Navigating the Advisor’s Journey to Independence

If you’re considering breaking free and going the independent route, this episode is a can’t-miss. 

Matt Halloran talks to Chuck Failla, the Founder and CEO of Sovereign Financial Group, about the world of independent financial advising. Discover the power of independence in serving clients without constraints, explore his unique cooperative-like structure supporting advisors, and learn how good old-fashioned mailers are driving growth.  

Matt and Chuck discuss:

  • The ways in which Sovereign Financial Group is more like a cooperative than a traditional broker-dealer
  • How to incentivize your compliance team to say ‘yes’
  • Why targeting 401(k)s that “suck” can be a powerful marketing technique
  • The story behind the creation of goRIA, and the role of educational marketing
  • The three core businesses that will allow Sovereign to scale without having to take on more than their cap of 40 advisors 
  • And more

Related: Proven Marketing Strategies for Today’s Growth-Minded Advisors