Education Sessions on Monday
9:40am – 10:10am EXPO Sessions
Technology and Trading| Enhancing your Portfolio Management Reports Bryna S. Allen, Back Office Connection - Speaker Bio Why attend: Take full advantage of the functionality in portfolio reporting systems. Session details: Attend this session to get the most from performance reporting—the single most visible and shared communication an advisor provides to clients. Understand how to develop reporting efficiencies in PortfolioCenter and Advent, identify what data to present and customize individual reports. Leave with ideas for new formatting and processes. Back Office Connection is not affiliated with Charles Schwab & Co., Inc. PortfolioCenter® is a product of Schwab Performance Technologies (SPT). Schwab Performance Technologies® is a subsidiary of The Charles Schwab Corporation. |
Back to top |
10:15am – 11:30am Morning Educational Sessions
Practice Management| Pricing Practices in an Evolving Ultra-Wealth Marketplace ◊** John Benevides, Family Office Exchange - Speaker Bio Why attend: Learn how to manage your firm's pricing to align the services you provide with your clients’ perceived value. Session details: Every advisor desires to be paid full value for the advice they provide. This session provides a comprehensive review of proven pricing strategies, including: • Concrete, comparative data on pricing in a multifamily office/UHNW environment • Innovative approaches to pricing in today’s challenging financial environment • Case studies featuring lessons learned by leading practitioners |
Back to top |
| Effectively Using Managed Accounts in Your Practice ‡◊** David Archer, Charles Schwab - Speaker Bio Elizabeth M. Kaplan, The St. Louis Trust Company - Speaker Bio Daniel Roe, Budros, Ruhlin & Roe, Inc. - Speaker Bio Why attend: Learn about the benefits of using managed accounts and find out how to best use them at your firm. Session details: Wealth advisory firms and multifamily offices use managed accounts to bring to their clients best-in-class investment management and the benefits of separate accounts. Learn about these benefits, the platforms and resources available to you, and how other successful advisors are using managed accounts in their practice. |
| Identifying Opportunities in Value and Growth Portfolios ‡◊** Mario J. Gabelli, CFA, GAMCO Investors, Inc - Speaker Bio Barbara G. Marcin, CFA, GAMCO Investors, Inc. - Speaker Bio Howard F. Ward, CFA, GAMCO Investors, Inc. - Speaker Bio Why attend: Learn strategies to potentially add significant alpha to client portfolios and hear suggestions for positioning portfolios for the long term. Session details: Join Mario J. Gabelli, Howard F. Ward and Barbara G. Marcin to learn about their unique investment criteria for value and growth. This session will examine the current economic cycle, where we are headed and how to select stocks in the context of the current business cycle. The speakers will highlight global consumer trends and discuss how to capitalize on them and how to position portfolios to benefit from a recovery. |
| Momentum: A Style to Substitute for Growth and Complement Value ‡◊** Cliff Asness, AQR Funds - Speaker Bio Why attend: Learn about a new passive investment style you can offer as an option to your clients. Session details: Though known to financial academics and institutional practitioners for many years, momentum is an “undiscovered style” for most investors. The presentation reviews the extensive research supporting momentum, and discusses the key virtues of momentum: it is historically a strong style viewed alone, it is correlated to but superior to growth, and it is negatively correlated and a great complement to value. A newly created family of Momentum Indices makes this powerful strategy accessible to investors. |
Back to top |
| Hands-On Technology Session |
| The New Advisor Website: Introduction ◊** Lauren Wilkinson, Charles Schwab - Speaker Bio Why attend: Tour Schwab’s new advisor website to learn about the latest updates, tools and technology improvements. Session details: Explore the next generation of investment technology on Schwab’s new advisor website. Learn about timesaving tools for client and account servicing, the new and improved aggregate data views, custom groups, and data delivery. |
Back to top |
10:15am – 12:15pm Morning Extended Educational Sessions
Practice Management| Building Credibility with Clients and Centers of Influence ***∞± Ken Haman, AllianceBernstein - Speaker Bio Why attend: Establish referral relationships that can help you take advantage of the unprecedented opportunities created by volatile markets. Session details: Learn how to build and expand your credibility in your market through the use of a capital-markets outlook. Examine a model for developing and presenting a market perspective, integrating it into existing relationships, and reaching out to centers of influence such as CPAs and attorneys. You’ll leave the session with actionable ideas for building more effective and collaborative relationships. |
