• Sunday
    May 05, 2019
  • Monday
    May 06, 2019
  • Tuesday
    May 07, 2019
  • Wednesday
    May 08, 2019

Sunday, May 05

Session Speakers
11 a.m. – 7 p.m.

Registration/Information Desk Open

    1-4:30 p.m.

    Optional Pre-Conference: Wealth Management Workshop: An Overview of the CPWA Body of Knowledge in collaboration with Yale School of Management

    This pre-conference session is for financial advisors and wealth managers who work with or aspire to work with high-net-worth (HNW) clients on the life-cycle of wealth: accumulation, preservation, and distribution. By applying concepts and techniques taught in the Certified Private Wealth Advisor® (CPWA®) program, attendees will learn to identify and analyze the challenges HNW individuals face, and understand how to develop specific strategies to minimize taxes, monetize and protect assets, maximize growth, and transfer wealth.

    *Additional fee applies.

    1-4:30 p.m.

    Optional Pre-Conference Workshop: What Your HNW Clients Are Worried About

    Recent changes in tax laws, central bank policy, and geopolitics have caught the attention of HNW clients. Advisors can add significant value by anticipating their clients' concerns and implementing strategies to address the uncertainty. Join this preconference workshop sponsored by Capital Group, as industry experts deliver practical solutions for preparing for economic recession, optimizing HNW tax and estate strategies, and building clients' confidence in their financial plans.

    Detailed Workshop Schedule: 1-4:30 p.m. | Sponsored by Capital Group, home of American Funds

    1-2:15 p.m. | Recession, Darrell Spence
    When is the next recession?  That’s one of the questions we hear most often.  And for good reason.  Recessions can be complicated, misunderstood and sometimes downright scary.  With the U.S. expansion nearly 10 years old, investors may be wondering whether the next one is just around the corner.  In our view, we don’t believe a recession is imminent in 2019.  Our research indicates it is much more likely that the next recession will be in 2020 or 2021.  But economic cycles are notoriously hard to predict, and it’s never too early to be prepared for the next downturn.  However, it is also important to consider recessions in the context of the broader economic cycle, which can help you see that they may not be as bad as you might think. This presentation will help you prepare for the next recession by attempting to answer these key questions:
    • What is a recession?
    • What causes recessions?
    • How long do recessions last?
    • What happens to the stock market during a recession?
    • What economic indicators can warn of a recession?
    • How close are we to the next recession?
    • How should you position your stock portfolio for a recession?
    • How should you position your bond portfolio for a recession?
    • What should you do to prepare for a recession?
    2:25-3:15 p.m. | Wealth Planning Across Life Stages: Tax Strategies For Clients In Each Generation, Leslie Geller
    The Tax Cuts and Jobs Act of 2017 has resulted in a significant shift in the tax planning strategies used by all HNW clients, but the strategies that are most relevant to a particular client vary depending on the client’s age, life stage and other contextual factors.  Advisors can add significant value by recognizing the strategies that are most immediately relevant to their clients, and helping to implement these strategies on an individualized, context-sensitive basis.  Join Leslie Geller, a wealth strategist at Capital Group and former tax and estate planning attorney, as she explains the different planning strategies that should be top-of-mind for Millennial, Gen X and Baby Boomer clients, and how to evaluate these strategies based on individual client needs and circumstances. 
    3:15-4:30 p.m. | RE-SET YOUR BRAIN PERFORMANCE CODE: Unlock Your True Potential, Robert Cooper, Ph.D.

    Up to 90% of the hidden capacity to learn and excel is being missed and it could potentially lead you to missing out on opportunities for your clients.

    The brain’s inherent hard-wired “performance code” is designed for a world of 2,000 years ago and not only makes us highly inefficient—one study shows that on average only 11 minutes out of every day are used with maximal focus—but also pulls us away from opportunities. Advisors that are seen as delivering the greatest value for their clients learn to notice and bypass the typical hard-wired brain traps that block engagement today: present shock, future discounting, attentional blinks, over-emphasis on strengths . . . and more.

    This session highlights the latest discoveries for advisors
    Register by May 5, 2019: $95
    Approved for 4 hours of CE
    Space is limited

    2-4:30 p.m.

