Disruption Blueprint Podcast

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Crush Everything (Ep. 43)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:15 -0500

In this episode, Bobby and Dom discuss how to apply Dom Raso’s Crush Everything philosophy around your actions, behaviors, and beliefs to grow your practice and serve your clients.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Getting Back To Doing What You Love Most as an Advisor with Matt Halloran (Ep. 37)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:15 -0500

Do you find yourself dragging yourself out of bed, lacking the energizing spark in your work as an advisor? It’s time to reclaim your motivation and kick burnout to the curb!

In this episode, Shannon Spotswood is interviewed by Influence Expert and Top Advisor Marketing podcast host, Matt Halloran, about the importance of prioritizing time, aligning interests with clients, utilizing technology and digital media, and telling personal stories to connect with clients on a human level. Shannon also discusses RFG Advisory’s commitment to helping advisors connect with female prospects and clients through their StrongHER Money initiative.

Shannon discusses:

What is the importance of prioritizing time as a financial advisor
Tips for prioritizing time and reassessing day-to-day activities as a financial advisor
Why you need to clearly define how you will feel most fulfilled and inspired in your work (and the risk you run when you don’t do this)
How building a team that aligns with your service model and goals can help free up time to focus on prospecting and deepening relationships with clients
Why it’s important for financial advisors to align their interests with their clients’ values and interests
What the two key factors currently present in the financial advisory industry are
How to find and work with clients who align with your interests so you can stay inspired and develop your niche
The challenges financial advisors face in creating unique, customized experiences for their clients
How financial advisors can improve their marketing efforts through ProudMouth.com, RFG Advisory’s marketing team, or PodRocket Academy
Why advisors resist spending time doing personal activities with clients and how to stop feeling guilty when you decide to do this (for the sake of your business!)
Why prioritizing time as a financial advisor is essential to achieving desired levels of success
And more

Resources:

Connect with Shannon Spotswood:

Connect with Matt Halloran:

About Matt Halloran:

Matt Halloran is Partner and Podcasting Expert at ProudMouth. A former business and life coach to top advisors, Matt has helped 5,000+ advisors understand how to create trust and build rapport with prospects they haven’t even met yet. He has studied the way people communicate for over 20 years, has been featured in The Wall Street Journal as a digital communication expert, and wrote “The Social Media Handbook for Financial Advisors” –– the first social media book dedicated to financial services. He has now combined his extensive knowledge and expertise in business and coaching with one of his passions: podcasting. Matt has hosted and been on 1,000+ podcasts. He’s also the host of ProudMouth’s podcasts, the Top Advisor Marketing Podcast, where he shares marketing strategies tailored for advisors and connects with top industry leaders.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Marketing Madness with Kelly Waltrich (Ep. 22)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:15 -0500

Many financial advisors struggle to define themselves in their marketing. If you’re one of them, you don’t have to struggle any longer.

In this episode, Shannon Spotswood speaks with Kelly Waltrich, the Co-founder of Intention.ly. Kelly shares her expertise in marketing and how financial advisors can create their own brand that is unique to them and escape the “sameness”.

Kelly discusses:

What factors need to be paid attention to when building a brand
How to determine the appropriate amount to spend on client acquisitions
What questions advisors should ask themselves as they put pen to paper on defining their brand
How thinking of marketing as multiple skills instead of one makes it easier to tackle
The 3 mountains to climb in marketing
And more

Resources:

Connect with Shannon Spotswood:

Connect with Kelly Waltrich:

About our Guest:

For over 15 years, Intention.ly Co-founder Kelly Waltrich has been championing the role of marketing in the financial services industry. As former Chief Marketing Officer at eMoney Advisor and Orion Advisor Solutions, she proved time and again that there is no better driver of an organization’s growth and overall success than a well-run marketing and communications team. At eMoney and Orion, Waltrich built powerhouse marketing teams from the ground up, developing the engines that would fuel the highest periods of growth for both companies.

Kelly designed the strategy behind several successful rebrands, acquisitions, and product launches—including spearheading the development of two advisor marketing products—while creating unmatched overall brand visibility and helping to turn company executives into industry thought leaders.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

From Captive Insurance BD to 4x Organic Growth in Independence ft. Wes Miller, Partner, Wealth Management Advisor, Willow Private Wealth (Ep. 53)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:14 -0500

Welcome back to another episode of the Disruption Blueprint Podcast!

If you’re a financial advisor navigating the challenges of the insurance channel and contemplating a shift to independence, Wes Miller’s transformative journey is a must-listen on the Disruption Blueprint podcast.

Wes Miller, Partner and Wealth Management Advisor at Willow Private Wealth, spent the majority of his career at a large Captive Insurance BD, building a good size practice. Two years ago, he and his business partner, Casey Marshall, broke away to build their own firm at RFG Advisory.

In this episode, Wes shares the game-changing insights that propelled his practice to 4x growth within two years of making the leap to independence. From overcoming initial fears to building a powerful brand and experiencing unprecedented client satisfaction, Wes discusses the pivotal moments that defined his success. Hear about his experience on transitioning to RFG, executing with precision, and enjoying newfound freedom while building enduring client relationships.

Whether you’re seeking inspiration or practical guidance, this podcast provides a blueprint for Advisors ready to unleash their growth potential and redefine their professional journey.

Key Points:

Introduction (00:03)
Who is Wes Miller? (00:43)
Why transition to Independence (02:03)
Overcoming Fear of the Unknown (03:31)
Driving Organic Growth Through the Client Experience (05:35)
RFG’s Execution of the Transition (07:45)
Building a Brand Matters (09:47)
Supported Independence and RFG Platform (11:59)
Building Your Business in Independence vs. Insurance Channel (14:06)
Client Value and Relationship Building (18:05)
Surprises in Entrepreneurial Journey (19:09)
Impact on Personal Life (20:26)
Closing Remarks (22:14)

Find More About Wes Miller

Bio

Wes was introduced to the financial world through his father, who is a Certified Public Accountant (CPA). He became passionate about financial planning as he worked with an advisor preparing for his own financial future. This fasciation with what’s possible through planning led him to pursue a career in the profession. Today, he loves helping his clients work toward their financial goals.

Wes and his wife, Jessica, have one son named Avery and live in Vestavia Hills, Alabama. Jessica is the Executive Director of the Alabama Chapter of the Alzheimer’s Association, and the family is regularly engaged in Alzheimer’s awareness and fundraising activities. They are also active with their church. Wes is an avid sports fan and enjoys being outdoors as much as possible.

Links:

Willow Private Wealth

Connect on LinkedIn

Contact Wes

More About RFG Advisory

RFG Advisory is an award-winning platform for Independent Financial Advisors designed to deliver supported Independence through

Fully-integrated, cutting-edge technology stack
End-to-end operational support
Full-scale brand creation and marketing
In-house Institutional Caliber Investment Management Platform
Award-winning Talent Acquisition, Training, and Retention Program
Strategic Business and Advisor Coaching
Multi-Custodial Relationships
Succession Planning and Acquisition Support
Compliance + More

Our Mission is to partner with Independent Financial Advisors to help them build the enterprise value of their firms on their own personal balance sheet, without compromise. You own it, 100%.