| Defining a Strategy to Navigate the Emerging Environment ***∞ Mark Palmer, Charles Schwab - Speaker Bio Why attend: Learn how to develop a strategic plan that can help your firm capitalize on new opportunities for years to come. Session details: With the business environment shifting and consumer confidence in flux, what is your firm’s plan for the future? The direction you set for your firm now will determine when and how you can take advantage of arising opportunities. In this session, exchange ideas with peers and discuss ways to develop a clear strategy and plan of action for your firm. |
| Ethics in Today's Investment Environment ***∞± Richard Stone, Salient-Friedman Wealth Management, LLC - Speaker Bio Why attend: Examine updated ethics standards and their implications on the way you do business. Session details: Review terminology and rules from the updated Standards of Professional Conduct. This session will also touch on what led up to the infamous Merrill Rule, including what may lie ahead for FINRA and the SEC. Despite all of the changes in the industry, you will see that the principles of financial planning ethics remain unchanged. This session will discuss common practices in wealth management and the need for advisors to go beyond industry expectations. Examine what it means to use your moral compass to fulfill your fiduciary obligation to clients and leave with a greater understanding of the need for sound ethics in the shifting financial environment. This session qualifies for the mandatory two hours of ethics training required for certified financial planners. |
Back to top |
11:45am – 12:15pm EXPO Sessions
Technology and Trading| Advent Moxy Solution Overview Steve Pulido, Advent Software - Speaker Bio Why attend: Tour Advent’s comprehensive Moxy product offerings, including enhanced workflow between PortfolioCenter and Moxy, Advent’s industry leading trade order management solution. Session details: Understand the benefits of Advent Moxy, learn how to scale your firm’s trading workflow by integrating PortfolioCenter and Moxy and keep pace with Advent’s latest updates and enhancements. Advent is not affiliated with Charles Schwab & Co. Inc. PortfolioCenter® is a product of Schwab Performance Technologies (SPT). Schwab Performance Technologies®, is a subsidiary of The Charles Schwab Corporation. |
Back to top |
12:30pm – 1:45pm Early Afternoon Educational Sessions
Practice Management| Building Organic Growth Through Client Retention and Referrals ◊**‡ Gabriel Garcia, Charles Schwab - Speaker Bio Why attend: Set the stage for retention and referrals with every client interaction. Session details: By strategically and consistently reinforcing your value to clients, you can earn their loyalty and gain referrals at a time when your competitors may be losing market share. At this session, when investors need more reassurance and guidance than ever, learn to engage clients through proactive, regular communications. Find out how to establish a culture of referrals that helps your firm grow organically. |
| Increasing Your Firm's Productivity ◊** J. Scott Slater, Charles Schwab - Speaker Bio Why attend: Learn how to maximize productivity across your practice to improve profitability and growth potential. Session details: Best Managed Firms* have learned how to focus more time on serving clients and attracting prospects by improving their productivity in all areas of their business. These firms have achieved up to 75 percent higher revenue per professional than other firms. Discover how you can measure productivity, develop and implement processes and use your technology to get more accomplished with your current resources. You’ll learn how to create a scalable organization and improve your performance as a business. * Source: 2009 RIA Benchmarking Study. Best-Managed Firms are the top 20% of RIA firms as measured by profitability, productivity and revenue growth. |
| Motivating and Retaining Your Top Talent ◊** Cam Marston, Generational Insight - Speaker Bio Why attend: Learn how to engage, motivate and retain employees in a challenging economic environment. Session details: Find out what motivates your employees and learn ways to communicate effectively with employees of different generations. This session will identify tools to help you manage in an economic downturn and help you become the boss your employees want to serve. |
Back to top |
