ANNAL CONFERENCE EXPERIENCEACE 2019

WHAT’S INSIDE: Welcome from the Conference Co-Chairs...... Page 2 Schedule-at-a-Glance...... Page 3 Aria Meeting Space Map...... Page 4 What’s New in 2019...... Page 5 Don’t Miss Events...... Page 6 EdTalks...... Page 8 ACE Program...... Pages 9–19 Exhibitor Maps...... Pages 20 Exhibitor Listings...... Pages 21–26

DOWNLOAD THE INSTITUTE CONFERENCE MOBILE APP! To access speaker presentations, attendee lists and more, download the mobile app:

Step 1: Download the Investments & Step 2: Search for the 2019 Annual Login to message specific attendees, Wealth Events app from your App Store. Conference Experience–ACE event create your own schedule, and save You also can access the mobile website: within the Investments & Wealth any presentation notes that you take. https://crowd.cc/19ace Events app and download the event. All 2018 events are also available to view on the new app. WiFi Network: Institute Password: ace2019! www.investmentsandwealth.org/ace 1 WELCOME TO FABULOUS LAS VEGAS AND TO THE ANNUAL CONFERENCE EXPERIENCE—ACE!

The Investments & Wealth Institute is proud to have delivered Ivy League-quality education with practical application to the investment and wealth management industry for more than 30 years. We are honored that you continue to choose us for your advanced education needs.

Over the next few days, you will learn more about what clients and advisors say is important to them—advanced knowledge, guidance, professionalism, and ethics. Every presentation has been peer-selected and reviewed with the goal of educating, motivating, and inspiring you with objective, unbiased, and practical content. ACE offers a wide range of leading-edge ideas and new perspectives for advanced investment and wealth management practitioners, with six tracks to choose from:

• Investment Management • Wealth Management • Retirement Strategies • Advanced Business Strategies • Institutional Consulting • Distribution Excellence (in partnership with the Money Management Institute)

Get ready to hear from the brightest minds in our industry! At ACE, we are focused on advanced content, for advanced practitioners like you, with more than 50 exceptional education sessions to choose from.

Remember, as advanced practitioners, the Investments & Wealth Institute is our professional community, and ACE is our pinnacle event. We encourage you to share your feedback. Please be sure to complete speaker evaluations after every session you attend through our new app, available wherever you download mobile apps. If you have additional suggestions, please reach out to any of us on the Annual Conference Committee. We value your comments to help us continuously improve your experience here at ACE.

With appreciation,

Elizabeth “Libet” Anderson, CIMA®, Managing Director Morgan Becker, CIMA®, Co-Chair, Senior Vice President, of Advisory & Planning, ProEquities, Co-Chair, ACE Family Wealth Director, Morgan Stanley, Co-Chair, ACE Conference Planning Committee Conference Planning Committee

Thank you to our Conference Committee Members: As practitioners themselves, our conference committee understands that spending time away from professional and personal responsibilities is valuable. When you make the time to become better educated, you expect to walk away with tangible, practical education that can be put to work right away. Thank you to our conference committee for working hard to put together a stellar conference agenda.

Co-Chair Conference Elizabeth “Libet” Anderson, CIMA® Committee Members: Becky Bowler, CIMA® Co-Chair Noel Pacarro Brown, CIMA®, CPWA® Morgan Becker, CIMA® Lee England, CIMC® Sean Gabrio, CIMA® Board Liaison: Anuj Gupta, CIMA®, CPWA® Brian Ullsperger, CIMA® Mark Kronemer, CIMA® Brian Oettinger, CIMA® Andrew Safir, CIMA®, CPWA® Chair: Co-Chair: Andrew Sharp, CIMA® Elizabeth “Libet” Anderson, CIMA® Morgan Becker, CIMA® Corey Silva, CIMA®, CIMC® David O. Wolf, CPWA®

2 SCHEDULE-AT-A-GLANCE

Sunday, May 5 Women in Wealth Luncheon Sponsored by: Time Description Room Assignment

11 a.m.–7 p.m. Registration/Information Desk Open Foyer, Level 1 12–1:15 p.m. Juniper 4, Level 3 Optional Pre-Conference Workshop

Wealth Management Workshop

An Overview of the CPWA® Body of Knowledge, in collaboration with 1–4:30 p.m. Juniper 2–3, Level 3 Yale School of Management Invitation Only John Nersesian, CIMA®, CPWA®, CIS, 12:15–12:40 p.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 CFP®, PIMCO 12:50–1:15 p.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 Additional fee required Concurrent Super Sessions, Optional Pre-Conference Workshop 1:30–2:30 p.m. Level 3 see detailed schedule What Your HNW Clients Are Worried About | Robert Cooper PhD, 2:30–3 p.m. Break in Exhibit Hall Bristlecone Ballroom, Level 1 Capital Group, Leslie Geller JD, LLM, General Session: Creating High Capital Group, Darrell Spence, Capital 3–4 p.m. Performing Teams Pinyon Ballroom Level 1 Group 1–4:30 p.m. Juniper 4, Level 3 Cam Marston, Generational Insights Sponsored by: 4:15–5:30 p.m. Deep Dives/Facilitated Labs Level 3, see detailed schedule Platinum Partner Reception in 5–7 p.m. Bristlecone Ballroom, Level 1 Exhibit Hall

Additional fee required Tuesday, May 7 Optional Pre-Conference Workshop 5:30 a.m. Optional Morning Run ARIA Lobby, Level 1 2–4:30 p.m. Professional Conduct and Regulation CFP® Ethics, Juniper 1, Level 3 6–6:45 a.m. Optional Morning Yoga Bluethorn 1, Level 1 Marguerita Cheng, CFP®, RICP® Institute Ethics Additional fee required 7 a.m.–7 p.m. Registration/Information Desk Open Foyer, Level 1 4:35–4:55 p.m. Ambassador Welcome Bluethorn 9, Level 1 7–8 a.m. Breakfast in Exhibit Hall Bristlecone Ballroom, Level 1 Opening General Session: The 7:15–7:40 a.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 5–6 p.m. Economy 2019: Politics Collides with Pinyon Ballroom, Level 1 General Session with awards Reality | Marci Rossell, PhD presentation: The Global Outlook: 8–9:15 a.m. Pinyon Ballroom, Level 1 6–7 p.m. Opening Night Reception in Exhibit Hall Bristlecone Ballroom, Level 1 Opportunities and Risks Raghuram Rajan, PhD NextGen Reception Sponsored by: 9:15–9:45 a.m. Break in Exhibit Hall Bristlecone Ballroom, Level 1 7–9 p.m. Bluethorn 1, Level 1 9:45–10:35 a.m. Concurrent Workshops Level 3, see detailed schedule

11–11:50 a.m. Concurrent Workshops Level 3, see detailed schedule Monday, May 6 12–1:30 p.m. Lunch in Exhibit Hall Bristlecone Ballroom, Level 1 5:30 a.m. Optional Morning Run ARIA Lobby, Level 1 12:15–12:40 p.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 6–6:45 a.m. Optional Morning Yoga Bluethorn 1, Level 1 Concurrent Workshops, 1:30–2:20 p.m. Level 3 7 a.m.–7 p.m. Registration/Information Desk Open Foyer, Level 1 see detailed schedule Concurrent Workshops, 7–8 a.m. Breakfast in Exhibit Hall Bristlecone Ballroom, Level 1 2:40–3:30 p.m. Level 3 see detailed schedule 7:15–7:40 a.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 General Session: Attracting the Next 7–8 a.m. International Welcome Breakfast Bluethorn 9, Level 1 3:45–5 p.m. Generation of Clients Pinyon Ballroom, Level 1 Alexandra Cole, Purpose Generation General Session: The Hacker’s 8–9 a.m. Pinyon Ballroom, Level 1 Blacklist | John Sileo 5–7 p.m. Closing Night Reception in Exhibit Hall Bristlecone Ballroom, Level 1 9–9:30 a.m. Break in Exhibit Hall Bristlecone Ballroom, Level 1 Wednesday, May 8 9:30–10:30 a.m. Concurrent Super Sessions Level 3, see detailed schedule 7–11 a.m. Registration/Information Desk Open Foyer, Level 1 10:45 a.m.–12 p.m. Concurrent Super Sessions Level 3, see detailed schedule 7–8 a.m. Breakfast in Exhibit Hall Bristlecone Ballroom, Level 1 Lunch in Exhibit Hall 7:15–7:40 a.m. EdTalk in Exhibit Hall EdTalk Stage, Level 1 Sponsored by: 12–1:15 p.m. Bristlecone Ballroom, Level 1 General Session: Originals: How 8–9 a.m. Nonconformists Move the World Pinyon Ballroom, Level 1 Adam Grant, PhD 9–9:30 a.m. Break in Exhibit Hall Bristlecone Ballroom, Level 1 General Session: Is Active Trust- Please note: 9:30–10:30 a.m. Building Ethical? | Herman Brodie, Pinyon Ballroom, Level 1 •Beverages available in Exhibit Hall all day. Institute Ethics •Please consult mobile app for most current schedule. Prospecta Limited 3 MAP OF ARIA RESORT & CASINO WEST CONVENTION CENTER

ACE Super Sessions, Workshops, Deep Dives and Facilitated Labs Ironwood uniper

ARIA CONVENTION uniper CENTER Ironwood Ironwood 2 LEVEL 3 12 Starvine 1

uniper RMA Capstone 1 Restrooms Restrooms

Escalators

ARIA CONVENTION To Hotel CENTER Escalators LEVEL 2 EdTals

ARIA ACE CONVENTION ACE Main Entrance Main Entrance CENTER General Session Ehiit Hall LEVEL 1 Pinon Ballroom Bristlecone Ballroom

Registration Restrooms Escalators Materials Pick-up Restrooms

WiFi Network (SSID): Institute Password: ace2019!

