Conference Agenda

* Agenda as of January 15, 2013. Subject to change.

Wednesday, January 30
Pre-Conference Day

stay one step ahead. Arrive one day before the main conference and participate in our popular pre-conference breakout sessions or workshops. Learn from third-party industry experts and TD Ameritrade Institutional representatives on key topics that will help you manage your business, meet your clients' increasing expectations, and increase your operational efficiency.

Learn more about the breakout sessions on the Pre-Conference Day Agenda. The four Pre-Conference Day themes include:

Full and half day Pre-Conference Workshops, focusing on other core business needs, are also available and require pre-registration.

Data Security Awareness

Data Security AwarenessGain insights from industry experts about topics such as fraud trends, data sharing and management, and business contingency planning. Learn about general best practices that you can implement upon returning to your office to help you better protect your clients' information and assets.

Breakout Sessions will focus on:

  • Best Practices for Working with the TDA Institutional Transfer Team
  • Best Practices for Establishing and Maintaining Client Accounts
  • Overview of Affinity Services Program
  • Implementing LEAN Initiatives to Increase Profitability

Veo 101 - Learn about Veo Basics

One size does not fit all when it comes to technology. In these economic times it is critically important for your firm to leverage the applications most suited to your firm's needs. Listen to your peers share their experiences and best practices about how they evaluated and selected CRM, document management, portfolio management and financial planning applications. Gain an understanding of how to best craft your technology investment strategy before purchasing what most suits your business needs.

Breakout Sessions will focus on:

  • Veo 101 - Learn about Veo Basics
  • Veo 201 - Veo's Advanced Features and Functionality
  • Veo 301 - Veo's Electronic Signature Capabilities
  • Veo 401 - Veo's Trading and Rebalancing Capabilities

Selecting Technology Best Practices

Find out how you can take advantage of the integrated applications to improve your productivity and client service. Hear from your peers and industry experts about how the success of your technology investment is directly tied to your implementation plan. Join our afternoon workshop hosted by ActiFi to find out why there is such a buzz about workflows and map out your own processes.

Breakout Sessions will focus on:

  • Panel discussion - Best Practices for Selecting a CRM
  • Panel discussion - Best Practices for Selecting a Document Management System
  • Panel discussion - Best Practices for Selecting a Portfolio Management System
  • Panel discussion - Best Practices for Selecting Financial Planning Software

Technology Integration and Workflows

Gain a better understanding of TD Ameritrade Institutional's account transfer process, from ACATs and DTCs to outgoing transfers. Get insights into TD Ameritrade Institutional's account opening process, including paperwork requirements on our most common new account forms and account maintenance requests. Experience live how you can gain an edge with advanced trading functionality such as algorithmic trading, rebalancing capabilities, order slicing, robust portfolio analytics, and real-time risk management.

Breakout Sessions will focus on:

  • The Evolution and Future of Technology Integration
  • High level Overview about the Importance of Workflows
  • Customizing Workflows To Improve and Scale Your Client Service Model
  • Panel discussion - Best Practices about Implementing Technology

Operational Best Practices

Gain insights from industry experts about topics such as fraud trends, data sharing and management, and business contingency planning. Learn about general best practices that you can implement upon returning to your office to help you better protect your clients' information and assets.

