11:00 a.m. -
12:00 p.m. EST

General Session 1: Beyond Fiduciary – Enacting Leadership, Stewardship, and Governance in this VUCA World
The industry is facing unprecedented volatility, uncertainty, complexity, and ambiguity (VUCA). During this time, the industry’s debates over the need for fiduciary regulations have centered on determining what minimum standards one must meet to be considered a fiduciary versus driving an inspiring conversation about what one should aspire to be to guide your team and clients through this time of VUCA. Saying you are a “fiduciary” will no longer set you apart or provide competitive advantage when everyone claims to be one. Dr. Hannah (Colonel, US Army Retired) and his colleagues have created the theory and framework of Behavioral Governance© to chart the way forward for those who truly want to be exemplars and establish credibility, trust, and build influence with those they serve. Behavioral Governance© integrates leadership, stewardship, and governance into a guiding framework and is based on Dr. Hannah’s groundbreaking academic research in Neuro-Leadership that has identified key neurological and psychological capacities that impact leaders’ effectiveness. In this keynote, Dr. Hannah will discuss ways to effectively lead, steward, and govern, and while drawing from examples from his numerous military operations and combat experiences, highlight the importance of these factors during the present times of VUCA.

Dr. Sean Hannah
Wake Forest University School of Business

12:00 - 12:30 p.m. EST

The Institute Real-Time Take
Join Devin Ekberg and our partners for a timely and relevant commentary on the day's program and more.

12:30 - 1:20 p.m. EST

General Session 2: Key Tax and Estate Planning Strategies
Steve will address the important and hot topics for tax and estate planning in 2020. He will cover the latest in the legislation, court decisions, and IRS rulings that emerge in late 2019 and in 2020. Also, Steve will have an in-depth discussion of the key planning issues that most clients must consider as they look forward to their future. He will explore in greater depth areas of income tax planning and entity choice, as well as highlighting estate planning concerns.

Steve Siegel
President, The Siegel Group

1:20 - 1:50 p.m. EST

Break with Partners and Exhibitors

1:50 – 2:40 p.m. EST

General Session 3: Alternative Yield from Private Credit
Mark will introduce the concept of alternative yield as a compelling option for income-oriented investors. Globally, yield is in high demand but has become increasingly risky to obtain. In alternative yield, investors can access a set of differentiated strategies that provide the dual utility of attractive risk-adjusted return and enhanced portfolio risk management.

Neil Siegel
Global Head of Marketing and Product, Macquarie Investment Management

Mark Perry
Managing Director, Wilshire

2:40 - 3:10 p.m. EST

Break with Partners an Exhibitors

3:10 - 4:30 p.m. EST

General Session 4: Rethinking Taxable Investment Advice For The Next Decade
The wealth industry is being buffeted by eroding margins from low-priced competitors, commonplace access to alternative investments, rock bottom expected returns from most fixed income, and much higher potential client tax bites. What can we advisors do to redefine our value proposition, to help clients rethink what it means to be a taxable investor, and to become more valuable than ever despite the headwinds? Stuart Lucas will discuss his new book, The Taxable Investor’s Manifesto, and new opportunities to redefine what good investment advice looks like.

Stuart E. Lucas
Co-Managing Partner and Chief Investment Officer Wealth Strategist Partners, LLC

4:30 - 6:00 p.m. EST

Diversity and Inclusion: What’s in it for me?
Presented by Women in Wealth

Welcome with Herman Brodie:
Herman Brodie examines the hurdles to progress from a behavioral perspective and shows that greater career success is the reward for individuals who see diversity and inclusion as a skill to be learned. This session with Herman Brodie focuses on one behavioral concept that crucially shapes those interpersonal exchanges: the stereotype. All of us use stereotypes, but Herman will explore how/why they are formed, and how they can be changed.

Panel Discussion:
Panel discussion on evaluating diversity in your organization. Learn from these speakers how addressing diversity within your workplace can makes a positive impact with client discussions, investing strategies and overall success. We will end this program with a question and answers segment.