Let us know if you want to learn more about our Platform.

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Content here is for illustrative purposes and general information only. It is not legal tax or individualized financial advice, nor is it a recommendation to buy, sell, or hold any specific security or engage in any specific training strategy. Information here may be provided in part by third party sources. These sources are generally deemed to be reliable, however, neither are guests nor RFG Advisory guarantee the accuracy of third party sources. The views expressed here are those of our guests. They do not necessarily represent those of RFG Advisory, its employees or its clients. This commentary should not be regarded as a description of advisory services provided by RFG advisory or performance returns of any client.

The views reflected in the commentary are subject to change at any time without notice.

All investing involves risk, including loss of principal. There is no guarantee the investment process will lead to profits. Past performance of any security or strategy is no guarantee or indication of future results or performance. Market conditions change continuously.

Securities offered by Registered Representatives through Private Client Services.

Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory” or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Crafting And Growing Your Own Firm As An Independent Advisor with David Koren (Ep. 33)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:14 -0500

As an independent advisor, you shouldn’t fear growth. You should invest in it!

In this episode, Shannon Spotswood interviews the Founder of RVA Wealth Management, David Koren, MBA, ChFC®, CLU® about his advice for advisors considering independence, the importance of taking risks and investing in your business, and the 10-3-1 rule. He also discusses the benefits of crafting your own firm and succession planning, as well as incorporating philanthropy into the client experience.

David discusses:

His advice for other advisors who are either in a captive environment thinking about independence or are independent but want more control and independence
Why he decided now is the time to grow even bigger and invest more into marketing
Why entrepreneurs can’t expect to build a large and thriving practice without taking risks and investing in their business
What the 10-3-1 rule is and why it has become a lost art
The perk of being able to craft your own firm and retire when you decide to as an independent advisor
Where he is on his succession plan journey and how he came to realize that he needs to get serious about it
How to incorporate giving back to the community as an active part of your client experience
What he thinks the industry will look like in the next five to ten years
And more!

Connect with Shannon Spotswood:

Connect with David Koren:

About our Guest:

As founder and retirement planning specialist at RVA Wealth Management, David focuses on asset protection and growth, helping his clients to manage income flow and enjoy their retirement years. David has worked in the financial services industry in one way or another for over 35 years, starting out as an agent for a national life insurance company while still an undergraduate at Virginia Tech.

Over his long career – which has included working as an executive for insurance companies, brokerage operations, an internet healthcare startup, and now an independent wealth management firm – David has always focused on education. He considers teaching to be his calling and enjoys educating people on personal finance. David teaches financial education classes in the Richmond area and also offers more in-depth workshops at the office to further explore areas of client interest.

David considers all of his clients as family and strives to grow and protect their assets in everything he does. David and his wife Robbie have two children. They have a strong focus on family and both believe exercising and staying healthy play an important role in family life.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Mindset is Everything (Ep. 38)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:13 -0500

In this episode, Bobby White and Dom Raso talk about the importance of mindset for financial advisors as a foundation for success and to take their practice to the next level.

This is not your normal episode of Disruption Blueprint. Today we bring you a limited series, Mindset Mastery – Thriving in the Financial Landscape, where Bobby White, Founder and CEO sits down for a limited series with NAVY SEAL TEAM 6 Hero, Dom Raso to tackle how professionals in our industry can take the principles of Navy SEALs to master your mindset to become the best version of yourself in both business and life.This mini-series provides financial advisors with actionable guidance, tips and practical tools to survive and thrive during periods of uncertainty and disruption. The podcast series, presented by RFG Advisory, aims to inspire and empower a new breed of advisor with a curated curriculum designed to engage critical thinking and rapidly adapt to a new future, shaped by the current pandemic. The podcast kicks off with a series of six, exclusive behind-the-scenes interviews with Navy Seal Dom Raso and RFG Advisory Chairman & CEO Bobby White. The segments were filmed during RFG’s Annual Advisor Retreat on Captiva Island in Florida, exactly one week before the COVID-19 pandemic hit the United States.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

The Financial Advisory Succession Crisis with David DeVoe (Ep. 52)

Shannon Spotswood — Wed, 28 Jan 2026 12:18:04 -0500

It looks like the financial services industry is progressing towards a succession crisis. Are advisors ready to handle it?

This week, Shannon Spotswood interviews David DeVoe, the Founder and CEO of DeVoe & Company, about the current state of M&A activity and succession planning in the financial advisory space.

Together, they highlight the succession crisis in the field and the importance of succession planning. David also talks about the challenges and barriers to succession planning, the factors contributing to a firm’s success, and the impact of marketing on the industry.

David discusses:

M&A activity and succession planning in the financial advisory arena
The current state of M&A activity and its future outlook
The potential for a succession crisis in the industry and reasons why succession planning is so important
The challenges and barriers of succession planning
Ways psychological factors impact succession planning
Reasons we need radical change within firms to attract and retain next-generation advisors
What factors contribute to the success of a firm, including profitability and risk factors
Proactive strategies for driving higher valuations and protecting an organization’s future
And more

Resources:

Nitrogen: The 2023 Firm Growth Survey

Connect with Shannon Spotswood:

Connect with David DeVoe:

About Our Guest:

David DeVoe founded DeVoe & Company in 2011 to help wealth management companies optimize their business decisions. The company has supported hundreds of firms in consulting, investment banking, and valuation engagements since its launch. David has been a thought leader on RIA practice management for 18 years and was named the ‘RIA M&A Guru’ by Barron’s magazine.

Previously, he served as Managing Director of Strategic Business Development at Charles Schwab Advisor Services. In this role, he developed and led Schwab’s Transition Planning platform, which provides comprehensive M&A and succession planning services to registered investment advisors. During these eight years, he provided strategic counsel to over 500 advisors. Previously, David worked in the Business Strategy group at American Express. David holds a BA degree from the University of California, Berkeley, and an MBA from Cornell University Johnson Graduate School of Management.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Becoming Your Own Personal Legend Ft. Jody Bluitt, Wealth Advisor at WFA - Plan Invest Inspire (Ep. 18)

Shannon Spotswood — Tue, 27 Jan 2026 11:42:00 -0500

Welcome back to another episode of Disruption Blueprint! Today, we are joined by Jody Bluitt, Wealth Advisor at WFA in Shreveport, Louisiana. Recently, Jody’s leadership earned him the honor of being named a finalist for the ThinkAdvisor LUMINARIES Class of 2022 in the category of Community Service and the advisory board of the Shreveport-Bossier African American Chamber of Commerce.