  • 8:00 a.m. - 8:00 p.m.
    Pre-Conference Registration and Hospitality Desk Open
  • 8:15 a.m. - 8:55 a.m.
    Breakfast for Pre-Conference Attendees
  • 9:00 a.m. - 9:50 a.m.
    Introduction of TD Ameritrade Institutional Services
    Christine Gaze, Director, TD Ameritrade Institutional
    James Watts, Director, TD Ameritrade Institutional
  • 10:00 a.m. - 10:50 a.m.
    Morning Breakout Sessions (running concurrently)
    Veo® 101 – Learn about Veo Basics
    The Veo® account management and trading platform enables advisors to spend less time managing their business and more time growing their business. Learn how to use Veo’s time-saving features to locate and view real-time data at the account and group level, enter orders efficiently, streamline management fees processing, leverage self-service tools such as client address change, and process money market selections and cash management transactions. Speaker: Ryan Moeller, Strategic Relationship Consultant, TD Ameritrade Institutional
    Panel Discussion: Best Practices for Selecting a CRM
    When it comes to customer relationship management (CRM) software, one size does not fit all. Consider system functionality, usability, flexibility, and integration with the rest of your front and back office systems before investing in CRM. Listen to your peers share their experiences and best practices about how they evaluated CRM solutions to address their firm needs. Gain an understanding of how you should craft your technology investment strategy before purchasing the CRM that will work best for your business.Micha Baxley, Strategic Relationship Consultant,
    TD Ameritrade Institutional (Moderator)
    Larry Becker, Director of Operations, JNBA Financial Advisors
    Jeff Powell, President and CEO, Polaris
    Ed Runyon, Principal, Sagevest Financial Advisor
    Elevate Your Business with Affinity Services
    TD Ameritrade Institutional’s Affinity Services Program offers advisors preferred pricing on a wide range of products and services, including business services, marketing, practice management, research, risk management, and technology software. Discover how specific affinity services solutions can help you grow your business and provide better service to clients at a cost effective price. Access to Affinity Services Program vendors is provided solely as a service to financial advisors using the brokerage, execution and custody services of TD Ameritrade Institutional. These services are offered at a discount directly through the participating vendors. Participating vendors are independent and are not employees or agents of TD Ameritrade. TD Ameritrade does not guarantee nor is it responsible for the quality or accuracy of any vendor's product or service. In no instance should the listing of a vendor be construed as a recommendation or endorsement by TD Ameritrade. Furthermore, TD Ameritrade does not recommend or endorse any security described by any vendor. Vanessa Oligino, Senior Program Manager, TD Ameritrade Institutional
    Data Security Lab: Overview of Data Security Best Practices
    Advisor best practices in data security. Advisors must secure their own computers and do their best to make sure the vendors they rely upon are using best practices for securing data in the cloud. Practical tips from experts on a topic fiduciaries must always worry about.Andy Gluck, President and Editor, Advisors4Advisors1 IMCA CE Credit
    Understanding Technology Integration and How It Supports Business Growth
    Technology systems that work together seamlessly can create significant efficiencies and enable growth in your business. However, at times you may feel that you have to be a technology whiz to navigate the rapidly changing world of integrated technology applications. Learn to harness the power of integrated applications and workflows to support business growth without a degree in computer science.Rey Pajarillo, Manager, TD Ameritrade Institutional
    Chris Valleley, Director, TD Ameritrade Institutional
  • 11:00 a.m. - 11:50 a.m.
    Morning Breakout Sessions (running concurrently)
    Veo 201 – Veo’s Advanced Features and Functionality
    Managing your business online is a growing need for advisors. The Veo® platform has a variety of advanced features that can improve the productivity of your business and reduce costs. Learn how to effectively navigate Veo to better use the tools and resources available. See how you can take advantage of helpful tools such as cost-basis settings, research capabilities, alert functionalities, as well as managing administrative rights for users of both Veo and Ryan Moeller, Strategic Relationship Consultant,
    TD Ameritrade Institutional
    Panel Discussion: Best Practices for Selecting Financial Planning Software
    In recent years, innovative changes in financial planning applications have been spurred along by cloud technology, the evolution of mobile devices, and the need for advisors to be able to scale their practice. Now, advisors can address more complex planning issues, focus more on goal-based planning, and adjust client plans quickly with minimal effort--all while serving more clients. Draw on the expertise of your peers to learn how to choose the financial planning software that best suits your firm’s and clients’ needs.Christine Miller, Strategic Relationship Consultant,
    TD Ameritrade Institutional (Moderator)
    Russ Blahetka, Managing Director, Vestnomics Wealth
    Management, LLC
    Dan Kiley, CEO, Retirement Corporation of America
    Sergio A. Mariaca, President, Mariaca Wealth Management, LLC
    Panel Discussion: Best Practices for Implementing Technology
    The technology you purchase should improve the productivity and increase the profitability of your business. Maximizing your technology investment depends on successfully implementing it into your practice. Join industry experts to learn about the importance of creating a long-term implementation strategy that focuses on scalable growth, and how to strategically align human capital and technology goals. Mark Boothe, Strategic Relationship Consultant,
    TD Ameritrade Institutional (Moderator)
    Deborah Fox, Founder, Fox Financial Planning Network
    Jill Hollander, Principal, Financial Connections Group, Inc.
    Spenser Segal, CEO, ActiFi
    Enrich Your Trading Experience With Our Leading-Edge Technology, thinkpipes®
    Whether you trade equities, exchange-traded funds (ETFs), or options, the thinkpipes® advanced trading platform can improve your trading experience. Learn about features such as algorithmic trading, rebalancing, order slicing, robust portfolio analytics, real-time risk management, and extensive charting. Discover how streaming market data and live CNBC broadcasts enable you to quickly monitor the markets. Mike Kessling, Product Manager, TD Ameritrade Institutional
    Data Security Lab: Business Continuity Planning To Keep Your Business Humming
