We are all about your results.
Background
Our partnership brings together two individuals and a small team of experts. Over our one hundred years of combined experience, we have created revenue growth for individuals and companies through our leadership in the fields of training, technology, and financial services. We are veterans of company IPOs, mergers and acquisitions, and leaders of companies that were challenged by economic and stock market cycles whose volatility saw the destruction, as well as creation, of trillions of dollars.
The challenge of the pandemic renews and affirms our collective experience and attention to restoring and improving the lives and businesses of financial advisors and their clients. To quote Charles Dickens, “It was the best of times, it was the worst of times.” We are all about making it the “Best of Times.”
This brings us to our mission, and what drives our partnership. It is a response to the question that financial advisors and countless others are asking: “What will the future look like, and what does it mean to me and the growth of my business.” Predicting the future is a fool’s errand. Instead, we subscribe to the words of another great author, Peter Drucker, who said, “The way to predict the future is to create it.” Working closely with our clients, we will enable them to do that.
Mission
Our mission is to show the way for advisors and firms to leverage their strengths, improve on existing practices and introduce, as yet unseen ways of thinking about and executing on, new ideas and discoveries. We recognize the variety of manner in which advisors think about and go about fulfilling their own mission, and so we offer a variety of ways to work with them. We begin with the results that an advisor desires and then work to build and install a personal operating system with them to achieve those results.
We believe that Trust, Empathy, Timeless Principles and Heart-driven authenticity are at the core of high producing advisors. We believe that daily small steps forward, compounding progress like money compounded daily, delivers big rewards. “Rome Wasn’t Built in a Day, But They Were Laying Bricks Every Hour.” It is the daily progress and continuous improvement we bring. With a focus on process and execution, the desired outcomes will be achieved.
Meet The Team
Richard J. Capalbo
Richard Capalbo’s career spans 50 years in financial services. His expertise and insight on the industry come from a rare claim of holding every position in the front office from advisor to CEO and Chairman. As Chairman and Chief Executive Officer of Bateman, Eichler, Hill, Richards, Inc, he directed the firm’s expansion into seven western states, making it the largest regional brokerage firm headquartered on the West Coast. At the famed firm of Drexel Burnham Lambert, he was a Senior Vice President with responsibility for the firm’s marketing department, which he founded. In addition to his role as Marketing Director, he served as a director of many of Drexel Lambert’s subsidiaries and founded Broad Street Productions, the firm’s audio-visual subsidiary, where he pioneered the firm’s entry into the business brokerage market and served on the board of its real estate and mutual fund subsidiaries.
Richard has lectured extensively throughout the securities, mutual fund, banking, and insurance industries and is the founder of the Quantum Leap Institute, a firm I joined in 2002 and specializes in enhancing Individuals’ behavior by analyzing changing trends and helping individuals adjust to these changes. He has written over twenty white papers on practice management and customer service issues and written or co-authored three books in the areas of Investment Management and Customer Service. His most recent book, “The Ultimate Customer Service Model” has been described as one of the most important books in practice management ever written for Financial Service Professionals.
His career in the securities industry began as one of the pioneers in the use of Modern Portfolio Theory and he lectured on that topic during its developmental years to Institutional Portfolio Managers.
From 1979 to 1987, he was an active member of the SIA’s Sales and Marketing Committee and in 1986-87 served as its co-chairman. Mr. Capalbo has served as a trustee of the Securities Industry Institute for over two decades where he was Curriculum Chair from 1995 to 1997 and Chairman of the Institute in 1998 and 1999.
Throughout his career, he has trained thousands of Financial Advisors on various practice management skills. He also co-produced an MP3 series entitled, “How to Succeed in the Securities Industry” with Don Connelly. His clients include all of the major players in the financial services industry, the mutual fund industry, and the Insurance and banking industries.
Richard has lectured at numerous Universities and Executive Education programs. He holds a Bachelor’s Degree in Economics from Fordham University in New York, and a Master’s Degree in Finance from the Wharton School of Finance and Commerce of the University of Pennsylvania.
Bob Lodie
Bob Lodie brings 48 years of deep management experience spanning startup ventures and Fortune 100 companies. As a US Air Force air combat veteran, he entered the corporate world with a disciplined approach to performance improvement that quickly leads to executive leadership roles at General Electric, Computer Sciences Corporation (CSC), and Franklin Covey. Each of these organizations was in critical phases of growth and innovation during his tenure.
Following his service in the USAF, another general entered Bob’s life - General Electric. There, he quickly became a designated “high potential” employee and his rapid promotions were gained from the turnarounds he brought to struggling field organizations. As a regional and national sales leader at the company, he directed sales and marketing strategy and recruited and managed teams that captured market share for a GE spinoff computer graphics company, and substantially developed major territories leading to a Private Equity purchase.
Bob then entered the nascent PC industry with a PC peripheral startup that became part of Calcomp Computer where he was head of sales. Within a year, Bob’s team captured an 80% market share for its high definition color graphics product.
Opportunity knocked again when a fellow GE alumnus recruited Bob to join the start-up team for a company that went public in 1993. He was VP of Sales before the IPO of what is now Franklin Covey. Following the IPO, Bob returned to the field to build his own “book of business” in his family’s home territory of Los Angeles. A few years later, he met Richard Capalbo and joined his new RIA firm as a registered rep with a Series 7 and 66 licenses. Since then, he has moved into a training and coaching career serving financial advisors, who along with branch managers, told him they were frustrated by the lack of time they get to spend on new asset acquisition, concerned about their own ability to get things done, and disappointed with the number of qualified referrals they receive. Solving these issues became his mission.
For the last 19 years, he has been providing strategic direction and coaching for clients on asset acquisition, marketing, and sales in the Financial Services Industry. The work consists of numerous speeches, custom workshops, and coaching advisors toward the million-dollar production level.
His clients include Merrill Lynch, UBS, Morgan Stanley, Wells Fargo, Baird, and RBC Financial Group. He is the author of 3 Steps to Million Dollar Production, Is Your Future Bigger Than Your Past and Personal Success From the Inside Out.
Bob holds a BSSE and an MBA and has been a featured speaker at the SIFMA Securities Institute’s annual conference at Wharton Business School.