Breaking Free: Carmine Corino & Corey Kupfer on the Advisor’s Path to Independence

For financial advisors, the most important move of your career wasn’t about winning a client — it was choosing your future. But making the transition to independence can feel daunting: Would clients follow? How should you handle contracts and compliance? How do you avoid costly missteps during your RIA transition? You didn’t have to navigate those questions alone. Carmine Corino, Founder & CEO of Cornerstone Planning Group and host of the Broken Dealer Podcast, sat down with Corey Kupfer, attorney, strategist, and host of the DealQuest Podcast, for a candid conversation about how advisors can navigate the move to independence with clarity and confidence. Together, Carmine and Corey served as a compass — blending real-world experience with strategic insight to help breakaway advisors avoid common transition pitfalls and chart a path toward growth, autonomy, and long-term success. Advisors walked away with clarity, confidence, and a renewed vision of what freedom can look like when your practice — and your future — are truly your own.

Topics covered:

• How to navigate the legal and compliance steps of leaving a broker-dealer

• What to expect when transitioning to an independent RIA

• How to retain clients and protect your relationships during the move

• The mindset shift from employee to entrepreneur

Disclaimer

This conversation was intended for educational purposes only and does not constitute legal, tax, or compliance advice. Advisors should consult their own legal counsel and professional advisors before making any business decisions.