    Clients depend on you to keep your business up and running and its data secure at all times even when you’re not in the office, whether due to weather occurrences, natural disasters, or while you’re on vacation. Learn how the right tools, techniques, and effective business continuity plans will enable you to deliver continuous client service, minimize the negative effects of downtime on your firm’s operations and reputation, and provide improved data security.Joel P. Bruckenstein, Publisher, Technology Tools for Today (T3)
  • 12:00 p.m. - 12:50 p.m.
    Keynote Luncheon Presentation
    Stay One Step Ahead: Protecting Your Clients' Assets and Information
    Bryan Baas, Director, TD Ameritrade Institutional
  • 1:00 p.m. - 1:50 p.m.
    Afternoon Breakout Sessions (running concurrently)
    Veo 301 – Veo’s Electronic Signature Capabilities
    Veo®’s electronic signature capabilities simplify document signing and sending, decrease operational costs, and improve client service. Discover how you can reduce account opening time from one week to a single day. Topics will include pre-populating forms with integrated data, supporting client document signing using mobile devices, and integrating electronic signatures into your existing account opening and maintenance processes. Andy Wang, Senior Product Manager, TD Ameritrade Institutional
    Panel Discussion: Best Practices for Selecting a Portfolio Management System
    Many advisory firms continue to rely on legacy portfolio management and reporting solutions that are not integrated, and often times involve manual processes for reconciliation, reporting and billing. By outsourcing these services, fortunately advisors can quickly realize a much more streamlined back-office, substantial cost savings, and the ability to provide quality performance information on a daily basis. Hear about best practices from your peers and leading providers that can help you chose an efficient solution that helps you grow your business and improve client service.Ryan Moeller, Strategic Relationship Consultant,
    TD Ameritrade Institutional (Moderator)
    Eric Clarke, President, Orion Advisor Services, LLC
    Bob Conchiglia, Director, Solutions Consulting, Black Diamond
    Ty Phillipi, President, LifePlan
    Keys Tinney, Principal, Aveo Capital
    Developing Effective Processes for Maximum Efficiency and Consistent Client Service
    Developing repeatable processes and workflows for maximum efficiency and consistent client experience is a challenge for every firm. During this engaging workshop, you’ll learn about specific tactics to develop reusable processes that will provide consistent client service as well as save time, reduce errors, and increase staff productivity. Multiple interactive exercises let you experience first-hand how effective and straight forward documenting processes can be.Martha Blenkush, Senior Consultant, ActiFi
    Brian Kostick, Director, Consulting Services, ActiFi
    Spenser Segal, CEO, ActiFi
    Brian Stimpfl, Senior Vice President, Relationship Manager, ActiFi
    Moving Money More Quickly: Account Transfer Best Practices
    During this behind-the-scenes overview of the account transfer process, you’ll learn what you can do to get your client assets onto the TD Ameritrade Institutional platform more efficiently. Understand the differences in ACATS, mutual fund, non-ACATS, DTC/DRS, and outgoing transfer processes so you can accurately set client expectations based on asset type and where assets are held. Find out how the work you do on the front-end can speed up the account transfer process. Curtis Divona, Senior Specialist, TD Ameritrade Institutional
    Data Security Lab: Defending Your Business Against Hacking, Phishing, and Spoofing Attacks
    Online "hacktivists" are gaining worldwide notoriety for their hacking exploits. While attacks on banks and financial institutions make headlines, unpublished attacks are directed at financial advisors every day, with some resulting in significant financial losses and also the loss of client trust. Take the necessary steps to decrease your vulnerability to external threats. Learn about tools and techniques that can help you minimize your firm’s and your clients’ chances of becoming a victim of a well-engineered attack.Bill Winterberg, Principal,
  • 2:00 p.m. - 2:50 p.m.
    Afternoon Breakout Sessions (running concurrently)
    Veo 401 – Veo’s Trading and Rebalancing Capabilities
    Veo®’s rebalancing and powerful trading capabilities can help enhance client service and further streamline your daily operations. Learn how to rebalance portfolios, use diagnostic tools, and better leverage Veo’s equities, mutual funds, fixed income, and options capabilities. Topics include Veo’s sophisticated order entry, block orders, and allocation capabilities. Micha Baxley, Strategic Relationship Consultant,
    TD Ameritrade Institutional
    Panel Discussion: Best Practices for Selecting a Document Management System
    An ever-tightening regulatory environment, operational efficiency and business continuity planning are elevating the need for streamlined document management solutions. Quickly organizing, managing, and retrieving documents electronically from a secure and compliant environment is essential for growing RIAs. And this is just the beginning; other features include the ability to access files from your CRM and automating the retention and destruction of files. Join us to learn about the latest advancements and how to choose the document management system that best suits your needs.Marcel Tsai, Manager, TD Ameritrade Institutional (Moderator)
    Tom Embrogno, Executive Vice President, Docupace
    Tim Highland, Executive Vice President, IPI Wealth Management, Inc.
    Jill Hollander, Principal, Financial Connections Group, Inc.
    Patrick Welsch, President, Cities Digital, Inc.
    Eliminate Bottlenecks in Processing Client Accounts
    Account opening and maintenance is a critical function within advisory firms that is apt for efficiency improvements. With insight into TD Ameritrade Institutional’s account opening process, you’ll discover ways to streamline and improve your own processes to make account opening faster. Avoid the bottlenecks that can slow down account opening and maintenance and learn how to eliminate errors on the most common new account forms and account maintenance requests. David Burland, Team Manager, TD Ameritrade Institutional
    Data Security Lab: Data Management
    Data Management – Understand secure ways to store your data, evaluating a cloud provider, establish secure measures and control within your firm (Session Description TBD).Davis Janowski, Technology Reporter and Columnist, InvestmentNews
  • 3:00 p.m. - 3:50 p.m.
    Networking Break: Meet Your Service Team
  • 4:00 p.m. - 4:50 p.m.
    Pre-Conference Closing General Session
    The 1.2% Factor – How One Small Change Leads to Increased Advisor Revenue
    Bob Davies, B.S. Health, M.Ed. Psychology, High Performance Training, Inc.
  • 5:00 p.m. - 8:00 p.m.
    Welcome and Grand Opening of the Exhibit Hall
  • 8:30 p.m. - 10:00 p.m.
    Evening After Party

