goRIA Virtual Summit - Standard
JUNE 13, 2024 | 11:00 AM - 2:00 PM ET

An unmissable masterclass for successfully going independent

For many financial advisors today, the ambition of breaking away from your broker-dealer and establishing your own RIA can offer a greater amount of freedom and control over how you operate your business, and what services you can provide your clients. 

However, the transition is not a simple one, and there remain a raft of practical and financial implications that you must consider before embarking on your journey. 

As such, InvestmentNews is delighted to be bringing you our inaugural goRIA virtual summit this June 13th.  

Following on from our popular goRIA series of podcasts, webinars, and interviews, our virtual summit will bring you all this expertise together into one convenient and accessible platform of unmissable content that will empower you with the knowledge, tools, and resources essential for taking the first steps and, ultimately, succeeding on your RIA journey. 


Continuing Education

This program has been approved for 3.0 CE credits from the CFP Board and 2.5 CE credits from the Investment & Wealth Institute.


This program has been accepted by the CFP Board for CE credit and can be reported for CFP® certification & renewal.



This program has been accepted by the Investments & Wealth Institute for CE credit, and can be reported for CIMA®, CPWA®, RMA® & CIMC certification & renewal.


11:00 AM – 11:05 AM

Opening remarks & welcome

Chuck Failla, Founder & CEO, Sovereign Financial Group

  11:05 AM – 11:50 AM

Panel discussion: goRIA 101 – Key considerations before embarking on the RIA journey

For many financial advisors and broker dealers, establishing your own RIA can offer a tremendous amount of freedom and control, as well as championing the entrepreneur within. However, there are many considerations that need to be understood beforehand. This opening session will explore what you need to know and where to begin.

  • Understanding the different RIA models to help shape your business strategy and vision
  • Exploring the operational considerations, such as technology infrastructure, office space & equipment, and staffing you need to be aware of from the start
  • Examining and developing processes for the most effective client transitions – from account transfers to updating client agreements 
  • How to establish your brand identity and client acquisition strategy

Chuck Failla, Founder & CEO, Sovereign Financial Group

Diana Cabrices, Founder, Diana Cabrices Consulting  
Jamie Hopkins, Chief Executive Officer, Bryn Mawr Capital Management 
Dr. Preston Cherry, Founder & President, Concurrent Financial Planning


  11:50 AM – 12:35 PM  

Panel Discussion: Navigating the RIA compliance landscape

Embarking on the RIA journey involves navigating a complex landscape of compliance requirements. This panel will delve into these requirements, and workshop the best practices for keeping compliant, which will enable you to build an ethical and trustworthy practice that benefits both you and your clients. 

  • Uncovering the registration process and the filings needed to be submitted, such as business structure, key personal, and fee schedules 
  • Examining the code of ethics and standards of conduct all RIAs need to be aware of to avoid any conflicts of interest  
  • How to establish comprehensive policies and procedures to prevent legal violations  
  • Understanding compliance around preparing audited fund financial statements 

Chuck Failla, Founder & CEO, Sovereign Financial Group

Michelle L. Jacko, Managing Partner, Jacko Law Group, PC
Alisha P. Dowell, Independent Compliance Consultant
Ian Meiksins, President & Co-founder, Key Bridge Compliance 


  12:35 PM – 12:50 PM

Presentation: How to leverage your newfound freedom to most effectively market your RIA 

In the RIA space, you will often find yourself enjoying more freedom and flexibility to market your business as you wish, enabling you to implement strategies that strengthen your brand identity and client acquisition. RIA marketing guru, Samantha Russell will share with you some ways you can leverage your new, less constrained marketing abilities.  

Samantha Russell, Chief Evangelist, FMG


  12:50 PM – 01:35 PM

Panel discussion: Fee-based everything – The key to being a holistic RIA

One of the most important aspects of becoming an RIA is understanding exactly what the different business models and fee structures are, so you can be ready to best serve the interests of your clients, as well as fully maximizing your revenue streams. This session will unlock the different compensation models, so you can be sure you’re on the right track for success.  

  • Understanding the difference between ‘fee-only’ and ‘fee-based’ and the implications for your practice and clients  
  • What are the advantages of adding annuities into your portfolio management and what impact will this have on your firm’s revenue and client experience?  
  • How comprehensive ‘fee-based’ compensation enables RIAs to deliver a much more holistic and higher valued service for their clients 
  • Tapping into the entrepreneur within – how efficiently managing your clients’ assets can massively contribute to the overall success of your practice

Chuck Failla, Founder & CEO, Sovereign Financial Group

Maisie Hughes, Head of Family Office Services, SpiderRock Advisors
David Lau, Founder & CEO, DPL Financial Partners
James L. Costabile, Managing Director, Head of Alternatives Distribution, iCapital


  01:35 PM – 01:55 PM

Fireside Chat: How to succeed in the RIA space

With many implications and considerations in play, the early stages of beginning your RIA journey are the most important – but what does it look and sound like on the other side, once you’ve reached your destination and achieved your goals? To close the summit, we will speak to Natalie Wolfsen, CEO at Orion, who will offer her tips for success and share key insights she has learned along her journey.

