Episodes

  • Episode 220: The Insider's Guide to Pre-IPO Trading

    Episode 220: The Insider's Guide to Pre-IPO Trading
    Sep 3 2025
    Pre-IPO investments present great growth opportunities, but how can you navigate this high-stakes market successfully? In this episode of the Registered Investment Advisor Podcast, Seth Greene interviews Christine Healey, Founder of Healey Pre-IPO, who shares valuable insights into the complexities of pre-IPO trading, blending her experience in investment banking and brokerage. She emphasizes the growing need for professional guidance in the increasingly fragmented pre-IPO market and highlights the importance of building personal, trust-based relationships in the investment process. With her extensive global network and years of experience, Christine empowers clients to access and negotiate profitable pre-IPO deals through a personalized approach, ensuring the best opportunities for success. Key Takeaways: → Discover the common pitfalls buyers face in the pre-IPO market. → How a personalized concierge service enhances the pre-IPO experience. → Why working with a professional in pre-IPO trading is crucial. → The risks and rewards of investing in pre-IPO companies. → Insights on how global networks can influence local pre-IPO deals. Christine Healey is the founder of Healey Pre-IPO, a service dedicated to providing personalized, high-quality pre-IPO brokerage services. With over $600 million in closed pre-IPO transactions, Christine has built a reputation for success in both the U.S. and APAC markets, including two years of experience working in Hong Kong. Her impressive career includes serving as a Portfolio Manager at Destiny (NYSE:DXYZ) and Senior Director at Forge (NYSE:FRGE), following her roles as an Investment Banker at Credit Suisse and Jefferies. A University of Chicago alumnus, Christine also boasts an extensive global network, including individuals, funds, platforms, service providers, and brokers. Known for her ultra-motivated, detail-oriented approach, Christine's focus is always on delivering superior client experiences with a personal touch, ensuring each transaction meets the highest standards of excellence. Connect With Christine: Website LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    18 mins
  • Episode 219: From Hedge Fund to Multi-Family Office

    Episode 219: From Hedge Fund to Multi-Family Office
    Aug 27 2025
    If building and preserving wealth feels overwhelming, these insights are designed for ultra-high-net-worth families and corporate executives like you. In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Gerasimos Efthimiatos, CEO of Chesapeake Asset Management, who shares his extensive experience in managing multi-asset portfolios for high-net-worth individuals and families. After 18 years in the hedge fund industry, Gerasimos now leads an innovative wealth management firm that focuses on both traditional securities and alternative investments. From offering customized wealth solutions for corporate executives to using strategic tax-aware investment strategies, Gerasimos and his team at Chesapeake help clients protect and grow their wealth across public and private markets. Key Takeaways: → The importance of offering both traditional and alternative asset solutions. → Why alternative investments are crucial for ultra-high-net-worth families. → The key to differentiating a wealth management firm in a crowded market. → The rise of multi-asset portfolios and how to manage them effectively. → The role of sophisticated clients in helping shape investment offerings. Gerasimos Efthimiatos is an investor and strategist with twenty years of experience investing in both public and private companies globally. He is CAM’s CEO and Managing Partner, where he oversees both direct and externally managed investments. Gerasimos has advised family offices, endowments, and foundations on asset allocation and investment selection, and has deep alternative investment domain expertise across private equity, hedge funds, and venture capital. Previously, Gerasimos held senior portfolio and risk manager roles in hedge funds, including as Partner at Habrok Capital Partners, an equity long/short fund based in London. He received a Master of Engineering from University of London’s Imperial College of Science, Technology, and Medicine and an MBA from Cornell University’s Johnson School of Management. Connect With Gerasimos: Website Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins
  • Episode 218: Commercial Real Estate Secrets to Build Wealth

    Episode 218: Commercial Real Estate Secrets to Build Wealth
    Aug 20 2025
    💡 From the Gridiron to Financial Guidance: How One Former Athlete is Changing Lives in Underserved Communities In this episode of Legacy Leaders, Katie Beth and Oliver sit down with Jazz Scott, a former athlete turned financial advisor with a mission to elevate financial literacy in underserved communities. Together, they explore the intersection of sports, financial planning, and social impact, sharing valuable insights and practical tips for listeners. Jazz draws from his powerful personal story and professional journey to discuss overcoming financial illiteracy, supporting young athletes, and empowering everyday people to build lasting legacies. This episode is a must-listen for aspiring financial advisors, athletes, and anyone passionate about using personal experience to create community change. Key Takeaways: ● 🏈 Discipline Transfers: The discipline and preparation needed in sports translates directly into success in financial planning. ● 🌱 Start Early, Stay Consistent: No matter your background or income, it’s never too early or too late to start building your financial future. ● 💬 Financial Literacy Empowers: Teaching people how to manage what they already have is just as important as helping them earn more. ● 🤝 Relatable Advisors Matter: Representation and relatability help break down barriers of fear and distrust in financial conversations. ● 🚫 Block the Noise: Social media comparison can be misleading—focus on your own path and financial goals. Quotes from Jazz Scott: ● “You do a lot of beating on your body playing sports—here, you do a lot of beating on your brain.” ● “If you have $5 to start saving with, it’s a great time to reach out to a financial advisor.” ● “I want my legacy to be that Jazz was a person who helped people that were overlooked—and broke the barriers for others to follow.” 🔗 Conclusion: Financial education is not just about numbers—it's about empowering people to dream, plan, and live fully. Jazz Scott is doing just that, one client at a time. Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins
  • Episode 217: Goldback: Revolutionizing Gold for Everyday Transactions

