2017 Agenda

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Wednesday, September 6th Pre-Conference Workshop and Sessions

  • 9:00AM - 12:00PM - Four Point Plan: The Most Direct Path to Building a $1B Firm

     

    Angie Herbers, FourPointe Consulting - View Bio

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    There is a $549 cost for this workshop

    After 16 years of experience growing small and mid-size advisory firms to $1B in assets under management, Angie Herbers is sharing the path to take you there in this rare, three-hour workshop. The path is surprisingly easy if you know the fundamental steps you need to take to grow – and if you have the desire to grow.

    This workshop is ideal for leadership teams, advisory firm owners and partners who are dedicated to growth. You will walk away with a plan to reach $1B in AUM; a strategic financial growth projection to show you how to make the right investments in your business at the right time, plus never before released tools to make your big dream a reality!

    Learning Objectives: How to strategically hire in advance of growth, including which positions to fill at different stages of business evolution. How to manage and deploy business capital, and how to evolve your marketing strategy based on the incremental growth in the firm’s size and reputation.
    Level of Interactivity: Interactive Workshop
    Level of Complexity: Advanced
    AICPA Field of study: Finance
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits: No
    # of Credits: 3.5

  • 9:10AM - 10:00AM - Micro-targeting Marketing

     

    Kristen Luke, Kaleido Creative - View Bio

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    Complimentary Session

    When it comes to generating new business, referrals from clients and centers of influence still reign supreme. However, more advisors than ever are turning to online campaigns to drive business. Adapting strategies developed for election campaigns, Kristen Luke will teach you how to identify micro-niche markets, create a winning message and reach your ideal prospects using online channels. Specifically, you will learn how to:

    • Develop highly targeted campaigns that attract ideal prospects
    • Drive prospects through the various stages of the marketing funnel from lead to client
    • Implement a low-maintenance marketing system without expensive marketing automation software
    • Measure, monitor and optimize the success of your campaigns

    You will leave this presentation with tangible tools to implement a micro-targeting campaign for your firm.

    Learning Objectives:  How do define your target market and then customize your marketing approach to attract that cohort.  How to systematize and automate your marketing efforts, and how to measure results in order to determine success and improve marketing outcomes.
    Level of Interactivity: Interactive Workshop
    Level of Complexity: Intermediate
    AICPA Field of study: Communications & Marketing
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1

  • 9:10AM - 10:00AM - The Future of Client Engagement is Visual Collaboration

     

    Adam Holt, Asset-Map - View Bio

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    See what Bob Veres calls "the future of client engagement," "the heart of the initial client meeting," and "the hub of regular client meetings." This session focuses on techniques inspired by behavioral finance that help clients to take positive action.

    Learning Objectives:

    1. Learn to use simple visuals to launch more personal and productive conversations understand clients.
    2. To apply techniques informed by findings behavioral finance. 
    3. To help clients take positive action in a world of increasingly small attention spans.
    4. The "6Ls": questions to address in every client meeting.
    5. The "5 Whys" that help clients to recognize their past financial decisions AND commit to behaviors that will improve their future decisions.
    6. The "4 Frames": professional perspectives for interpreting the structure of client's financial lives.

    Level of Interactivity: Interactive Workshop
    Level of Complexity: Intermediate
    AICPA Field of Study: Communications and Marketing
    NAPFA Subject Code: J (Communications)
    CFP: Yes
    # of Credits: 1

  • 10:20AM - 11:10AM - Why All the Buzz About Reverse Mortgages?

     

    Tim Jackson, Reverse Mortgage Funding - View Bio

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    The topic of reverse mortgages seems to be everywhere these days. A growing number of retirement researchers, such as Harold Evensky, John Salter and Wade Pfau, have found that reverse mortgages can be used as a tool to improve a client’s probability of realizing their long-term retirement goals. Join Tom Dickson, National Leader of the Financial Advisor Channel at RMF, as he uses MoneyGuidePro© to illustrate the four common uses of the new lower cost FHA-insured* Home Equity Conversion Mortgage (HECM)—more commonly known as a reverse mortgage. Tom will discuss how clients age 62 and older can use a HECM to: (1) add income-tax free funds† to help reduce withdrawals from their IRAs (2) establish a line of credit that grows to fund long-term care expenses (3) eliminate mortgage payments if they are still making payments (4) provide a unique way to finance the downsizing of their home.