Thursday, January 31
Main Conference Agenda

unlock your potential. The main conference agenda is customized for today's registered investment advisor (RIA), covering the most sought-after topics to help you meet the growing needs of your business and your clients. Uncover new tools, resources, and business growth strategies through sessions focused on five key areas.

  • 7:00 a.m. - 9:00 p.m.
    Conference Registration and Hospitality Desk Open
  • 7:00 a.m. - 7:00 p.m.
    Social Media Lab Open
  • 7:00 a.m. - 8:00 a.m.
    Breakfast with Exhibitors
  • 8:15 a.m. - 9:30 a.m.
    Opening Remarks and Trends in Today’s RIA Industry
    Tom Nally, President, TD Ameritrade Institutional
    TD Ameritrade Leadership Perspectives
    Mandy Drury, CNBC Anchor, Street Signs (Moderator)
    Fred Tomczyk, President and Chief Executive Officer,
    TD Ameritrade

    Tom Nally, President, TD Ameritrade Institutional
    Tom Bradley, President, TD Ameritrade Retail Distribution
    Marvin Adams, Chief Operating Officer, TD Ameritrade
  • 9:30 a.m. - 10:45 a.m.
    Featured Keynote Presentation
    Condoleezza Rice, 66th Secretary of State of the United States
  • 10:45 a.m. - 11:10 a.m.
    Refreshment Break with Exhibitors
  • 11:15 a.m. - 12:05 p.m.
    Morning Breakout Sessions (running concurrently)
  • 11:15 a.m. - 11:45 a.m.
    How Do I Stay Active on Social Media? How to Generate Revenue Content on a Frequent Basis
    Kristen Luke, President and CEO, Wealth Management Marketing
  • 11:15 a.m. - 12:05 p.m.
    Panel Discussion: Capturing Opportunities in the Global Environment
    Learn how emerging markets are creating opportunities for growth. Timothy Burger, Investment Analyst, Ivy Asset Strategy Fund
    Evan Smith, Portfolio Manager, U.S. Global Investors Global Resources Fund
    Thriving in the Evolving Regulatory Environment
    The regulatory environment continues to evolve and while it can seem overwhelming to keep up, you can take action today to prepare for the changes ahead. Learn practical tips in getting ready for an exam, which business practices to update, and what to do to prepare for moving from Securities and Exchange Commission (SEC) to state oversight. Learn how you can make your voice heard in Washington and advocate for regulatory reforms that make sense for advisors and clients. TD Ameritrade has not independently verified the information provided by the separate and unaffiliated companies and persons. The information conveyed is for informational use only and is not intended as employment, legal, compliance or tax advice. Persons seeking such advice should consult the appropriate third parties.Thomas D. Giachetti, Esq., Chairman, Securities Practice Group,Stark & Stark, Attorneys at Law
    Panel Discussion: Reaching Business Goals through Strategic Alignment of Advisors
    Hear perspectives on how joining forces has helped some advisors overcome challenges and evolve their businesses. This Interactive session will feature advisor panelists who have successfully partnered with or joined another advisory firm to accomplish their business objectives. Discussion topics will include leveraging scale, accelerating growth, creating liquidity and implementing a succession planMatt Phillips, Senior Product Manager,
    TD Ameritrade Institutional(Moderator)
    Sherri Daniels, Executive Vice President, Principal,
    Banyan Partners
    Mark Germain, CEO, Beacon Wealth Management
    Bruce Meyer, Managing Director and Owner, Beacon Pointe
    Anthony C. Purpero, Senior Financial Officer, Partnervest Financial Group, LLC
    Practice Retirement®: A New Way to Talk to your Clients about the Retirement Transition
    Introducing a new approach that allows advisors to have a more positive conversation with their clients on preparing for retirement. The traditional message to work hard and save as much as you can, and then one day retire, can be jarring, both emotionally and financially. Instead, by using a transition period to wind down their career and start enjoying their retirement lifestyle early, your clients can balance the benefits of working and retiring. Since Social Security is a key part of the retirement transition, you’ll also receive a sneak preview of an upcoming online tool that will help guide your clients through the Social Security decision.Mitch Anthony, Founder and President, Advisor Insights and the Financial Life Planning Institute1 CFP CE Credit
    Fear and Indecision: Sounds Like A Bull Market
    Bull markets are typically fueled by fear. Is the fear permeating the industry today justified? Is the bull marketing coming to an end? Is there really a bond bubble? This session will offer perspective on the overall market and economic climate, how current fiscal events and debt issues could impact market sentiment and outline investment strategies advisors you should consider exploring for your clients. Richard Bernstein, Chief Executive Officer,
    Richard Bernstein Advisors, LLC
    1 CFP CE Credit
  • 12:15 p.m. - 1:25 p.m.
    Keynote Luncheon Presentation
    A Current Look at the U.S. and Global Economy
    Craig Alexander, Senior Vice President and Chief Economist, TD Bank Group
  • 1:30 p.m. - 2:00 p.m.
    Social Media Workshop: Dos and Don'ts of Social Media Networking and Engagement
