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Registered Investment Advisor Podcast

Registered Investment Advisor Podcast

By: Seth Greene
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 The Registered Investment Advisor podcast is a financial services marketing podcast for every financial service from insurance to investment advising. Host Seth Greene is a nationally recognized direct response financial services marketing expert. Guests on the RIA Podcast will include experts in the insurance marketing field. In each interview, they share financial tips and tricks to help other people in financial services and producers to up their game.Copyright 2021 Insurance Marketing Organization Podcast |Seth Greene |All Rights Reserved. Economics Marketing Marketing & Sales
Episodes
  • Episode 251: The Real Work Behind a Mutual Fund to ETF Conversion

    Episode 251: The Real Work Behind a Mutual Fund to ETF Conversion
    Apr 8 2026
    One wrong portfolio choice can turn a tax-saving strategy into a taxable mistake. Here’s how to prevent it. In this episode of The Registered Investment Advisor Podcast, host Seth Greene interviews experienced entrepreneur and investor Jason Marcus, who discusses the realities of building, funding, and scaling companies in today’s capital environment. This conversation explains the difference between fast money and smart money, emphasizing why alignment between founders and investors is essential and why disciplined decision-making is more important than market timing. For RIAs advising entrepreneurial clients or investing alongside them, it offers practical insights on navigating volatility and minimizing downside risk. Key Takeaways: → Not all funding is created equal. Strategic investors who bring experience, relationships, and discipline can be far more valuable than simply the highest valuation offer. → Clear expectations between founders and investors, especially around time horizons and exit strategy, can prevent costly misalignment later. → Entrepreneurs often underestimate how long it takes to achieve liquidity. Building financial buffers and exit optionality protects both business and family stability. → Markets fluctuate, industries trend, but disciplined underwriting and thoughtful scaling remain constant drivers of long-term success. → RIAs can add significant value by helping founders think holistically about personal wealth planning, tax strategy, and diversification beyond their primary business asset. Jason Marcus serves as Chief Operating Officer and Chief Compliance Officer at Scharf Investments, where he recently helped lead one of the largest active mutual fund-to-ETF conversions of the year. Blending executive leadership with deep operational expertise, he oversees firm operations, compliance, and strategic execution during pivotal moments of growth and change. Prior to joining Scharf in 2010, Jason spent eight years at Fairholme Capital Management in multiple operational roles during a period of rapid asset expansion, gaining firsthand insight into how structure, scale, and disciplined execution create the foundation for long-term investment success. Connect With Jason: Website: https://scharfinvestments.com/ LinkedIn: https://www.linkedin.com/company/scharfinvestments/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    17 mins
  • Episode 250: Secrets To 10Xing Your Business: And Cashing Out Tax-Free

    Episode 250: Secrets To 10Xing Your Business: And Cashing Out Tax-Free
    Apr 1 2026
    Most business owners don’t realize they’re building an exit they can’t afford. On this episode of The Registered Investment Advisor Podcast, host Seth Greene sits down with Marc Adams, founder of Acquisitions4U, who shares a deeply personal story that transformed his approach to private equity and business growth. After being diagnosed with stage four cancer during the pandemic and told he had just six months to live, Marc was confronted with a life changing question from his 10-year-old son about what happens to business owners who never get to sell. That moment became the catalyst for the Double and Keep It Framework, designed to help founders of sub-$50 million companies dramatically increase enterprise value. Without giving up equity or taking on burdensome debt, Marc shows entrepreneurs how to exit with significantly more capital. This episode is a masterclass on purpose driven capital, smarter exits, and rethinking how founders truly monetize what they have built. Key Takeaways: → Nine out of ten privately held businesses never achieve the valuation owners expect or fail to sell at all. This is often due to poor exit planning and fee erosion. → A business generating $750K in EBITDA may only command 1–2x multiples, but when aggregated into a larger $5M+ EBITDA group, valuation multiples can expand dramatically. → Waiting until you’re “ready to retire” often means discovering too late that taxes, fees, and valuation discounts can erode 30–50% of the sale proceeds. → No Equity Dilution, No Debt Servicing → Pivoting from traditional private equity to founder-focused value creation was fueled by personal adversity and a commitment to helping families secure financial futures. Marc Adams is a strategy mentor and business-exit planner who helps founder-led companies double enterprise value in 12–24 months and structure tax-efficient exits—without heavy dilution or personal guarantees. He’s helped take a company from roughly $140M to a $1B valuation and led a loss-making $18M-revenue business to a $140M exit. A bestselling author with Times Square features, Marc works closely with family offices and private capital, giving founders a practical, buyer-aligned playbook for value creation, clean diligence, and better after-tax outcomes. Connect With Marc: Website: https://acquisitions4you.com/ LinkedIn: https://www.linkedin.com/in/1marcadams/ Learn more about your ad choices. Visit megaphone.fm/adchoices
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    18 mins
  • 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
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