    Learning Objectives:  How reverse mortgage funding fits into the retirement asset mix.  How to use the dollars made available by a reverse mortgage to increase the sustainability of client portfolios in retirement. How this additional funding can reduce the volatility of retirement outcomes.
    Level of Interactivity: Interactive Workshop
    Level of Complexity: Intermediate
    AICPA Field of study: Finance
    NAPFA Subject Code: E (Retirement Planning & Employee Benefits)
    CFP Credits:  Yes
    # of Credits: 1

  • 10:20AM - 11:10AM - Full-Family Financial Planning

     

    Harris Scher, Everplans - View Bio

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    Complimentary Session

    Learn about industry trends that are driving advisors to offer a more robust service not only for their clients but also their clients' families. We'll explore different means through which advisors can connect with the next generation of clients and discuss the benefits of Full-Family Financial Planning.

    Learning Objectives:

    • Understand industry trends in intergenerational planning
      • Trends in inheritance retention
      • Advisor surveys and attitudes Macro trends with boomers as they age
      • Macro trends regarding millennials' attitudes and expectations
    • Enumerate risk factors in losing assets upon a client's death
    • Understand strategies for preventing asset loss
      • Family meetings - How, when, and why
      • Multi-generational outreach strategies
      • Conversation topic and starters
      • Technology tools available to facilitate multi-generational planning (Meeting software, hybrid robo tools, collaboration tools, portals, etc.)

    Level of Interactivity: Interactive Workshop
    Level of Complexity: Intermediate
    AICPA Field of study:  Finance
    NAPFA Subject Code:  A (Financial Planning Process)
    CFP Credits:  Yes
    # of Credits: 1

  • 11:30AM - 12:20PM - Solving the Most Common Disability Income Insurance Challenges

     

    John Ryan, RISC - View Bio

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    Complimentary Session

    This session will consist of four actual case study challenges in which the advisor attempts to maximize a client’s protection at the most reasonable cost. Individual, group, and specialty excess policies will be featured in these solutions.

    Learning Objectives: Learn to be able to identify gaps in a client’s disability income portfolio and understand the characteristics of various product solutions that best fill these gaps. Learn how best to design product solutions that will continue to overcome your client’s risk exposure well into the future.
    Level of Interactivity: Interactive Workshop
    Level of Complexity: Advanced
    AICPA Field of study:  Finance
    NAPFA Subject Code: B (Insurance & Risk Management)
    CFP Credits:  Yes
    # of Credits: 1

  • 11:30AM - 12:20PM - DOL Fiduciary Rule Compliance

     

    Daniel Satchkov, RiXtrema - View Bio

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    Complimentary Session

    Starting on June 9th if you onboard clients from or into IRA accounts - you will be effectively an ERISA fiduciary! ERISA fiduciary status is very different from the standard securities law fiduciary status and carries many more risks to the advisor. The fact that DOL has delayed some of the requirements until the end of 2017 should not fool you. Impartial Conduct Standard effective on 6/9 is a huge deal and it is the most important part of the DOL Fiduciary Rule. That is because, under ERISA, there is a private right of legal action and investors don't need DOL's permission to enforce it.

    During the session, you will learn about specific documentation requirements for rollovers under the DOL Rule Impartial Conduct Standard. You will see a demo of the IRAFiduciaryOptimizer, a DOL rule compliance software built by an award-winning research team at RiXtrema will create best interest reports for your rollover situations under Fiduciary Rule. 

    Learning Objectives: Understand the difference between ERISA fiduciary status and standard securities law fiduciary status.  Learn about the specific documentation requirements for rollovers under the DOL Rule Impartial Conduct Standard.
    Level of Interactivity: Interactive Workshop 
    Level of Complexity: Intermediate
    AICPA Field of study: Finance
    NAPFA Subject Code: C (Investments)
    CFP Credits:  Yes
    # of Credits: 1

Wednesday, September 6th Conference Sessions

  • 1:30PM - 2:45PM - Structuring Internal Equity Transitions - Pros & Cons of Various Approaches

     

    Roy Ballentine, Ballentine Partners - View Bio

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    This session will show you how to conduct a rigorous analysis of the pros and cons of several approaches to internal equity ownership succession planning for wealth management firms.  The results of the analysis can be captured and presented in Excel files and summary tables so that you can compare the projected results against the outcomes you’re hoping to achieve.