    Everyone knows that social networking is the key to building relationships and developing new business — however, few are masters of networking and even fewer are masters of social networks. Learn strategies for effectively engaging with centers of influence, prospects and your existing clients through the social networks.Matt Canova, Senior Manager, Investools
  • 1:30 p.m. - 2:20 p.m.
    Afternoon Breakout Sessions (running concurrently)
    Panel Discussion: What Works and What Doesn’t: Insights from Barron’s Top Advisors
    Join some of the industry’s most successful advisors for an information and idea exchange. Discover how these top advisors have grown their businesses and apply their experiences to your own firm. Topics include using technology, achieving scale, marketing and branding, hiring and retaining talented employees, and how to serve as a leader in your business.Sterling Shea, Managing Director, Barron’s (Moderator)
    Lee DeLorenzo, President and Principal, United Asset Strategies, Inc.
    Richard Kolb, Jr., Managing Partner, Integrys Wealth Advisors
    David Kudla, CEO and Chief Investment Strategist, Mainstay Capital Management, LLC
    Panel Discussion : Technology Trends and Future Innovations for the High Margin Practice
    Mobility, cloud computing, data sharing, and social networks have had a ripple effect in the advisory business, changing communication channels, reshaping the way advisors run their business, and disrupting traditional business models. Join a panel of technology thought leaders for a lively, interactive discussion of timely topics including file sharing, cloud computing, client apps, outsourcing, and integration. Joel P. Bruckenstein, Publisher, Technology Tools for Today (T3)(Moderator)
    Davis Janowski, Technology Reporter and Columnist, InvestmentNews
    Jon Patullo, Managing Director, TD Ameritrade Institutional
    Bill Winterberg, Principal,
    The Power of Team Communication
    Hiring and retaining high-performing employees with the right skills and talents is critical to delivering quality client service and growing your business, but teamwork between employees can accelerate business profitability. Uncover some of the common challenges that may be impacting your ability to create high-performance teams. Improve communication and collaboration between team members and align day-to-day team efforts to your long-term vision.Krista Sheets, President, Paragon Resources, Inc.
    Panel Discussion: Incorporating Structured Products Into Your Fixed Income Allocations
    Structured products enable you to incorporate highly-customized risk/return solutions within a fixed income portfolio to help protect capital and potentially enhance returns. Adding structured products to your investment product offerings can also result in long-term asset growth. Learn how structured products can complement your current fixed income strategy and how to get started with these instruments. Travis Carr, Product Manager – Structured Products, Western Asset Management Company
    Matt Ginsberg, Executive Vice President and Head of Customized Investment Solutions, Wells Fargo Securities
    Barbara Mullaney, Managing
    1 CFP CE Credit | 1 IMCA CE Credit
    Panel Discussion: Maximizing Income and Total Return
    Gain a better understanding about investment themes for 2013 and beyond that can lead to long term wealth creation within the changing landscape for investors seeking income.Doug Gill, CEO, Co-CIO, Argentus Partners (Moderator)
    Alan Gayle, Senior Investment Strategist, Director and Portfolio Manager, RidgeWorth Investments
    Robert D. Leininger, Portfolio Manager, Large Cap Value, Gabelli
    Patrick Maldari, Senior Portfolio Manager, Artio Global Management, LLC
  • 2:30 p.m. - 3:00 p.m.
    Social Media Workshop: How to Successfully Generate High-Net-Worth Prospecting Leads Through Blogging
    A real-life case study of an advisor who, after 12 months of testing, developed a simple, zero-cost, highly enjoyable way to generate more business than any single advisor could ever handle — through
    online blogging.
    Jason Wenk, President, Retirement Wealth Advisors
  • 2:30 p.m. - 3:20 p.m.
    Afternoon Breakout Sessions (running concurrently)
    Essential Skills for Advising Women in Couples
    Women are more likely than men to refer their financial advisors to others. They also tend to outlive their spouses, and 70% of women leave their advisor after the death or divorce from a spouse. Learn how to connect, collaborate with, and advise women as part of a couple. By shifting your focus to include her perspective, you can increase client satisfaction and retention rates for the long-term.Kathleen Kingsbury, Principal, KBK Wealth Connection and author of How to Give Financial Advice to Women1 IMCA CE Credit
    Creating Client Advocates with Service Excellence
    Customer service is often the first a casualty as advisory firms grow and add scale. How can you create a service culture that grows with you? Learn how to define your service value proposition, support your best clients, increase your client service capacity, and turn a client service failure into recovery and redemption. George Tamer, Director, TD Ameritrade Institutional
    Improving Retirement Outcomes and Your Retirement Plan Practice