4 ANNUAL CONFERENCE WHAT’S NEW IN 2019 EXPERIENCE­—ACE

Welcome to the Investments & Wealth Institute flagship event, Annual With enhanced experiences, this year’s Annual Conference Experience–ACE is a Conference Experience—ACE. must-attend event for all advisors. New additions to the conference experience include more interactive sessions and peer-to-peer networking with other There’s a reason we call it a “conference experience:” ACE offers four days of advisors, including using our conference app to connect with new and old unparalleled exposure to the sharpest thinkers and practitioners—blending Ivy friends onsite. A new exhibit hall layout that includes Tech Tables so that you can League quality education, with practical application. Offering more than 60 stay up to date on the latest fintech developments plus receive CE for short, but educational sessions, this event redefines the concepts of learning and education focused EdTalks held in the exhibit hall. Special events will be held to connect by offering seven marquee-level general sessions, short-form EdTalks, interactive the next generation of advisors with each other and as in previous years, a Facilitated and Deep Dive Labs, Workshops and Super Sessions organized into six breakfast to welcome our international members and guests will be held the first educational tracks. day of the conference. All that and there’s fun to be had as well! Attendees will be able to try a virtual reality experience, spin the wheel for prizes in the Connect Finally, four days of professors from Wharton and Booth to reference our program Lounge, relax with some morning yoga, and visit with some special guests. partner schools education plus new interactive experiences, peer-to-peer connections, and other opportunities to expand your knowledge beyond the Take a moment to review the schedule. Mark sessions that you don’t want to usual industry conference. miss. Use the conference app to map your plan for the week ahead.

WHICH TRACK IS RIGHT FOR ME? Customize your conference experience by selecting sessions that are pertinent to your business.

Investment Management For advisors who construct portfolios and monitor performance for their clients.

Wealth Management For advisors who plan tax, estate, and charitable giving needs and charitable giving strategies for their high-net-worth clients.

Advanced Business Strategies For advisors who run their own practice.

Retirement Management For advisors who work with individuals on retirement planning goals.

Institutional Consulting For advisors who work with foundations, endowments, and other institutional clients.

Distribution Excellence The Art & Science of Advisor Consulting in collaboration with The Center for Distribution Excellence by Money Management Institute.

5 EVENTS YOU WON’T WANT TO MISS!

Bookstore Hours and Location The bookstore is located inside the Exhibit Hall in the Bristlecone Ballroom, 1st floor, and will be open during Exhibit Hall hours.

Book signings schedule:

John Sileo Book Signing Monday 9–9:30 a.m. Ray Sclafani Book Signing Monday 2:30–3 p.m. Herman Brodie Book Signing Tuesday 5 – 5:30 p.m. Cam Marston Book Signing Monday 5:30–6 p.m. Raghuram Rajan, PhD Book Signing Tuesday 9:15–9:45 a.m. Adam Grant, PhD Book Signing Wednesday 9–9:30 a.m.

Fitness Sunday, May 5 Opening Night Reception Clear your mind and prepare for the day. Join the fun run or yoga class 6–7 p.m. Welcome to fabulous Las Vegas! Kick-off your Monday and Tuesday mornings. conference experience listening to local artist, Joshua Robert, while greeting old friends and making new Connect Lounge connections. Drinks and appetizers will be served, and Join us in the Connect Lounge to spin the Institute wheel for prizes, pick a drawing for the Oculus Go virtual reality set will take up special ribbons, take a virtual reality trip, charge your phone, and have a place at 6:45 p.m.* luggage tag made! *Must have registered for the conference before the early-bird deadline of April 5 to qualify for drawing. Your name is automatically placed into the drawing if you registered by April 5.

Monday, May 6 Platinum Partner Reception 5–7 p.m. Join us in the Exhibit Hall as we honor our Platinum Partners with specialty drink and cocktail pairings served in each Platinum booth. As you visit exhibitors and enjoy different food stations, look for the roaming photo booths. Have your picture taken with your colleagues and don’t forget to post on social media. #ExceptionalAdvisor

Tuesday, May 7 Closing Night Reception 5–7 p.m. Viva Las Vegas! Swing and sway to the sounds of Justin Special Guests & The SwingBeats as they play classic melodies with a Stop by the Exhibit Hall Tuesday, May 7 from 9 a.m.–3 p.m. to say hi to our special modern twist. Drawings for special prizes will take place guests. Michael’s Angel Paws, a local Las Vegas charity that helps people lead a at 6:30 p.m.* Prizes include: (1) Oculus Go virtual reality more independent life through their therapy dog programs, will be here to say set and (1) Personalized 9.7in 32GB Wifi iPad. thank you for donating to their “paws-a-tive” cause. Sponsored by ProShares. *Based on Institute Wheel prize entries received in the Connect Lounge

6 Your attendance at individual conference sessions is recorded automatically

ANNAL E using RFID technology as you enter each session. Be sure to wear your CONFERENCCE conference badge at all times to ensure that you are properly credited for the EXPERIEN BY: sessions you attend. SPONSORED

Messaging and Meet-ups LOOK FOR AMBASSADORS Interested in networking with fellow attendees? Login to the mobile app to view the attendee list and schedule one-on-one meet ups throughout the WEARING THIS BUTTON conference. Simply click on the attendee profile and click the Meeting tab. You may also message attendees directly through the app!

Meeting Room Bluethorn 7 is open to all attendees for casual conversations. No need to reserve the room. Just connect with another attendee and plan to meet!

Wifi Internet details for Meeting space Network: Institute Password: ace2019! Yoga Ask me! Join us Monday and Tuesday from 6–6:45 am (Bluethorn 1) to relax, retreat, and refresh during the conference in the Yoga Room. Yoga instructor, yoga mats, and towels provided.

Luggage Check The Investments & Wealth Institute is hosting a luggage check on Wednesday, May 8 from 7–11:30 a.m. in Bluethorn 1, across from registration.

Ride Sharing Have a question related to conference sessions, events, or speakers? If you are using ride sharing apps, such as Uber or Lyft, pick-up at the ARIA Want to learn more about the Institute or membership? Wondering is located at the lower level of the North Valet Lobby, adjacent to JEWEL what specific sessions and receptions are about? Our Ambassadors are Nightclub. Drop-off is located at the Main Entrance and the North Entrance. here with answers! Look for the Ask Me button and feel free to inquire, knowing they will have the answers!

Ambassador Welcome Sunday, May 5 4:35 – 4:55 p.m. Location: Bluethorn 9, Level 1

CONNECT WITH US ON SOCIAL MEDIA!

Search: Tweet us using investmentsandwealthinstitute #ExceptionalAdvisor Handle: @iw_inst

7 EXHIBIT HALL PROGRAM EDTALK STAGE IN EXHIBIT HALL Please note: To receive CE for EdTalks, you must have your badge scanned at the entrance to the stage. Staff will hand scan your badge as you enter. Badges must be scanned for each EdTalk to ensure CE is credited.

Monday, May 6 EdTalk | The Next-Generation Challenge: Why Advisors Need to Prepare for Tomorrow 7:15–7:40 a.m. Kate Healy, TD Ameritrade Institutional Institute CE 0.5 Advisors: We have a problem. Tens of thousands of brokers and advisors will retire over the next decade, but undergraduate financial planning programs produce only a few hundred graduates each year. And while developing and attracting the next generation of talent is imperative to our industry’s long-term sustainability, this is no easy task when many young people aren’t aware of financial planners and what they do. Kate Healy, managing director of Generation Next at TD Ameritrade Institutional, will share proven strategies advisors can use to build a pipeline to the next generation and why casting a wider net for new talent can benefit firms today and down the road. Monday, May 6 EdTalk | The Caveman, the King, and the Next Big Things 12:15–12:40 p.m. Jay Michael, CircleBlack Institute CE 0.5 Technology today is just like fire. If not used correctly, you can find yourself out in the cold or badly burned. When harnessed in the right way, though, technology can help you can grow your business, save time, and build relationships with all types of clients. Join us for this session where we’ll cover misconceptions, common mistakes, and questions you should be asking (e.g., “How does this make me money?”) when it comes to fintech. Monday, May 6 EdTalk | Structured Notes 101: How to Implement Structured Notes in Client Portfolios 12:50–1:15 p.m. Jason Barsema, Halo Investing

Institute CE 0.5 Advisors can use structured notes in client portfolios to create protective and defined-outcome investments. Whether seeking CFP® CE 0.5 income or growth, structured notes can be customized to solve any market outlook. Learn how this investment product is created and how financial technology is providing greater transparency, liquidity, and lifecycle management to market for structured notes.

Tuesday May 7 EdTalk | The Total Cost of ETF Ownership: Looking Under the Hoods of ETFs 7:15–7:40 a.m. Edward Rosenberg, American Century Investments ETFs

Institute CE 0.5 Buying cars can teach you a lot about buying ETFs (Exchange Traded Funds). With both purchases, total cost of ownership goes CFP® CE 0.5 beyond the sticker price. By looking under the hood, you can make more informed decisions to help your clients select the investments that best meet their needs. Hear from Edward Rosenberg, Head of Exchange Traded Funds at American Century Investments as he lifts the hood on ETFs and breaks down the various costs of ownership.

