannon and Lacey discuss:

  • The biggest challenges RIAs face during their billing cycles 
  • Why current technologies aren’t sufficient to document or calculate various fee structures
  • How Smart Kx software solves billing challenges through automation
  • Best practices RIAs can adopt when it comes to policies and procedures around fees and billing

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Lacey is a founder, attorney and technologist. After continually seeing RIA firms fail the common regulator question “do your fees match your contracts?” Lacey developed Smart Kx to automate client contracts, fees and disclosures into one compliant process. 

Before founding Smart Kx, Lacey practiced law focusing on RIAs and startups. She represented a successful whistleblower claim with the SEC and testified as a subject matter expert on cryptocurrency matters. She is a frequent speaker on RIA fee billing methods and compliance, automated contacts, and bitcoin.

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Sheryl O'Connor
The WealthStack Podcast: Demystifying the Decumulation Phase of Retirement Planning with Sheryl O’Connor

The WealthStack Podcast: Demystifying the Decumulation Phase of Retirement Planning with Sheryl O’Connor

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When it comes to retirement income planning, an advisor’s role must go beyond getting clients to retirement, it’s also about getting them through retirement. If advisors only concentrate on accumulation and don’t help their clients plan for and support them through decumulation, they’re likely going to lose those clients and all the assets they worked so hard to obtain and manage.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Sheryl O’Connor, Founder and CEO of IncomeConductor, about how their technology is empowering advisors to feel more comfortable talking about retirement, health care, and longevity with their clients. 

Shannon and Sheryl discuss:

  • Why the decumulation planning phase can be more complex than accumulation
  • What an aging population means for the industry 
  • How the platform uses time segments to build an income plan
  • What’s on the roadmap for IncomeConductor

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Sheryl has spent over 25 years in the financial services industry at insurance and investment management firms, leading strategic business growth and technology innovation.

In 2006 Sheryl co-founded 3D Asset Management, an SEC-registered investment management firm that focused on providing innovative practice management solutions along with investment portfolios to fee-based advisors to help them grow their business and succeed in the wealth, retirement plan and retirement income marketplaces. She has worked closely with advisors and is passionate about helping them re-define their value proposition in ever-evolving professional and market environments.



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Joanna Kanakis
The WealthStack Podcast: Building Protective Investment Solutions with Joanna Kanakis

The WealthStack Podcast: Building Protective Investment Solutions with Joanna Kanakis

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The value of protective investments has become more evident as the traditional 60/40 portfolio allocation has continued to become less attractive. Investors are seeking alternatives that will mitigate risk regarding today’s main macro market trends, and advisors must consider a “new model portfolio” that incorporates protective investments as they become more mainstream and accessible.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with Joanna Kanakis, EVP, Head of Business Development, at Halo Investing about how technology is powering better investment outcomes for clients. 

Shannon and Joanna discuss:

  • Democratizing access to protective investments 
  • Challenges in modern day portfolio construction 
  • How structured notes and annuities help reduce longevity risk
  • How Halo Investing is closing the risk gap

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Joanna Kanakis is EVP, Head of Business Development at Halo Investing, LLC. In her role, Joanna is leading sales initiatives to institutional clients in the Americas, working to democratize and disrupt the world of defined outcome investing. At Halo, she is working to provide efficient access for investors to understand and purchase structured notes, annuities and structured ETFs.

Prior to Halo, Joanna was a Director in the Prime Services Division of Global Markets for Societe Generale. There, she led Midwest sales efforts across global market products for institutional clients and led sales development in Latin America including Brazil, Chile, Mexico and Peru. She also participated as Culture and Conduct Champion, America Women’s Network Co-chair of Client Events, Global Markets Future Leaders participant in 2016, and won the Global Markets Division Global Cooperation Sales award in 2015. Before Societe Generale Joanna worked as a Sales-Trader at Newedge and Credit Agricole, finding and fostering relationships with institutional clients to provide voice execution and direct market access to global listed derivatives and options markets, sitting on the front lines throughout the 2008 financial crisis and its aftermath. Prior to working for the French, Joanna spent a brief 6 month stint in Anchorage, Alaska working for Rise Alaska as a Project Management Assistant.