    From the changing big picture of the retirement plan landscape, to specific things that you can do to improve your own retirement plan practice, this session will cover a range of topics including: the growing importance of target date and asset allocation funds, key concerns of plan sponsors, important fiduciary obligations, and five key questions to build your sales with new retirement plans.Steve Deschenes, Senior Manager, Defined Contribution Business, Capital Group Institutional Investment Services (American Funds)1 CFP CE Credit | 1 IMCA CE Credit
    Rethinking Risk – The Five Truths Investors Need to Know
    The Rethinking Risk program is Invesco’s approach to looking at risk holistically by considering market history, investor psychology and behavior, asset allocation and portfolio construction. This program and philosophy also looks at the impact of risk parity as it relates to portfolio construction by diversifying across sources of risk in relation to various market and economic environments. We then created a series of educational pieces that provide a fresh look at portfolio construction concepts, debunk investment myths that have pervaded the industry for years and discuss basic tenets that all investors need to know.Jonathan Krasney, Managing Member, Krasney Financial,LLC (Moderator)
    Josh Pinnick, Relationship Manager, Transamerica Capital Management
    Sara Richman, Vice President, Product Management, Great-West Financial
    Neil Wilding, Executive Vice President, National Sales Director, Aria Retirement Solutions
    1 IMCA CE Credit
    Panel Discussion: Successfully Shifting from Asset Gathering to Income Generation
    As your baby boomer clients move from the asset gathering stage of their lives to using their accumulated assets to generate income, be prepared to help them navigate this brave new world. Receive an overview of strategies, tools and solutions for income generation, including determining optimal withdrawal rates, withdrawal strategies using a variety of income producing investments, and the role guaranteed income plays in retirement income planning. Panelists: Josh Pinnick, Relationship Manager, Transamerica Capital Management; Sara Richman, Vice President, Product Management, Great-West Financial; Neil Wilding, Executive Vice President, National Sales Director, Aria Retirement Solutions. Moderated by: Jonathan Krasney, Managing Member, Krasney Financial, LLC1 IMCA CE Credit
  • 3:20 p.m. - 3:50 p.m.
    Refreshment Break with Exhibitors
  • 4:00 p.m. - 4:50 p.m.
    Featured Keynote Presentation
    Malcolm Gladwell, Best-Selling Author, The Tipping Point
  • 5:00 p.m. - 5:25 p.m.
    Turbo Session Breakouts (running concurrently)
    Using Behavioral Economic Concepts to Make it Easier for Clients to Act
    Behavioral Economics studies how people make financial decisions and this has practical applications for financial advisors. This session will introduce the concepts and some easy-to-implement strategies that will make it easier for clients to act. This program is a subset of a longer program derived from the white paper on Practical Application of Behavioral Economic Concepts to the Financial Planning Process.Carol Craigie, Professor, College for Financial Planning
    What Baby Boomers Need To Know About Unlocking More Income from Social Security
    There are 90 million boomers retiring between now and 2030, and they collectively own most of the nation's assets. Understanding the basics of Social Security and helping clients coordinate a claiming
    strategy with their retirement assets could help generate future advisory business growth. You do not have to be a Social Security expert but you should consider becoming a student of Social Security.
    There are five factors to consider when deciding to apply for benefits; when does it make sense to delay benefits; how cost of living adjustments affect benefits; how spousal benefits work; how divorced spouse benefits work; how to plan your IRA RMD's so your benefits are taxed less.
    Robert Grey, Founder, Denver Money Manager, LLC
    Culture Eats Strategy for Lunch
    Even the best strategic plan will go awry if you don't have the right culture to support proper execution. Without culture, a sound strategy can't exist. Ron Carson will share his insight on the cultural path to success. From hiring the right people to creating a client Bill of Rights, all areas encompass and affect a firm's culture. Developing the right culture for an office is the most crucial element in growing an advisory practice. It is a true force to be reckoned with and will have the greatest impact an advisor's success. Ron Carson, Founder, Peak Advisor Alliance
    Shareholder Yield: A Better Approach to Dividend Investing
    With the dividend tax rate set to increase at year-end, the U.S. will soon have one of the highest tax rates on dividends in the world at ~45% with the Affordable Care Act and Pease limitation on itemized deductions. A more holistic approach to investing based on various routes of distributing cash flows, commonly known as shareholder yield, has historically outperformed dividend strategies for over 80 years.Mebane Faber, CIO, Cambria
    Twitternomics 101
    Twitternomics 101 is an advisor’s guide to understanding Twitter. This Turbo session will help empower you with the Twitter fundamentals necessary to thrive in today's social and technological world.Tina Powell, Director of Business Management, Beacon Wealth Management
  • 5:30 p.m. - 7:00 p.m.
    Networking Reception with Exhibitors
  • 7:00 p.m.
    Evening On Own

