Doing Well By Doing Good: A UBS Breakaway On Building A $2.9B Mission-Driven Enterprise The Diamond Podcast For Financial Advisors podcast

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Doing Well by Doing Good: A UBS Breakaway on Building a $2.9B Mission-Driven Enterprise

7d ago 50:07

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With Ben Valore-Caplan, Founder of Syntrinsic

Overview

Ben Valore-Caplan, founder of Syntrinsic, shares how he built a $2.9B mission-driven RIA to serve foundations, endowments, and values-driven institutions, the evolution of impact and ESG investing, why he sold to IMA Financial Group, and more.

Listen in…

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NOTE: The views and opinions expressed by the guests on this podcast are their own and do not necessarily reflect the views and opinions of Diamond Consultants. Neither Diamond Consultants nor the guests on this podcast are compensated in any way for their participation.

About this episode…

This episode serves as a powerful reminder that the best businesses are built not just on scale, but on intention and alignment with values.

In a landscape where most RIAs are designed to serve wealthy individuals, Ben Valore-Caplan took a different path—one rooted in advising non-profits with a focus on mission and purpose.

After a decade as an educator and nonprofit entrepreneur, Ben entered the wealth management world at UBS’s predecessor Paine Webber. As an institutional consultant, Ben saw an opportunity to become a bridge between the finance and nonprofit sectors. Yet, as he looked more closely at the conflicts embedded in the wirehouse model, he saw a greater opportunity to build something better: an RIA fully aligned with institutional clients’ missions.

So, in 2008, Ben left the wirehouse world to launch Syntrinsic Investment Counsel—an RIA built to serve foundations, endowments, and values-driven institutions. What started as a niche business has since grown into a $2.9B firm, known for its conflict-free model and deep alignment with client missions.

In this conversation with Louis Diamond, Ben shares the story of Syntrinsic’s growth – from launch to sale – including:

Leaving UBS to launch an RIA—and how that allowed him to serve institutional clients in a differentiated way.
Mission-aligned investing—and how it has evolved beyond environmental, social, and governance (ESG).
Philanthropy and nonprofit investments—and what strategies are applicable to all advisors.
Mastering scale—and how to do so without compromising purpose or culture.
The decision to sell the firm to IMA Financial Group in 2023—and what made that cultural fit work.

Whether you’re focused on growth, purpose, or both, Ben’s story is a valuable reminder that building a great firm isn’t just about scale: It’s about clarity, intention, and doing the work that matters.

Want to learn more about where, why, and how advisors like you are moving? Click to contact us or call 908-879-1002.

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Ben Valore-Caplan
Founder and Co-President

Throughout his career, Ben has built bridges between seemingly disparate groups. Since 2000, he has connected the nonprofit and finance sectors as an investment advisor and strategic partner to foundations, endowments, nonprofit organizations, and the people affiliated with them.

Ben founded Syntrinsic Investment Counsel in 2008 after serving as Senior Vice President of Investments at UBS where he led the BVC Institutional Consulting Group. In 2023, Syntrinsic joined IMA Financial Group to gain efficiency and deepen impact across the country. At Syntrinsic, Ben serves as Co-President where he runs point on several client relationships and co-leads the firm’s long-term strategy. Syntrinsic advises on $2.9 billion in assets across approximately 60 foundations and endowments and a handful of private client households.

Ben also builds bridges through community engagement. In his first career, he was an educator and social entrepreneur. He founded and directed Denver Summerbridge, an academically rigorous educational opportunity program for first generation college bound students that continues to thrive over 30 years later as Breakthrough Kent Denver.

Ben served as an independent trustee, investment committee member, and Vice Chair for Colorado’s $50+ billion Public Employee’s Retirement Association (PERA). He served for several years on the Advisory Committee to the City of Denver’s $5 billion fund. He is on the board and chairs the finance committee of Challenge Foundation and serves on the board and finance committee of Denver Zoo and Conservation Alliance. Ben is a proud member of the Colorado Forum, a nonpartisan organization of community leaders committed to advancing creative, long-term solutions to challenging civic issues. He was selected as the Conscious Business Leader of 2019 by Conscious Company.

Ben earned his BA from Brown University and MBA from the University of Denver. He and his wife, Amie, have four children.

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Doing Well by Doing Good: A UBS Breakaway on Building a $2.9B Mission-Driven Enterprise

The Diamond Podcast for Financial Advisors

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published 7d ago

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