2019 Annual Conference Experience

Join us for this industry-acclaimed conference packed with the latest on investments and wealth management. With sessions led by national thought leaders and six key tracks for learning, earn up to 24 Institute continuing education (CE) hours.

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

Sunday, May 05

Time
Session Speakers
1-4:30 p.m.

Pre-Conference #4: Intro to CPWA

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.

2-4:30 p.m.

Pre-Con Workshop: Topic and Speakers TBD

    Pre-Conference Workshop #2: Professional Conduct and Regulation

    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.
     

    5-6 p.m.

    General Session #1: 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.

    Reception in Exhibit Hall

      Monday, May 06

      Time
      Session Speakers
      7-8 a.m.

      Breakfast with Sponsors and Exhibitors

        8-9 a.m.

        General Session #2: 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. Thsi 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 #1: 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.

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

          Super Session #2: 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.
           

          Super Session #3: 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. 
           

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

          Super Session #4: Topic and Speakers TBD

          Super Session #5: 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.

          Super Session #6: 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.

          12-1:30 p.m.

          Lunch

            1:30-2:30 p.m.

            Super Session #7: Topic and Speakers TBD

            Super Session #8: 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.
             

            • Bob Rice
              Tangent Data Services LLC, Founder and Managing Partner

            Super Session #9: 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.

            2:30-3 p.m.

            Break with Sponsors and Exhibitors

              3-4 p.m.

              General Session #3: 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.

              4:15-5:30 p.m.

              Deep Dive #1: 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.
               

              Deep Dive 2: 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.

              *Deep Dives are interactive topic focused sessions. 

              Facilitated Lab #1: 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.

              *Facilitated Labs are interactive sessions. 

              Facilitated Lab #2

              Facilitated Lab #3

              5-7 p.m.

              Reception in Exhibit Hall

                Tuesday, May 07

                Time
                Session Speakers
                7 a.m.-6:45 p.m.

                Registration/Information Desk Open

                  7-8 a.m.

                  Breakfast with Sponsors and Exhibitors

                    8-9:15 a.m.

                    General Session #4: 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 #1: 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.

                      Workshop #2: Topic and Speakers TBD

                        Workshop #3: 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.
                         

                        Workshop #4: 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.

                          Workshop #5: 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 B2B “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.
                           

                          Workshop #6: Topic and Speakers TBD

                            11-11:50 a.m.

                            Workshop #7: 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.
                             

                            Workshop #8: Improving Individual Client Outcomes using Asset Liability Matching

                            Financial literacy varies amongst clients, with the majority of defined contribution clients deferring their investment decisions to advisors and funds. Different risks impact clients in various ways at different stages in the lifecycle through an ever changing economic environment. What risks are advisers really managing on behalf of their clients and do they allow for the changing risks the clients actually face? This session will present an Australian case study of a major pension fund that transformed itself to customize investment strategies for individual participants based on asset/liability management methodologies. The result of which materially improved the outcomes for individual clients. The presentation will offer transferrable ideas for individual adviser practice.

                            Workshop #9: 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 #10: Purposeful Planning

                            Successful wealth transfer is a journey for clients that takes clarity, intentionality and purpose.  Unfortunately, too few clients know where they actually are and even few know where they want to go.  This session will discuss how to successfully partner with their clients to not only help them cast a vision for their wealth and its purpose, but how you as an advisor can be a valued and important part of that journey.

                            • David York
                              York Howell & Guymon , Co-founder and Managing Partner

                            Workshop #11: Topic and Speakers TBD

                              Workshop #12: 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.

                              12-1:30 p.m.

                              Lunch

                                1:30-2:20 p.m.

                                Workshop #13: Topic TBD

                                Workshop #14: Endowments and Foundations

                                Workshop #15: Cannabis Investing

                                Workshop #16: 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.

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

                                Workshop #17: 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.
                                 

                                Workshop #18: Topic and Speakers TBD

                                  2:40-3:30 p.m.

                                  Workshop #19: Topic and Speakers TBD

                                    Workshop #20: Topic and Speakers TBD

                                      Workshop #21: Topic and Speakers TBD

                                      Workshop #22: Priceless Fact Card

                                      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.

                                      Workshop #23: 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.

                                      Workshop #24: Topic and Speakers TBD

                                        3:45-4:45 p.m.

                                        General Session #5: 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.
                                         

                                          5-6:15 p.m.

                                          Deep Dive #3: RMA Overview

                                          Mitigating risks in retirement is a key component of adding value to your clients. Examine the risk management approaches developed from the RMA certification curriculum that offer best practices for creating and communicating solutions to your retirement clients. Whether you’re an RMA candidate preparing for the certification exam or looking for distinctive approaches to risk management, this session is sure to be an eye-opener.

                                          Deep Dive #4: More Information Coming Soon

                                          More Information Coming Soon

                                          *Deep Dives are interactive topic focused sessions.

                                          Facilitated Lab #4: Exceptional Advisors: Expertise, Ethics, and Higher Expectations

                                          According to new client research, HNW investors have high expectations for their advisors, particularly related to their expertise and ethical standards. Join this knowledge café for an interactive lab where you will be asked to engage in dialogue with your peers about how to apply the principles from the Investments & Wealth Institute Code of Professional Responsibility to real-world ethical dilemmas.

                                          *Facilitated Labs are interactive sessions. 

                                            Facilitated Lab #5: Exceptional Advisor

                                            Clients who say they receive high value from their advisor are more likely to refer and they are more loyal.  The question is this.  What drives client perception of value and how can you positively impact that perception?  In this session Julie Littlechild, Founder of Absolute Engagement will unveil new investor research from the Investments & Wealth Institute that examines and quantifies ‘value’ among high net worth clients.  And, she’ll share a step-by-step action plan to design your business, your team and your client experience to support higher value and drive meaningful growth.

                                            *Facilitated Labs are interactive sessions. 

                                            Facilitated Lab #6

                                              5-7 p.m.

                                              Reception

                                                Wednesday, May 08

                                                Time
                                                Session Speakers
                                                7-8 a.m.

                                                Breakfast with Sponsors and Exhibitors

                                                  8-9 a.m.

                                                  General Session #6: Originals: How Non-Conformists 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 #7: The Hidden Motives of Investment Teams (and How to Take Advantage)

                                                    What is the top priority of investment team members when they come together to make a decision? Spoiler: it is not to make the best possible decision.