Join host Heidi Wheatley for an insightful conversation with Russ Putnam, Co-CEO of FactRight, and Jarad Mitchell, President of Patrick Capital Markets, about due diligence in the private wealth channel.

The Retail Readiness™ Podcast provides educational discussions about raising capital in the retail channel and working with broker-dealers and RIAs. The content is not legal, investment, or regulatory advice.

More and more conversations with sponsors start the same way: “We’re thinking about going RIA-only — the IBD load just doesn’t work.” While RIA-only distribution is a valid path for some, it’s often assumed to be simpler and less expensive than it actually is. In practice, fiduciary standards, platform access, advisor behavior, and operational requirements can introduce different — and sometimes greater — challenges when it comes to driving allocations.

The Retail Readiness™ Podcast provides educational discussions about raising capital in the retail channel and working with broker-dealers and RIAs. The content is not legal, investment, or regulatory advice.

Industry experts, Amy Arnold, Concorde Investment Services; Rhys James, Williams Mullen; and Brad Updike, Mick Law, join host Heidi Wheatley for an informative conversation about the common missteps they see sponsors making and share guidance on how to avoid them.

The Retail Readiness™ Podcast provides educational discussions about raising capital in the retail channel and working with broker-dealers and RIAs. The content is not legal, investment, or regulatory advice.