Tuesday, May 7 EdTalk | All Options on the Table 12:15–12:40 p.m. Marc Odo, Swan Global Investments

Institute CE 0.5 Today’s financial advisors face numerous challenges. Protecting wealth, generating income, and providing alpha are top CFP® CE 0.5 priorities. Options-based strategies can potentially address all three. This session introduces ideas about how options can fill the void and previews an educational curriculum on the use of options that’s in development between Swan Global Investments and Investments & Wealth Institute.

Wednesday, May 8 EdTalk | Social Security: The Choice of a Lifetime 7:15–7:40 a.m. Ian Wetherell, CRPC, CHSA, RCC, Nationwide

Institute CE 0.5 Filing for Social Security is one of the biggest financial decisions clients will make. It may provide the only income source they CFP® CE 0.5 have that will live as long as they do. That’s why it’s the choice of a lifetime. We will discuss many filing rules and strategies so you can make the choice that fits with your clients’ overall retirement income plans.

8 ACE PROGRAM SUNDAY, MAY 5 11 a.m.–7 p.m. Registration/Information Desk Open Room: Foyer, Level 1 1–4:30 p.m. *Optional Pre-Conference Workshop: Wealth Management Workshop: An Overview of the CPWA Room: Juniper 2–3, Level 3 Body of Knowledge, in collaboration with Yale School of Management John Nersesian, CIMA®, CPWA®, CIS, CFP®, PIMCO Institute CE 4

CFP® CE 4 This pre-conference session is for financial advisors and wealth managers who work with or aspire to work with high-net- worth (HNW) clients on the life-cycle of wealth: accumulation, preservation, and distribution. By applying concepts and techniques taught in the Certified Private Wealth Advisor® (CPWA®) program, attendees will learn to identify and analyze the *Additional fee applies, see registration challenges HNW individuals face, and understand how to develop specific strategies to minimize taxes, monetize and protect assets, maximize growth, and transfer wealth. 1–4:30 p.m. *Optional Pre-Conference Workshop: What Your HNW Clients Are Worried About Room: Juniper 4, Level 3 Robert Cooper, PhD, Capital Group, Leslie Geller, JD, LLM, Capital Group, Darrell Spence, Capital Group

Institute CE 4

CFP® CE 4 Sponsored by *Additional fee applies, see registration Recent changes in tax laws, central bank policy, and geopolitics have caught the attention of HNW clients. Advisors can add significant value by anticipating their clients’ concerns and implementing strategies to address the uncertainty. Join this preconference workshop sponsored by Capital Group, as industry experts deliver practical solutions for preparing for economic recession, optimizing HNW tax and estate strategies, and building clients’ confidence in their financial plans.

2–4:30 p.m. *Optional Pre-Conference Workshop: Professional Conduct and Regulation Room: Juniper 1, Level 3 (CFP® Ethics, Institute Ethics) | Marguerita Cheng, CFP®, RICP®, Blue Ocean Global Wealth

Institute CE 2 At the end of the course, participants will be equipped to: Identify the structure and content of the revised Code & Standards, Institute Ethics CE 2 including significant changes and how the changes affect CFP professionals; act in accordance with CFP Board’s fiduciary CFP® Ethics CE 2 duty; apply the Practice Standards when providing financial planning; recognize situations when specific information must be provided to a client; recognize and avoid, or fully disclose and manage, material conflicts of interest.

*Additional fee applies, see registration This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board’s new Code of Ethics and Standards of Conduct effective October 1, 2019. 5–6 p.m. Room: Pinyon Ballroom, Level 1 Opening General Session: The Economy 2019: Politics Collides with Reality Institute CE 1 Marci Rossell, PhD, journalist and economist CFP® CE 1 New faces in Congress are confronting a rapidly changing economic landscape. Join Dr. Rossell as she considers the intersection of economics, financial markets and politics in year to come.

6–7 p.m. Opening Night Reception in Exhibit Hall Room: Bristlecone Ballroom, Level 1 7–9 p.m. Room: Bluethorn 1, Level 1 NextGen Reception sponsored by

*Geared toward Investment & Wealth Join your fellow NextGen attendees for a fun night of socializing. Meet special guest former CNBC economist Marci Rossell. professionals under 40.* Learn to play craps, black jack, and roulette while enjoying food and cocktails.

9 MONDAY, MAY 6 5:30 a.m. *Optional Morning Run–Get prepared for a great day of learning by running with others who are attending the Room: ARIA Lobby, Level 1 conference. Those interested should meet in the ARIA lobby at 5:30 a.m. 6–6:45 a.m. *Optional Morning Yoga—Enjoy a mindful break and take time to relax, retreat, and refresh during the conference in Room: Bluethorn 1, Level 1 the Yoga Room. Yoga instructor, yoga mats, and towels provided. 7 a.m.–7 p.m. Room: Pinyon Ballroom Foyer, Level 1 Registration/Information Desk Open

7–8 a.m. Room: Bristlecone Ballroom, Level 1 Breakfast in Exhibit Hall (Beverages available all day in Exhibit Hall)

7–8 a.m. International Welcome Breakfast–Take this opportunity to meet our international attendees and enjoy Room: Bluethorn 9, Level 1 a moderated discussion of global economic and advisor issues. For our international attendees and others who would like to join. 7:15–7:40 a.m. EdTalk: The Next-Generation Challenge: Why Advisors Need to Prepare for Tomorrow Room: Edtalk Stage, Exhibit Hall Kate Healy, TD Ameritrade Institutional Institute CE 0.5 Advisors: We have a problem. Tens of thousands of brokers and advisors will retire over the next decade, but undergraduate financial planning programs produce only a few hundred graduates each year. And while developing and attracting the next generation of talent is imperative to our industry’s long-term sustainability, this is no easy task when many young people aren’t aware of financial planners and what they do. Kate Healy, managing director of Generation Next at TD Ameritrade Institutional, will share proven strategies advisors can use to build a pipeline to the next generation and why casting a wider net for new talent can benefit firms today and down the road. 8–9 a.m. Room: Pinyon Ballroom, Level 1 General Session: The Hacker’s Blacklist | John Sileo, Sileo Group, Inc. Institute CE 1

CFP® CE 1 The heart of good cybersecurity starts with the human beings that help it flourish, or fail. To avoid becoming the next disastrous data-breach headline, you must foster a healthy balance between computer security and human behavior. This session will discuss how cybersecurity isn’t just about overspending on shinier technology – it’s about building a mindset and culture that evolves with the threats.

9–9:30 a.m. Room: Bristlecone Ballroom, Level 1 Break in Exhibit Hall (Beverages available all day in Exhibit Hall)

9:30–10:30 a.m. Concurrent Super Sessions Super Session: Performance Super Session: Why Fundamentals Super Session: Brain Health and Excellence of World | Susan E. Kay, MFS Still Matter in the Age of Big Data, Financial Planning | Jodi Lyons, Eldercare Fund Distributors, Inc. Artificial Intelligence, and Twitter Expert; Steven P. Simmons, MD, DocTalker Dan Suzuki, CFA®, Richard Bernstein Advisors LLC Room: Juniper 2-3, Level 3 Room: Juniper 1, Level 3 Room: Ironwood 1-2, Level 3 Institute CE 1 Institute CE 1 Institute CE 1 CFP® CE 1 Gather assets in a meaningful way by CFP® CE 1

being strategically involved in your community, as well as understanding the Financial advisors, particularly retirement With the 24-hour financial and geopolitical news professionals, need to have a clear more sophisticated tactics of philanthropic cycles in full force, dispassionately investing planning. This session will enable advisors to understanding of what they’re planning for, based on fundamentals is more difficult, but more what it costs, and how their plans change in leave with the tools and tactics of world-class important now than ever. Tweets can drive short- performers. They will be inspired by what the the context of cognitive impairment. This is term market gyrations, but it is the fundamentals important both personally and professionally— top advisors in the country are doing to grow that drive longer-term returns. This session will their businesses. clients are aging and so are advisors and examine the fundamental backdrop of the current their families. This seminar is based on the market environment and discuss today’s biggest recently released book Brain Health As You risks and biggest opportunities. Age (Rowman and Littlefield 2018). We may expect to live longer, but many people still Investment Management Investment Management Investment Retirement Management Retirement wonder if their brains will keep up with their bodies. This session will examine typical functions and declines of an aging brain, the signs and symptoms of problems, the available treatments, the financial responsibilities, and the factors that determine what kinds of care people might need as they age.

10 MONDAY, MAY 6 (CONTINUED)

10:45 a.m.–12 p.m. Concurrent Super Sessions Super Session: Shift Your Human Super Session: Advanced Roth Super Session: Tax Strategies for Capital Perspective Conversion Strategies | Michael Kitces, Wealth Advisors | Steve Siegel, JD, LLM, The Ray Sclafani, ClientWise LCC MSFS, MTAX, CFP®, CLU, ChFC, RHU, REBC, CASL, Siegel Group Pinnacle Advisory Group Room: Ironwood 1-2, Level 3 Room: Juniper 2-3, Level 3 Room: Juniper 1, Level 3 Institute CE 1.5 Institute CE 1.5

Institute CE 1.5 CFP® CE 1.5 As the competitive landscape and the demand for top talent intensifies, the lack CFP® CE 1.5 of human capital entering financial services This session will discuss how wealth advisors just may be our industry’s greatest threat. The natural appeal of a Roth-style retirement can engage in meaningful discussions with Invariably, it will be the leaders who can account is the potential for tax-free growth for clients to suggest appropriate tax-influenced effectively recruit, retain, and reward human life. However, the reality is that creating a Roth planning strategies. This session’s objective is capital whose firms will experience the lion’s account has a cost—the upfront tax liability of to consider how tax liabilities can be avoided share of enterprise value growth. In this fast- contributing to (or converting into) the account, while achieving the important planning goals paced session, ClientWise Chief Executive which is avoided with a traditional pre-tax of your clients. Officer and Founder Ray Sclafani will provide individual retirement account (IRA) or 401(k) vital insights and actionable steps to help you plan. As a result, optimal Roth strategies involve

rethink your compensation plan and build contributing to or converting into Roths, and Management Wealth a culture that will deliver better business also managing the timing and leveraging the results utilizing your most important asset— Management Retirement available tax law to maximize the strategy. This

Advanced Business Strategies Advanced your team. session will explore techniques to maximize Roth contributions, including so-called “Backdoor Roth” IRAs and “Mega Backdoor Roth” 401(k) strategies, and leveraging the Roth recharacterization rules to optimally fill lower tax brackets, and to ensure that a Roth investment has a positive return before being required to commit to it.

