2019 Wealth Advisor Forum

The Wealth Advisor Forum is designed to provide insight, effective strategies, and real-world tools to help financial professionals distinguish themselves among those who serve high-net-worth (HNW) and ultra-high-net-worth (UHNW) clients. This event features the right mix of up-to-date academic, practitioner, and industry expertise that you won’t want to miss.

  • Sunday
    October 20, 2019
  • Monday
    October 21, 2019
  • Tuesday
    October 22, 2019

Sunday, October 20

Session Speakers
12:30-4:30 p.m

Registration/Information Desk Open

    2-4 p.m.

    Optional Pre-Conference Workshop: Strategies for Working with HNW Clients

    Part 1: A Guide to International Investing

    Did you know that most years the top stocks come from outside the U.S.? This session discusses what has changed in international investing, why international equities belong in a well-diversified portfolio, and the different ways to include international exposure in your portfolios.
    Presented by Emily Tillman

    Part 2: Behind the Scenes: Supporting the Client and the Attorney Through the Estate-Planning Process

    In estate planning, the attorney-client relationship doesn’t always lend itself to a fulfilling process. As an advisor you can elevate the experience, while adding value for your client, by playing a range of supporting roles.
    Presented by Jeffrey Brooks

    *Additional fee applies.

    Sponsored by:                                          

    Monday, October 21

    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 #1: Talk Triggers

        Turn Your Customers Into Volunteer Marketers Word of mouth is responsible for as much as 50% of all
        purchases, yet almost nobody has an actual plan to generate it. In this fast-paced, dynamic, modern presentation Jay Baer presents you with a simple, yet critical choice: do you want to be the same, or do you want to be different? When you offer a differentiated, talkable customer experience, it compels conversation. And when customers talk, they recruit new customers…for free.

        9:15-9:45 a.m.

        Break with Sponsors and Exhibitors

          9:45-10:45 a.m.

          General Session #2: A History of the Financial Crisis and Lessons Learned for the Future

          With the advent of the financial crisis in 2008 and the role that the federal government played to put the U.S. economy on the road to recovery, what did we learn from that process and how can we plan for continued stability? As one of the original members of the U.S. Department of the Treasury/Federal Reserve Transition Team and then Treasurer of the United States for the following seven years, Treasurer Rios provides her perspectives on lessons learned from her tenure during one of the most consequential times of our nation’s economic history.

          • Rosie Rios
            Harvard University, 43rd Treasurer of the United States, Visiting Professor
          10:45-11 a.m.

          Break with Sponsors and Exhibitors

            11 a.m.-12 p.m.

            Workshop #1: Understanding the Medicare Taxes

            With the passage of new health care legislation in late March of 2010 – now upheld by the Supreme Court – Congress has implemented a series of new Medicare taxes on both earned and unearned income, starting in 2013. In this session, we will explore the technical rules that will apply to both of the new taxes, and explore the planning implications and potential techniques to manage or mitigate the impact of the tax now that it took effect in 2013.

            Workshop #2: Ordinary/Capital Gains Tax Planning or Asset Protection

            Now is the time to plan for future capital gains and asset protection. When most advisors think of capital gains planning, they think in terms of either Section 1031 exchanges or charitable remainder trusts. We have a series of other techniques available to reduce, defer or eliminate the capital gains. Of course, the most effective of such techniques depends on (1) planning ahead and (2) the nature of the asset being sold. The earlier the clients engage in planning, the more options are available. In fact, Section 453(e), the best type of capital gains planning, requires at least a two-year incubation period. Also, there are structures available to reduce a client’s income tax and provide the client with protection against future creditors. In this workshop, structures to reduce, defer or eliminate capital gains, income tax planning for individuals and their “S” corporations will be discussed, along with creditor protection with the use of limited partnerships, LLCs, irrevocable children’s trusts, and QPRTs.

            12-12:45 p.m.


              12:45-1:45 p.m.

              Workshop #3: Ask Me Anything

              Workshop #4: Your High-Net-Worth Client Strategy: It’s What They Want, Not What You Know

              Did you know that ten percent of high-net-worth (HNW) investors—even those who claim they’re satisfied with their primary advisor—plan to switch some or all of their business in the next 12 months? For HNW clients, it’s not about what you know. It’s about what they want, and whether they trust you to provide it. In this presentation you’ll learn how to service HNW clients, and get techniques to help keep them. We’ll discuss why HNW investors may leave – even when they’re satisfied, what is means to truly understand their needs, how to earn your HNW client’s trust, and how to create a service model that focuses on making your client experience personal.

              2-3 p.m.

              Workshop #5: Assisting Clients through Opportunities with Charitable Organizations

              Manning & Napier will be discussing how to grow your advisory practice through opportunities with charitable organizations.  Learn about the significant and attractive opportunities of working with non-profits and the unique considerations from fiduciary and governance responsibilities, to investment policy statements and spending rules, to providing fundraising support.

              We’ll also look into a number a specific client case studies from balancing spending needs, maintaining continuity and engagement, and creating a planned giving program. And finally, you’ll learn to ask the right questions to help get your foot in the door and start working with non-profit organizations. Leverage the expertise of Manning & Napier’s Endowment & Foundation Consulting Service to acquire and work with these organizations as clients.

