Disruption is now the new normal; we must lead with a growth mindset.

The Growth Mindset: Leadership Makes a Difference in Wealth Management provides financial professionals with a roadmap to grow their wealth management business. While the FinTech revolution is changing the wealth management industry, there is one thing that technology cannot offer—the human component of advisory services.

The Growth Mindset 

By Rick Capozzi

Leadership Makes a Difference in Wealth Management

  • Become a more effective leader with a more compelling vision that inspires people to action
  • Put the right people in the right places, and build collaborative relationships that last
  • Deliver an exceptional client experience to emphasize value over price
  • Become the solution by building credibility, taking responsibility, and having the courage to lead change

About Rick Capozzi

Rick Capozzi is a highly regarded industry leader in financial services, with a 34-year track record of success in senior leadership positions with the world’s largest organizations, including Merrill Lynch, Wells Fargo, Morgan Stanley, and UBS. Rick is currently president of Capozzi Advisory Group, LLC, a global boutique consulting and training firm. He opens his playbook to bring real-world experience and deep industry knowledge to advisors and managers, sharing proven strategies and solutions to help them achieve greater personal and business growth. His workshops and inspirational keynotes on leadership, culture, transformation, and wealth management strategies for high-net-worth clients have helped tens of thousands of financial professionals around the world become more successful in growing their business. READ MORE


Connect with Rick

What you’ll learn how to do from The Growth Mindset:


the fundamental elements of growing a wealth management business.


to a growth mindset and deal successfully with change.


develop, and retain top talent to grow your business.

Disruption is now the new normal, and successful leaders must be able to adapt quickly and operate with an eye toward growth. Here, you’ll find expert analysis of wealth management’s future and clear guidelines for leaders who want to thrive amidst the constantly shifting financial services landscape. The wealth management industry is facing its greatest challenge to date, and whether your business fails, survives, or thrives depends on leadership.

Rick Capozzi’s featured article in IMCA Investments & Wealth Monitor Article

Being Brilliant in the Fundamentals

A tsunami of change is headed toward the financial-industry shore, promising to swallow those unprepared for challenge and disruption. Leaders must meet these challenges with appropriate responses from positions of strength.


What People Are Saying About The Growth Mindset

After more than 40 years of selecting and developing leaders, I can say without reservation that Rick Capozzi has written a definitive piece on what it takes to be a leader in times of challenge and uncertainty. I encourage you to read this book, absorb it, evaluate your own leadership behavior against it and put it to work.

Jim Carbonaro

Senior Vice President , Morgan Stanley


This book deserves to be read by every financial advisor who is serious about growth.

Matt Oechsli

CEO, Oechsli Institute


Rick Capozzi is a leader who has been in the trenches delivering performance. This book is a must read not only for financial advisors but any aspiring leader working to climb the ladder of success.

Mike Abrashoff

Former Commander USS Benfold, author of It’s Your Ship


Rick’s presentations are outstanding and inspiring because he brings a unique blend of deep industry experience and research that gives any manager or advisor the insight and road map to take their business to the next level.

John Hyland

PAG Founder/Partner LPL largest nation OSJ


This book is a must read for every advisor and manager in the financial services industry who wants to seize the opportunity for growth in the rapidly changing environment.

John Decker

Managing Director, Head of the Headquarters Branch, UBS


The Growth Mindset is a crucial almanac. I highly recommend everyone in the wealth management and asset management industry read it. Rick’s years of experience and success in multiple leadership roles in this industry of change have given him license to produce this playbook.

Mark Pennington

Former MD Partner, Lord Abbett & Co.


For more information, please visit Capozzi Advisory Group.