| Allocating to Asia in Today's Markets ‡◊** Jodi Borkowitz, Matthews International Capital Management, LLC - Speaker Bio David S. Fisher, SignatureFD, LLC - Speaker Bio Robert Horrocks, PhD, Matthews International Capital Management, LLC - Speaker Bio Dan Trosch, Fortigent, LLC - Speaker Bio Debra L. Wetherby, Wetherby Asset Management - Speaker Bio Why attend: Learn strategies and approaches for investing in Asia. Session details: Examine Asia Pacific in a global context and find out what you can expect to see in the region over the long term. You’ll assess your clients’ exposure in Asia, and cover strategies for investing in the region. During the session, you’ll hear from Asia investment specialists from Matthews International Capital as well as a panel of advisors who will share insights into various approaches to allocating in Asia. |
| Becoming a Retirement Advisor ◊** Grant Arends, Alliance Benefit Group - Speaker Bio Lindsey Black, MBM Advisors, Inc. - Speaker Bio Nelson Chia, WESPAC - Speaker Bio Andrew Gorder, Schwab - Speaker Bio Why attend: What are the opportunities for advisors in the retirement space? Session details: If you’re considering getting into the retirement business, this session will help you understand how to add retirement planning to your practice. Find out about roles and responsibilities, building your practice and compensation models. Topics covered include: • Plan and participant advice • Out-of-plan advice • Investment selection • Employee education • Client reporting By the end of the session, the advisor will be able to answer, “Do I want to be in this business?” |
| Real Estate: Is Now the Right Time to Invest? ‡◊** Nicholas Schorsch, American Realty Capital - Speaker Bio Why attend: Find out if you should be adding real estate investments to your clients’ portfolios. Session details: What challenges and opportunities are presented by the current real estate market? Real estate investments can preserve wealth, furnish income and allow for capital growth. Mr. Schorsch will explain factors to consider when investing in real estate. Learn tips for designing the right type of real estate investment, and methods for making property investments tax efficient. |
Back to top |
| Hands-On Technology Session |
| The New Advisor Website: Schwab Data Delivery ◊** Marcus Doesserich, Charles Schwab - Speaker Bio Why attend: Schwab’s new website features the launch of Schwab Data Delivery, which replaces SchwabLink for file uploads. Session details: Learn how to install and set up Schwab Data Delivery, schedule automatic file downloads, and navigate the Schwab Data Delivery viewers. |
Back to top |
2:00pm – 3:15pm Afternoon Educational Sessions
Practice Management| Internal Compliance Reviews: Identifying Problems ◊** Keith Marks, Ascendant Compliance Management - Speaker Bio Why attend: Learn about available tools and methods for tying together the business practices of your firm with proper disclosure and compliance testing. Session details: Integrate disclosure and compliance testing—including policies and procedures, a code of ethics and testing protocols to demonstrate effectiveness—into your business practices. This session will help you understand the data available at your firm and the compliance insight you can mine from it. Get simple techniques for demonstrating to regulatory examiners that you have investigated key business areas. The session will focus on: • Code of ethics and personal trading • Trading strategies and allocations • Smart email reviews and insider trading • Controls over custody |
| Recruiting Advisors with Books of Business ◊** Bob Ciullo, Charles Schwab - Speaker Bio Kelli Cruz, Charles Schwab - Speaker Bio Gabriel Garcia, Charles Schwab - Speaker Bio Neal Simon, Highline Wealth Management - Speaker Bio Why attend: The current market environment has created an opportunity to recruit advisors with books of business who are looking for a change from their current model. Find out if this option is practical for you. Session details: Hiring an advisor with an existing practice may help you reach your growth goals. But finding professionals who match your firm’s culture and establishing a clear plan for bringing them on board is critical. At this session, you’ll examine tools that help determine whether a candidate is a good fit and evaluate how to approach recruiting. Explore financial considerations for compensation and onboarding, and get strategies for transitioning a new advisor into your firm. |
Back to top |
| Differentiating Yourself as a Retirement Advisor ◊** John Blossom, Alliance Benefit Group - Speaker Bio David Davidson, Retirement Plan Services, LLC - Speaker Bio Sean Duggan, Moneta Group - Speaker Bio Why attend: Get insight from advisors who have distinguished themselves in the retirement marketplace. Session details: A panel of advisors with successful retirement businesses will share best practices for standing out in a crowded market. Panelists will discuss: • Fiduciary vs. nonfiduciary role of an advisor • Required industry knowledge and networking for advisors • Practice logistics (building the offering, staffing, etc.) • Technology services |