              Workshop #6: 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.

              3-3:15 p.m.

              Break with Sponsors and Exhibitors

                3:15-4:15 p.m.

                Workshop #7: A Roadmap for Fixed Income Investing in a Low Rate Environment

                Passively managed vehicles have grown exponentially over the past decade, buoyed by low fees, ease of use, and robust returns. But with yields at all-time lows, the risk of indexed strategies has steadily increased. If rates remain near current levels, then all is well. But if 2019’s historic fixed income rally is a short-term phenomenon (e.g., a bubble), passive vehicles could struggle.

                During the presentation, Eddy Vataru, a portfolio manager experienced in passive, active and absolute return strategies, will review each approach and evaluate them in the context of the current environment. Additionally, he will discuss the benefits and risks of both quantitative and fundamental investment disciplines. Finally, he will share his outlook for the investment-grade fixed income market.

                • Eddy Vataru
                  Osterweis Capital Management, Vice President & Senior Portfolio Manager

                Workshop #8: Private Equity

                This session focuses on why the private equity (PE) historically outperforms, detailing the benefits and trade-offs 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 Capital Partners, Managing Partner
                4:30-5:30 p.m.

                General Session #3: Inspire Integrity: Chase An Authentic Life (Ethics)

                Corey’s most popular keynote on ethics encourages audiences to chase the truly important things in life such as a solid character, strong personal relationships and a sense of contentment. These “real rabbits” are compared and contrasted to more fleeting worldly success such as excessive wealth, popularity, and prestige. Audience members leave with a better sense of what it takes to develop integrity, set priorities, gain a big-picture perspective, and chase an authentic life. By the end, Corey promises that this will be one of the most powerful and motivational speeches you have ever heard.

                5:30-6:45 p.m.

                Reception with Sponsors and Exhibitors

                  Tuesday, October 22

                  Session Speakers
                  7 a.m.-2:30 p.m.

                  Registration/Information Desk Open

                    7-8 a.m.

                    Breakfast with Sponsors and Exhibitors

                      8-9:15 a.m.

                      General Session #4: Key Issues for Investors as Washington Grapples With Slower Growth and Trade Wars

                      These key issues include why the federal reserve will stay dovish, why deficits explode and whether anyone cares, Donald Trump’s electoral college problem, whether democrats will veer too far to the left and geopolitics, the great wild card for investors.

                      9:15-9:30 a.m.

                      Break with Sponsors and Exhibitors

                        9:30-10:30 a.m.

                        Workshop #9: How Longevity Is Re-Shaping Advice

                        An unprecedented population of Americans are living well into their 80s and 90s, pioneering a new normal of active and independent living. Their inherent longevity and desire to remain active is fueling economic growth far longer than past generations. But is the wealth management industry ready to serve this transformative population of clients? In this session, Angie O’Leary, head of wealth planning for RBC Wealth Management—U.S. will explore how the longevity generation, which holds a large and growing concentration of wealth, will necessitate change in the industry and how firms can respond. The session will touch on the platforms and skillsets firms and advisors need to best serve clients, how firms can best work with families to ensure the best care and quality of life for clients and how the rising prevalence of dementia and cognitive decline factors into the work advisors do today and in the future.

                        Workshop #10: Understanding Tax Advantage of Real Estate

                        A case study discussing how real property and business assets can be sold to maximize tax advantages.  The session will provide an overview of opportunity zone funds and 1031 tax deferred real estate exchanges, compare and contrast the various benefits of each, and illustrate how both strategies can be implemented in various client scenarios.

                        10:30-10:45 a.m.

                        Break with Sponsors and Exhibitors

                          10:45-11:45 a.m.

                          Workshop #11: Implementing Health Care into Wealth Care

                          Planning for health care costs is a significant unknown for financial planners and their clients. Organizations such as Fidelity and Employee Benefit Research Institute offer averages, and we know there is rarely the average person. Carolyn helps advisers plan for this unknown by teaching you how to have discussions with clients about health issues that may impact planning, help you determine a client’s health care mindset which impacts how much they spend on health care, and show you how to incorporate a client’s health status into insurance planning, income planning, and advance directive planning.

                          Workshop #12: Income Growth Through an LDI Approach

                          Investors often save with the goal of meeting a future liability such as maintaining purchasing power in retirement or funding a major one-time expense, but what is the best approach to meet those goals? This presentation will focus on understanding the cost of future liabilities, and what affects that cost, in order to help investors reduce the uncertainty around meeting their savings goals.  

                          11:45 a.m.-12:30 p.m.


                            12:30-1:30 p.m.

                            General Session #5 Behavioral Portfolio Construction

                            • Kathleen Fitzgerald
                              University of Chicago, Adjunct Associate Professor of Strategic Management
                            1:30-2:30 p.m.

                            General Session #6: Hug Your Customers

                            Jack Mitchell, a master of customer service, reveals his secrets for developing long-lasting business relationships and customer loyalty.