12–1:30 p.m. Room: Bristlecone Ballroom, Level 1 Lunch in Exhibit Hall Sponsored by:

12–1:15 p.m. Women in Wealth Luncheon, sponsored by: Room: Juniper 4, Level 3

*Invitation only, designed for female Investment & Wealth professionals.* Colleen Bell, Cambridge Investment Research, Inc., Marguerita Cheng, CFP®, RICP®, Blue Ocean Global Wealth, Alexandra Cole, Purpose Generation

Take a break from the educational sessions to meet other women advisors. Hear from our panel of experts and interact with your tablemates to discuss topical issues related to the investment and wealth management profession, especially as they apply to the female advisor. 12:15–12:40 p.m. EdTalk: Jay Michel, CircleBlack Room: EdTalk Stage, Exhibit Hall The Caveman, the King, and the Next Big Things |

Institute CE 0.5 Technology today is just like fire. If not used correctly, you can find yourself out in the cold or badly burned. When harnessed in the right way, though, technology can help you can grow your business, save time, and build relationships with all types of clients. Join us for this session where we’ll cover misconceptions, common mistakes, and questions you should be asking (e.g., “How does this make me money?”) when it comes to fintech.

12:50–1:15 p.m. EdTalk: Structured Notes 101: How to Implement Structured Notes in Client Portfolios Room: EdTalk Stage, Exhibit Hall Jason Barsema, Halo Investing

Institute CE 0.5 Advisors can use structured notes in client portfolios to create protective and defined-outcome investments. Whether CFP® CE 0.5 seeking income or growth, structured notes can be customized to solve any market outlook. Learn how this investment product is created and how financial technology is providing greater transparency, liquidity, and lifecycle management to market for structured notes.

11 MONDAY, MAY 6 (CONTINUED)

1:30–2:30 p.m. Concurrent Super Sessions Super Session: Family and Super Session: Private Equity: Super Session: Planning for Privacy Philanthropy Advisory Why and How | Bob Rice, Tangent Capital in a Public World: How to Protect Bill Sutton, JD, UBS and Rice Partners Your Client’s Privacy and Personal Security | John Bergner, JD, Winstead PC, Jeff Room: Juniper 1, Level 3 Room: Juniper 2-3, Level 3 Chadwick, JD, Winstead PC

Institute CE 1 Institute CE 1 Room: Ironwood 1-2, Level 3

CFP® CE 1 CFP® CE 1 Institute CE 1

CFP® CE 1 Shirtsleeves to shirtsleeves in three This session focuses on why the private generations is a real phenomenon. This equity (PE) historically outperforms, session will discuss what practices successful detailing the benefits and trade-offs of As public access to information increases, clients generational families share and how several new product structures (including are seeking solutions to protect their privacy professional advisors can build on these traits some that offer periodic liquidity) and and personal security. After taking a live visit to and take thoughtful action to help clients demonstrating how various styles of PE fit the “dark web,” this session will discuss how the flourish instead of failing. into traditional portfolios. Management Wealth professional advisor can structure estate plans, Institutional Consulting Institutional Investment Management Investment charitable gifts, and financial transactions in a confidential manner to better protect clients against physical and cyber-attacks.

2:30–3 p.m. Break in Exhibit Hall Room: Bristlecone Ballroom, Level 1 3–4 p.m. Room: Pinyon Ballroom, Level 1 General Session: Creating High-Performing Teams | Cam Marston, Generational Insights

Institute CE 1 High performance teams aren’t created by luck. They come from a deliberate process of nurturing talent, creating clear goals, guidelines, and offering the right tools to meet those goals. All of this is managed by the team leader who has gained significant self-awareness of his or her own strengths and weaknesses. Too often the team leader’s own workplace biases hinder their ability to perform at their highest level and once they become aware of their predispositions around the workplace, they can learn to set their biases aside, so their team’s strengths can flourish. Learn from twenty years of research about generational workplace biases, how they hinder their team’s performance, how to Gen-Flex and get out of your own way so your teams can thrive.

4:15–5:30 p.m. Concurrent Deep Dives and Facilitated Labs

Deep Dive: Tax Strategies for Deep Dive: The Importance of Deep Dive: Mitigating Behavioral Risk Wealth Advisors Succession Planning Jay Mooreland, The Behavioral Finance Network Steve Siegel, JD, LLM, The Siegel Group Carla McCabe, CVA, Truelytics Inc. Room: Ironwood 1-2, Level 3 Room: Juniper 1, Level 3 Room: Juniper 2-3, Level 3 Institute CE 1.5 Institute CE 1.5 Institute CE 1.5 CFP® CE 1.5 CFP® CE 1.5 This session is designed to get owners and advisors thinking about long-term succession Advisors add tremendous value when designing What are the tax-planning concerns of and the steps they need to take now to properly financial plans, but they often lack an essential the clients of wealth advisors? For those prepare for their eventual transition. Advisors element—the behavioral plan. A behavioral plan with the highest net worth, federal estate will learn why it is important to plan for their and corresponding behavioral coaching helps and gift taxes remain a concern. For all long-term exit, as well as devise a contingency investors stick with the plan you designed. As clients, minimizing income taxes is in the plan should something happen in the interim. an advisor, coaching your clients’ behavior is a forefront of planning. For baby boomer The goal is to educate attendees on the available skill that can’t be commoditized away. In this clients, issues involving retirement plan options and leave them with actionable steps interactive, discussion-based session, learn withdrawals and distributions as well as so they can begin preparing today to realize straightforward behavioral solutions to help business succession planning are topics to maximum value when it’s time to retire. clients stick with their plans and pursue their be addressed. This session will discuss how financial goals with confidence. Wealth Management Wealth wealth advisors can engage in meaningful discussions with clients to suggest appropriate tax-influenced planning strategies to address these issues. Our Business Strategies Advanced Business Strategies Advanced objective is to consider how tax liabilities can be avoided while achieving the important planning goals of our clients.

12 MONDAY, MAY 6 (CONTINUED)

4:15–5:30 p.m. Concurrent Deep Dives and Facilitated Labs (Continued) Facilitated Lab: Creating High- Facilitated Lab: Want to Grow Your Facilitated Lab: Family and Performing Teams Enterprise Value? Start by Increasing Philanthropy Advisors Cam Marston, Generational Insights Your Team Performance VQ Bill Sutton, JD, UBS Ray Sclafani, ClientWise LCC Room: Ironwood 3, Level 3 Room: Ironwood 8, Level 3 Room: Juniper 4, Level 3 Institute CE 1.5 Institute CE 1.5 Institute CE 1.5 CFP® CE 1.5 High-performing teams aren’t created by luck. They come from a deliberate process Velocity quotient (VQ) is a measure of the time of nurturing talent, creating clear goals and and resources that will be required to achieve Shirtsleeves to shirtsleeves in three generations guidelines, and offering the right tools to desired results. The higher your firm’s VQ, the is a real phenomenon. This session will discuss meet those goals. All of this is managed by more you can achieve with less. This facilitated lab what practices successful generational families the team leader who has gained significant session will help you design an action-oriented share and how professional advisors can build self-awareness of his or her own strengths structure that you can begin immediately on these traits and take thoughtful action to and weaknesses. Too often the team leader’s implementing with your team. ClientWise Chief help clients flourish instead of failing. own workplace biases hinder the leader’s Executive Officer and Founder Ray Sclafani will ability to perform at the highest level. Once outline the drivers of enterprise value that are the leader becomes aware of predispositions within your control, show you how to frame those Management Wealth around the workplace, he or she can learn for the team, and help you create four, 12-week to set biases aside, so the team’s strengths “sprints” to guide your team to increase your Advanced Business Strategies Advanced can flourish. Learn from 20 years of research Business Strategies Advanced organization’s VQ. about generational workplace biases, how they hinder their team’s performance, how to Gen-Flex and get out of your own way so your teams can thrive.

5–7 p.m. Room: Bristlecone Ballroom, Level 1 Platinum Partner Reception in Exhibit Hall

TUESDAY, MAY 7 5:30 a.m. *Optional Morning Run–Get prepared for a great day of learning by running with others who are attending the Room: ARIA Lobby, Level 1 conference. Those interested should meet in the ARIA lobby at 5:30 a.m. 6–6:45 a.m. *Optional Morning Yoga—Enjoy a mindful break and take time to relax, retreat, and refresh during the conference in Room: Bluethorn 1, Level 1 the Yoga Room. Yoga instructor, yoga mats, and towels provided.