| Managed Futures: The Institutional Investor's Perspective ‡◊** Thomas J. O'Donnell III, Newedge USA, LLC - Speaker Bio Why attend: Learn more about managed futures and their potential for non-correlated portfolio performance. Session details: Dispel myths about managed futures and find out how to use them to build better-performing portfolios. Compare the diversification and performance of managed futures with traditional investments and other hedge fund strategies. Led by a former public pension fund director, this session will give you the institutional investor’s perspective on this type of nontraditional investment. |
| Outlook for Global Inflation and International Fixed Income Investments ‡◊** David Wakefield, Mondrian Investment Partners Limited - Speaker Bio Why attend: Hear Mondrian’s views on the inflation outlook in the U.S. and the world, and on how that outlook affects international fixed income investments. Session details: Changing market dynamics have impacted central bank rates and influenced government action, causing some investors concern about inflation in the U.S. and abroad. Learn about the global inflation outlook, how it affects value in international fixed income markets, and how you can apply that knowledge to build well-diversified portfolios. At this session, discuss: • Perspectives on global inflation • Why the current business cycle suggests low inflation or deflation • Where to find value in international fixed income markets • A well-diversified international fixed income portfolio |
| Schwab Center for Financial Research: Research and Resources for RIAs ◊** Jim Peterson, Charles Schwab - Speaker Bio Why attend: Learn about Schwab’s research groups and the resources that back managed-account solutions. Session details: Take an inside look at the Schwab Center for Financial Research (SCFR) philosophy, investment process, analysis and decision-making tools. During this session, you’ll hear a quick overview of SCFR’s research process for separately managed accounts (SMA) and get a thorough understanding of their research on predictive characteristics of SMA performance. Compare research results from SMAs to the results for mutual funds. You’ll also learn about resources available to registered investment advisors. |
Back to top |
| Leverage Technology to Help Increase Operational Productivity ◊** Adam Moseley, Charles Schwab - Speaker Bio Wade Spencer, Charles Schwab - Speaker Bio Why attend: Leveraging technology and streamlining operational processes can help you improve client service and raise productivity while lowering costs. Session details: Learn about the latest technology trends and best practices for independent advisors. Get an overview of updates to Schwab technology and find out how to implement new systems to support your business goals. |
| Hands-On Technology Session |
| The New Advisor Website: Introducing Custom Groups and Enhanced Security Administration ◊** Shawna Fowler, Charles Schwab - Speaker Bio Why attend: Understand the features Schwab’s new advisor website offers for improved security administration. Session details: Learn what’s changed on the new schwabinstitutional.com regarding online security and find out how to: • Create, manage and assign security to custom groups • Use the new security detail report • Manage access to export and management fees |
Back to top |
3:25pm – 3:55pm EXPO Sessions
Technology and Trading| How to Gain a Competitive Edge Connor Wilson, Tamarac - Speaker Bio Why attend: Discover how to carve out more time for clients and referrals. Session details: Portfolio management and trading software can make your business more efficient and scalable, leaving more time for clients and referrals. Learn how to manage current clients more efficiently and potentially increase profits. Plus, learn the key difference between portfolio management and reporting. |
Back to top |
5:45pm – 6:15pm EXPO Sessions
Technology and Trading| Access Overlay™: A Customized Unified Managed Account Program Scott Welch, Fortigent - Speaker Bio Why attend: Learn how UMAs can help make your firm more efficient and help you deliver customized investment solutions to clients. Session details: Understand the benefits of UMAs, including access to high-caliber investment managers with lower overall fees, and easier portfolio implementation and rebalancing. Leave with a greater knowledge of how UMAs evolved and expectations for their future growth. |
Back to top |
|