    Episode 217: Goldback: Revolutionizing Gold for Everyday Transactions
    Aug 13 2025
    Gold doesn't need to sit in a vault — now it can be spent just like regular money! In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Jeremy Cordon, Founder and CEO of Goldback Inc. He discusses an innovative solution for using gold as everyday currency. Jeremy explains how Goldback makes physical gold accessible, spendable, and practical for modern transactions, providing an inflation-proof way to protect and trade wealth. Learn how this unique product has quickly grown and what the future holds for Goldback in the world of finance. Key Takeaways: → Why people wanted to be able to use gold for everyday transactions. → How Goldback operates, and its value compared to the spot price of gold. → How Goldback addresses the problem of inflation and offers a practical alternative to traditional money. → Why small businesses are adopting Goldback for payments. → How financial advisors can use Goldback to provide clients with a tangible, inflation-resistant investment. Jeremy Cordon, Founder and CEO of Goldback Inc., is passionate about precious metals and sound money. During an internship at the Libertas Institute, he connected with Larry Hilton, which led to a role at the United Precious Metals Association (UPMA). There, he helped grow membership from 400 to 25,000. Jeremy later focused his efforts on creating Goldbacks—a physical gold currency designed to preserve wealth and strengthen local economies. Under his leadership, Goldbacks have expanded to multiple state series, empowering individuals and communities with a practical tool for financial stability. Connect With Jeremy: Website Instagram TikTok X Facebook LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    17 mins
  • Episode 216: Leading a $6B Firm Through Complex Client Needs

    Episode 216: Leading a $6B Firm Through Complex Client Needs
    Aug 6 2025
    Explore how a seasoned CEO leads a $6 billion advisory firm through complex client challenges, evolving advisor expectations, and a rapidly changing financial landscape. In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Julie Parisio Roy, CEO and Wealth Manager at Badgley Phelps Wealth Management, which manages $6 billion in assets. She shares insights from nearly 30 years in the industry. She explains how her firm serves over 1,100 families, focusing on complex financial planning, generational wealth, and adapting to evolving client expectations. Julie also discusses how she balances client needs while leading and growing a diverse team in today’s dynamic market. Key Takeaways: → Why complexity in client situations can be an advisor’s opportunity. → How long-standing client relationships fuel new business growth. → The impact of recent state-level tax changes on estate planning. → Strategies for managing investment anxiety in volatile markets. → How a slow-and-steady hiring approach builds strong teams. Julie Parisio Roy joined Badgley Phelps in 2004 and serves as the chief executive officer, director of financial planning, and a wealth manager. She manages portfolios for high-net-worth private clients, aiming to help them find the ideal balance between enjoying their wealth and feeling secure about its longevity and legacy. Connect With Julie: Website Learn more about your ad choices. Visit megaphone.fm/adchoices
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    14 mins
  • Episode 215: Empowering Financial Advisors: Solving Medicare Challenges and Simplifying Health Insurance

    Episode 215: Empowering Financial Advisors: Solving Medicare Challenges and Simplifying Health Insurance
    Jul 30 2025
    Discover how cutting-edge technology is revolutionizing health insurance and Medicare planning, helping financial advisors bridge a critical gap for their clients facing retirement decisions. In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Drew Shockley, Co-Founder & Head of Development at Move Health, who shares insights from his 20 years of experience transforming health insurance and Medicare planning for early retirees and financial advisors nationwide. With a background in building successful insurance companies and launching MoveHealth’s innovative software platform, Drew explains how technology is making complex healthcare decisions easier. Learn how his approach is helping millions of people confidently prepare for retirement, while also strengthening client-advisor relationships. Key Takeaways: → Learn why health insurance planning is frequently overlooked during retirement planning. → Understand the challenges financial advisors face when guiding clients through health insurance options. → Hear how closing the feedback loop between clients and advisors improves ongoing health plan management. → Explore how meeting health insurance needs affects client retention and satisfaction. → Recognize the importance of using proactive health planning tools in today’s changing retirement environment. Drew Shockley is the Co-Founder and Head of Development at Move Health. Originally from East Tennessee, Drew relocated to Indiana for college and has remained there ever since. He began his career in 2005 with Anthem Blue Cross Blue Shield, one of the nation’s largest healthcare insurance carriers. Over the past 20 years, Drew has trained thousands of agents in the health and Medicare space, equipping them to better serve their clients with confidence and clarity. A serial entrepreneur, Drew has also been a founding member or investor in three successful startups within the healthcare industry, demonstrating a consistent track record of innovation and leadership. Connect With Drew: Website Facebook LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    18 mins
  • Episode 214: Investing in Rare Earths: The Metals of the Future