    Optional Pre-Conference: Professional Conduct and Regulation (Ethics)

    At the end of the course, participants will be equipped to: Identify the structure and content of the revised Code & Standards, including significant changes and how the changes affect CFP® professionals; Act in accordance with CFP Board's fiduciary duty; Apply the Practice Standards when providing Financial Planning; Recognize situations when specific information must be provided to a Client; Recognize and avoid, or fully disclose and manage, Material Conflicts of Interest.

    This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.

    *Additional fee applies. 

    5-6 p.m.

    General Session: The Economy 2019: Politics Collides with Reality

    New faces in Congress are confronting a rapidly changing economic landscape.  Join Dr. Rossell as she considers the intersection of economics, financial markets and politics in year to come.

    6-7 p.m.

    Opening Night Reception in Exhibit Hall

      Monday, May 06

      Session Speakers
      7 a.m. – 7 p.m.

      Registration/Information Desk Open

        7:15-7:40 a.m.

        EdTalk: The Next Generation Challenge: Why Advisors Need to Prepare for Tomorrow Today

        Advisors: We have a problem. Tens of thousands of brokers and advisors will retire over the next decade, but undergraduate financial planning programs produce only a few hundred graduates each year. And while developing and attracting the next generation of talent is imperative to our industry’s long-term sustainability, this is no easy task when many young people aren’t aware of financial planners and what they do. Kate Healy, managing director of Generation Next at TD Ameritrade Institutional, will share proven strategies advisors can use to build a pipeline to the next generation and why casting a wider net for new talent can benefit firms today and down the road.


        • Kate Healy
          TD Ameritrade Institutional, Managing Director
        7-8 a.m.

        Breakfast with Sponsors and Exhibitors

          International Welcome Breakfast

          Take this opportunity to meet our international attendees and enjoy a moderated discussion of global economic and advisor issues.

          *For our international attendees and others who would like to join.

            8-9 a.m.

            General Session: The Hacker’s Blacklist

            The heart of good cybersecurity starts with the human beings that help it flourish, or fail.  To avoid becoming the next disastrous data-breach headline, you must foster a healthy balance between computer security and human behavior. This session will discuss how cybersecurity isn’t just about overspending on shinier technology – it’s about building a mindset and culture that evolves with the threats.

            9-9:30 a.m.

            Break with Sponsors and Exhibitors

              9:30-10:30 a.m.

              Super Session: Performance Excellence of World

              Gather assets in a meaningful way by being strategically involved in your community, as well as understanding the more sophisticated tactics of philanthropic planning. This session will enable advisors to leave with the tools and tactics of world class performers. They will be inspired by what the top advisors in the country are doing to grow their businesses.

              Track: Investment Management

              • Susan E. Kay
                MFS Fund Distributors, Inc, Vice President and a Director of Business Development

              Super Session: Why Fundamentals Still Matter in the Age of Big Data, AI and Twitter

              With the 24-hour financial and geopolitical news cycles in full force, dispassionately investing based on fundamentals is more difficult, but more important now than ever. While tweets can drive short-term market gyrations, it is the fundamentals that drive longer term returns. This session will examine the fundamental backdrop of the current market environment and discuss today’s biggest risks and biggest opportunities.

              Track: Investment Management

              Super Session: Brain Health and Financial Planning

              Financial advisors, particularly retirement professionals, need to have a clear understanding of what they’re planning for, what it costs, and how their plans change in the context of cognitive impairment.  This is important both personally and professionally – not only are your clients aging, but so are the advisors and their families!
              This seminar is based on the recently-released book "Brain Health As You Age" (Rowman & Littlefield 2018). While we may expect to live longer, many still wonder if their brains will keep up with their bodies. This session will examine typical functions and declines of an aging brain, the signs and symptoms of problems, the available treatments, the financial responsibilities, and the factors that determine what kinds of care people might need as they age. 

              Track: Retirement Management

              10:45 a.m.-12 p.m.

              Super Session: Shift Your Human Capital Perspective

              As the competitive landscape and the demand for top talent intensifies, the lack of human capital entering financial services just may be our industry's greatest threat. Invariably, it will be the leaders who can effectively recruit, retain, and reward human capital whose firms will experience the lion's share of enterprise value growth. In this fast-paced session, ClientWise CEO and Founder Ray Sclafani will provide vital insights and actionable steps to help you rethink your compensation plan and build a culture that will deliver better business results utilizing your most important asset…your team!