    Learning Objectives: How to evaluate different alternatives for making the successor generation equity owners of the firm.  How to determine the cost vs. equity value, and how broadly to distribute equity.  Also: how to define the outcomes you want to create with broadened equity ownership.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity:  Advanced
    AICPA Field of study: Business Management & Organization
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 1:30PM - 2:45PM - Technology Trends & Threats: What You Need to Know & Do

     

    Joel Bruckenstein, T3 - View Bio

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    Consumers are increasingly being offered a seamless digital experience from service providers in all walks of life—and increasingly from institutional financial service providers.  How can you respond to the tech challenge of a generation without compromising client service or company profitability?

    Learning Objectives:  How to broadly think about the role technology plays in your business.  How to evaluate the expectations that are being created by service providers in the financial planning and consumer marketplace, and the competitive challenge they present that you will have to meet.  How to determine the key software tools for a financial planning practice based on your unique value proposition.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Information Technology
    NAPFA Subject Code: M (Technology)
    CFP Credits:  No
    # of Credits: 1.5

  • 1:30PM - 2:45PM - When Active Outperforms

     

    David Marcus, Evermore - View Bio
    Jason White, T. Rowe Price - View Bio
    Michael Shaoul, Marketfield - View Bio
    Gary Miller, Frontier Asset Management - View Bio
    Bob Veres, Inside Information (moderator) - View Bio

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    How does the current dollar flow into indexing funds open up opportunities for active fund management?  Hear how managers are taking advantages of special company opportunities that don’t fit neatly into index categories, and how professional evaluation can spot the ways disruptive technologies will impact different companies and industries.  Also: how is the flow into índex funds that invest regardless of underlying valuation raising the share prices of companies whose underlying fundamentals are weak?

    Learning Objectives:  Determining whether the current flow of investor dollars into indexed management creates an opportunity for active managers to outperform.  If so, determining the nature of the opportunity: whether active managers have an advantage in foreseeing disruptive change caused by technology; whether they have more access to special circumstance opportunities that don’t fit well into indexed portfolios; whether the current bull market is driven by flows into index funds, which is supporting companies whose fundamentals are weak equally with those that are strong.
    Level of Interactivity: Panel Discussion/ Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study:  Finance
    NAPFA Subject Code: C (Investments)
    CFP Credits:  Yes
    # of Credits: 1.5

  • 1:30PM - 2:45PM - The Constructive Use of Disruption

     

    Susan Bradley, Sudden Money Institute - View Bio

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    The financial planning profession is experiencing a disruption due to proposed changes in its regulation as well as the growing realization that the personal side of money is inextricably tied to technical financial decision-making. This disruption can be used to successfully transition the financial planning industry toward a model that integrates the personal side and acknowledge its influence. This session will address the universal fundamentals of successful transitions and how they can be applied individually and collectively towards productive and successful transitions.

    Learning Objectives: This session will first describe the current state of the industry and the turmoil that has created an opportunity for growth and expansion. It will then introduce the universal fundamentals of successful transitions and how they can be applied to planners in their individual practices as well as collectively.
    Level of Interactivity: Presentation/Audience Questions/Case Studies
    Level of Complexity: Advanced
    AICPA Field of study: Personal Development
    NAPFA Subject Code: L (Strategic Thinking)
    CFP Credits:  Yes
    # of Credits: 1.5

  • 2:45PM - 3:45PM - Meet & Greet - Exhibit Hall - Broadway Ballroom West

     

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    Coming Soon

  • 4:00PM - 5:00PM - Announcements & Opening Keynote - "The New Profession"

     

    Bob Veres, Inside Information - View Bio

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    A look at the profession as it will be six to eight years in the future, and how to start preparing now.  Financial planning firms will need to develop new service models that will be appropriate to the blue ocean of middle market clients (including cash flow planning and debt management), new pricing structures (including a transition from AUM pricing to retainers) and leverage the new robô technology offerings to gain better operational leverage.