7 a.m.–7 p.m. Room: Foyer, Level 1 Registration/Information Desk Open

7–8 a.m. Room: Bristlecone Ballroom, Level 1 Breakfast in Exhibit Hall (Beverages available all day in Exhibit Hall)

EdTalk | The Total Cost of ETF Ownership: Looking Under the Hoods of ETFs 7:15–7:40 a.m. Edward Rosenberg, American Century Investments ETFs Room: EdTalk Stage, Exhibit Hall

Institute CE 0.5 Buying cars can teach you a lot about buying ETFs (Exchange Traded Funds). With both purchases, total cost of ownership goes beyond the sticker price. By looking under the hood, you can make more informed decisions to help your clients select CFP® CE 0.5 the investments that best meet their needs. Hear from Edward Rosenberg, Head of Exchange Traded Funds at American Century Investments as he lifts the hood on ETFs and breaks down the various costs of ownership.

8–9:15 a.m. Room: Pinyon Ballroom, Level 1 General Session with Awards Presentation: The Global Outlook: Opportunities and Risks Raghuram Rajan, PhD, Chicago Booth Institute CE 1.5 | CFP® CE 1.5 This session will examine the current risks and opportunities in the global economy. Based on research conducted in The Third Pillar: How markets and the state leave the community behind, This session will cover why the politics of globalization has become so fraught, why political and economic uncertainty has increased so much, what it will lead to if unchecked, and what we can do to avoid the societal turmoil it is causing.

9:15–9:45 a.m. Room: Bristlecone Ballroom, Level 1 Break in Exhibit Hall (Beverages available all day in Exhibit Hall)

13 THE INDUSTRY’S MOST ESTEEMED PROFESSIONAL CERTIFICATIONS

rigor, and sophisticated skill set to help advisors rise above the rest.

advise individuals and institutions on asset allocation and investment selection.

expertise and skills required for holistic wealth management for high-net-worth clients.

® understanding and addressing the retirement income mindset and the unique challenges clients face in retirement.

Learn more at: www.exceptionaladvisor.org 14 TUESDAY, MAY 7 (CONTINUED)

9:45–10:35 a.m. Concurrent Workshops

Workshop: Client Primacy: Inspiring Workshop: The Fundamentals of Workshop: Accessing Private Intentional Outcomes Sustainable Investing Markets for the Mass Affluent: David Richman, JD, Eaton Vance Institute William Burckart, The Investment Integration Innovations and Investment Project (TIIP), Robert W. Dannhauser CFA®, FRM, Diligence | Jason Ment, JD, Room: Ironwood 8, Level 3 CAIA®, CFA Institute StepStone Group Institute CE 1 Room: Ironwood 3, Level 3 Room: Ironwood 1–2, Level 3

Where would your clients place you on their Institute CE 1 Institute CE 1 professional respect continuum? Are you at the CFP® CE 1 pinnacle, perhaps right alongside their doctor? CFP® CE 1 This workshop will explore the disciplines of the intentional advisor who practices the art of This session will unpack the why, what, and how Recent innovations in fund structures new client attraction, becomes the client’s first of sustainable investing for financial advisors. and technology solutions are call whenever money and life intersect, and Building on the new series The Fundamentals facilitating greater access for the develops an outside-in lens. of Sustainable Investing: Guides for Financial mass affluent to private markets Advisors from The Investment Integration investment opportunities. Offerings Project (TIIP) and Money Management Institute have evolved from privately offered (MMI), this session will: (1) confront pervasive funds of funds and feeder funds to industry myths about sustainable investment registered funds such as interval and explain the realities; (2) disentangle funds and auction funds. Institutional the complicated web of vocabulary used to investors have been investing in the private markets for decades—this

Institutional Consulting Institutional describe sustainable investment; and (3) provide investment professionals with practical Management Investment workshop will discuss how they approach investment due diligence Advanced Business Strategies Advanced recommendations for how to talk with clients about sustainable investment. and manager selection, and how that can be adapted to your client base.

Workshop: The Future of Advice Workshop: Concentrated Wealth Workshop: Building and Bill McManus, CIMA®, Hartford Funds at Work | Abram Claude, Columbia Maintaining a Competitive Edge: Threadneedle Investments Next-Level Training Room: Juniper 4, Level 3 Moderator: Mark Spina, Russell Investments Room: Juniper 2–3, Level 3 Panelists: Julie Zhang, Russell Investment, Institute CE 1 Oscar Collingwood-Smith, MindTickle, Joel Institute CE 1 CFP® CE 1 Brookman, JP Morgan CFP® CE 1 The expectation to live longer and better is Room: Juniper 1, Level 3 driving clients to demand more from financial Senior and key employees are often provided advisors. Clients want advisors to prepare them lucrative compensation and other financial Institute CE 1 for what they may confront in middle age and programs that afford them the ability to build as older adults—meeting the challenges and significant wealth at work. Unlike C-Suite Without a doubt, today there’s more embracing the opportunities. An advisor’s employees, this segment of employees information, more products, and higher ability to provide these essential services will typically has not received work-sponsored expectations for asset management sales depend on the depth of their relationships financial planning that includes full integration pros. Advisors are taking fewer in-person with each client, understanding their evolving of their workplace wealth and retirement meetings and offering less time. Effective needs, and being knowledgeable about programs. But that is changing. A host of training and tools can help bridge this gap. resources and services to help meet those consultants, banks, record keepers and This panel offers immediately applicable needs. This presentation will help advisors broker–dealers, estimated to be as many as 300 insights about how you can best stay on learn how to: recognize the trends in aging providers, intend to or are offering business- top of myriad product and market updates, and anticipate new consumer demands; Management Wealth to-business “Financial Wellness at Work” increase your overall knowledge base, and Distribution Excellence Distribution

Retirement Management Retirement distinguish three main business models that arrangements to employers. Any financial build and maintain a competitive edge. will align with this new frontier of financial advisor with senior or key employees at a mid- advice; and educate clients about the jobs of size to large company as clients should take the longevity and how to navigate them in concrete initiative to gain a full understanding of their and meaningful ways. clients’ workplace wealth and retirement plans and incorporate them into a comprehensive financial plan for each client.

15 TUESDAY, MAY 7 (CONTINUED)

11–11:50 a.m. Concurrent Workshops

Workshop: A+ Advisors but a Workshop: The Opportunities and Workshop: Retirement Policy B− Business Owner? Learn to Challenges of the Outsourced Statements Systematically Analyze your Practice COI Model Dana Anspach, CFP®, RMA®, with This Four-Step Formula Moderator: Graham Rich, Portfolio Sensible Money, LLC Andrea Schlapia, Ironstone Construction Forum; Panelists: Brett Elvish, CFA®, Financial Viewpoint; Jon Reilly, CIMA®, Room: Ironwood 8, Level 3 Room: Juniper 2-3, Level 3 Implemented Portfolios; Kylie Willment, Institute CE 1 Institute CE 1 CIMA®, Asia Pacific at Mercer Australia CFP® CE 1 Room: Juniper 4, Level 3 When is the last time you did a deep dive to examine the health of your practice? In Institute CE 1 Whether you do it formally, with a written this session, you will be introduced to the template, or informally, through a series Fundamental 4™ methodology to analyze CFP® CE 1 of schedules, in this session you’ll learn the current condition of your practice, identify why incorporating the key elements of a any gaps to refine, outline strategies for This session will discuss moving from retirement policy statement are crucial implementation, and enhance the overall traditional asset consulting services to to the success of your practice and the structure of your business. Join us to explore implemented or discretionary solutions management of your clients’ retirement the real-world tools and tactics around strategic (outsourced chief investment officer or income plans. Not only does it help protect planning, business development, operational OCIO) from an Australian perspective. you in the case of disputes, it also sets you effectiveness, and the human element to create Three Australia-based advisors will discuss up with a valuable agenda and set of metrics business management challenges of the to discuss each year with your client. clear goals around each and gain buy-in from model, and then explore private wealth your entire team for seamless implementation. and institutional client case studies. Australia was an early growth market for

Institutional Consulting Institutional the OCIO model, and Brett Elvish was one of the early innovators. He will describe his Management Retirement

Advanced Business Strategies Advanced experiences taking a consulting firm through the transition and the results. Australia boasts the third largest pension market in the world, so this session will provide real insights into a vibrant investment funds marketplace. This expert panel will be moderated by Graham Rich, an Australian- based veteran of funds analysis who founded what is now Morningstar in Australia and New Zealand more than 35 years ago. He is now responsible for the CIMA certification program there. Workshop: Casting a Visions for Workshop: Future of Asset Workshop: Big Ideas 2019 Wealth and Its Purpose Management Distribution Catherine D. Wood, David York, CPA, Esq., York Howell & Guymon Moderator: Kirsten Pickens, Chiron Investment ARK Investment Management Management; Panelists: T. Neil Bathon, FUSE Room: Ironwood 3, Level 3 Research Network LLC, Steven Miyao, Room: Ironwood 1-2, Level 3

Institute CE 1 SS&C Technologies Institute CE 1 CFP® CE 1 Room: Juniper 1, Level 3 ARK Invest’s “Big Ideas” is an annual Successful wealth transfer is a journey for Institute CE 1 research publication showcasing clients that takes clarity, intentionality, and a selection of innovations that they believe should transform purpose. Unfortunately, too few clients know The investment management industry the way the world works and may where they are and even fewer know where is constantly evolving, but no area has deliver outsized growth across they want to go. This session will discuss how experienced more change over the past five different industries. Join us for this advisors can partner successfully with clients to years than the sales and marketing function educational series that explores the help them cast a vision for their wealth and its tied to intermediary distribution. However, investment opportunities associated purpose, and how an advisor can be a valued sorting through which changes are temporary with disruptive innovations such as and important part of that journey. from those that represent permanent shifts is mobility-as-a-service, robotics, deep

Wealth Management Wealth not always easy. During their careers, Steven learning, CRISPR genome editing, Distribution Excellence Distribution Miyao and Neil Bathon collectively have worked Investment Management Investment cryptoassets, frictionless value with every fund firm in the Top 100 and have transfers, and 3D printing. seen how firms respond to challenges and opportunities. With this experience, Steven Miyao and Neil Bathon will predict the future keys to success of distribution through financial advisors—often with contrasting opinions.