Sponsored by:

Herman Brodie,
Founding Director, Prospecta Limited

Panelists:

Laura Gregg,
Director of Practice Management and Advisor Research.

Kate Healy,
Managing Director, Generation Next, TD Ameritrade Institutional

Sarah Johnson
Senior Vice President and Director of Wealth Management Marketing, Capital Group

Amy Webber,
President and Chief Executive Officer, Cambridge Investment Research, Inc.

1 CE

Family Love Letter: Inter-generational Wealth Transfer
The Family Love Letter provides a convenient manner to communicate the important information needed in case of incapacitation or death to family members. It also allows individuals to memorialize clear instructions as to how assets, benefits, final wishes and intents are to be carried out. The Family Love Letter is not a legal document or substitute for estate planning, but it can function as a supplement to any good planning and a source of great comfort to loved ones in a time of stress and confusion.

Cheri Brooks
Senior Vice President, Neuberger Berman Advisor Institute

1 CE

Latest Research on Risk Tolerance: Developing an Investor Risk Profile
Join this session to explore insights from risk research from the Financial Planning Performance Lab, University of Georgia. Attendees will walk away with a comprehensive framework for identifying and understanding an individual investor’s risk profile, incorporating both objective and behavioral attributes that reflect the interdependence of the investor’s underlying attitudes. Join Grable, as he dives into risk profiling terms and how financial advisors worldwide assess client risk profiles. The audience will walk away with tools that provide the best link between theory, best practices associated with the assessment and evaluation of a client’s risk profile, helping financial service professionals better navigate the increasingly complex financial marketplace with their clients.

John Grable, Ph.D., CFP®
University of Georgia

1 CE

Become Impossible to Ignore: Implementing Longevity Planning Resources Into your Business
Raymond James’ vetted longevity solutions for longer living are distinctly unique and offer a way to drive client conversations, and their portfolios, towards a personalized outcome. How do you initiate these conversations? The most effective way to introduce these concepts is via the planning process. In this session we will demonstrate how to create a differentiated advantage by changing the conversation, provide clients with what they really want and, in the process, make your message impossible to ignore.

Frank McAleer, CFP®, CIMA
Raymond James, Senior Vice President of wealth, retirement and portfolio solutions

1 CE

Developing and Maintaining High-Performing Teams
As the financial advisor-client relationship continues to evolve amid changing investment behaviors and evolving client dynamics, creating, developing and maintaining high-performing teams has become an unequivocal mandate for committed and effective advisors. Teams, made up of mission-driven, process-oriented and growth-minded specialists are crucial to meet the growing demands and expectations of financial advisors. High-performing team archetypes exist across the professional landscape—from championship-winning basketball teams, to gold-medal-wearing swimming teams, to money-making executive teams. Each offer idiosyncratic value worth modeling. But for advisors, one of the most apt teams to emulate are Navy SEALs, who are process-oriented, goal-driven and systematic in pursuit of their goals—and unrelenting in their commitment to success, even amid unforeseen circumstances. Join this session with Jon Fussell, a retired Navy SEAL Commander, to better understand how SEAL teams function. Jon will discuss five core behaviors inherent to all high-performing SEAL teams that advisors can apply to their practices in order to help build lasting relationships with clients.

Jon Fussell
Retired US Navy SEAL, Founder and CEO of Patriot Leadership Development LLC

.5 CE

Ed Talk 1: From Bleak to Dire: The Outlook for Bonds in the Wake of COVID-19
In this webinar, Marc Odo will revisit the trends and concerns raised a year ago in his Bleak Future of Bonds and explore how they have been exacerbated by the COVID-19 pandemic. He will outline the dangerous impact of the stimulus on bond markets, how the fiscal outlook is making it worse, and offering advisors a way to address the allocation challenge going forward.

Marc Odo
CFA, FRM, CAIA, CIPM, CFP®, Client Portfolio Manager, Swan Global Investments

.5 CE

Ed Talk 2: Active ETFs with Responsible Investment Principles
Matt Lewis, Head of ETF Implementation and Capital Markets, is joined by Haddon Kirk, Lead Market Maker for American Century Investments' actively managed ETFs, for a conversation about making markets and considerations for investors when trading ETFs.

