By: Michael Kane, Managing Principal – New York Headquarters

When I started in this business, I learned an early principle that still guides how I lead today. It came from John Duni, who built his organization around one simple question: How do you help people?

That question still drives everything we do.

At our firm, the financial professional is the client. That mindset shapes how we build relationships, how we support growth, and how we define success. We are here to listen, to understand what someone is trying to build, and to support them through every stage of that journey.

It sounds simple, but it requires real commitment. It requires showing up consistently, not just when things are going well, but when challenges arise. It requires trust, transparency, and a willingness to put someone else’s vision ahead of your own.

Building the Right Fit

One of the most important lessons I have learned is this: recruiting is not about convincing someone to join you.

It is about listening.

When I meet with a financial professional, I want to understand what they are trying to build. What does success look like for them? What do they value? What is working well in their current environment?

From there, we determine if we are the right partner.

Sometimes we are. Sometimes we are not. And being honest about that is one of the most important things we can do.

If someone is better positioned to stay where they are or explore another opportunity, I will tell them. That level of transparency builds trust, and trust is the foundation of any long-term relationship.

We are not focused on bringing in everyone. We are focused on aligning with people who share a similar vision for their business and are committed to growing it.

What I Tell Financial Professionals Considering a Move

The first piece of advice I give is straightforward: ask a lot of questions.

Before making any move, you should have a clear understanding of what you are stepping into. Ask the hard questions. Walk through different scenarios. Make sure there are no surprises.

I want every financial professional who joins us to feel confident in their decision.

The second thing I share is what I call the Principle of Threes.

Transitions are not easy. There is no way around that.

• The first three days feel exciting
• The next three weeks can feel uncertain
• The next three months are where real adjustment happens

Understanding that timeline helps set realistic expectations. If you know the challenges are coming, you are better prepared to work through them.

More importantly, it reinforces the importance of partnership. When things get difficult, that is when you pick up the phone and lean on your team. That is when support matters most.

Playing the Long Game

There was a situation where I spent time working with a team that ultimately chose a different firm. They received an offer that made sense for them, and I encouraged them to take it.

Even after that decision, I stayed in touch.

During their transition, they shared that they were struggling. It was exactly what we had discussed as part of the Principle of Threes.

I told them, “You are right where you are supposed to be. This is part of the process. Stay focused.”

Sometimes people just need that reminder. The challenges are temporary, even when they feel overwhelming.

I did not benefit financially from that relationship, but that was never the point.

If I tell someone I am here to help, I mean it. That does not change based on their decision.

We are playing the long game.

Relationships matter. The way you show up matters. And over time, that approach tends to come back in ways you cannot always predict.

Partnering Around Their Vision

Every financial professional has a different vision for their business. Our role is to support that vision, not redefine it.

We start with their plan. What do they want to accomplish in the first 90 days? The first 180 days? How do they want to grow?

From there, we align resources to help move that plan forward.

Support teams, marketing, advanced sales. Many firms offer these resources. What matters is how they are used. We believe in being actively involved and working alongside financial professionals to help them execute.

That level of partnership creates ownership on both sides. If we say we will support something, we follow through.

Feedback Is a Requirement

One of my favorite questions to ask is simple: Tell me one thing we said we would do but did not.

It is a direct question, but it is necessary.

If we miss something, I want to know right away. Not later, after frustration builds.

That kind of transparency allows us to address issues quickly and continue building trust.

Strong partnerships are built on accountability. It goes both ways.

Defining the Right Partner

We often talk about working with individuals who have an “elite mindset.” For me, that is not just about production.

It is about how someone approaches their business.

• They think long-term
• They are committed to growth
• They are always learning
• They see themselves as business owners

Some people are producing at a very high level but are not interested in evolving. Others may be earlier in their growth but have a clear vision for where they are going.

I will go all in on the second person every time.

Mindset matters more than current production.

The Power of Teaming

Some of the most meaningful growth I have seen comes from teaming.

The best teams are not forced. They happen organically.

People meet. They connect. They recognize that they can build something stronger together than they could individually.

I believe deeply in the power of teaming for several reasons:

• It creates shared accountability
• It brings complementary strengths together
• It enhances the client experience
• It supports long-term succession planning

At its core, this business is challenging. Trying to build something meaningful alone can be limiting. On the right team, there is more energy, more collaboration, and more opportunity.

And perhaps most importantly, success feels different when it is shared.

Staying Curious and Moving Forward

One of the themes I come back to often is curiosity.

Curiosity drives growth. It pushes us to ask better questions. It challenges us to evolve.

I often think about a quote from Arthur Blank about innovation. If everything feels smooth and predictable, you are probably not pushing hard enough.

I want our organization to keep moving forward. I want us to stay curious. I want us to challenge ourselves.

At the same time, I never want to lose sight of the people we are building with.

Because at the end of the day, this is not just about building a business. It is about building relationships, earning trust, and helping people create something meaningful on their terms.

And when we stay focused on that, everything else tends to follow.

If you are an experienced financial professional who values partnership, transparency, and long-term growth, there may be alignment here. Connect on LinkedIn or reach out by email to start a conversation about your business and where you want to take it.

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