              Track: Advanced Business Strategies

              Super Session: Advanced Roth Conversion Strategies

              The natural appeal of a Roth-style retirement account is the potential for tax-free growth for life. However, the reality is that creating a Roth account has a “cost” – the upfront tax liability of contributing to (or converting into) the account, which is avoided with a traditional pre-tax IRA or 401(k). As a result, optimal Roth strategies involve not merely contributing to or converting into Roths, but managing the timing and leveraging the available tax law to maximize the strategy. This session will explore techniques to maximize Roth contributions, including so-called “Backdoor Roth” IRAs and “Mega Backdoor Roth” 401(k) strategies, and leveraging the Roth recharacterization rules to optimally fill lower tax brackets, and be able to ensure that an investment in a Roth has a positive return before being required to commit to it.

              Track: Retirement Management

              Super Session: Tax Strategies for Wealth Advisors

              This session will discuss how the wealth advisor can engage in meaningful discussions with clients to suggest appropriate tax-influenced planning strategies to address these issues. This session's objective is to consider how tax liabilities can be avoided while achieving the important planning goals of your clients.

              Track: Wealth Management


              Women in Wealth Luncheon

              Designed for female investment and wealth professionals, the luncheon will feature a panel of noted female experts plus interactive discussions among attendees. Visit our Dirupt-Hers page for more details.

                12:15-12:40 p.m.

                EdTalk: The Caveman, the King, and the Next Big Thing

                Technology today is just like fire. If not used correctly, you can find yourself out in the cold or badly burned. When harnessed in the right way, though, technology can help you can grow your business, save time, and build relationships with all types of clients. Join us for this session where we’ll cover misconceptions, common mistakes, and questions you should be asking (e.g., “How does this make me money?”) when it comes to fintech.

                • Jay Michel
                  CircleBlack, Managing Director of Business Development
                12:50-1:15 p.m.

                EdTalk: How to implement Structured Notes in client portfolios

                In this EDTalk, Jason Barsema of Halo Investing will help Advisors explore how Structured Notes can be utilized in client portfolios to create protective and defined-outcome investments.  Whether seeking Income or Growth, Structured Notes can be customized to solve any market outlook.  Come learn how this investment product is created and how financial technology is providing greater transparency, liquidity and lifecycle management to market for Structured Notes.

                12-1:30 p.m.


                  1:30-2:30 p.m.

                  Super Session: Family and Philanthropy Advisory

                  Shirtsleeves to shirtsleeves in three generations is a real phenomenon. This session will discuss what practices successful generational families share and how professional advisors can build on these traits and take thoughtful action to help clients flourish instead of failing


                  Track: Institutional Consulting

                  Super Session: Private Equity: Why and How

                  This session focuses on why the asset class historically outperforms, detailing the benefits and tradeoffs of several new product structures (including some that offer periodic liquidity) and demonstrating how various styles of PE fit into traditional portfolios.

                  Track: Investment Management

                  • Bob Rice
                    Tangent Capital and Rice Partners, Founder and Managing Partner

                  Super Session: Planning for Privacy in a Public World: How To Protect Your Client’s Privacy and Personal Security

                  As public access to information increases, clients are seeking solutions to protect their privacy and personal security.  After taking a live visit to the “dark web,” this session will discuss how the professional advisor can structure estate plans, charitable gifts, and financial transactions in a confidential manner to better protect clients against physical and cyber-attacks.

                  Track: Wealth Management

                  2:30-3 p.m.

                  Break with Sponsors and Exhibitors

                    3-4 p.m.

                    General Session: Creating High Performing Teams

                    High performance teams aren’t created by luck. They come from a deliberate process of nurturing talent, creating clear goals, guidelines, and offering the right tools to meet those goals. All of this is managed by the team leader who has gained significant self-awareness of his or her own strengths and weaknesses. Too often the team leaders' own workplace biases hinder their ability to perform at their highest level and once they become aware of their predispositions around the workplace, they can learn to set their biases aside, so their team’s strengths can flourish. Learn from twenty years of research about generational workplace biases, how they hinder their team’s performance, how to Gen-Flex and get out of your own way so your teams can thrive.