In today’s special episode, RFG President Shannon Spotswood and Jody discuss what it means to make the climb to take your career and life to different altitudes. They talk about the importance of “owning it to the best of your ability” and being the best version of you. For Jody, this includes his colleagues Steve Carney, ChFC®, Dany Martin, MBA, and Chase Crump, CFP®–partners and wealth advisors at WFA.

Spending his childhood in Europe with military parents, Jody learned discipline, respect, adaptability, strength, compassion, leadership and gratitude. His parents taught him that he could achieve anything through hard work. But all that would be battle-tested when he lost his father tragically in a car accident when he was 18 years old. His death motivated Jody to pursue his dreams and become a financial advisor.

But Jody has always been up for a challenge, and climbs have put many obstacles in his path. As a Black financial services professional, Jody never backed down or felt intimidated. Jody’s career in financial services, now eight years strong, has allowed him to blaze his own trail and to make an impact on Capital One Investing, Merrill Lynch Wealth Management, and now WFA in Shreveport as the firm expands into the Dallas-Fort Worth areas and beyond.

To bring this episode to a close, Jody reminds us that we are all creators of our own destiny and that by creating our own personal legends we can inspire others to do the same. By creating a legacy for himself—one that honors his dad and pays tribute to those who came before him—Jody reminds us that no matter what happens in life, you can always find a way through it.

“When we strive to become better than we are, everything around us becomes better, too.” – Paulo Coehlo, The Alchemist.

Join the conversation to hear all about:

Becoming firmly committed on the road to an inspiring journey.
Developing a skillset on how to prioritize your time.
Conquer yourself to be on the top.
The responsibility of leading the future generation.
When you break barriers, you can end up with a diverse team.
The perception of money & how to change it.
Financial literacy and why it’s important.
Leading the future generation.
Catapulting your career to the next level.
Create your own legacy.

Referenced Materials:

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Achieving Leadership Greatness: How Discipline, Mindset, & Daily Habits Can Help Financial Advisors Reach a Higher Level of Leadership

Shannon Spotswood — Mon, 05 Jan 2026 09:00:00 -0500

“Nothing great comes into the world without discipline.” -Phillip Deas

In this episode, Shannon Spotswood, CEO of RFG Advisory, sits down with executive coach and leadership strategist Phillip Deas. They unpack what it truly takes to perform at a higher level of leadership and how discipline, mindset, and daily habits transform good leaders into great ones.

Phillip challenges the idea that motivation alone drives success, and he introduces a framework built on mindset resets and identity-driven habits. Together, he and Shannon explore how clarity of vision shapes executive decisions and how small habits compound into significant transformation.

This episode is a powerful guide for growth-minded Financial Advisors who want practical steps for taking their leadership to the next level.

Key Themes Covered:

Why discipline is the gateway to leadership greatness.
The power of daily recommitment and resetting your outlook.
The value of identity-driven habits that compound over time.
The power of viewing failure as data, not personal judgement.

How RFG Can Help Take Your Leadership to The Next Level:

As an Advisor, great leadership is not only built by discipline, clarity of purpose, and commitment to a vision. It also requires a platform that provides the necessary bandwidth and tools to build your business without compromise.

Ready to lead at a higher level? Schedule a 20-minute discovery call to see how RFG’s platform removes friction, frees your time, and gives you the clarity and momentum to scale with confidence and build lasting enterprise value.

#DisruptionBlueprint #AdvisorLeadership #IndependentAdvisor #AdvisorGrowth #RFGAdvisory

Connect

About Our Guest

Phillip Deas is an executive coach, leadership strategist, and founder of Phillip Deas Leadership, where he works with high-performing leaders, organizations, and teams to elevate clarity, discipline, and sustainable performance. With decades of experience coaching executives, athletes, and business owners, Phillip is known for his practical frameworks around mindset, identity, and habit formation. His work centers on helping leaders build resilience, develop daily discipline, and align who they are becoming with how they show up, both professionally and personally. Through coaching, speaking, and thought leadership, Phillip challenges leaders to move beyond motivation and design lives and businesses that compound over time.

Giving Away Enterprise Value: Why Financial Advisors Should Seek Independence to Build Their Valuation

Shannon Spotswood — Tue, 30 Dec 2025 08:43:00 -0500

In this episode, RFG Advisory’s CEO, Shannon Spotswood, and President, Ed Swenson, discuss the need for Financial Advisors to take action and transition to a business model where they can build enterprise value. They challenge captive Advisors to break out of indecision and take control of their business’ valuation.

They discuss the cost of indecision, address concerns around clients not following during a transition to a new firm, and how the right platform can give advisors more time back and accelerate growth.

What You’ll Learn:

· The cost of indecision and where enterprise value fades.

· Why independence is a growth strategy and not a DIY burden.

· How an independent platform can free Advisors to focus on growth.

Learn more at www.rfgadvisory.com

Enterprise Value: The Asset Most Advisors Don’t Know They’re Giving Away

Shannon Spotswood — Wed, 12 Nov 2025 13:39:00 -0500

Your greatest asset? It’s not your AUM — it’s your enterprise value.

In this episode, Shannon Spotswood and Ed Swenson unpack one of the biggest wealth-building opportunities Advisors have ever seen.

They break down what enterprise value really means, why ownership has never been more rewarding, and how Advisors can leverage independence to turn their business into an appreciating asset, not just an income stream.

You’ll learn:

What drives enterprise value (and how to grow it)
The truth about W-2 vs. independence and who’s really capturing the upside
Why the timing has never been better to build equity in your practice

With RIA valuations at historic highs and a “silver tsunami” of retirements reshaping the industry, this episode is your guide to building the kind of business you own, and that pays you back for decades to come.

About the Guest

Ed Swenson is the President of RFG Advisory. With a background in technology, operations, and Advisor services, Ed has been instrumental in building RFG’s award-winning platform that empowers Advisors to scale efficiently and build meaningful enterprise value. He brings a sharp eye for the business side of advisory firms and a deep passion for helping Advisors design businesses that reflect their values and unlock their full potential.

More at: rfgadvisory.com/podcast

#DisruptionBlueprint #EnterpriseValue #FinancialAdvisors #AdvisorGrowth #RFGAdvisory

Inside the Independence Movement: Ed Swenson on Culture, Capital, and Growth for the Independent Advisor

Shannon Spotswood — Mon, 13 Oct 2025 00:54:36 -0400

“There’s no better time than now to be an independent Advisor.”

In this special episode of the Disruption Blueprint Podcast, host Shannon Spotswood sits down with Ed Swenson, newly named President of RFG Advisory, to explore the future of independence, technology, and Advisor empowerment. With more than 25 years in wealth management, most notably as co-founder of Dynasty Financial Partners and former President of RIA Solutions at Osaic, Ed brings a bold, forward-thinking perspective on where the industry is headed.