Matt Lewis
Vice President, Head of ETF Implementation and Capital Markets, American Century Investments

.5 CE

Ed Talk 3: Leveraging Freedom to Optimize your Practice
In evaluating the leading economic factors and proprietary risk statistics that will impact performance in higher-volatility, lower-interest-rate environments, RJ’s Asset Management Services (AMS) Investment Committee has been positioning Freedom portfolios for the markets of the next 5 years and beyond. Hear from RJ’s AMS Chief Portfolio Strategist, Nick Lacy, CFA, as he provides an update on portfolio positioning and views of the markets.

Nick Lacy
CFA, Chief Portfolio Strategist, Asset Management Services (AMS) at Raymond James Financial

.5 CE

Ed Talk 4: Leveraging Underutilized Technology
Do you feel like you have a great technology stack, but are looking to make some additional improvements? In this session, we'll walk through some of the underutilized technology systems that can have a big impact on firms' efficiency.

Thomas H. Roberts
Vice President, Technology Consulting, TD Ameritrade Institutional

.5 CE

Ed Talk 5: The After-Tax Advisor
Taxes can erode portfolio returns, disposable income and wealth longevity. When it comes to tax planning, advisors need to think ahead – not just during Q4 or while taxes are being prepared. An “After-Tax Advisor” is mindful of taxes all year long to help clients keep more of their wealth and build lasting relationships. This video is designed to help you enhance your value using these three tax tenets: Taxes can be a client’s easiest investment “fee” to reduce, asset location can be as important as asset allocation and Uncle Sam can be a coach, not just a referee.

David Gordon
Director, Eaton Vance Advisor Institute

7 a.m. – 12 p.m.

Registration Open

7 – 8 a.m.

Breakfast in Exhibit Hall/Ed Talk 7

8 – 9:15 a.m.

General Session 6: What Goes Down Will Come Back Up — What's Ahead for Markets Now
Financial markets are always full of uncertainty, and today’s environment is no different. But maintaining a long-term, optimistic view of the world economy can be the difference between successfully meeting your clients’ goals or coming up short. Called the “Wizard of Wharton” and one of the world’s keenest financial minds, he has an unshakable belief that brighter days are ahead for Wall Street. He shares his incredible insights on today’s latest financial news and what is ahead for not only Wall Street, but for investors and business.Financial markets are always full of uncertainty, and today’s environment is no different. But maintaining a long-term, optimistic view of the world economy can be the difference between successfully meeting your clients’ goals or coming up short. Called the “Wizard of Wharton” and one of the world’s keenest financial minds, he has an unshakable belief that brighter days are ahead for Wall Street. He shares his incredible insights on today’s latest financial news and what is ahead for not only Wall Street, but for investors and business.

Jeremy Siegel, PhD
Professor of Finance, Wharton School of the University of Pennsylvania

9:15 – 9:45 a.m.

Break in Exhibit Hall

9:45 – 10:45 a.m.

General Session 7: A Feasible Blueprint for Meeting the Challenges of Funding Retirement with a Seamless Transition from Accumulation to Pay-down Phases

Robert Merton, PhD
Professor of Finance, MIT Sloan School of Management

10:45 a.m. – 12 p.m.

General Session 8: Ethics/What Business Ethics Is Not
Anyone who has ever sat (bored) through a required business ethics or compliance seminar has been prompted to wonder: what is the point of this? The question does not challenge the importance of leading ethical lives in business, but does question our approach to teaching and discussing business ethics throughout our industries. In this session, Peter Conti-Brown—a scholar of financial regulation and teacher of business ethics at The Wharton School—leads participants in a process of deprogramming. Ethics is not and cannot become marketing, compliance, law, or even assertions of universal morality. Instead, ethics is about personal values and organizational culture--where those reinforce each other and, more importantly, where they conflict.

Peter Conti Brown, PhD
Assistant professor, The Wharton School of the University of Pennsylvania