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RIA Collective
Are you a financial advisor stuck with a firm that no longer serves your needs, fits your ideals, or gives you the flexibility to serve your clients as a true fiduciary? That is a tricky place to be, but rest assured, you’re not alone. RIA Collective Podcast is created with you in mind. We interview leaders at Registered Investment Advisory firms to learn from their wisdom and experience. It is our goal to take the fear and mystery out of going independent.Most of the industry leaders we talk with were in the exact same place you find yourself today. They too saw themselves as entrepreneurs. They became an advisor to create flexibility in their lives and help many others create financial security and peace of mind. Like you, those professionals become stifled by their captive environment. Sales quotas, proprietary products and services, the firm’s agenda, compliance, and other factors can make it difficult to grow and to act as a true fiduciary to your clients. RIA Collective podcast is hosted by Charlie Van Derven, an industry veteran who has been serving the advisor community for almost 25 years. During his time working in Financial Services, Charlie has seen trends come and go. One trend that continues with no end in sight, is the migration of advisors from the captive wire-house space to independence.The move to independence can go smoothly, or it can be a battle. Tune in to RIA Collective podcast to learn from industry leaders how to set your practice up for a smooth transition. Learn important things to consider and actions to take 3, 6, 12, or 18 months ahead of your move. Learn how to solidify key client relationships so you can retain the assets you’ve built.If you are an advisor considering a change or an industry leader who is building their firm and has wisdom to share, we would love to talk to you.Visit RIAcollective.com for more information or reach out to Charlie directly on LinkedIn. Thanks for being here.If you'd like to be a guest or connect directly with Charlie, visit https://www.riacollective.com.
RIA Collective
What Independent Advisors Are Getting Wrong About Cybersecurity - With Carm Cicalese
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Independent advisors often think cybersecurity is something “the big firms” need to worry about. But the truth? RIAs are often at greater risk.
In this episode of RIA Collective, host Charlie Van Derven sits down with Carmine “Carm” Cicalese, founder of CYBER CIC (“CHICK”) and partner at Digital Privacy & Protection, to unpack what every independent advisor needs to know about protecting sensitive client data, staying compliant, and maintaining client trust.
Carm breaks down cybersecurity into three key areas - People, Processes, and Technology - and shares how most advisors are investing in the wrong one. He also explains why compliance doesn’t equal security, and what steps RIAs must take to close that dangerous gap.
In this episode:
00:00 – Why trust in financial services depends on data security
03:15 – The #1 cybersecurity mistake independent advisors make
06:42 – How hackers target RIAs and their clients
09:30 – Why “adequate compliance” isn’t the same as “protection”
13:10 – The 50/30/20 rule for cybersecurity investment
17:45 – Practical steps to protect your firm and your clients
Whether you’re a new RIA, breaking away from a wirehouse, or running a mature independent firm, this conversation will help you understand the human, operational, and tech layers of cybersecurity that protect both your clients and your reputation.
🎧 Listen now and subscribe to RIA Collective for more conversations that help independent advisors grow, protect, and scale their businesses.
Connect with Carm Cicalese:
💼 linkedin.com/in/carmcicalese
🌐 https://cybercic.com/
Connect with Charlie Van Dervenn:
🌐 https://www.social-advisors.com/
💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/