    Learning Objectives:  How the current and next generation technology will impact the profession, and how to respond.  How your service model might change for a new generation of clients (and new generational service preferences).  How to market to a new generational cohort.  How to measure client service and improve it.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Business Management & Organization
    NAPFA Subject Code: L (Strategic Thinking) and K (Marketing and Practice Management)
    CFP Credits:  No

  • 5:00PM - 6:30PM - Opening Cocktail Reception & Networking - in the Exhibit Hall Broadway Ballroom West

     

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    Coming Soon

  • 6:30PM - 9:00PM - Live Music Event with Food & Drink - Broadway West Prefunction

     

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    More details to come

 

Thursday, September 7th

  • 7:30 AM - 8:30 AM - Breakfast - Broadway West Prefunction

     

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    More details to come

  • 8:45 AM - 10:00 AM - Student Introductions & Keynote #2 - G2: Developing Your Firm's Next Generation Leaders

     

    Philip Palaveev, The Ensemble Practice - View Bio

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    The single highest priority for the independent financial advisory industry today should be the development of the next generation of professionals (“G2”). G2s are not just succession instruments. Instead they are the key to growth, the portal to replenishing a younger client base, the new experts and very importantly the future leaders of advisory firms. Unfortunately, many firms struggle to develop their own G2 talent. Founders are excellent professionals and entrepreneurs but they are not skilled coaches and trainers.

    Philip Palaveev’s presentation draws on his new book “G2 – Building the Next Generation” to provide guidance to both founders and G2s on the needs of the next generation and the path to development of skills such as business development, leadership and management. The presentation draws on Philip’s experience as a consultant and as the founder of the G2 Leadership Institute.

    Learning Objectives:  How to determine who are your leaders at your firm currently.  How to fast-track the training for those who have been defined as leaders.  Some of the pitfalls of managing talented individuals, including the fallacy that you should treat everyone equally, and how that will negatively impact your work environment.  How younger advisors can step forward and become leaders, and how they can help shape the future of their company in this hyper-rapid evolutionary environment.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Business Management & Organization
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 10:00 AM - 11:00 AM - Networking in Exhibit Hall - Broadway Ballroom West

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    More details to come

  • 11:00 AM - 12:15 PM - How to Profitably Evolve Your Client Service Models to Serve Your Future Great Clients

     

    Alison Scherr, Kahler Financial Group - View Bio
    Brad Felix, Truepoint Wealth Counsel - View Bio
    Jean Sinclair, Avenue Advisors (moderator) - View Bio

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    Learn the many business reasons why even very successful firms might want to evolve existing service models, such as protecting your future bottom line, engaging your employees, and helping those who really need your unbiased advice. Hear how a mid-sized and large firm structured their service offerings, how they allocate firm resources to each service model, how they’ve structured their fees in light of the cost of delivery and how they’ve continued to evolve their service models.

    Learning Objectives:  How to define the services that next generation clients need, and how to build a business and revenue model that allows you to profitably provide those services.  The session will provide specific examples of how firms that have traditionally served wealthy clients have pivoted to providing services to middle-market accumulator clients.
    Level of Interactivity: Co-presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Personal Development
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 11:00 AM - 12:15 PM - Designing Processes for Growing Your Firm

     

    Cheryl Holland, Abacus Planning Group - View Bio
    Bethany Griffith, Abacus Planning Group - View Bio
    Scotty Scott, Abacus Planning Group - View Bio

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    Learn best practices for creating and implementing new workflows and processes.  The session will also focus on creating a culture that embraces and evolves processes.  For those seeking a starting point, the session will include multiple checklists and processes from the Abacus team.

