The COO Roundtable

In this episode, Matt is joined by Dawn Claussen, Chief Operating Officer at Mutual Group, and Michael Young, President and Managing Partner at Integrated Advisors Network. Mutual Group specializes in providing operational, strategic, and advisory support to financial service firms. Their goal is to help organizations optimize their processes, scale efficiently, and focus on what they do best―serving clients. Integrated Advisors Network is a collaborative platform for independent financial advisors. They provide resources, technology, and support to help advisors grow their businesses while maintaining their independence and delivering exceptional service to their clients. Dawn and Michael share expertise in helping firms define their growth strategies, identifying their ideal clients, and serving those clients more effectively.  The conversation dives deep into essential topics for growing and scaling businesses, including:   The importance of documented processes, both for their own businesses as well as for the firms they support How their firms have navigated remote vs. in-office work, and the pros and cons of each approach The longstanding tension between Sales and Operations, and how fostering collaboration between these departments can drive businesses forward Whether RIAs should focus on building their own AI tools or rely on the AI advancements from tech vendors Real-world examples of how firms are leveraging AI in today’s business environment The views and opinions expressed by guests on The COO Roundtable are their own and do not necessarily reflect the views of Coldstream Wealth Management. Guest statements regarding their firms, including assets under management and business performance, have not been independently verified by Coldstream.

Matt welcomes Josh Brier, Chief Operating Officer of Connecticut Wealth Management, and Aldo Tarantini, Managing Director and former Director of Operations at Family Management Corporation. Connecticut Wealth Management, founded in 2010 out of an accounting business, recently celebrated its 15th anniversary. Today, the firm manages approximately $5 billion of client assets with a team of 70 employees. Family Management Corporation, based in New York City, began in 1989 as a family office for the two founders. Since then, it has grown to manage approximately $5 billion in client assets with a lean team of 23 professionals. After sharing their professional journeys and backgrounds, Josh, Aldo, and Matt explore a range of impactful topics, including: How a great COO can eliminate friction for advisors, enabling them to better serve clients The role Operations plays in shaping the client experience and driving firm success Leveraging technology to create efficiencies and improve workflows Lessons learned from mid-project pivots and how to adapt when things don’t go as planned The future of the RIA industry and how Operations teams can harness the current growth trends to increase their stature The views and opinions expressed by guests on The COO Roundtable are their own and do not necessarily reflect the views of Coldstream Wealth Management. Guest statements regarding their firms, including assets under management and business performance, have not been independently verified by Coldstream.

With Episode 84, Matt welcomes Ben Littman, Founding Member and Head of Corporate Development at Pure Financial Advisors, and Henry Lao, Vice President of Investments at Mercer Advisors. Pure Financial Advisors manages approximately $11 billion of client assets with a team of nearly 200 dedicated professionals. Mercer Advisors operates from over 100 offices nationwide, employing nearly 1,500 people, and oversees around $90 billion of client assets. Ben and Henry share how their professional friendship has enriched their careers and offer deep insights into the operational strategies behind their firms’ impressive growth. In this episode, you’ll discover: Why operational strength is critical in every M&A conversation How each firm decides which services to centralize and which to delegate to advisory teams The advantages of owning your data, and how a robust data warehouse empowers RIAs to connect and leverage their tech stack Strategies for aligning investment professionals with operations teams to ensure seamless implementation in client portfolios How operations teams directly shape and elevate the client experience   *The CFA Institute owns the certification marks CFA® and Chartered Financial Analyst®. Certified Financial Planner Board of Standards Inc. owns the certification marks CFP® and Certified Financial Planner™ in the U.S. This podcast is for informational purposes only and does not constitute investment advice. References to third-party firms are based on self-reported information and are not verified by Coldstream.

In this episode, Matt is joined by Alli Jordan, President at LibertyFi, and Emily Wilcox, COO at Practifi, for a discussion on how leading RIAs are using innovative technology, operational excellence, and smart leadership to drive scalable growth. LibertyFi empowers growth-oriented RIAs to drive revenue and scale with the Envestnet platform, enabling seamless outsourcing of reporting, billing, and trading. Using technology and defined processes in their own business, LibertyFi currently supports 23 RIAs managing approximately $21 billion in assets with just eight employees. Practifi offers a unified workspace for financial advisory firms, blending CRM, practice management, compliance, and marketing features to streamline workflows and deepen client relationships. Alli and Emily aren’t just consultants to RIAs navigating change; they are practitioners at the forefront of their own firms’ growth stories. Together, they join Matt to explore how RIAs can grow profitably and efficiently. Other key topics covered include: The importance of treating the components of your tech stack as an operational strategy, not just a technology choice Dos and Don’ts for creating a tech stack designed to fuel growth in 2026 How to lead successful change across your firm by focusing on your team’s “hearts and minds” Time management tips and how to escape the daily grind and focus on strategic growth The top attributes of an effective RIA COO

In Episode 82, Matt sits down with two well-accomplished RIA operators: Hannah Koch, Director of Strategic Initiatives at Chicago-based Altair Advisers, and Joe Walker, COO of Bradley, Foster & Sargent (BFS), headquartered in Hartford, Connecticut, with nine total office locations. Altair Advisers serves individuals, families, foundations, and endowments, offering investment management, financial planning, and client education. BFS provides investment management services to individuals, families, entrepreneurs, professionals, non-profits, and institutions. This episode dives deep into the real-world challenges and opportunities of RIA technology. Matt, Hannah, and Joe share candid insights on why successful tech implementation hinges as much on people and process as it does on the tools themselves. The conversation also covers: Why defining a specific business problem must come before choosing any technology solution The critical role of data governance and training before introducing AI across your firm Tips for approaching change management and setting your team up for long-term success The importance of seamless integration and data flow when designing your firm’s tech stack How focusing solely on the fiduciary duty can sometimes overshadow your people, and ways to become an employer of choice