The Advisors Edge Podcast
Tired of the same boring financial services podcasts? The Advisors Edge Podcast breaks the mold. This isn’t just another show about theory and outdated advice. We’re bringing you the real stories, the cutting-edge tech, and the bold strategies that will give you the competitive edge you need to dominate in today’s fast-paced industry.
Hosted by insiders who know the game, each episode delivers conversations with top leaders, innovators, and disruptors from across the financial services world. Whether it’s AI, fintech, valuations, regulatory compliance, or cybersecurity—we’re covering it. If you’re a financial advisor, RIA, or leader in this space, this is where you’ll find the strategies that actually move the needle.
You won’t just leave with more information—you’ll leave with a blueprint to sharpen your skills, elevate your business, and stay ahead of the competition. If you want to play it safe, go listen to something else. If you’re ready to win, welcome to The Advisors Edge.
The Advisors Edge Podcast
Ep 016 - The Ugly Truth About Broker-Dealer Compliance Every Financial Advisor Must Know (And How to Go RIA) - feat. Chuck Failla
Join us for an incredible episode of The Advisor's Edge Podcast as host Rob Jacomen and co-host Chad Ramberg welcome industry veteran and RIA pioneer Chuck Failla, founder of Sovereign Financial Group, Inc. and GoRIA.com.
Most financial advisors dream of true independence—but broker-dealer compliance often gets in the way.
In this candid discussion, Chuck reveals why the traditional broker-dealer model might be holding your business back—and how going independent as an RIA can transform your career, client relationships, and financial future.
What you'll learn in this episode:
✅ Why Broker-Dealer compliance could be quietly sabotaging your growth.
✅ The single biggest mistake advisors make when transitioning to an RIA (and how to avoid it).
✅ Goals-based vs. Cashflow-based planning: Why getting this right can skyrocket your value to clients.
✅ How Chuck scaled Sovereign Financial from zero clients to a leading RIA without cold calling.
✅ The simple decision-tree method to determine if you should build your own RIA or tuck into an existing one.
This episode is your guide to true freedom as a financial advisor—don't miss it.
⚠️ If you're a financial advisor frustrated with broker-dealer limitations—this episode will give you the clarity, confidence, and practical steps you need to take control of your business.
Connect with Chuck Failla, Founder, Sovereign Financial Group & GoRIA:
LinkedIn: https://www.linkedin.com/in/charlesfailla/
Website: https://www.goria.com
Podcast: https://www.goria.com/podcast
Follow Us:👇
Advisors Edge Podcast: https://www.linkedin.com/company/the-advisors-edge-podcast/
Rob Jacomen: https://www.linkedin.com/in/rob-jacomen/
Founder, Alchemy Content Lab & Nichebuilders
Chad Ramberg: https://www.linkedin.com/in/chad-ramberg-71278533/
President, Box Professional Insurance
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Special thanks to Box Professional Insurance for sponsoring our show—because great leaders have a backup plan they can depend on.
Box Professional specializes in helping RIAs protect their businesses with tailored coverage, so you can focus on growing your firm while we handle the risks.
Learn more at https://www.boxproinsurance.com/
Box Professional Insurance:
Be protected. Feel empowered.
To Book a Call with Us: https://calendly.com/d/z3t-b6h-xt5
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Listen to the full episode on your favorite podcast platform and take the first step towards transforming your advisory practice today!
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