                    4:15-5:30 p.m.

                    Deep Dive: Tax Strategies for Wealth Advisors

                    What are the tax planning concerns of the clients of wealth advisors? For those with the highest net worth, federal estate and gift taxes remain a concern. For all clients, minimizing income taxes is in the forefront of planning. For baby boomer clients, issues involving retirement plan withdrawals and distributions as well as business succession planning are topics to be addressed. This session will discuss how the wealth advisor can engage in meaningful discussions with clients to suggest appropriate tax-influenced planning strategies to address these issues. Our objective is to consider how tax liabilities can be avoided while achieving the important planning goals of our clients.

                    Track: Wealth Management

                    Deep Dive: The Importance of Succession Planning*

                    This session is designed to get Owners/Advisors thinking about long term succession and the steps they need to take now to properly prepare for their eventual transition. Advisors will learn why it is important to plan for their long-term exit, as well as devise a contingency plan should something happen in the interim. The goal is to educate attendees on the available options and leave them with actionable steps so they can begin preparing today to realize maximum value when it's time to retire.

                    Track: Advanced Business Strategies

                    *Deep Dives are interactive topic focused sessions. 

                    Deep Dive: Mitigating Behavioral Risk

                    Advisors add tremendous value when designing financial plans, but they often lack an essential element – the behavioral plan.  A behavioral plan and corresponding behavioral coaching helps investors stick with the plan you designed.  As an advisor, coaching your clients’ behavior is a skill that can’t be commoditized away. Join Jay Mooreland in this interactive, discussion-based session to learn straightforward behavioral solutions to help clients stick with their plan and pursue their financial goals with confidence.

                    Facilitated Lab: Creating High Performing Teams

                    High performance teams aren’t created by luck. They come from a deliberate process of nurturing talent, creating clear goals, guidelines, and offering the right tools to meet those goals. All of this is managed by the team leader who has gained significant self-awareness of his or her own strengths and weaknesses. Too often the team leader’s own workplace biases hinder their ability to perform at their highest level and once they become aware of their predispositions around the workplace, they can learn to set their biases aside, so their team’s strengths can flourish. Learn from twenty years of research about generational workplace biases, how they hinder their team’s performance, how to Gen-Flex and get out of your own way so your teams can thrive.

                    Track: Advanced Business Strategies

                    *Facilitated Labs are interactive sessions. 

                    Facilitated Lab: Want to Grow Your Enterprise Value? Start By Increasing Your Team Performance VQ

                    Velocity Quotient (VQ) is a measure of the time and resources that will be required to achieve desired results. The higher your firm's VQ, the more you can achieve with less. This facilitated lab session will help you design an action-oriented structure that you can begin immediately implementing with your team. ClientWise CEO and Founder Ray Sclafani will outline the drivers of enterprise value that are within your control, show you how to frame those for the team, and help you create four, 12-week “sprints” to guide your team to increase your organizations VQ.

                    Track: Advanced Business Strategies

                    Facilitated Lab: Family and Philanthropy Advisory

                    Shirtsleeves to shirtsleeves in three generations is a real phenomenon. This session will discuss what practices successful generational families share and how professional advisors can build on these traits and take thoughtful action to help clients flourish instead of failing.


                    Track: Wealth Management

                    5-7 p.m.

                    Reception in Exhibit Hall

                      Tuesday, May 07

                      Session Speakers
                      7 a.m. – 7 p.m.

                      Registration/Information Desk Open

                        7:15-7:40 a.m.

                        Ed Talk: The Total Cost of ETF Ownership: Looking Under the Hoods of ETFs

                        Buying cars can teach you a lot about buying ETFs (Exchange Traded Funds). With both purchases, total cost of ownership goes beyond the sticker price. By looking under the hood, you can make more informed decisions to help your clients select the investments that best meet their needs. Hear from Edward Rosenberg, Head of Exchange Traded Funds at American Century Investments® as he lifts the hood on ETFs and breaks down the various costs of ownership.

                        • Ed Rosenberg
                          American Century Investments ETFs, Senior Vice President, Head of Exchange Traded Funds
                        7-8 a.m.