Together, Shannon and Ed unpack the “bull market for advice,” the seismic shift toward independence, and why RFG is uniquely positioned to support Advisors looking to grow, scale, and thrive. From succession planning and M&A to cutting-edge tech adoption and capital strategy, this episode is packed with valuable insight for any Advisor considering the next chapter in their journey.

What You’ll Learn

Why independence is surging, and what Advisors gain when they make the leap
Ed’s journey from wirehouse to broker-dealer to RFG President
How RFG’s tech-forward, Advisor-centric platform drives organic growth
The silver tsunami: how succession, M&A, and capital strategy are converging
Why culture, community, and execution matter more than ever in a fragmented industry

About Our Guest

Ed Swenson is the newly appointed President of RFG Advisory, an award-winning Independent RIA platform. With a career spanning leadership roles across wealth management, from Smith Barney to co-founding Dynasty Financial Partners and most recently leading RA Solutions at Osaic, Ed has been at the forefront of the independent Advisor movement. He brings a deep passion for technology, growth strategy, and building intentional culture to RFG’s mission of empowering Advisors to maximize their time, build enterprise value, and truly thrive.

Connect & Explore More

Learn more about the RFG Advisory transition experience and how RFG helps Advisors go independent in as little as 39 days.

Content here is for illustrative purposes and general information only. It is not legal, tax, or individualized financial advice, nor is it a recommendation to buy, sell, or hold any specific security or engage in any specific trading strategy.

Information may be provided, in part, by third-party sources deemed to be reliable, though accuracy is not guaranteed. The views expressed are those of the guest and do not necessarily represent those of RFG Advisory, its employees, or its clients.

Inside the Independence Movement: Ed Swenson on Culture, Capital, and Growth for the Independent Advisor (EP61)

Shannon Spotswood — Fri, 10 Oct 2025 17:24:00 -0400

“There’s no better time than now to be an independent Advisor.”

What You’ll Learn

Why independence is surging, and what Advisors gain when they make the leap
Ed’s journey from wirehouse to broker-dealer to RFG President
How RFG’s tech-forward, Advisor-centric platform drives organic growth
The silver tsunami: how succession, M&A, and capital strategy are converging
Why culture, community, and execution matter more than ever in a fragmented industry

About Our Guest

Connect & Explore More

Learn more about the RFG Advisory transition experience and how RFG helps Advisors go independent in as little as 39 days.

Unlocking Return on Time: Doug Fritz on How AI, Data & Martech Are Reshaping Wealth Management (Ep. 60)

Shannon Spotswood — Thu, 27 Mar 2025 22:22:00 -0400

"By end of 2025, 50% of Advisors will be leveraging AI tools for client meetings, task management, follow up."

What happens when one of the sharpest minds in wealthtech gets behind the mic? In this episode, Doug Fritz, Co-Founder and Executive Chairman of F2 Strategy, sits down with host Shannon Spotswood for a high-impact conversation on how AI, data, and digital strategy are reshaping the future of financial advice.

Doug pulls back the curtain on the real use cases for AI—tangible productivity gains like AI-driven meeting notes, client task automation, and internal search tools designed to give time back to Advisors. He also dives into the hidden cost of fragmented tech stacks and why businesses need to rethink their approach to data if they want to drive scale, personalization, and enterprise value.

Whether you’re wrestling with fragmented tech stacks, exploring AI integrations, or rethinking your growth model, this conversation offers real-world guidance on leading with clarity, strategy, and intentional adoption.

What You’ll Learn:

· Why AI is more than a buzzword (and how it's saving top Advisors hours every week)

· The danger of over-hyped tech and how to spot real value

· How firms should think about data architecture, not just dashboards

· The hidden risks in fragmented tech stacks

· The difference between “being organized” and being scalable

Want to Learn More? Click here to sign up for the Disruption Blueprint newsletter and take your business to the next level.

Connect

· Shannon Spotswood

· RFG Advisory

About Our Guest

Doug Fritz is the Co-Founder and Executive Chairman of F2 Strategy, a premier wealthtech consulting firm that helps wealth management firms modernize their digital and data strategy. A former Chief Technology Officer at First Republic and Wells Fargo Private Bank, Doug brings decades of firsthand industry experience to every conversation—blending his deep understanding of Advisor workflows with a passion for smart, scalable tech solutions. At F2 Strategy, Doug leads a team that’s driving transformation across the wealth management space, helping RIAs and enterprises leverage technology that helps move the needle.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

From Corporate Tech to Fintech Trailblazer: Martha Underwood and Prismm (Ep 59)

Shannon Spotswood — Mon, 03 Feb 2025 13:40:37 -0500

“You’re going to leave a legacy. Everyone’s going to leave a legacy. And it really is just going to be determining what type of legacy you want it to be.”

In this episode of the Disruption Blueprint Podcast, we’re joined by Martha Underwood, founder of Prismm, a groundbreaking digital vault platform that’s revolutionizing how families approach wealth transfer and legacy planning.

Martha’s vision is simple yet profound: to give families the tools they need to organize, protect, and pass down their hard-earned wealth seamlessly. Drawing from her experiences in corporate technology and her personal journey as a Black female founder, she discusses how PRISM bridges generational gaps, enhances privacy and control, and transforms the often-overwhelming process of legacy planning into the ultimate act of love.

With trillions of dollars set to transition across generations in the coming years, this conversation dives into how technology, AI, and forward-thinking solutions like PRISM are reshaping the future of financial services.

What You’ll Learn:

How Prismm simplifies and secures wealth transfer.
Key blind spots in engaging next-gen clients.
AI’s game-changing role in financial services.
The power of intentional legacy planning.
Martha’s inspiring journey as a fintech disruptor.

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About Our Guest

Martha Underwood is the Founder of Prismm, a digital vault platform revolutionizing wealth transfer and legacy planning. With a background in corporate technology and banking, Martha created Prismm during the COVID-19 pandemic to address the challenges families face in managing and preserving their financial assets. Her work bridges generational gaps in wealth planning to offer privacy, control, and seamless solutions while also driving innovation in fintech.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Understanding Industry Disruption and Innovation in Financial Services with Rohit Mahna (Ep. 58)

Shannon Spotswood — Mon, 02 Dec 2024 02:00:47 -0500

What does it take for Financial Advisors to thrive?

In this episode of The Disruption Blueprint Podcast, Shannon Spotswood delves into the world of financial services with Rohit Mahna, Head of Client Growth at Fidelity Institutional Wealth Management Services. They discuss the critical elements of disruption, innovation, and forward-thinking strategies necessary for navigating the complexities of the advisory landscape.

Join Shannon and Rohit as they explore:

(00:01:56) The surprising continuity of financial services discussions
(00:04:15) The accelerating pace of industry change and its implications
(00:09:18) Perspectives on improving client engagement and experience
(00:15:05) Transformation frameworks for future-proofing financial advisory businesses
(00:19:08) Leveraging technology and AI to scale up services while maintaining high-touch experiences
(00:30:43) The importance of cultivating talent and leadership
(00:36:59) Lessons learned from past failures and the essence of rapid adaptation

Tune in and discover insights that can empower you to adapt and thrive in an ever-changing financial world!