16 TUESDAY, MAY 7 (CONTINUED)

12–1:30 p.m. Lunch in Exhibit Hall Room: Bristlecone Ballroom, Level 1 12:15–12:40 p.m. EdTalk: All Options on the Table | Marc Odo, Swan Global Investments Room: EdTalk Stage, Exhibit Hall Today’s financial advisors face numerous challenges. Protecting wealth, generating income, and providing Institute CE 0.5 alpha are top priorities. Options-based strategies potentially can address all three. This session introduces ideas on how options can fill the void and previews an educational curriculum on the use of options that’s in CFP® CE 0.5 development between Swan Global Investments and Investments & Wealth Institute.

1:30–2:20 p.m. Concurrent Workshops

Workshop: Why Exceptional Workshop: Advanced Foundation & Workshop: Cannabis Investing Advisors Don’t Worry About Client Endowment Consulting: Spending, Jason Blackwell, CFA®, CAIA®, Mercer Satisfaction Risk, Regulation, and Ethics Julie Littlechild, AbsoluteEngagement.com Scott G. Thayer, CIMA®, Thayer Consulting Room: Ironwood 1-2, Level 3

Room: Ironwood 3, Level 3 Room: Juniper 2-3, Level 3 Institute CE 1

CFP® CE 1 Institute CE 1 Institute CE 1

CFP® CE 1 The good news is that investors are satisfied Clients come to responsible investing from varied perspectives and advisors need to be and they’re loyal. The bad news is that’s Join consulting veteran, and Yale School of simply not enough, not if you want to deliver prepared to lead conversations around risks, Management CIMA education program faculty return, impact, and values. In this session, an exceptional client experience that truly Scott G. Thayer, CIMA® for an exploration sets you apart and drives significant growth. we will explore approaches to dealing with of advanced topics covered in the new IWI sensitive topics in environmental, social, In this session Julie Littlechild, founder of Endowments & Foundations Consulting AbsoluteEngagement.com, will unveil new and governance investing such as firearms, course. The presentation will discuss how to cannabis, and GMOs. investor research from the Investments & apply UPMIFA standards and the IWI Code Wealth Institute that examines and quantifies of Professional Responsibility to institutional the drivers of client engagement and the clients, and focus on the consultant’s

characteristics of an exceptional advisor. You’ll Consulting Institutional

obligations to deliver sustainable spending Management Investment walk away with a clear plan to take stock of policies and apply prudent risk management, Advanced Business Strategies Advanced your existing client experience and transform while monitoring the performance against a risk clients from being “merely satisfied” to benchmark. The presentation will also discuss “profoundly engaged.” trends in collaborative versus discretionary management, and an ethics-oriented, behavioral governance model for investment committee decision making. Workshop: Long-Term Care Workshop: Money, Happiness, and Workshop: The Power of Personal Planning: What Advisors Need to the Future of Wealth Management Development: How to Unlock Know | Steve Cain, LTCI Partners Brian Portnoy, PhD, CFA®, Magnetar Capital Your Workplace Advantage Moderator: Eric Downing, PhD, Proven Room: Ironwood 8, Level 3 Room: Juniper 1, Level 3 Paradigm Consulting: Panelists: Lesley

Institute CE 1 Institute CE 1 Reinhart, CFP®, AIF®, Russell Investments, Greg Shannahan, CIMA®, CPWA®, Putnam CFP® CE 1 CFP® CE 1 Investments, Mark Hoppe, CFA®, Edward Jones Most financial advisors today understand the Wealth management is evolving from a Room: Juniper 4, Level 3 importance of having healthcare conversations product to service to experience-focused with clients. The conversations usually cover industry. As part of that transformation, Institute CE 1 long-term care, because more baby boomers “goals-based wealth management” has have first-hand experience with loved ones. become a catch-all phrase that means In today’s complex distribution landscape, Then comes the tough part—how do advisors different things to different people. A information overload, seemingly introduce the subject? Present insurance critical element of this transformation is endless choices, and exponential growth solutions? What types of insurance solutions answering how money fits into a fulfilled expectations set the bar for success higher (traditional or linked-benefit) should advisors life. Money isn’t just a means of exchange, and higher. This group of successful

recommend to clients? This workshop will Management Wealth it’s also an emotional scorecard, a central professionals offers insightful personal

provide answers to these questions and more. part of life’s journey. Does money make us Excellence Distribution Retirement Management Retirement perspectives on the accreditations, It also will provide a marketplace update and happy? Leveraging the most recent research training, and self-development strategies real-life case studies and best practices for in social psychology and neuroscience, that can help you become the trusted meaningful client conversations and action. we offer an answer. In so doing, we set advisor and preferred resource your the groundwork for a path to better life advisor clients need. outcomes (ones that distinguish between being “rich” and being “wealthy”) and glance at the future of the financial advice.

17 TUESDAY, MAY 7 (CONTINUED) 2:40–3:30 p.m. Concurrent Workshops Workshop: Beyond the Hype of ESG Workshop: Fixed Income and Workshop: Equity Outlook—Size, and Sustainable Investments ETF Landscape Quality, Style Segments Nicolai Lundy, SASB Moderator: Scott Welch, CIMA®, Dynasty Simeon Hyman, CFA®, ProShares Financial Partners ; Panelists: William J. Room: Ironwood 1-2, Level 3 Room: Ironwood 3, Level 3 Hickey, Anchor Capital Advisors LLC; David Institute CE 1 Miyazaki, CFA®, Confluence; Richard F. Institute CE 1

CFP® CE 1 Powers, Vanguard CFP® CE 1 Room: Juniper 4, Level 3 Is “sustainability” a buzzword or driver Classic style box to portfolio construction of financial returns? Sustainability or Institute CE 1 have become challenged in the post-crisis environmental, social, and governance (ESG) world. Mr. Hyman, often seen on Bloomberg CFP® CE 1 performance impacts your investments but and CNBC, will share how the evolving not in the way you think. Ignore the hype methodologies and approaches utilized by and focus on the fundamentals. We’ll push In this workshop, learn how fixed income many of the top institutional investors can through the noise to find the signal, featuring utilization for balanced strategies provide enhanced guidance and insight the latest academic and industry research. has changed in the era of exchange- toward how we look at client portfolios There’s so much jargon you can get lost in the traded fund choices. The panel will today. Participants should come away with din of impact investing, responsible investing, discuss topics that include flexibility of implementable and actionable ideas. Institutional Consulting Institutional

and ethical screening, so this workshop will Management Investment changing duration, trading, frictional cost Management Investment focus on the core principles of materiality and considerations, diversification trade-offs, fiduciary duty to see where ESG makes sense and others. and where it doesn’t. Lastly, we’ll look at how the ESG data available in the public, private, and debt markets stacks up against financial data and how that impacts the solutions available to you and your clients. Workshop: Priceless Fact Card Workshop: Attracting Workshop: The New World of Gary DeMoss, Invesco Consulting the C-Suite: Executive Asset Management Distribution Compensation Strategies Moderator: Karen Lutomski, CIMA®, Room: Ironwood 8, Level 3 John Nersesian, CIMA®, CPWA®, CIS, Nuveen; Panelists: John Moninger, CIMA®, CFP®, PIMCO CPWA®, Eaton Vance; Troy Thornton, Institute CE 1 Goldman Sachs Asset Management, Room: Juniper 2-3, Level 3 Brett Wright, CIMA®, CPWA®, Macquarie Fees are on sale. Should you join the Investment Management, Americas discounters, or should you learn to better Institute CE 1 Room: Juniper 1, Level 3 communicate your value? This workshop will CFP® CE 1 explore a six-month study on what investors Institute CE 1 think undertaken by Invesco Consulting, political consultants and word specialists, Senior executives often accumulate Maslansky + Partners. Do they want low-cost significant exposure to company This panel takes a broad look at the most or high-value? A financial plan or financial shares through restricted stock grants, effective strategies for targeting and planning? Discretionary accounts or advisor- employee stock options, and other winning new advisor relationships and managed accounts? The study included advisor benefit programs. This discussion focuses deepening existing ones. Among the topics interviews, investor dial-sessions, and a North on financial planning topics specific to be covered: the impact of the changing to corporate executives, in particular America survey of 1,000 investors. This session Management Wealth advisor structure; how to square off against also will discuss the new cries from investors concentrated stock positions, employee Excellence Distribution bigger and more specialized teams—both and the language that defends, defines, stock options, and net unrealized in the field and at the home office; effective Advanced Business Strategies Advanced and delivers value in the new fee-based era appreciation strategies. use of available intelligence to identify uncovered by the study. best opportunities; coordinating product, marketing, and sales strategies; the increasing importance of advisor tools as an element of distribution; and measuring team success.