                        Breakfast with Sponsors and Exhibitors

                          8-9:15 a.m.

                          General Session: The Global Outlook: Opportunities and Risks

                          This session will examine the current risks and opportunities in the global economy. Based on research conducted in The Third Pillar: How markets and the state leave the community behind, this session will cover why the politics of globalization has become so fraught, why political and economic uncertainty has increased so much, what it will lead to if unchecked, and what we can do to avoid the societal turmoil it is causing.

                          9:15-9:45 a.m.

                          Break with Sponsors and Exhibitors

                            9:45-10:35 a.m.

                            Workshop: Client Primacy: Inspiring Intentional Outcomes

                            Where would your clients place you on their professional respect continuum? Are you at the pinnacle, perhaps right alongside their doctor? This workshop will explore the disciplines of the intentional advisor who practices the art of new client attraction, becomes the client’s first call whenever money and life intersect, and develops an outside-in lens.

                            Track: Advanced Business Strategies

                            Workshop: The Fundamentals of Sustainable Investing

                            This session will unpack the why, what and how of sustainable investing for financial advisors. Building on the new series The Fundamentals of Sustainable Investing: Guides for Financial Advisors from The Investment Integration Project (TIIP) and Money Management Institute (MMI), this session will: (1) confront pervasive industry myths about sustainable investment and explain the realities; (2) disentangle the complicated web of vocabulary used to describe sustainable investment; and (3) provide investment professionals with practical recommendations for how to talk with clients about sustainable investment

                            Track: Institutional Consulting

                            Workshop: Accessing Private Markets for the Mass Affluent: Innovations and Investment Diligence

                            Recent innovations in fund structures and technology solutions are facilitating greater access for the mass affluent to private markets investment opportunities.  Offerings have evolved from privately offered funds of funds and feeder funds to registered funds such as interval funds and auction funds.  Institutional investors have been investing in the private markets for decades – this workshop will discuss how they approach investment due diligence and manager selection, and how that can be adapted to your client base.

                            Track: Investment Management

                            Workshop: The Future of Advice

                            The expectation to live longer and better is driving clients to demand more from financial advisors. Clients want advisors to prepare them for what they may confront in middle age and as older adults—meeting the challenges and embracing the opportunities. An advisor’s ability to provide these essential services will depend on the depth of their relationship with each client, understanding their evolving needs, and being knowledgeable about resources and services to help meet those needs.  This presentation from Hartford Funds will help advisors learn how to: recognize the trends in aging and anticipate new consumer demands; distinguish three main business models that will align with this new frontier of financial advice; and educate clients about the "jobs" of longevity and how to navigate them in concrete and meaningful ways.

                            Track: Retirement Management

                            Workshop: Concentrated Wealth at Work

                            Senior and key employees are often provided lucrative compensation and other financial programs that afford them the ability to build significant wealth at work.  Unlike the C-Suite, this segment of employees has not typically received work sponsored financial planning that includes full integration of their workplace wealth and retirement programs.  But that is changing. A host of record keepers, consultants, banks, record keepers and broker dealers, estimated to be as many as 300 providers, intend to or are offering business-to-business “Financial Wellness at Work” arrangements to employers. Any financial advisor with senior or key employees at a mid-size to large company as clients should take the initiative to gain a full understanding of their clients’ workplace wealth and retirement plans and incorporate them into a comprehensive financial plan for each client.

                            Track: Wealth Management

                            • Abram Claude
                              Columbia Threadneedle Investments, Head of Value Add Programs

                            Workshop: Building and Maintaining a Competitive Edge: Next-Level Training

                            Without a doubt, there’s more information, more products and higher expectations for asset management sales pros.  Advisors are taking fewer in person meetings and offering less time.  Effective training and tools can help bridge this gap.  This panel offers immediately applicable insights on how you can best stay on top of the myriad product and market updates, increase your overall knowledge base and in the process, building and maintaining a competitive edge.

                            11-11:50 a.m.

                            Workshop: A+ Advisor but a B- Business Owner? Learn to systematically analyze your practice with this 4-Step Formula.