    Episode 214: Investing in Rare Earths: The Metals of the Future
    Jul 23 2025
    Discover how rare earth and technology metals are driving the future of energy, technology, and global markets—and why smart investors can’t afford to overlook them. In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Louis O'Connor, founder of Strategic Metals, who shares his journey into the world of rare earth and technology metals. With years of experience in the industry, Louis reveals how these critical resources are powering the future of energy, technology, and global markets. As a leading expert in the field, Louis explains why savvy investors should be paying close attention to this rapidly growing asset class. Key Takeaways: → How investing in rare earth and technology metals provides unique opportunities for long-term growth in critical industries such as energy, AI, and defense. → How rare earth metals are essential for technological progress in the 21st century. → Why investing in these metals can be a strategic move, providing a hedge against traditional stock market volatility and economic uncertainty. → Why supply chain constraints cause scarcity-driven price spikes in rare earth metals like gallium and dysprosium. → How physical ownership and secure storage of rare earth metals enhance an investment portfolio by adding value while keeping liquidity and market access. Louis O’Connor is the Founder and Principal of Strategic Metals Invest, the only global supplier that allows private investors to directly own strategic metals—including Technology Metals, Rare Earth Metals, Green Metals, and Rare Earth Elements. With over 30 years of experience and clients in more than 70 countries, Louis is a leader in a rapidly evolving industry that makes headlines worldwide. He is a highly sought-after expert, having appeared on CNBC, Cashflow Ninja, and other prominent platforms. His insights show how strategic metals provide a unique hedge against inflation, serve as a smart diversification strategy, and play a vital role in the global economy. Connect With Louis: Website X Facebook Learn more about your ad choices. Visit megaphone.fm/adchoices
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    13 mins
  • Episode 213: How Concurrent Supports RIAs to Grow and Scale

    Episode 213: How Concurrent Supports RIAs to Grow and Scale
    Jul 16 2025
    Discover how Concurrent is empowering RIAs with scalable solutions, autonomy, and strategic investments to drive business growth and enhance client service. In this episode of the Registered Investment Advisor Podcast, Seth Greene speaks with Nate Lenz, co-founder and CEO of Concurrent, a platform created to support independent wealth management firms. Nate explains how Concurrent has evolved from a consulting firm to a leading force in the RIA space, managing over $13 billion in assets. He discusses how Concurrent helps RIAs grow by providing crucial back-office support, technology, and even minority equity investments. If you're an advisor aiming to expand or shift to independence, this episode offers useful insights into how Concurrent's innovative platform can boost your practice Key Takeaways: → How Concurrent helps independent advisors gain the benefits of scale without sacrificing autonomy. → The role of technology, compliance, and operations in enabling advisors to focus on client relationships. → The strategic investment model and how Concurrent is offering minority equity stakes in affiliated RIAs. → Insights into the cultural shift in the wealth management space, with more firms leaving traditional models for independence. → The challenges and rewards of scaling an RIA platform and attracting top talent in a competitive market. Nate Lenz is the CEO and Co-Founder of Concurrent, a $7 billion OSJ-turned-RIA recognized as an InvestmentNews Best Place to Work in 2023. With over a decade of experience in the financial industry, Nate has built his career around supporting and empowering independent financial advisors to succeed without relying on traditional big-firm backing. Before launching Concurrent, he was Co-Founder and Managing Partner at I&A Consulting, specializing in mergers, acquisitions, and advisor recruiting. Earlier in his career, Nate served as Vice President of Succession Planning & Acquisitions at Raymond James Financial Services, where he led an in-house consulting team supporting more than 4,000 independent advisors. His experiences have fostered a strong commitment to helping advisors grow their businesses and navigate every stage of the entrepreneurial journey. Connect With Nate: Website Instagram Facebook LinkedIn Learn more about your ad choices. Visit megaphone.fm/adchoices
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    16 mins