Connect with Shannon Spotswood:

Connect with Rohit Mahna:

LinkedIn: Rohit Mahna

About Our Guest:

As Head of Client Growth at Fidelity Institutional Wealth Management Services, Rohit Mahna leads Fidelity’s strategy in the wealth management, banking, and insurance sectors. Rohit and his team are responsible for Salesforce’s product, marketing, and overall go-to-market strategy for the financial services industry.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

The Financial Playbook: Jim Sumpter’s Story of Propelling Growth (Ep. 57)

Shannon Spotswood — Thu, 30 May 2024 03:00:48 -0400

Ready to explore the world of finance and advisory through the lens of experts who are steering the industry’s future?

In this episode of The Disruption Blueprint Podcast, Shannon Spotswood sits down with Jim Sumpter, CFP®, and founder and CEO of CMC Financial.

This conversation takes you on a journey from Jim’s early days as an advisor, and his transformative personal experiences, to how he’s navigating and capitalizing on some of the most exciting growth trends defining the financial advisory industry today.

With a focus on integrating advanced tax planning into financial advisory and the analytical research backing it, listen in for an insightful discussion that bridges heartfelt personal narratives with cutting-edge professional strategies.

Jim discusses:

The rise of comprehensive tax planning in financial advisory
The strategic partnership between financial advisors and CPAs, analyzing the impact on client service and business growth
The importance of family and personal experiences in shaping professional services
Strategies for multi-generational engagement and client retention in the financial advisory practice
How successful integration of tax planning into financial advisory can significantly enhance client value and service diversity
Why investing in your education and embracing lifelong learning are key to staying ahead in the rapidly evolving financial advisory landscape
How establishing a multi-generational client base not only secures a long-term business model but can also position advisors as pivotal figures in financial legacy planning
How going independent helped him be authentic in his advisory practice
And more!

Tune in for Jim’s story about empowering his financial advisory practice to meet the evolving needs of today’s and tomorrow’s clients.

Resources:

The Financial Playbook Podcast with Jim Sumpter

Connect with Shannon Spotswood:

Connect with Jim Sumpter:

About Our Guest:

Jim Sumpter is the president and CEO of CMC Financial. Jim has more than 20 years of experience helping clients achieve their financial goals. He is a CERTIFIED FINANCIAL PLANNER CFP® and holds FINRA Series 7, 65, 63, and 31 licenses in Alabama, Georgia, New York, Pennsylvania, and Vermont. He also holds Life, Health, and Variable Annuity Licenses. He is a member of the Financial Planning Association (FPA), the National Association of Tax Professionals (NATP), and Leadership Shelby County. He is also a StrongHer Money Ambassador.

Jim graduated from The University of Alabama with a Bachelor of Science in Corporate Finance with a concentration in World Business and a minor in Economics. He is currently enrolled in Villanova University’s Charles Widger School of Law, where he is working towards a Master of Taxation with a concentration in Estate Tax Planning. He will complete his degree in the fall of 2023.

He is the President of the Pelham City Schools Foundation, Past President of Leadership Shelby County Alumni Board, Past President of FPA of North Alabama, and Past Campaign Chair for the United Way of Central Alabama.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Feature Episode: Embrace Change & Reshape The Future of Finance with Dany Martin and Chase Crump

Shannon Spotswood — Tue, 14 May 2024 03:00:18 -0400

Get ready to delve into the heart of disruption in the financial advisory landscape with Dany Martin and Chase Crump in this week’s episode of The Disruption Blueprint!

Here, Shannon Spotswood embarks on a captivating journey exploring the transformative shifts occurring within the financial advisory sector. Joined by industry mavericks Dany Martin, MBA, and Chase Crump, CFP®, partners at WFA in Shreveport, Louisiana, this conversation promises a deep dive into how forward-thinking strategies, embracing change, and a focus on client engagement and technologically enhanced experiences reshape the future of financial services.

Dany & Chase’s key takeaways:

How WFA’s forward-thinking approach, including geographical expansion and niche market development, led to their record-breaking year
The importance of embracing technological advancements to enhance client experiences and reach
The significance of deep, authentic client relationships in fostering loyalty and driving business growth
Strategies for identifying and successfully engaging niche markets, such as professional athletes, for growth
How advisors can get themselves unstuck, whatever the definition of stuck is for them
How the industry could evolve in the next 3 to 5 years
How investing in branding and marketing can solidify your firm’s presence and attract both new and loyal clients in a competitive landscape
And more!

Connect with Shannon Spotswood:

Connect with Dany Martin:

Connect with Chase Crump:

About Our Guests:

Dany Martin, MBA, Partner & Wealth Advisor:

Dany Martin, a South Louisiana native but Shreveport resident, was in search of a service-oriented, innovative, and proactive wealth management organization. He wanted a team that focused on exceeding clients’ needs and upholding the highest standard of service. His mission is to be a student of life and educate others about the profound, positive impact that sound financial planning will have on peoples’ lives and on their families. He also is a huge advocate of positive thinking and leadership.

Dany’s passion for helping others strive for financial health started during his high school years when residual income and the idea of having money work for you crossed his desk. He further pursued his enthusiasm for business and finance during college, where he attended Northwestern State University. During those 4 years in Natchitoches, he achieved a Bachelor of Science degree in Business Administration and was an active member and treasurer of Sigma Nu Fraternity. He continued his education by obtaining a Master’s in Business Administration degree from Louisiana Tech University.

Prior to becoming part of the WFA team in January of 2015, Dany spent 8.5 years at Capital One Bank, where in a very short time he worked his way up from a teller to a Financial Advisor covering 10+ branches in the Shreveport, LA area.

Chase Crump, CFP®, Partner & Financial Guide – NFLPA Registered Financial Advisor:

As a Partner of WFA, LLC and a Financial Strategist with RFG Advisory, Chase’s passion is working to improve the lives of his clients and establishing financial confidence, allowing clients to focus on the aspects of their lives they enjoy most. Chase strives to make the complicated simple by educating his clients so they can feel more confident about the decisions they make regarding their financial health. As a CFP®, he uses his holistic understanding of financial planning and portfolio management to help families, small business owners, and young professionals create customized paths in pursuit of financial freedom.