                            When is the last time you did a deep dive to examine the health of your practice? In this session, you will be introduced to the Fundamental 4™ methodology to analyze the current condition of your practice, identify any gaps to refine, outline strategies for implementation and enhance the overall structure of your business. Join us to explore the real-world tools and tactics around Strategic Planning, Business Development, Operational Effectiveness and the Human Element to create clear goals around each and gain buy-in from your entire team for seamless implementation.

                            Track: Advanced Business Strategies

                            Workshop: The Opportunities and Challenges of the Outsourced CIO Model

                            This session will discuss moving from traditional asset consulting services to implemented or discretionary solutions (outsourced chief investment officer or OCIO) from an Australian perspective. Three Australia-based advisors will discuss business management challenges of the model, and then explore private wealth and institutional client case studies. Australia was an early growth market for the OCIO model, and Brett Elvish was one of the early innovators. He will describe his experiences taking a consulting firm through the transition and the results. Australia boasts the third largest pension market in the world, so this session will provide real insights into a vibrant investment funds marketplace. This expert panel will be moderated by Graham Rich, an Australian-based veteran of funds analysis who founded what is now Morningstar in Australia and New Zealand more than 35 years ago. He is now responsible for the CIMA certification program there.

                            Workshop: Retirement Policy Statements

                            Whether you do it formally, with a written template, or informally, through a series of schedules, in this session you’ll learn why incorporating the key elements of a Retirement Policy Statement are crucial to the success of your practice and the management of your client’s retirement income plan. Not only does it help protect you in the case of disputes, it also sets you up with a valuable agenda and set of metrics to discuss each year with your client.

                            Workshop: Casting a Vision for Wealth and Its Purpose

                            Estate planning today is based on three fundamental assumptions. First, a person’s wealth can be summarized on a balance sheet. Second, if transferring some financial wealth is good, then transferring more is better. Third, the first place you should go to do your estate planning is an estate planner. What if all of these fundamental assumptions are actually all fundamentally wrong? The keynote will discuss what is wrong with current estate planning and how it can be fixed. It will discuss the importance of capturing and transferring human capital, how to maximize the benefits of financial wealth transfer, and what can be done with excess financial resources. It will also review the Seven Disciplines that successful families follow to effectively transfer holistic wealth on a multi-generational basis.

                            Track: Wealth Management

                            Workshop: Future of Asset Management Distribution

                            The investment management industry is constantly evolving but no area has experienced more change over the last 5 years than the Sales & Marketing function tied to intermediary distribution.  However, sorting through which changes are temporary from those that represent permanent shifts is not always easy.  During their careers, Steven Miyao and Neil Bathon have collectively worked with every fund firm in the Top 100 and have seen how firms respond to challenges and opportunities.  With this experience, Steven Miyao and Neil Bathon will predict the future keys to success of distribution through financial advisors…often with contrasting opinions.

                            • T. Neil Bathon
                              FUSE Research Network, Managing Partner
                            • Steven Miyao
                              SS&C Technologies, President, Digital, AI & Analytics, Research and Compliance Solutions
                            • Kirsten Pickens
                              Chiron Investment Management, LLC , Partner and Head of Distribution

                            Workshop: Big Ideas 2019

                            ARK Invest’s “Big Ideas” is an annual research publication showcasing a selection of innovations that they believe should transform the way the world works and may deliver outsized growth across different industries.  Join us for this educational series that explores the investment opportunities associated with disruptive innovations such as mobility-as-a-service, robotics, deep learning, CRISPR genome-editing, cryptoassets, frictionless value transfers and 3D printing.

                            Track: Investment Management

                            12:15-12:40 p.m.

                            Ed Talk: All Options on the Table

                            Today's financial advisors face numerous challenges.  Protecting wealth, generating income, and providing alpha are all top priorities.  Options-based strategies can potentially address all three.  This session introduces ideas on how options can fill the void and previews an educational curriculum on the use of options in development between Swan Global Investments and IWI.

                            12-1:30 p.m.


                              1:30-2:20 p.m.

                              Workshop: Why Exceptional Advisors Don’t Worry About Client Satisfaction

                              The good news is that investors are satisfied and they’re loyal. The bad news is that’s simply not enough, not if you want to deliver an exceptional client experience that truly sets you apart and drives significant growth. In this session Julie Littlechild, founder of AbsoluteEngagement.com, will unveil new investor research from the Investments & Wealth Institute that examines and quantifies the drivers of client engagement and the characteristics of an exceptional advisor. You’ll walk away with a clear plan to take stock of your existing client experience and transform clients from being “merely satisfied” to “profoundly engaged.”