Ms. Kanakis graduated magna cum laude from North Park University with a Bachelors of Arts in Philosophy. In 2016, Joanna received the North Park Distinguished Young Alumni Award. Joanna currently serves on the Advisory Board for North Park University’s School of Business and Non-Profit Management and she also serves as Co-Chair of Women in ETFs Chicago chapter. Joanna is raising her family in Ukrainian Village and you may find her at the Empty Bottle catching a good show or running along the 606 in her ever narrowing free time.

 

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Adam Holt
The WealthStack Podcast: The Future of Financial Wellness with Adam Holt of Asset-Map

The WealthStack Podcast: The Future of Financial Wellness with Adam Holt of Asset-Map

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As financial planning becomes more accessible, the U.S. population is looking to become more “financially fit”. Advisors can help clients achieve this by having a deep understanding of their client’s financial situation, risk tolerance, objectives, and preferences.

In this episode, Shannon Rosic, director of WealthStack Content and Solutions, speaks with CEO and Founder of Asset-Map, Adam Holt, about the impact of advice engagement on client outcomes, such as financial wellness and satisfaction.

Shannon and Adam discuss:

  • What Asset-Map’s recent round of funding means in terms of growth for the firm
  • Where advice engagement fits into financial planning
  • What kind of impact advice engagement is having across the wealth management industry
  • Why advisors need to consider the “6Ls” approach when speaking to clients 

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Adam Holt has been a financial advisor for 20 years helping to build and manage his wealth management firm to over $1B in assets under management. Holt is known for his early adoption of technology to build customer experiences that are trend-setting in the industry. He is the founder and chief executive officer of Asset-Map, LLC, a fintech firm dedicated to creating engaging visual communication tools used throughout the customer and advisor journey.

Holt obtained his Bachelor of Science in economics and environmental planning from Rutgers University, an MBA from Drexel University and a certificate in retirement planning from Wharton School of Business at the University of Pennsylvania. Holt also attended the American College where he earned his Chartered Financial Consultant® designation.



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Colin Falls
The WealthStack Podcast: What Do Advisors Really Need in a TAMP with Colin Falls of GeoWealth

The WealthStack Podcast: What Do Advisors Really Need in a TAMP with Colin Falls of GeoWealth

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RIAs who are seeking balance between evolving high-tech solutions with high-touch advisory services may need to consider a tech-forward TAMP. The TAMP model continues to be appealing to advisors because it offloads so much operational work that can take up a significant amount of time. So, how does a firm like GeoWealth support an RIA’ growth in AUM, and scale as they scale?

In this episode, Shannon Rosic, Director of WealthStack Content and Solutions, speaks with Colin Falls, President and CEO of GeoWealth, about why RIAs are desiring more flexibility and control with the technology solutions.

Shannon and Colin discuss: 

  • Where the opportunities are within the RIA space
  • What is means for a technology company to be flexible
  • What advisors really need in a TAMP
  • What technology consolidation will mean for the industry

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About Our Guest:

As President & CEO, Colin is responsible for leading GeoWealth’s international team of financial professionals and technologists. He focuses primarily on business strategy, organizational management, and platform product development. With over a decade of industry experience, Colin has an intimate understanding of both the technology and investment tools that power the GeoWealth platform.

Prior to joining GeoWealth in 2012, Colin served in various roles and departments – ranging across advisory and back office – at Frontier Wealth Management, a Kansas City based Registered Investment Advisor. He graduated from the University of Notre Dame’s Mendoza College of Business with a B.A. in Management and Entrepreneurship. As a captain of the Notre Dame Basketball team, Colin earned First Team All-Big East honors as a senior and finished his career with the most three-point field goals made in Notre Dame and Big East Conference history. Colin went on to play basketball professionally in Italy and the Czech Republic.

Colin is based in Chicago with his wife and three children. He spends most of his free time staying active, either on the lake, on the tennis court, or chasing his kids.

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