After graduating from Louisiana College with his Bachelor’s degree in Business, Chase pursued his lifelong dream of playing professional baseball. In 2006, after retiring from baseball, Chase moved to Shreveport to complete his Master’s in Business Administration (MBA) at Louisiana State University – Shreveport. Chase began his career in the financial services industry by working as a financial advisor for Capital One Bank in Shreveport. In April of 2009, Chase joined the team at WFA. Moving to an independently run advisory practice ensured Chase could offer unbiased advice, work with a team of professionals, and invest company resources into continuously improving the firm’s services.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Transforming The Financial Advisory Industry Through Data-Driven Organic Growth with Tom Rieman and Jordan Hutchison (Ep. 56)

Shannon Spotswood — Thu, 04 Apr 2024 03:00:25 -0400

What does it take to revolutionize the financial advisory landscape?

In this episode, Jordan Hutchison is joined by Tom Rieman, the founder of Practice Intel, to talk about the challenges and rewards of entrepreneurship in the financial advisory industry.

Tom sheds light on the challenges, triumphs, and impact of creating a data-driven platform for organic growth in financial advisory services while sharing his thoughts on the importance of organic growth, leveraging data-driven platforms, and transforming advisor-client relationships.

Episode takeaways are:

Tom’s journey from a corporate role to entrepreneurship with Practice Intel
The value of focusing on organic growth and client relationship quality in the financial advisory industry
The transition from sales-oriented advisory practices to advice-centric approaches
Utilizing data-driven platforms and decision sciences to drive advisor performance and client outcomes
Overcoming challenges and embracing change as an essential part of growth and transformation in the industry
And more!

Resources:

Lakeside – Fantastic Voyage (Official Music Video) (youtube.com)

Connect with Tom Rieman:

Connect with Dr. Jordan A. Hutchison:

Connect with Shannon Spotswood:

About Our Guest:

Tom Rieman is the Founder of Practice Intel, an entrepreneur, and industry expert in strategic business development and advisor coaching.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Breaking Through Growth Barriers in Wealth Management with Samuel Deane and Dr. Preston Cherry (Ep. 55)

Shannon Spotswood — Thu, 07 Mar 2024 02:00:35 -0500

How can financial advisors unleash their growth potential in the ever-changing landscape of the wealth management industry?

Today on The Disruption Blueprint Podcast, Shannon Spotswood interviews Samuel Deane of Deane Wealth Management, who specializes in serving founders and tech employees with equity compensation and tax planning, and Dr. Preston Cherry of Concurrent Financial Planning, who focuses on Gen X and high-income earners.

They discuss the challenges and opportunities in wealth management, emphasizing personalized financial planning and the role of advisors as life guides. Their conversation also covers generational wealth transfer, niche-focused practices, and effective marketing strategies to attract and connect with clients.

Talking points include:

Their recent panel discussion at Tiburon
Samuel Dean’s journey of starting and growing Dean Wealth Management
Dr. Cherry’s background and the focus of Concurrent Financial Planning
Challenges and opportunities for growth in the wealth management industry
The importance of personalized financial planning and addressing evolving client needs
The future role of financial advisors as comprehensive financial life advisors
The impact of generational wealth transfer and the value of aligning life and money
Why marketing and branding strategies are so important for niche-focused practices
Understanding and addressing the unique needs of different generations in financial planning
And more!

Resources:

Connect with Shannon Spotswood:

Connect with Dr. Preston Cherry:

Connect with Samuel Deane:

About our Guests:

Dr. Preston Cherry is a Wealth Advisor and the Founder and CEO of Concurrent Financial Planning. Preston specializes in empowering individuals to share stories that inform their life’s design to achieve financial freedom and well-being. He aims to help you find life and money alignment, giving your money assignment. Dr. Cherry is an award-winning financial advisor, renowned personal finance speaker, founder, podcaster, and professor to next-generation financial planning professionals. Preston has over 15 years of financial services and academic experience, including financial planning and investment management, published research in top journals, often cited and authors in recognized personal finance publications, and extensive leadership in the planning profession. When Preston is not focusing on your journey towards confidently conquering Life Money Balance®, you can find him listening to his vinyl record collection, spending time with his wife, and happily expecting their first child.

Samuel Deane is a financial advisor and President of Deane Wealth Management, a registered investment advisor for founders and tech employees. The wealth management firm specializes in financial planning, investment management, tax planning, and equity compensation. After spending some time working in an industry traditionally reserved for wealthy retirees, Samuel realized that he could provide wealth management and financial planning services more efficiently for his generation. He has worked with clients from well-known companies like Stripe, Coinbase, Airbnb, Spotify, Twilio, Etsy, and more. Samuel is a coveted speaker and loves spreading his wisdom on entrepreneurship, personal finance, and smart investing to his community.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

The Female Financial Revolution: Rethinking Wealth Management with Dr. Barbara Provost (Ep. 54)

Shannon Spotswood — Thu, 11 Jan 2024 02:00:10 -0500

How can the financial industry better serve women’s unique needs?

In this episode, Shannon Spotswood speaks about women and money with Dr. Barbara Provost, Ed.D., MS Ed, MBM, founder of Purse Strings.

Shannon and Dr. Provost explore the disconnect between financial services and women’s needs while emphasizing the importance of a personalized approach, citing research on the industry’s lack of empathy.

So, listen in as the conversation focuses on reshaping the financial industry to better support and understand female clients.

Main talking points include:

Reasons Dr. Provost is dedicated to serving and creating opportunities for women in the financial services industry
The disconnect in financial products and services suited for women
Why women need a more personalized and empathetic approach in financial and estate planning
Dr. Provost’s experiences and interactions with women navigating financial decisions during significant life events
The financial industry’s lack of sympathy towards women and their unpreparedness for their financial future
The value of tearing down the traditional financial industry model and replacing it with a more inclusive and empathetic approach
Practical steps for advisors to engage with female clients, including enhancing listening skills and creating a safe and uninterrupted space for discussions
The impact of caregiving responsibilities on women’s mental and financial well-being
And more!

Resources:

Connect with Shannon Spotswood:

Connect with Barbara Provost:

About our Guest:

Dr. Barbara Provost created Purse Strings so all women could live a life free from financial stress and full of choices. As a consultant in the financial industry for over 20+ years, it was apparent that the needs of the female market were not being addressed. When she went through her divorce and navigated it in a women-led divorce group, she heard these intelligent, bright, talented women voice so many financial concerns. And in her everyday life, she could see women of retirement age working at the stores as she’d run her errands.

As a doctor in adult learning and higher education, Dr. Barbara Provost helped bring the power of the female market to other countries like Nigeria, India, Cameroon, and Vietnam.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Stepping Out of Your Comfort Zone and Inspiring Others with Nicole Middendorf (Ep. 51)

Shannon Spotswood — Thu, 30 Nov 2023 02:00:47 -0500

How can financial advisors take themselves and their practices a step further to unleash their growth potential?

In this episode, Shannon Spotswood hosts Nicole Middendorf, the CEO of Prosperwell Financial, to talk about the power of stepping out of your comfort zone and the value of authenticity in financial advising.

Nicole shares her personal journey, including her experience of going viral on LinkedIn and creating her ‘Live It List.’ Listen in as Nicole uncovers the importance of promoting women in the financial services industry and the need for advisors to be more inclusive and attentive to female clients.