                              Track: Advanced Business Strategies

                              Workshop: Advanced Foundation & Endowment Consulting: Spending, Risk, Regulation, and Ethics

                              Scott G. Thayer, CIMA®, consulting veteran and Yale School of Management CIMA education program faculty, will explore advanced topics covered in the new Investments & Wealth Institute Endowments & Foundations Consulting course. The presentation will discuss how to apply Uniform Prudent Management of Institutional Funds Act standards and the new Investments & Wealth Institute Code of Professional Responsibility to institutional clients. The presentation also will focus on the consultants’ obligations to deliver sustainable spending policies and apply prudent risk management, while monitoring performance against a risk benchmark. In addition, Mr. Thayer will discuss trends in collaborative versus discretionary management, and an ethics-oriented, behavioral governance model for investment committee decision-making.

                              Track: Institutional Consulting

                              Workshop: Leading Clients Through Controversial Issues

                              Clients come to responsible investing from varied perspectives and advisors need to be prepared to lead conversations around risks, return, impact and values. In this session, we will explore approaches to dealing with sensitive topics in ESG such as firearms, cannabis and GMOs. 

                              Track: Investment Management

                              Workshop: Long-Term Care Planning: What Advisors Need to Know

                              Most financial advisors today understand the importance of having healthcare conversations with clients. The conversations usually cover long-term care, as more Baby Boomers have first-hand experience with loved ones.  Then comes the tough part – how do advisors introduce the subject? Present insurance solutions? What do types of insurance solutions (Traditional or Linked-Benefit) should advisors recommend to their clients? Join industry expert, Steve Cain to hear answers to these questions and more. This workshop will also provide a marketplace update then real-life case studies and best practices for meaningful client conversations and action.

                              Track: Retirement Management

                              • Steve Cain
                                LTCI Partners, Director and National Sales & Business Development Leader

                              Workshop: Money, Happiness, and the Future of Wealth Management

                              Wealth management is evolving from a product to service to experience-focused industry. As part of that transformation, "goals-based wealth management" has become a catch-all phrase which means different things to different people. A critical element of this transformation is answering how money fits into a fulfilled life. Money isn’t just a means of exchange, it’s also an emotional scorecard, a central part of life’s journey. Does money make us happy? Leveraging the most recent research in social psychology and neuroscience, we offer an answer. In so doing, we set the groundwork for a path to better life outcomes (ones which distinguish between being “rich” and being “wealthy") and glance the future of the financial advice.

                              Track: Wealth Management

                              Workshop: The Power of Personal Development: How to Unlock Your Workplace Advantage

                              In today’s complex distribution landscape, information overload, seemingly endless choices, and exponential growth expectations set the bar for success higher and higher. This group of successful professionals offers insightful personal perspectives on the accreditations, training, and self-development strategies that can help you become the trusted advisor and preferred resource your advisor clients need.

                              2:40-3:30 p.m.

                              Workshop: Beyond the Hype of ESG and Sustainable Investments

                              Is “Sustainability” a buzz word or driver of financial returns? Sustainability (or ESG – environmental, social, and governance) performance impacts your investments but not in the way you think. Ignore the hype and focus on the fundamentals. We’ll push through the noise to find the signal, featuring the latest academic and industry research. There’s so much jargon you can get lost in the din of impact investing, responsible investing, and ethical screening, so this workshop will focus on the core principles of materiality and fiduciary duty to see where ESG makes sense and where it doesn’t. Lastly, we’ll look at how the ESG data available in the public, private and debt markets stacks up against financial data and how that impacts the solutions available to you and your clients.

                              Track: Institutional Consulting

                              Workshop: Fixed Income and ETF Landscape

                              In this workshop, learn how fixed income utilization for balanced strategies has changed in the era of exchange-traded fund choices. The panel will discuss topics that include flexibility of changing duration, trading, frictional cost considerations, diversification trade-offs, and others.