    Learning Objectives:  How to define a workflow and process as the atomic structure of your service delivery.  How to engage staff in the ongoing evolution of processes, and how to create new workflows and processes in a group brainstorming session that creates staff buy-in and enthusiasm.  The session will provide concrete examples of workflows and the processes by which they were created.
    Level of Interactivity: Panel Group Presentation/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study: Business Management & Organization
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 11:00 AM - 12:15 PM - The Crazy World of Health Care Reform

     

    Carolyn McClanahan, Life Planning Partners - View Bio

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    Health care reform is again in flux with the new administration. How will they change our health care payment system? Will they actually fix our system and bring down costs? Dr. Carolyn McClanahan is a long-term participant in the health care reform debate. In this session, she will share the current status of health care reform, how it will change the health care system, and how to prepare your clients for whatever the administration throws our way. It will be an entertaining, thought provoking, and informative session.

    Learning Objectives: How to plan for client healthcare costs, currently and cumulatively in retirement for retirement projection analyses and plans. 
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study: Economics
    NAPFA Subject Code: B (Insurance & Risk Management) and A (Financial Planning Process)
    CFP Credits:  Yes
    # of Credits: 1.5

  • 11:00 AM - 12:15 PM - Managing Outside the Box: Why to Consider Hiring from Outside the Profession

     

    Chris Emert, Matter Family Office - View Bio
    Channing Hussey, Mosaic Financial Partners - View Bio
    Barrett Karvis, Edge Capital Partners - View Bio
    Lisa Crafford, PAS (moderator) - View Bio

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    Professionally managed firms in our industry consistently outperform non-professionally managed firms – so how do you know when your firm is ready for dedicated management? Then how do you transition from managing the firm yourself to hiring a COO, where do you find the right candidate to fill the need, and what benefits thinking outside the box can bring to your business.

    Join us as we explore how three new to the industry COOs, who prior to their current roles have no RIA experience, are driving profitable growth and organizational change at their firms. We will explore how these three COOs are bringing new ideas and outside perspectives to their firms, how their firm came to the point of needing a COO, and the differences between firms with and without dedicated management.

     This session is designed for those of you currently considering hiring dedicated management for your firm, those with dedicated management looking for fresh ideas and to hear business management best practices, and attendees who are in an operational role who aspire to be RIA COOs to provide you with motivation and inspiration of how you can add additional value to your firm from an operational perspective.

    Learning Objectives: Determining when your firm is ready for dedicated management and how to transition from managing the firm yourself to hiring a COO.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Business Management & Organization
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 12:15 PM - 1:30 PM - Lunch with Roundtable Discussions - Broadway West Prefunction

     

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    More details to come

  • 1:30 PM - 2:45 PM - Life Without Limits

     

    Stephanie Bogan, Educe - View Bio

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    Learn the 5 Freedoms of Limitless Advisors, which will challenge your beliefs about success, happiness and what drives business performance.  After this session, you’ll have the key to working with purpose on your terms, and focus your energy on work you like, with people you like, in happiness, contribution and fulfillment.

    Learning Objectives: How to overcome your own mental limitations.  How to achieve congruence between what you do, think, feel and do, and how to listen to your body’s feedback loops to identify incongruities that can lead to failure.  How to stop placing limits on what you believe you can achieve.
    Level of Interactivity: Live interactive coaching session
    Level of Complexity: Intermediate
    AICPA Field of study: Personal Development
    NAPFA Subject Code: L (Strategic Thinking)
    CFP Credits:  No
    # of Credits: 1.5

  • 1:30 PM - 2:45 PM - Practice Protection: How to Successfully Complete a Regulatory Examination

     

    Tom Giachetti, Stark & Stark - View Bio
    Tom Harms, Summit Trail Advisors - View Bio
    Kim Brown, JNBA Financial Advisors - View Bio

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    Our panelists will discuss how to address various practice protection issues necessary to successfully complete a regulatory examination, including the importance of the Annual Review/Risk Assessment process, Cyber/Information Security, Custody, investment due diligence, share class issues, counting AUM properly, initial and ongoing suitability confirmation process, employee supervision and education (including an Annual Compliance Meeting and interim staff meetings), and appropriate ADV provisions, including too often missing conflict disclosures.