3:45–5 p.m. General Session: Attracting the Next Generation of Clients Room: Pinyon Ballroom, Level 1 Alexandra Cole, Purpose Generation

Institute CE 1.5 At 80 million strong in the U.S. alone, it’s no surprise that millennials are top of mind for advisors looking CFP® CE 1.5 to “future proof” their business. Millennials’ dependence on technology, values-driven ethos, and desire for customized, convenient solutions is driving widespread change across the industry. This session will provide insight into the “Millennial Mindset,” offering tactical recommendations on what advisors can do to better meet the needs of the next generation of clients, as well as how advisors can reach and relate to this audience most effectively. Additionally, it will seek to bust popular millennial myths and dive deeper into several high value customer personas. 5–7 p.m. Room: Bristlecone Ballroom, Level 1 Closing Night Reception in Exhibit Hall 18 WEDNESDAY, MAY 8 7–11 a.m. Room: Foyer, Level 1 Registration/Information Desk Open 7–8 a.m. Room: Bristlecone Ballroom, Level 1 Breakfast in Exhibit Hall 7:15–7:40 a.m. EdTalk | Social Security: The Choice of a Lifetime Room: EdTalk Stage, Exhibit Hall Ian Wetherell, CRPC, CHSA, RCC, Nationwide

Institute CE 0.5 Filing for Social Security is one of the biggest financial decisions clients will make. It may provide the only income source CFP® CE 0.5 they have that will live as long as they do. That’s why it’s the choice of a lifetime. We will discuss many filing rules and strategies so you can make the choice that fits with your clients’ overall retirement income plans.

8–9 a.m. General Session: Originals: How Nonconformists Move the World Room: Pinyon Ballroom, Level 1 Adam Grant, PhD, The Wharton School

Institute CE 1 To survive and thrive, organizations need original thinking. Drawing on his new book, Originals, Adam Grant explores CFP® CE 1 how we can all get better at recognizing and championing new ideas, how to overcome fear and doubt and how to build cultures that welcome diverse perspectives and honest feedback. He reveals why late entrants typically beat first movers, friendly managers end up being the least supportive, devil’s advocates often backfire but contrarian opinions are useful even when they’re wrong, and the values that help organizations prosper early on are the same ones that thwart their growth later.

9–9:30 a.m. Room: Bristlecone Ballroom, Level 1 Break in Exhibit Hall

9:30–10:30 a.m. General Session: Is Active Trust-Building Ethical? (Institute Ethics) | Herman Brodie, Prospecta Ltd. Room: Pinyon Ballroom, Level 1 Trust is a combination of two judgments clients make about a financial services provider: the provider’s ability to make Institute CE 1 good things happen, and the provider’s motivation to make them happen for the client. Institute Ethics CE 1 Although the former is task-specific, objective, and largely conscious, the latter might be wholly unrelated to the task, subjective, and non-conscious. The latter also explains the bulk of clients’ overall impression so, for service providers, targeting it is an unavoidable part of establishing trust. But when does active trust-building become manipulation? What are the ethical limits to trying to win trust?

Join us next year at... ACE 2020, THE EXCEPTIONAL ADVISOR CONFERENCE HYNES CONVENTION CENTER, BOSTON, MA MAY 27–30, 2020 Register today: www.investmentsandwealth.org/ace20

19 EXHIBIT ti HALL MAP

ti ' ' ' ' 3 6 6 3

STAGE OR RECEPTION BAN Stage for recept ETALKS STAG E

T

' 6 EX I

Boneyard TECH TABLES 5 6 7 435 534 BOOK CONNECT LONGE STORE 433 532

IEO BOOTH 129 228 227 326 327 426 429 528 2 121 220 221 320 421 520 SES

127 226 325 424

225 324 427 526 T

'

119 218 219 318 419 518 6 10' 10' EX I

T

'

6 EX I OO STATION RINKSBAR RINKSBAR OO421 STATION520 7'- R 518

F115OOD STATION 215DRINKS/314BAR 315DRINKS/414BAR F415OOD ST514ATION

Catering 212 Boneyard 113 213 312 313 412 413 512 R R R R R R 514 R 113 R R R 412 413 512

109 208 209 308 309 408 409 508

107109 206 R 220709 306R 307R 440608 440709 550608

107 R R R R 406 407 506

405 504 303R 440202 405 504 R 301R 400 401R 500 400 500

H2O BAR OO STATION

' 6

MAIN ENTRANCE GENERAL SESSIONS

*Please consult mobile app for the most current exhibit hall map

20 Company Booth # Litman Gregory Asset Management 518

Advicent 7 Macquarie Investment Management 405

Allianz Life 320 Matthews Asia 219

American Century Investments ETFs 419 Money Management Institute (MMI) 121

Angel Oak Capital Advisors 414 Morningstar, Inc. 407

Bitwise Asset Management 500 Nationwide 306

BNY Mellon 206 Nuveen 318

Cambridge 303 Oak Street Funding 406

Capital Group, home of American Funds 319 Oberweis Asset Management, Inc. 307

Cboe Global Markets 504 Osterweis Capital Management 115

Charles Schwab Advisor Services 315 ProShares 207

CircleBlack 402 Raymond James Investment Advisor Division 208

Commonwealth Financial Network 401 Riskalyze 5

Davis Advisors 119 Select Sector SPDRs 312

Defiance ETFs 514 Smead Capital Management 415

Dimensional Fund Advisors 221 Swan Global Investments 212

Eaton Vance 408 TD Ameritrade Institutional 101

Fairway Asset Management, LLC 409 The University of Chicago, Booth School of Business 506

Fidelity Clearing & Custody Solutions 309 Thrivent Funds 218

Financial Advisor 113 Ultimus Fund Solutions 213

Financial Advisor IQ 512 Vanguard 215

First Trust Portfolios L.P. 109 ViewTrade Institutional 413

Folio Financial, Inc. 421 Wells Fargo Financial Network 301

Foundation Source 313 White Glove 520

Halo Investing 412 William Blair 314

Hartford Funds 220 Yale School of Management 107 Hotchkis & Wiley Capital Management, LLC 209

InvestmentNews 526 Platinum Partners

JVM Realty Corporation 400 Gold Partners

Kopernik Global Investors, LLC 308 Silver Partners LifeYield, LLC 6 Bronze Partners

21 2019 PARTNERS PLATINUM PARTNERS BRONZE PARTNERS

Capital Group, home of American Funds Cambridge Booth: 319 Booth: 303 333 South Hope Street, 50th Floor 1776 Pleasant Plain Road Los Angeles, CA 90071 Fairfield, IA 52556 www.capgroup.com www.joincambridge.com

Since 1931, American Funds, part of Capital Group, has helped investors pursue long-term Advisor Advantage Powered with Cambridge. Fee-only or fee-focused solutions for investment success. Our consistent approach—in combination with The Capital SystemSM—has independence. Advisor Advantage brings together a network of like-minded professionals resulted in a consistent long-term track record. Our investment process, The Capital System, by providing ease of doing business, alleviating compliance liability, and leveraging combines individual accountability with teamwork. Each fund is divided into portions that are technology options. managed independently by investment professionals with diverse backgrounds, ages, and investment approaches. An extensive global research effort is the backbone of our system. Charles Schwab Advisor Services Booth: 315 4150 Kinross Lakes Parkway TD Ameritrade Institutional Richfield, OH 44286 www.schwab.com Booth: 101 Harborside Plaza 4A Schwab Advisor Services is the industry leader and largest custodian of registered Jersey City, NJ 07311 investment advisor (RIA) assets,* providing custodial, operational, practice management, www.tdainstitutional.com and trading support to more than 7,500 independent RIA firms. For more than 30 years, Schwab Advisor Services has worked resolutely with independent advisors to develop You got into this business for a reason. To transform lives. To build a business you could be proven processes and insights for starting, building, and growing RIA businesses. Schwab proud of. To elevate your community. Whatever your why is, TD Ameritrade Institutional is all Advisor Services has a strong vision for RIAs and their future and is committed to pushing about helping you achieve it. the financial advising industry forward on advisors’ behalf. *Charles Schwab Strategy

Matthews Asia GOLD PARTNER Booth: 219 4 Embarcadero Center, Suite 550 Swan Global Investments San Francisco, CA 94111 Booth: 212 www.matthewsasia.com 1099 Main Avenue, Suite 206 Durango, CO 81301 At Matthews Asia, we believe in the long-term growth of Asia. Since 1991, we have www.swanglobalinvestments.com concentrated our efforts and expertise within the region. As an independent, privately owned firm, Matthews is the largest dedicated Asia investment specialist in the United Swan Global Investments offers proven, goals-based investment solutions seeking consistent States. long-term returns while protecting irreplaceable capital from catastrophic loss. Defined Risk. Improve Outcomes. That’s Investing Redefined™. Nuveen Booth: 318 730 Third Avenue SILVER PARTNER New York, NY 10017 www.nuveen.com

Nationwide Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome- focused investment solutions designed to secure the long-term financial goals of Booth: 306 institutional and individual investors. Nuveen has $988 billion in assets under 10 West Nationwide Boulevard management as of 30 Sep 2018 and operations in 16 countries. Its affiliates offer deep Columbus, OH 43215 expertise across a comprehensive range of traditional and alternative investments www.nationwidefinancial.com through a wide array of vehicles and customized strategies. Nationwide® is a Fortune 100 mutual company with a history of strength and stability dating back more than 90 years. We help advisors break down and simplify complex Raymond James Investment Advisors Division retirement challenges with powerful support, tools and strategies, and diverse solutions Booth: 208 including annuities, mutual funds, life insurance, and retirement plans. We’re committed 880 Carillon Parkway to helping America retire successfully and to creating a brighter future for our members and St. Petersburg, FL 33703 communities. www.raymondjames.com/advisor-opportunities/affiliation-options/independent-ria

Raymond James Financial, Inc. is a leading diversified financial services company providing private client group, capital markets, asset management, banking custodial, and other services to individuals, corporations, municipalities, and other entities. The company has approximately 7,800 advisors throughout the United States, Canada, and overseas. Total client assets are $764 billion. Public since 1983, the firm is listed on the New York Stock Exchange under the symbol RJF. Raymond James & Associates, Inc., member New York Stock Exchange/SIPC.