                              Track: Investment Management

                              Workshop: Equity Outlook- Size, Quality, Style Segments

                              Track: Investment Management

                              Classic style box to portfolio construction have become challenged in the post crisis world. Mr. Hyman, often seen on Bloomberg and CNBC will share how the evolving methodologies and approaches utilized by many of the top institutional investors can provide enhanced guidance and insight toward how we look at client portfolios today.
                              Participants should come away with implementable and actionable ideas.

                              Workshop: Priceless – The Language of Value

                              Fees are on sale.  Should you join the discounters, or should you learn to better communicate your value? This workshop will explore the a 6-month study on what investors think undertaken by Invesco Consulting, political consultants and word specialists, Maslansky + Partners. Do they want low-cost or high-value? A financial plan or financial planning? Discretionary accounts or advisor-managed accounts? The study included advisor interviews, investor dial-sessions and a North America survey of 1,000 investors. This session will also discuss the new cries from investors and the language that defends, defines and delivers value in the new fee-based era uncovered by the study.

                              Track: Advanced Business Strategies

                              Workshop: Attracting the C-Suite: Executive Compensation Strategies

                              Senior executives often accumulate significant exposure to company shares through restricted stock grants, employee stock options and other benefit programs. This discussion focuses on financial planning topics specific to corporate executives, in particular concentrated stock positions, employee stock options and net unrealized appreciation strategies.

                              Track: Wealth Management

                              Workshop: The New World of Asset Management Distribution

                              This panel takes a broad look at the most effective strategies for targeting and winning new advisor relationships and deepening existing ones. Among the topics to be covered: the impact of the changing advisor structure; how to square off against bigger and more specialized teams – both in the field and at the home office; effective use of available intelligence to identify best opportunities; coordinating product, marketing and sales strategies; the increasing importance of advisor tools as an element of distribution; and measuring team success.

                              3:45-5 p.m.

                              General Session: Attracting the Next Generation of Clients

                              At 80 million strong in the U.S. alone, it's no surprise that millennials are top of mind for advisors looking to "future proof" their business. Millennials' dependence on technology, values-driven ethos, and desire for customized, convenient solutions is driving widespread change across the industry. This session will provide insight into the "Millennial Mindset," offering tactical recommendations on what advisors can do to better meet the needs of the next generation of clients, as well as how advisors can reach and relate to this audience most effectively. Additionally, it will seek to bust popular millennial myths and dive deeper into several high value customer personas.

                              5-7 p.m.

                              Closing Night Reception in Exhibit Hall

                                Wednesday, May 08

                                Session Speakers
                                7 a.m. – 11 a.m.

                                Registration/Information Desk Open

                                  7-8 a.m.

                                  Breakfast with Sponsors and Exhibitors

                                    7:15-7:40 a.m.

                                    Ed Talk 6: Social Security: The Choice of a Lifetime

                                    Filing for Social Security is one of the biggest financial decisions clients will make. It may provide the only income source they have that will live as long as they do. That’s why it’s the choice of a lifetime. We will discuss many filing rules and strategies so you can make the choice that fits with your clients’ overall retirement income plans.

                                    8-9 a.m.

                                    General Session: Originals: How Nonconformists Move the World

                                    To survive and thrive, organizations need original thinking. Drawing on new book, Originals, Adam Grant explores how we can all get better at recognizing and championing new ideas, how to overcome fear and doubt and how to build cultures that welcome diverse perspectives and honest feedback. He reveals why late entrants typically beat first movers, friendly managers end up being the least supportive, devil’s advocates often backfire but contrarian opinions are useful even when they’re wrong, and the values that help organizations prosper early on are the same ones that thwart their growth later.

                                    9-9:30 a.m.

                                    Break With Sponsors and Exhibitors

                                      9:30-10:30 a.m.

                                      General Session: Is Active Trust-Building Ethical? (Ethics)

                                      Trust is a combination of two judgments clients make about a financial services provider: the provider’s ability to make good things happen, and the provider’s motivation to make them happen for the client. Although the former is task-specific, objective, and largely conscious, the latter might be wholly unrelated to the task, subjective, and non-conscious. The latter also explains the bulk of clients’ overall impression so, for service providers, targeting it is an unavoidable part of establishing trust. But when does active trust-building become manipulation? What are the ethical limits to trying to win trust?