    Learning Objectives:  How to anticipate issues that the SEC examiners will be asking about, including recent developments in actual audit situations.  How to implement best practices in reviewing policies and procedures, cybersecurity precautions and fundamentals like accurate information on the Form ADV.  Also: How to conduct annual compliance meetings and implement staff training in compliance obligations.  The session will include real-world examples of how these are accomplished at two large advisory firms.
    Level of Interactivity: Panel Discussion/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study: Regulatory Ethics
    ​NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  Yes
    # of Credits: 1.5

  • 1:30 PM - 2:45 PM - Creative & Effective Recruiting, Vetting & Hiring for Your Human Talent

     

    Luke Dean, UVU - View Bio
    Ginny Hudgens, The Strategic Implementer - View Bio
    Hunter Judson, Jr., The Judson Group - View Bio
    Shaun Kapusinski, Sequoia Financial Group (moderator)- View Bio

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    In your quest to hire the best, learn what to do to make your firm stand out from your competitors; how to look at your firm strategically to ensure that you are hiring for the right positions; and the impacts on you and your firm if you do hire the best people. Hear about the many different avenues - both good and bad -  for finding candidates and what a robust vetting and qualification hiring process should look like.

    Learning Objectives:  How to create an attractive environment for talented younger advisors.  How to find and identify candidates.  How to perform a thorough evaluation of their capabilities and motivation during the recruiting and hiring process.
    Level of Interactivity: Panel Discussion/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study: Personnel/Human Resources
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1.5

  • 1:30 PM - 2:45 PM - Emerging Business & Technology Resource TED Talks

     

    Marie Swift, Impact Communications (Emcee) - View Bio
    John Mackowiak, Advyzon - View Bio
    Jay Michel, CircleBlack - View Bio
    Gary Zimmerman, MaxMyInterest - View Bio 
    Wes Stillman, RightSize Solutions - View Bio
    Daniel Satchkov, RiXtrema - View Bio
    Harris Scher, Everplans - View Bio
    Steve Ambuul, Asset-Map, LLC - View Bio

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    Learn about some of the newer resource providers and services in the RIA space that can benefit your clients, help your business become more efficient, improve your client experience.​

  • 3:00 PM - 3:50 PM - Ditch the Elevator Pitch: Distill & Leverage Memorable Messaging with “Snackable Content”

     

    Megan Carpenter, FiComm Partners - View Bio

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    Hear from a marketing expert how to create sharp, distinct, and easy-to-consume “snackable content” to communicate effectively and memorably with your intended audience. Learn how to distill your messaging into bite-sized pieces that can be leveraged across your digital presence, marketing campaigns, social media, video, and public relations, thus making efficient use of your firm’s marketing efforts, time, and money.

    Learning Objectives: How to take content that you’ve already created and break it down into short, interesting, eye-catching material.  How to take complex concepts and distill them into interesting sound bite material.  How to utilize these shorter, more impactful messages across the range of social media and through your public relations network.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Overview
    AICPA Field of study: Communications & Marketing
    ​NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1

  • 3:00PM - 3:50PM - 3 Strategies that Eliminate Mistakes When Selecting New Technology

     

    Jo Day, Trumpet - View Bio

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    Every year, your firm evaluates technology – what to change and what to purchase. Researching, demoing and vetting software is time consuming, and nearly every advisory firm has experienced a software system that just didn’t “take.” Join technology expert Jo Day, as she walks you through a process for vetting technology.

    Learning Objectives: How to use quick surveys to improve outcomes.  How to easily evaluate and compare technology solutions.  How to implement strategies that get staff buy-in for your recommendations.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study:  Information Technology
    NAPFA Subject Code: M (Technology)
    CFP Credits:  No
    # of Credits: 1

  • 3:00PM - 3:50PM - The Platform of the Future

     

    Rich Cancro, AdvisorEngine - View Bio
    Bob Veres, Inside Information - View Bio

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    Coming Soon

  • 3:00PM - 3:50PM - The Purposeful Advisory Firm

     

    Raef Lee, SEI - View Bio

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    The financial services profession seems to have concluded that an Enterprise model as the only "correct" way to run your business. In reality, the only correct way is the one that lets you best focus on your goals and your clients’ needs. This session takes a close look at exclusive research into the different possible business stages/models, helping you assess potential vital tradeoffs between higher revenue with lower valuation vs. lower short-term revenue with higher valuation.  It will also look at key differences in business stages/models and purposeful decisions you should make along the way, and how to firm up your firm by creating an optimized Lifestyle or Enterprise business.