Friday, February 1
Main Conference Agenda

unlock your potential. The main conference agenda is customized for today's registered investment advisor (RIA), covering the most sought-after topics to help you meet the growing needs of your business and your clients. Uncover new tools, resources, and business growth strategies through sessions focused on five key areas.

  • 7:00 a.m. - 6:00 p.m.
    Conference Registration and Hospitality Desk Open
  • 7:00 a.m. - 5:00 p.m.
    Social Media Lab Open
  • 7:00 a.m. - 8:00 a.m.
    Breakfast with Exhibitors
  • 8:15 a.m. - 9:20 a.m.
    Featured Keynote Presentation
    Alan Simpson, Former U.S. Senator
    Erskine Bowles, Former White House Chief of Staff
  • 9:30 a.m. - 10:20 a.m.
    Morning Breakout Sessions (running concurrently)
    Seize Control of Your Future: Creating Scale, Value, and Certainty
    Join members from the Alliance for RIAs (aRIA) for a presentation and panel discussion focused on how you can enhance the value of your practice, create scale, and ensure long-term continuity for partners, employees, and clients. The session will provide thought-provoking ideas to drive and inform your strategic planning and help you evaluate the true value of your business.John Furey, Founder and Principal, Advisor Growth Strategies, LLC (Moderator)
    Ron Carson, CEO and Founder, Carson Wealth Management Group
    Matt Cooper, President, Beacon Pointe Wealth Advisors
    Thomas A. Muldowney, Principal, Savant Capital Management
    From Challenge to Opportunity: Post Fee Disclosure Prospecting and Retention Strategies
    Few changes in the retirement plan landscape have been as far-reaching and significant as the Department of Labor’s (DOL) recent fee transparency initiative. While you have likely already assessed your business model to identify how the new regulations will impact you, it’s time to turn your attention to the business opportunities presented by the DOL’s fee transparency rules. Get a recap of the regulations, how they are forcing changes in how you provide advice to retirement plan investors, and why these regulatory changes can mean significant business-building opportunities for fiduciary advisors.Jason Roberts, CEO, Pension Resource Institute1 IMCA CE Credit
    Panel Discussion: Thoughtful Segmentation of Female Executive Clients
    More so than men, women clients tend to be more focused on goals and the relationship they have with their advisor. They are also four times more likely as men to refer your services. Grow your business by deepening relationships with your female clients. Explore the needs of the executive woman (both young and mature) two segments of women clients: The executive woman (both young and mature) and the sandwich generation. Tap into industry research and best practices to strengthen these relationships and hear from an advisor who has successfully approached the femalethis market.Ann Marsh, Senior Editor and West Coast Bureau Chief, Financial Planning (Moderator)
    Marie Dzanis, Senior Vice President, Head of Sales and Servicing, FlexShares
    Diane M. Pearson, Wealth Manager and Shareholder, Legend Financial Advisors, Inc.®
    1 CFP CE Credit | 1 IMCA CE Credit
    Redefining Asset Allocation in a New World of Investing
    In the aftermath of nearly unprecedented market turmoil and disruption, many investors discovered that their portfolios were not nearly as protected from downside risk as they thought. Join Mark Peterson, Director of Investment Marketing, for a seminar that demonstrates how expanding asset allocation opportunity beyond the traditional notion of "diversification" can help build better, more risk-aware portfolios. Mark Peterson, Director of Investment Marketing, BlackRockIMCA CE Credit
    Navigating the Low Yield Environment with Energy Infrastructure MLPs
    Please join OppenheimerFunds for an informative session on energy infrastructure Master Limited Partnership (MLP) funds and their growth potential. As new technologies unlock vast domestic resources, the U.S. may be poised for energy independence. With estimates calling for more than $250 billion in infrastructure to meet the growing domestic supply of resources, MLPs provide an opportunity to participate in the boom of U.S. energy infrastructure.Brian Watson, Director of Research and Portfolio Manager, OppenheimerFunds SteelPath1 IMCA CE Credit
  • 9:30 a.m. - 10:00 a.m.
    Social Media Workshop: Finding Your Authentic Voice on the Social Media Networks
    Each of the social networks has its own distinct language and communication style. Learn how to craft your message to engage your target audience on Twitter, LinkedIn and Facebook.Jason Seiden, CEO, Ajax Workforce Marketing
  • 10:30 a.m. - 10:50 a.m.
    Refreshment Break with Exhibitors
  • 11:00 a.m. - 11:30 a.m.
    Social Media Workshop: Social Media as Part of Your Digital Marketing Strategy
    Social media is one component of your digital marketing strategy.
    Understand how it fits in and how to ensure it is aligned with your
    complete digital marketing strategy, while complementing other
    channels at your disposal.
    Brad Felmar, Vice President, Trungale, Egan & Associates
  • 11:00 a.m. - 12:20 p.m.
    Morning Super Sessions (running concurrently)
    All in the Family: Engaging Multiple Generations
    Intergenerational wealth transfer is estimated to be worth over $40 trillion dollars and capitalizing on this opportunity is critical for the long-term value of your business. Hear specific strategies from advisors who have successfully engaged multi-generational clients. Learn to maximize wealth transfer opportunities and position your business for future growth.Will need a source to back up this cliam. Liz Butler, Director, TD Ameritrade Institutional (Moderator)
    Ryan Cahill, President, Cahill Wealth Management, LLC
    Jane E. Marchand, President, Marchand Faries Financial Management, Inc.
    1 CFP CE Credit
    Panel Discussion: Using Technology to Enhance Your Value Proposition in Challenging Times
    In today’s changing business environment, advisors are facing
    increased pressures on their capacity to operate profitably,
    maintain personalized high-quality service, and broaden their client
    base. Despite changing regulatory requirements, uncertain
    markets, rising costs, and increased competition, there is more
    opportunity than ever. Join in a discussion with industry experts to
    learn why technology is essential in helping you enhance your value
    proposition for driving sustainable growth.
    Jon Patullo, Managing Director, TD Ameritrade Institutional (Moderator)
    Greg Friedman, Founder and President, Private Ocean
    Andy Gluck, President & Editor, Advisors4Advisors
    Alex Murguia, Ph.D., Managing Principal , McLean Asset Management Corporation Spenser Segal, CEO, ActiFi
    Panel Discussion: Achieve Breakout Growth: The ‘Aha’ Moment
    Sometimes seemingly small decisions can have a big impact on your business. Hear from advisors who will share specific insights into the decision that led to led to breakout growth for their business via new client acquisition, a high performing team, or efficient use of technology. Recognize and capture the opportunities within your own business. Christine Gaze, Director, TD Ameritrade Institutional (Moderator)