Nicole discusses:

Her journey of creating and rebranding her ‘Live It List’
The value of stepping out of our comfort zone and embracing discomfort for personal growth
The scarcity versus abundance mindset and the power of gratitude
How marketing and building a LinkedIn following can benefit financial advisors
Why authenticity and personalization are crucial in financial advising
What advisors can do about the disconnect between women and the financial industry
And more!

Resources:

The Retirement Answer Man – RogerWhitney.com
“10x Is Easier Than 2x” by Dan Sullivan and Dr. Benjamin Hardy
“Traction” by Gino Wickman

Connect with Shannon Spotswood:

Connect with Nicole Middendorf:

About Our Guest:

Nicole Middendorf is a Wealth Advisor, CEO of Prosperwell Financial, Author, Speaker, and Media Guest. Nicole is a knowledge junkie, mentor, and a born coach. She is an entrepreneur who has run her own business since 2003. Nicole is the author of five books and the mother of two phenomenal children. She is also a world traveler, a philanthropist, and an accomplished public speaker.

As a speaker, Nicole shares a real-life perspective on life and happiness with audiences across the country. Her primary goal is to inspire others to make real changes in their lives by taking complicated things, making them easy to understand, and giving actionable items to make change.

Nicole loves to work hard to empower individuals to make crucial, positive changes in their own lives. Nicole’s books have received local and national press coverage. She has become known for her thoughtful concise quotes, relaxed on-air presence, and articulate delivery during radio and television interviews.

The world needs more people—especially women—to be financially savvy, wholly independent, happy, and living a life of balance. Through Nicole’s writing, public speaking, coaching program, and work, she wants to be the one who supports them on all levels.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Driving Trust, Growth, and Innovation in Wealth Management with Eric Clarke (Ep. 50)

Shannon Spotswood — Tue, 14 Nov 2023 02:00:07 -0500

In every walk with nature, one receives far more than he seeks. – John Muir

Could this saying be true with businesses as well, that oftentimes we receive a lot more than we seek?

Join Shannon Spotswood from RFG Advisory as she and Eric Clarke, the visionary Founder and CEO of Orion, discuss the rapidly evolving landscape of wealth management and the partnership between Orion Advisor Solutions and RFG Advisory. Listen in as the conversation contrasts traditional Wall Street methods with innovative financial strategies.

Throughout the discussion, Shannon and Eric explore:

How Eric’s leadership style evolved over the years
Three key takeaways for leaders who are looking to scale
The importance of being willing to disrupt the status quo and traditional ways of thinking in a technology business
What hurdles come with scaling a business
The concerns and benefits of bringing in a capital partner
Why KPIs are essential for businesses today
How real success is built on genuine relationships
Why every client interaction matters and where behavioral finance changes the game
And much more!

Resources:

Connect with Eric Clarke:

Connect with Shannon Spotswood:

About our guest:

Eric Clarke is the founding CEO of Orion Advisor Tech, launching the firm in 1999 to provide portfolio accounting software to help independent financial advisors scale their businesses. Eric retired as Orion’s CEO in 2023 and continues to serve as an active member of Orion’s Board of Directors.

As a visionary leader and prominent voice in the financial advice industry, Eric is at the forefront of advancing and transforming the RIA and wealthtech industries. Eric has received numerous industry awards including WealthManagement’s CEO of the Year for 2022, ThinkAdvisor’s IA25 multiple times, received a Luminaries award in 2022 and an InvestmentNews’ Icon & Innovators Award in 2019, and lead the Orion team to four wealthmanagement.com Wealthies Awards in 2023.

In addition to serving on Orion’s board, since 2020 Eric has also served as a board trustee for the Foundation for Financial Planning, a 501(c)(3) nonprofit organization dedicated to expanding access to pro bono financial planning for people in crisis or need. Eric earned his Bachelor of Science in Accounting and Information Systems from Brigham Young University and Master of Business Administration from their rival at the University of Utah.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Why Your Zoom Calls Matter with Liz Dykes (Ep. 49)

Shannon Spotswood — Tue, 31 Oct 2023 03:00:37 -0400

How do we maintain a personal touch in an increasingly digital age?

Elevate your understanding as Dr. Jordan Hutchison is joined by Liz Dykes, Chartered Investment Manager and Certified in Life and Success Coaching.

Together, they plunge into the essence of understanding clients, challenging preconceived notions, and establishing strong rapport, especially in the financial advisory space.

In this conversation, you’ll discover:

Why face-to-face meetings, even online, matter
How to harness the power of meeting people where they’re emotionally at
Why behavioral finance is more relevant today than ever
What ‘success’ really means to you
How sharing personal stories and being vulnerable can build trust
And more!

Resources:

Connect with Liz Dykes:

Connect with Jordan Hutchison:

About our Guest:

Liz Dykes is a strategist and coach, pulling insights from her background in market research, financial services, and coaching. Known for her nuanced approach to helping people find clarity amid life’s complexities, Liz focuses on actionable wisdom for both personal and professional growth.

Why do people connect with Liz? It’s her ability to offer grounded advice that helps you bend, not break, in a world of constant change. Liz provides a different perspective—one that broadens your view and empowers you to make informed decisions. And in a world buzzing about artificial intelligence, Liz offers simple, effective ways it can free up time for the things and people that matter most to you.

If you’re looking to shift from being a passenger to becoming an active participant in your life’s journey, Liz is the guide you’ve been seeking.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Endurance Entrepreneurs: The Thin Line Between Complacency & Burnout with Michael Futterman (Ep. 48)

Shannon Spotswood — Thu, 14 Sep 2023 03:00:44 -0400

Some advisors become too comfortable with their current situation and stop striving for more, usually due to a fear of disrupting what’s already working. Others are always in the “go, go, go” mindset, ultimately burning themselves out!

How can you strike a balance between complacency and burnout?

In this episode, Shannon Spotswood speaks with Michael Futterman, executive coach, motivational speaker, and EQ enthusiast. Together, they explore the path to “endurance entrepreneurship” where advisors can maintain a healthy and sustainable level of motivation, engagement, and productivity in their lives, personally and professionally.

Shannon discusses:

Healthy habits that advisors can adopt to thrive in the fast-paced financial industry
Every reason to shift from a scarcity to an abundance mindset
The need for self-care and recovery
How to embrace growth in the form of “Type Two Fun”
And more

Resources:

Connect with Michael Futterman:

Connect with Shannon Spotswood:

About Michael Futterman:

As a speaker and coach to business executives with over 20 years of experience working in the management consulting and financial services sectors, Michael Futterman’s focus has been on team effectiveness, client retention, business growth, brain health, maximizing performance, and positive work culture. Michael helps his clients identify and overcome human capital and strategic challenges through providing practice management, executive leadership, personal wellness, and business development coaching and consulting.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Unleashing Growth Potential: Shannon Spotswood’s Blueprint for Success (Ep. 47)

Shannon Spotswood — Thu, 31 Aug 2023 09:02:09 -0400

What achievements and victories can we learn from Shannon Spotswood? Today, Shannon takes a seat on the other side of the mic to share her experiences and insights with us.