    Learning Objectives: How to map your personal and professional goals to the different business models in the financial services profession.  How to identify key inflection points and the decisions that will maximize your chances of achieving your goals through different models.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of Study:  Business Management & Organization
    NAPFA Subject Code:  L (Strategic Thinking) and K (Practice Management)
    CFP Credits:  No
    # of Credits: 1

  • 3:50 PM - 4:50 PM - Networking in Exhibit Hall - Broadway Ballroom West

     

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    More Details to Come

  • 4:50 PM - 5:50 PM - Keynote #3 - The 12 Most Important Things I've Learned About Managing an Advisory Business

    Roy Ballentine, Ballentine Partners - View Bio

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    The founder of one of the nation’s best-managed and fastest-growing advisory firms shares his (sometimes painful) lessons about how to create a flywheel of positive effects throughout your organization, from distributed marketing to leadership training to strategy.

    Learning Objectives: How to define and create a viable strategy to compete in the marketplace.  How to build values in your organization.  How to focus your firm’s energies and communicate its value in a succinct and impactful way.  How to retain employees and set up a leadership pipeline.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study: Personal Development
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1

 

Friday, September 8th

  • 8:30 AM - 9:20 AM - Keynote #4 - Change is Near: How Data & Future Technology will Shift Financial Services

    Danielle Fava, TD Ameritrade Institutional - View Bio

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    Tech innovation has completely transformed our capabilities. Data has emerged as one of the most powerful sources for growth. But, how will these changes impact Financial Services and shape how successful firms grow? How will your behavior and your business change? Powerful technology, dynamic data and on-demand analytics can help us answer those questions. Hear about some of the explosive discoveries and trends budding in the financial services space—from advertising, to client experience and beyond—as well as the future of on-demand analytics.

    Learning Objectives: How advisors will be able to use “big data” collected from their peers and from their own metrics calculated automatically from their custodial relationship to get a better handle on the financial management of their firms.  How marketing will evolve with the evolution of the Internet.  How increasingly fast data speed and better screen resolutions will change the client experience when working with a financial planner.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study:  Production
    NAPFA Subject Code: K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1

  • 9:20 AM - 10:35 AM - Networking in Exhibit Hall - Broadway Ballroom West

     

    +

    More details to come

  • 10:35 AM - 11:25 AM - Alternative Fee Structures for Revenue Growth

     

    Matthew Jackson, Simon-Kucher & Partners - View Bio

    +

    Discover how to develop fee structures that give you the ability to customize, ensure profitability and enhance consistency of service. Learn how to build a framework that aligns the complexity-of-service provided with price, accommodates emerging client segments, and more clearly communicates value. You will also learn how to accommodate human psychology in your pricing strategy to ensure cognitive ease through intuitive value propositions, reference points and alternative choice sets. Explore how to leverage digital channels to address sticker shock. Throughout this session you will uncover how tiered service levels can lead to greater transparency and customer understanding. 

    Learning Objectives:  How to look at your fee structure from different angles; is it aligned with the staff effort that goes into different services?  Is it aligned with the value that the service provides to clients?  How to “sell” your pricing strategy to a potentially skeptical marketplace.  How to create different client service and pricing levels which make it easier to understand how you’re charging and why.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study:  Management Services
    NAPFA Subject Code: L (Strategic Thinking) and K (Marketing and Practice Management)
    CFP Credits:  No
    # of Credits: 1

  • 10:35 AM - 11:25 AM - Navigating the Post-DOL 401(k) Marketplace

     

    Steven Kaye, AEPG - View Bio

    +

    Hear about the changing landscape in the 401(k) marketplace and what RIA’s need to know about the newest trends in auto-increases, re-enrollments, financial wellness programs, newest modes of education, fee compression, movement to flat participant fees vs. % AUM, and more. Get the latest on the Fiduciary Rule and learn about the new DOL audit guidelines and why over 70% are failing plan audits, with the average fine being over $450k.

