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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
RIA Collective: Dennis Huergo | What Advisors Get Wrong About Growth and Independence
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What does it really take to grow as a financial advisor?
In this episode of RIA Collective, host Charlie Van Derven sits down with Dennis Huergo of Wealth Enhancement Group to explore the mindset, career decisions, and experiences that shape successful advisors over time.
Dennis shares his journey from military service into financial services, starting in insurance and sales, and eventually transitioning toward true financial planning and independence. Along the way, he reflects on the lessons that accelerated his growth and the mistakes that slowed him down.
Together, Charlie and Dennis discuss:
- Why what you consume shapes the direction of your career
- How being the least experienced person in the room can accelerate growth
- The difference between sales-driven roles and true financial planning
- What advisors often get wrong early in their careers
- The tradeoff between short-term income and long-term development
- How mindset, discomfort, and environment impact success
Dennis also shares how his upbringing as the child of Cuban immigrants shaped his perspective on responsibility, growth, and making the most of opportunities.
This episode is especially valuable for:
- Advisors early in their career
- Professionals considering independence
- Advisors feeling stuck in sales-focused roles
- Anyone looking to grow faster by learning from others
🎧 Watch now and subscribe to RIA Collective for conversations that elevate the independent advisor profession.
Connect with Dennis Huergo
🌐 Website: https://www.wealthenhancement.com
📧 Email: dhuergo@wealthenhancement.com
Connect with Charlie Van Derven
🌐 Social Advisors: https://www.social-advisors.com
💼 LinkedIn: https://www.linkedin.com/in/charlievanderven/
Chapters
00:00 – From military to financial services
03:30 – The impact of upbringing on financial mindset
07:10 – What you consume shapes your career
11:00 – Growth through uncomfortable environments
15:20 – Sales vs financial planning
19:00 – Lessons Dennis would do differently
22:30 – Advice for advisors considering independence
