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Welcome to

Everything you need to know to reach the pinnacle of success!

"Our unwavering commitment is to elevate the standards of professionalism and boost the productivity of Financial Advisors and Wealth managers. We achieve this by equipping them with cutting-edge tools and resources essential for navigating the dynamic landscape of finance and wealth management. Our approach is to empower professionals with the knowledge and solutions they need to thrive in an ever-evolving industry, ensuring they stay ahead of the curve and achieve unparalleled success in their endeavors.”

All I care about are results.


Richard boasts an unparalleled legacy, amassing over five decades of expertise in the dynamic realms of wealth management and securities. His strategic collaborations with industry luminaries, Don Connelly and Bob Lodie, both titans with half a century of their own experience, forge an unrivaled triad, offering an extraordinary reservoir of 150 years of combined mastery. Nowhere else can one tap into such a wealth of seasoned insight, cultivated through navigating the turbulent waters of bull and bear markets, weathering market crashes, and confronting every conceivable challenge in economic and stock market cycles. This seasoned trio has not only witnessed but actively shaped the volatility that birthed and obliterated trillions of dollars.

The crucible of the pandemic serves as a poignant reminder, reigniting and validating our collective reservoir of experience. Our unwavering commitment lies in the meticulous restoration and enhancement of the lives and businesses of financial advisors and their clients. In the words of Charles Dickens, "It was the best of times, it was the worst of times," and we steadfastly dedicate ourselves to sculpting the narrative into the "Best of Times."

This segues into our mission, the driving force behind our partnership. It crystallizes in response to the burning question echoing through the minds of financial advisors and countless others: "What does the future hold, and how does it shape my business's trajectory?" Foretelling the future is a futile endeavor; instead, we align ourselves with the wisdom of the eminent Peter Drucker, asserting, "The way to predict the future is to create it." In tandem with our clients, we embark on a transformative journey, empowering them not only to envision but actively forge their own future.


Embarking on a transformative journey, our unwavering mission transcends the conventional, guiding advisors and firms to not merely adapt but to dominate, leveraging their inherent strengths. We are ushering in a new era where existing practices are not just improved upon, but where groundbreaking paradigms are introduced, shattering preconceptions and ushering in unprecedented ways of thinking and executing on new ideas and discoveries.

We comprehend the intricate tapestry of advisors' diverse methodologies in fulfilling their unique missions. Therefore, we offer a multifaceted array of avenues through which to collaborate, tailoring our approach to the distinct aspirations of each advisor. Our methodology is rooted in results; we initiate by discerning the outcomes an advisor envisions and then meticulously collaborate to construct and implement a bespoke personal operating system, ensuring the realization of those envisioned results.

At the nucleus of high-producing advisors lies an unshakable foundation built upon Trust, Empathy, Timeless Principles, and Heart-driven authenticity. We champion the belief that monumental success is forged through the crucible of daily incremental advancements—a compounding of progress akin to the exponential growth of compounded wealth. To paraphrase the adage, "Rome Wasn’t Built in a Day, But They Were Laying Bricks Every Hour," we uphold the ethos that it is the ceaseless commitment to daily progress and relentless pursuit of improvement that distinguishes us.

Our commitment is not to grandiose promises but to the pragmatic approach of daily strides and perpetual enhancement. Through an unwavering focus on process and execution, we navigate the labyrinth of challenges with unparalleled precision, ensuring the desired outcomes. In the relentless pursuit of excellence, we redefine the landscape of advisory success, leaving an indelible mark on the industry.


Richard J. Capalbo

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Currently, Mr. Capalbo is the Principal in Richard Capalbo Enterprises LLC, a Rancho Mirage California consulting firm specializing in both the Financial Service Industry and in bringing access to all aspects of the Financial Service Industry to corporations. He lectures extensively throughout the securities, mutual fund, banking and insurance industries. He is the Founder of the Quantum Leap Institute and specializes in enhancing Individuals Behavior by analyzing changing trends and helping individuals adjust to these changes. He coaches CEO’s in several technology firms on all aspects of corporate finance and marketing issues.

He has 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. He has written over twenty white papers on practice management and customer service issues.

Mr. Capalbo served as District Sales and Marketing Manager for Merrill Lynch and as Co-Manager of their Flagship Southern California Office. Previously he was Chairman, President and Chief Executive Officer of Bateman, Eichler, Hill, Richards, Inc, where he directed the firm’s expansion into seven western states, making it the largest regional brokerage firm headquartered on the West Coast. He also served on the Kemper Financial Board of Directors. He was a Senior Vice President of Drexel Burnham Lambert with responsibility for the firm’s marketing department, which he founded.

In addition to his role as Marketing Director, Mr. Capalbo also served as a director of many of Drexel Lambert’s subsidiaries. He also founded Broad Street Productions, the firm’s audio-visual subsidiary, he pioneered the firm’s entry into the business brokerage market and served on the board of it real estate and mutual fund subsidiaries.

He began his career in the securities industry as one of the pioneers in the use of Modern Portfolio Theory and 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; he was Curriculum Chair from 1995 to 1997 and was Chairman of the Institute in 1998 and 1999.

Over the course of his career he has trained thousands of Financial Advisors on various practice management skills. He co-produced with Don Connelly, a video and MP3 series entitled, “How to Excel in the Securities Industry.” His clients included all of the major players in the financial services industry, the mutual fund industry and the Insurance and banking industries.

Richard is one of the most sought after Key Note Speakers in the areas of Practice Management, Asset Acquisition and Retention, Customer Service and Professional Development.

He has lectured at numerous Universities and Executive Education programs. He holds a Bachelor of Science degree in Economics from Fordham University in New York and a master’s degree in finance from the Wharton School of Finance and Commerce at the University of Pennsylvania

He lives in Rancho Mirage, California with his wife Kathleen.


Bob Lodie

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AUM IQ's managing partner, Bob Lodie, brings over 40 years of deep management experience spanning startup ventures and Fortune 100 companies. A General Electric-raised executive, Lodie has built top-performing business units and sales organizations as both a leader overseeing enterprise growth and as a consultant and mentor advising professionals at RIA's and organizations such as Morgan Stanley, UBS, and Wells Fargo. Bob holds an MBA and a BSEE and has been a featured speaker at the SIFMA Securities Industry Institute at The Wharton School. The IQ team includes professionals in management consulting, growth strategy, business development, change management, and professional development.

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