    Learning Objectives: How to implement some of the newer features of 401(k) plans, including automatic increases as employee pay rises, and automatic re-enrollments, and educational services for the company staff.  How to evaluate an existing qualified plan for compliance with the DOL’s latest guidelines, and what issues to watch for that are often overlooked.

    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Advanced
    AICPA Field of study: Finance
    NAPFA Subject Code: E (Retirement Planning & Employee Benefits)
    CFP Credits: Yes
    # of Credits: 1

  • 10:35 AM - 11:25 AM - Family Dynamics When Money is Moving: Learn How to Identify Issues & Guide Discussions

     

    Peggy Frye, Glenayr Wealth, LLC - View Bio

    +

    Family dynamics and structures can be delicate and are easily disrupted. What might seem like an event that is isolated to an individual can trigger profound and even devastating effects for everyone. This is true for all families and often magnified when money is moving – in or out.  Learn how to help individuals identify issues that can arise, and investigate how to guide meaningful family discussions when disruption is present. 

    Learning Objectives:  How to facilitate deep conversations with clients when they are experiencing emotional trauma.  How to identify issues that might lead to a less-than-optimal outcome, and communicate solutions.
    Level of Interactivity: Presentation/Audience Questions
    Level of Complexity: Intermediate
    AICPA Field of study:  Communications and Marketing
    ​NAPFA Subject Code: A (Financial Planning Process)
    CFP Credits:  Yes
    # of Credits: 1

  • 10:35 AM - 11:25 AM - HIFON - The National Study Group for Operations Professionals

     

    Shaun Kapusinski, Sequoia Financial Group - View Bio

    +

    The right people, in the right place, at the right time. Come discover how HIFON has brought together over 130 firms nationwide, focusing in on operations professionals who collaborate on RIA best practices. Learn why putting your operations leader into such a group will produce results for you, your firm, and ultimately your clients. Have any interest in plugging in your compliance leader into a similar group? How about your financial planning team? We’ve got a home for both. For those familiar with HIFON, we’ll explore some of the new ways HIFON will seek to bring even greater value to you and your firm. Join us as we cover the benefits of being a part of our growing network of RIA operations professionals.​

  • 11:30 PM - 1:00 PM - Lunch & Keynote #5 - Veres + Herbers: Unplugged & Unscripted

     

    Angie Herbers, FourPointe Consulting - View Bio
    Bob Veres, Inside Information - View Bio

    +

    What are the most important new developments in the planning profession, and what is the best practice management, marketing and client service advice that two industry thought leaders can provide?  This session will provide a tight focus on three or four things that you could be doing right now to be more successful and make your clients more successful in their lives as well.

    Learning Objectives:  How to improve the management of your firm.  How to accelerate the career development of your professional staff.  How to develop more powerful success habits.  How to create, measure and track improvements in the level of your overall client service.
    Level of Interactivity: Open Panel Discussion
    Level of Complexity: Intermediate
    AICPA Field of study: Personal Development
    NAPFA Subject Code: L (Strategic Thinking)
    CFP Credits:  No
    # of Credits: 1.5

  • 1:00 PM - 1:15 PM - Conference Wrap Up - Broadway Ballroom E

     

    +

    More Details to Come

  • 1:15PM - 4:15PM  - Susan Bradley's CeFT® Workshop. DISCOUNTED RATE OF $290 FOR INSIDER'S FORUM ATTENDEES

     

    +

    This Financial Transitionist® Workshop is a one-day event led by SMI faculty that introduces the scholarship (inneuroscience, psychology, sociology, and adaptive leadership) underpinning the work of the Financial Transitionist®. It provides an overview of the processes, tools, skill set and qualities of the Financial Transitionist® as well as introduces two primary tools. Those tools are presented with case studies and include role play, preparing attendees for practical application immediately following the workshop. This workshop is open to everyone; it has no prerequisites.

    • 3 hours of CFP CE
    • Experiential learning
    • Practical tools and proven methodology for financial transitions management
    • A deep dive into two primary tools of the Financial Transitionist®

    REGISTER HERE: https://www.suddenmoney.com/index.cfm?fuseaction=eventregistration.register&step=1

     

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