    Eliza DePardo, Principal and Director of Consulting, FA Insight
    Mike Hull, President and Senior Portfolio Manager, Donaldson Capital Management, LLC
    Michael Nathanson, CEO and President, The Colony Group
    Panel Discussion: Tsunami 2013: Where Are We Now On Advisor Regulation
    Although the Dodd-Frank Wall Street Reform and Consumer Protection Act was signed into law in July 2010, it remains substantially unfinished business. Issues directly impacting advisors such as the uniform fiduciary standard and advisor oversight are still being determined. This session will explore the current status of these issues and others, what to expect in 2013, and how advisors can become advocates for regulatory change. Kevin Keller, CEO, CFP Board of Standards, Inc.
    Ron Rhoades, President, ScholarFi, Inc.
    Skip Schweiss, Managing Director, TD Ameritrade Institutional
    1 CFP CE Credit | 1.5 IMCA CE Credits
    Generating Alpha: Beyond Covered Calls
    Your clients look to you to help them protect and grow their wealth across various market conditions. Learn how you can employ alpha-generating options strategies to help your clients stay on track for achieving their investment objectives, particularly during an uncertain market environment. Joe Mazzola, Senior Strategist, TD Ameritrade Institutional1 CFP CE Credit | 1.5 IMCA CE Credits
    Creating Time: Efficient and Scalable Ways to Build your Business through Outsourcing
    You only have so many hours in a day and those hours should be focused on gaining and retaining clients. The first part of this session will show you can outsource your non-revenue generating activities to maximize your bottom line. The second part of this session we will discuss outsourcing the investment management decision to independent third-party firms through an interactive panel discussion.Dean Cook, President, FTJ FundChoice (Moderator)
    Alice Lowenstein Partner, Director - Portfolio Strategies, Litman Gregory
    Robert Baker, President, Advanced Asset Management Advisors
    Phil Toews, CEO, Toews Corporation
    Herb Morgan, CEO and Chief Investment Officer, Efficient Market Advisors
    Mike Schulitz, Vice President, Client Service, Wilshire
  • 11:45 a.m. - 12:15 p.m.
    Social Media Workshop: The Importance of a Social Media Policy, Archiving, Endorsements, and More
    As an advisor, you are responsible for archiving all social networking activities and having a formal written policy. Learn about solutions you can use to automate your archiving and the elements associated with a social media policy, including strategies for monitoring and enforcing your policy. This session will also discuss other hot topics around compliance, including endorsements and testimonials.Blane Warrene, Senior Vice President, RegEd, Inc.
  • 12:30 p.m. - 1:20 p.m.
    Sponsors' Luncheon
  • 1:30 p.m. - 2:00 p.m.
    Measuring Success in Social Media and Understanding Key Principles
    Learn the nuances of advertising on the social networks versus traditional channels, and strategies available to help you track the success of your social networking activities.Ethan Hays, Director of Search, Gyro
  • 1:30 p.m. - 2:20 p.m.
    Panel Discussion: Exploring the Future of Exchange-Traded Funds
    Understand the challenges and benefits of using equity and fixed income ETFs in client portfolios, how to distinguish ETFs from one another for your strategy and how ETFs will likely evolve over the next few years.Todd Rosenbluth, Senior Director, S&P Capital IQ Equity Research(Moderator)
    Brandon Clark, Manager, Equity Investment Group, Vanguard
    Jeremy Schwartz, Director of Research, WisdomTree Asset Management, Inc.
    Shane Shepherd, Ph.D., Senior Vice President, Head of Fixed-Income Research, Research Affiliates
    1 CFP CE Credit | 1 IMCA CE Credit
    Afternoon Breakout Sessions (running concurrently)
    A Succession Plan That Builds Business Value
    A solid, well-thought out succession plan can lead to multiples of six times revenue compared to the typical two to three times revenue multiples of an outright sale. Learn from advisors about the elements involved in creating a succession plan that helps maximize growth potential, increase valuation, and supports the long-term viability of your business. Get an overview of succession plan guidance available through the Equity Management Program. We will need to hhave a source for the above claim in blue. Vanessa Oligino, Senior Program Manager, TD Ameritrade Institutional (Moderator)
    Ramsey Bova, President and CCO, Moneywatch Advisors
    David Grau, President, FP Transitions
    Bill Newell, President and Senior Financial Advisor, Atlantic Capital Management
    1 CFP CE Credit | 1 IMCA CE Credit
    Introducing our Latest Product Innovation: Why Rebalancing Tools are Essential
    More advisors are leveraging sophisticated rebalancing software to better manage their investment management business. TD Ameritrade Institutional’s new game changing rebalancing capabilities bring consistency and efficiency to portfolio rebalancing, and enable you to quickly adapt to evolving client investment needs and changing market conditions, while providing scale to your investment management business. Danielle Fava, Senior Product Manager, TD Ameritrade Institutional
    Ben Welch, Director, TD Ameritrade Institutional
    Taking the “Self” Out of Self-Directed Brokerage Accounts
    Offering self-directed brokerage accounts (SDBA) can provide clients with additional investment choices as well as an additional revenue source for advisors. Learn how you can work with a plan sponsor to add an SBDA to a plan’s investment choice menu or manage the SDBAs of individual wealth management er clients. Hear about features such as daily data synchronization and express account opening that make SDBAs easy to use. Mike Ponce, Senior Manager, TD Ameritrade Institutional1 IMCA CE Credit
    Discovering How the Next Generation Views Saving for Retirement
    Explore how demographics, psychographics and economics contribute to how Gen X and Gen Y view retirement and how their saving habits are different than prior generations. Learn how to engage with the next generation to help lead them on the path of financial well-being. This topic will be of interest to both individual wealth management and retirement plan advisors and offers the advisor knowledge that can assist in working with individual investors as well as retirement plan sponsors.Kathy Hussain, Director, Institutional Marketing, TIAA CREF1 CFP CE Credit | 1 IMCA CE Credit
  • 2:30 p.m. - 5:00 p.m.
  • 7:00 p.m. - 10:00 p.m.

Saturday, February 2

  • 7:30 a.m. - 8:00 a.m.
    Farewell Breakfast
  • 8:00 a.m. - 10:00 a.m.
    Financial Planner' s Ethical Dilemma (offered through the Financial Planning Institute)
    Jeffrey Rattiner, CEO, JR Financial Group, Inc. and Rattiner’s Financial Planning Fast Track, Inc.

Carefully consider the investment objectives, risks, charges, and expenses before investing in an ETF. A prospectus, obtained by calling 800-431-3500, contains this and other important information about an investment company. Read carefully before investing.