Chuck Failla, Founder & CEO, Sovereign Financial Group

Natalie Wolfsen, CEO, Orion


  01:55 PM – 02:00 PM

Summary and closing remarks

Chuck Failla, Founder & CEO, Sovereign Financial Group




Chuck Failla-2


Chuck Failla

Founder & CEO, Sovereign Financial Group

Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a "cold calling cowboy" in NYC selling individual stocks. As he built his book, he always planned to go independent and did so in 1999 by opening an independent branch of Raymond James Financial.

Read more here

Natalie Wolfsen


Natalie Wolfsen

CEO, Orion 

Natalie Wolfsen joined Orion Advisor Solutions as CEO in October 2023 and is a member of the firm’s Board of Directors. She is the former CEO of AssetMark and has nearly 30 years of financial services industry experience. For over 25 years, Natalie has served independent advisors (RIA and broker-dealer affiliated) with more than a decade of working with independent and insurance broker-dealers.

Read more here

Diana Cabrices


Diana Cabrices

Founder, Diana Cabrices Consulting

Throughout her wealthtech journey, Diana has represented brands with solutions spanning the advisor tech gamut, including marketing, branding, recruiting, M&A, succession planning, small business benefits, and more.

Read more here


Jamie Hopkins


Jamie Hopkins

Head of Technology, Thrivent Advisor NetworkChief Executive Officer, Bryn Mawr Capital Management

Jamie P. Hopkins is the Chief Executive Officer of Bryn Mawr Capital Management. He has extensive wealth management experience, bringing innovative thinking, transformative leadership, and a strong reputation for fostering Client relationships. 

Read more here

Dr. Preston Cherry


Dr. Preston Cherry

Founder & President, 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. 

Read more here 

Michelle Jacko


Michelle L. Jacko

Managing Partner, Jacko Law Group, PC

Michelle L. Jacko, CSCP, is CEO of Core Compliance & Legal Services, Inc. (“Core Compliance”), a compliance consultation firm which services registered investment advisers, broker-dealers hedge/private funds, investment companies, and financial professionals.

Read more here

Alisha Dowell


Alisha P. Dowell

Independent Compliance Consultant

Alisha P. Dowell, a compliance pro with a knack for navigating the financial world. Armed with a bachelor's in criminal justice and an MBA from Southeastern University, she kicked off her career as a state securities regulator for over 7 years. For the next four years at Key Bridge Compliance, she played the Outsourced CCO role for multiple SEC registered RIAs.   

Read more here

Ian Meiksins


Ian Meiksins

President & Co-founder, Key Bridge Compliance 

Ian Meiksins is the President and co-founder of Key Bridge Compliance. Prior to launching Key Bridge Compliance, Mr. Meiksins worked at Graydon Compliance Solutions, LLC, where he served as a Compliance Officer, Senior Compliance Officer and Chief Compliance Officer. In his role as an outsourced Chief Compliance Officer, Mr. Meiksins served Investment Advisers across the country, working with institutional asset managers, wealth managers and Private Funds.

Read more here

Samantha Russell-1


Samantha Russell

Chief Evangelist, FMG

Samantha is the Chief Evangelist at FMG and has been helping financial advisors grow through creative digital marketing and communication strategies for the last 10+ years.  A big part of that is helping them switch their mindset from an "outbound cold sales" to a "warm inbound" approach.  

Read more here

Maisie Hughes


Maisie Hughes

Head of Family Office Services, SpiderRock Advisors 

Maisie is responsible for business development and client portfolio management for SpiderRock’s family office clients and prospects. She began her career at Goldman Sachs Asset Management, and since 2006 has worked with institutional clients in a business development capacity in both traditional and alternative asset classes.

Read more here

David Lau


David Lau

Founder & CEO, DPL Financial Partners 

David Lau is the Founder and Chief Executive Officer of DPL Financial Partners, a firm focused on the distribution of financial products geared toward the Registered Investment Advisor (RIA) and fee-based advisory channels. Prior to founding DPL in 2014, David served as COO and architect of Jefferson National, a leading insurance carrier focused on RIAs and fee-based advisors.

Read more here

James Costabile


James L. Costabile 

Managing Director, Head of Alternatives Distribution, iCapital

DJames is a Managing Director and Head of Alternatives Distribution on iCapital’s Private Wealth Solutions team.  In this role, James oversees a team of regional sales and national accounts professionals that work with top registered investment advisors, financial advisors, and financial intermediaries. 

Read more here





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