In this episode, Shannon Spotswood, President of RFG Advisory, is interviewed by Dr. Jordan Hutchison on the Game Film, a brand extension for Disruption Blueprint. Reflecting on her journey, Shannon talks about her diverse background and fearless approach to risk. She also discusses the importance of self-confidence and mindset in the financial advisory industry, and emphasizes the changing landscape of the industry and the need for advisors to embrace coaching and deliver a unique service experience.

Shannon discusses:

Her walkout song
Her diverse career background and willingness to pivot
What motivates her and drives her career
Her leadership style and its influence on the organization’s culture
The importance of self-confidence and having a positive mindset in the financial advisory industry
The partnership between RFG Advisory and Long Ridge Equity Partners and their shared vision for the future
And more

Resources:

Connect with Shannon Spotswood:

Connect with Jordan Hutchison:

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

About Jordan Hutchison:

Dr. Jordan A. Hutchison is the Vice President of Technology at RFG Advisory. His executive leadership expertise in WealthTech, human behavior, and financial planning strategy provide him with the ability to help financial professionals live extraordinary lives. He uses his deep understanding of financial advisors, practice management, and the wealth management business cycle to apply the proper needs to run a successful financial planning firm.

About Shannon Spotswood:

Shannon Spotswood is a 25+ year industry veteran in financial services with an outstanding reputation built on leadership roles in professional management, investment banking, hedge fund management and business development. At RFG Advisory, Shannon oversees all aspects of RFG 2.0, a fully integrated platform designed for independent financial advisors and the implementation of strategic initiatives contributing to advisor success. Joining RFG Advisory in 2015, Shannon recognized the opportunity to combine her entrepreneurial experience with her passion to build an innovative, advisor-focused RIA of the future.

How Availability & Support Make A Difference For Clients With Kelly Klingaman (Ep. 46)

Shannon Spotswood — Tue, 01 Aug 2023 03:00:20 -0400

Welcome to Game Film with Dr. J, where we share some of the most valuable lessons for advisors from real client experiences and business decisions.

In this episode, Dr. Jordan Hutchison, Vice President of Technology at RFG, welcomes Kelly Klingaman, CFP®, RLP®, founder of Kelly Klingaman Financial Planning, to an episode of Game Film with Dr. J where Kelly shares her journey into the industry and emphasizes the importance of being present for clients and addressing their emotional needs. She discusses specific examples of helping clients with car purchases and home buying decisions. Kelly also talks about the value of communication, personal interaction, and accountability in financial planning. She shares her experience of ignoring advice and staying true to her vision in creating her business.

Kelly discusses:

Her background and how she became an advisor
Why making herself available to her clients is so important to her
How being present for clients helps them handle stressful situations
The importance of communication and why she believes making a phone call is better than just sending an email
The use of technology in client communication
How she addresses the action intention gap and why she only offers ongoing planning services
Why creating a vision for clients and aligning money with values is so important
The worst piece of advice she has received in her career and how she handled it
And more

Resources:

Connect with Jordan Hutchison:

Connect with Kelly Klingaman:

About our Guest:

Kelly Klingaman, CFP®, RLP®, is a passionate financial advisor who empowers professional women and their families to navigate their financial journeys with confidence. With a degree in Finance from the University of Texas and a successful 12-year career at Dimensional Fund Advisors, Kelly’s expertise lies in utilizing financial science for long-term investing. In 2022, she founded KKFP to address the unique challenges faced by women in the corporate world, providing strategic advice on maximizing retirement savings, tax planning, equity compensation, and aligning financial decisions with personal values. Based in Austin, Texas, Kelly finds joy in family adventures, sand volleyball, paddleboarding, and sharing her famous chocolate chip cookie recipe.

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Just Show Up (Ep. 45)

Shannon Spotswood — Tue, 04 Jul 2023 04:10:12 -0400

In their element, at Dynamis Alliance HQ, Bobby White, RFG Advisory Founder and CEO, and Dom Raso, former Navy Seal Team 6 Warrior and Founder of Dynamis Alliance, sit down to talk about what it means to show up. This impactful episode is all about pushing through fear and how programming your mind can help you take the leap that you need to build value for yourself, your family, and for your business.

You won’t want to miss this episode.

Be sure to check our the entire series on Apple Podcasts, Google Podcasts, Spotify and many more. Also, be sure to visit https://www.rfgwarrioradvisor.com to download our exclusive “Become a Warrior Advisor” eBook and start your journey to get 1% better everyday.

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

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Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Get 1% Better Every Day (Ep. 44)

Shannon Spotswood — Tue, 04 Jul 2023 04:00:01 -0400

One Year Later on from their prescient conversation on Captiva Island in 2020, Bobby White and Dom Raso reunite for an invigorating, energetic live event from the RFG Podcast studio.

What does it mean to crush everything? It means to get 1% better every day, to have the will to fight, and to persevere in the face of hardship, and to have your mindset on your goals. The challenges that have plagued everyone over the past year have been apparent, but Bobby and Dom take a different approach. Strap in for this incredibly transformative conversation to set the stage for making 2021 the best year yet.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

–

Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

Doing What It Takes (Ep. 41)

Shannon Spotswood — Tue, 04 Jul 2023 03:30:29 -0400

In this episode, Bobby White and Dom Raso discuss the actions independent advisors must take in order to be successful, three, five, and ten years from now.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

–

Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

How to Stay Motivated (Ep. 40)

Shannon Spotswood — Tue, 04 Jul 2023 03:20:05 -0400

In this episode, Bobby White and Dom Raso discuss tactics to train your mind and body to begin a bullet-proof morning routine aligned with purpose.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450

–

Securities offered by Registered Representatives of Private Client Services. Member FINRA / SIPC. Advisory services offered by Investment Advisory Representatives of RFG Advisory, LLC (“RFG Advisory or “RFG”), a registered investment advisor. Private Client Services and RFG Advisory are unaffiliated entities. Advisory services are only offered to clients or prospective clients where RFG Advisory and its representatives are properly licensed or exempt from licensure. No advisory services may be rendered by RFG Advisory unless a client agreement is in place.

What’s Holding You Back (Ep. 39)

Shannon Spotswood — Tue, 04 Jul 2023 03:10:11 -0400

In this episode, Bobby White and Dom Raso discuss how fear is one of the biggest factors holding financial advisors back from reaching their full potential.

Please reach out to your advisor or visit our website if you have any questions!

RFG Advisory

1400 Urban Center Drive, Suite 475

Vestavia Hills, AL 35242

(205) 397-2450