22 BRONZE PARTNERS CONT. EXHIBITORS

Select Sector SPDRs Allianz Life Booth: 312 Booth: 320 1290 Broadway, Suite 1100 5701 Golden Hills Drive Denver, CO 80203 Minneapolis, MN 55416 www.sectorspdrs.com www.AllianzLife.com

The Select Sector SPDRs are 11 sector exchange-traded funds that give you the unique Allianz Life Insurance Company of North America (Allianz), one of Fortune’s 100 Best ability to customize the S&P 500 by picking and weighting different sectors to meet specific Companies to Work For in 2018, has been keeping its promises since 1896. Today, investment objectives. it carries on that tradition, helping Americans achieve their retirement income and protection goals with a variety of annuities and life insurance products. As a leading Thrivent Funds provider of fixed-index annuities, Allianz is part of Allianz SE, a global leader in the Booth: 218 financial services industry with 142,000 employees worldwide. 625 Fourth Avenue South Minneapolis, MN 55415 American Century Investments ETFs www.thriventfunds.com/home Booth: 419 4500 Main Street Thrivent Funds has offered investments since 1970. Twenty-five funds are Thrivent Funds has Kansas City, MO 64111 offered investments since 1970. Twenty-five funds are managed by more than 100 Thrivent www.americancenturyetfs.com investment professionals. We are affiliated with Thrivent Financial, a Fortune 500 organization with $125 billion in assets under management ($18.8 billion are fund assets) as of September American Century Investments serves financial professionals, institutions, corporations, and 30, 2018. individual investors from offices in New York, London, Hong Kong, Sydney, Mountain View, and Kansas City. More than 40 percent of its dividends go to the Stowers Institute for Medical Vanguard Research. Booth: 215 400 Devon Park Drive Angel Oak Capital Advisors Wayne, PA 19087 Booth: 414 www.advisors.vanguard.com 3060 Peachtree Road, Suite 500 Atlanta, GA 30305 Since its beginning in 1975, Vanguard has grown to become one of the world’s largest www.angeloakcapital.com investment management companies, with more than $4.51 trillion in U.S. fund assets as of December 31, 2018. Vanguard provides an extensive array of investment products, including Angel Oak Capital Advisors is an investment management firm focused on providing a full range of low-cost exchange-traded funds and mutual funds designed to help financial compelling fixed income investment solutions for its clients. Its experienced investment advisors grow and preserve the wealth of their clients. In addition to our many investments team seeks the best opportunities in fixed income specializing in mortgage-backed securities and client-focused services, our commitment to financial advisors includes innovative practice and other areas of structured credit. management solutions that can help advisors attract and retain clients, build their practices, and enhance their professional development. Bitwise Asset Management Booth: 500 Wells Fargo Advisors Financial Network 300 Brannan Street, Suite 201 Booth: 301 San Francisco, CA 94107 1 North Jefferson Avenue www.bitwiseinvestments.com St. Louis, MO 63103 www.wfafinet.com Founded in 2017, Bitwise Asset Management pioneered the first cryptocurrency index fund and is the leading provider of rules-based exposure to the cryptoasset space. Based in San Wells Fargo Advisors Financial Network, the independent broker–dealer of Wells Fargo, Francisco, the team combines modern software expertise with decades of asset management simplifies independence for advisors who are looking for the best of both worlds: individual experience. business ownership and access to the resources of one of the largest financial services firms in the country. Cboe Global Markets Booth: 504 William Blair 400 South LaSalle Street Booth: 314 Chicago, IL 60605 The William Blair Building www.cboe.com 150 North Riverside Plaza Chicago, IL 60606 Cboe Global Markets, Inc. is one of the world’s largest exchange holding companies, offering www.williamblairfunds.com cutting-edge trading and investment solutions to investors around the world. The company is committed to relentless innovation, connecting global markets with world-class technology William Blair Investment Management is committed to building enduring relationships and providing seamless solutions. and providing expertise and solutions for our clients. Investment teams focus on active management across a wide range of strategies: U.S. equity, non-U.S. equity, fixed income, CircleBlack multi-asset, and alternatives. One-hundred percent active-employee-owned, William Blair is Booth: 402 based in Chicago 4428 Route 27, Building C Kingston, NJ 08528 www.circleblack.com

CircleBlack is a wealth management platform focused on solving key pain points advisors experience. As a data hub, CircleBlack provides features such as aggregation, performance reporting, portfolio analytics, rebalancing, billing, client portal, and integration with CRM, Risk and Planning tools.

23 Commonwealth Financial Network Fidelity Clearing & Custody Solutions Booth: 401 Booth: 309 29 Sawyer Road 200 Seaport Boulevard Waltham, MA 02453 Boston, MA 02110 www.commonwealth.com www.clearingcustody.fidelity.com/app/home

Client-forward™ like you—Let the nation’s largest privately held registered investment Fidelity Clearing & Custody Solutions® provides a comprehensive clearing and custody adviser/independent broker–dealer help you serve your clients, whatever your chosen platform, brokerage services, trading capabilities, and practice management consulting business model. Resources include institutional-quality research and analysis and a to broker–dealers, banks, insurance companies, registered investment advisors, family virtually unlimited spectrum of investment vehicles. offices, and wealthy families—including strategic acquirers and professional asset managers—and retirement record keepers. Davis Advisors Booth: 119 Financial Advisor 2949 East Elvira Road, Suite 101 Booth: 113 Tucson, AZ 85756 499 Broad Street, Suite 120 www.davisadvisors.com Shrewbury, NJ 07702 www.fa-mag.com Equity specialists since 1969, Davis Advisors offers a time-tested investment discipline through ETFs, mutual funds, variable annuities, separately managed accounts, and offshore funds. We Financial Advisor, a monthly magazine reaching 220,000 independent advisors, is rated the believe stocks represent ownership interests in businesses and therefore rigorously research most widely read publication for independent reps and registered investment advisors by company fundamentals, paying close attention to valuation. Erdos & Morgan. In addition to publishing ETF Advisor and FA News, FA produces the Inside Alternatives, Inside Retirement, and Invest in Women conferences. Defiance ETFs Booth: 514 Financial Advisor IQ 16 Madison Square, West 11th Floor Booth: 512 New York, NY 10010 330 Hudson Street, 7th Floor www.defianceetfs.com New York, NY 10013 www.money-media.com/financialadvisoriq.html Defiance ETFs was founded on the principle of giving all investors access to global, low- cost, targeted portfolios tied to transformative trends. Rooted in our distinct approach to Financial Advisor IQ informs, educates, and connects financial advisors with daily news, a disruptive investing, our ETFs seek to empower investors to be on the leading edge of database of industry research and insight, and continuing education. tomorrow’s trends. First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively “First Trust”) were established in 1991 with a mission to offer investors a better way to invest. At First Trust, Dimensional Fund Advisors we are single-minded about providing trusted investment products and advisory services. Booth: 221 We’re inspired every day by how financial advisors and their customers use our products 6300 Bee Cave Road, Building One and services to define goals, solve problems and develop long-term strategies. As of Austin, TX 78746 March 29, 2019, First Trust offers 140 ETFs, has approximately $130 billion in assets under www.dimensional.com management or supervision, and is the 6th largest ETF provider in the U.S.

Dimensional Fund Advisors LP is a leading global investment firm that has been translating First Trust Portfolios L.P. academic research into practical investment solutions since 1981. We strive to build Booth: 109 deep, enduring relationships with advisors who share our desire to create better financial 120 E. Liberty Drive Suite 400 outcomes for clients. Dimensional and its global affiliates manage $517 billion for clients Wheaton, Il 60187 worldwide (as of December 31, 2018). 1.800.621.1675 https://www.ftportfolios.com/index.aspx Eaton Vance Booth: 408 First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively “First Trust”) were 2 International Place established in 1991 with a mission to offer investors a better way to invest. At First Trust, Boston, MA 02110 we are single-minded about providing trusted investment products and advisory services. www.eatonvance.com We’re inspired every day by how financial advisors and their customers use our products and services to define goals, solve problems and develop long-term strategies. As of Eaton Vance provides advanced investment strategies and wealth management solutions March 29, 2019, First Trust offers 140 ETFs, has approximately $130 billion in assets under to forward-thinking investors around the world. Exemplary service, timely innovation, and management or supervision, and is the 6th largest ETF provider in the U.S. attractive returns across market cycles have been hallmarks of Eaton Vance since 1924. Folio Financial, Inc. Fairway Asset Management, LLC Booth: 421 Booth: 409 8180 Greensboro Drive 3701 Executive Center Drive., Suite 201 McLean, VA 22102 Austin, TX 78731 www.info.folioinstitutional.com www.fairwayassetmanagement.com Folio Financial, Inc. develops and supports digital-first investment platforms for advisors Fairway serves RIAs seeking access to attractive yield solutions while protecting capital, and enterprises, fully integrated with brokerage, clearing, and custody solutions. Our goal of particularly for retiree clients. Since 2010 Fairway has helped advisors & clients achieve democratizing investing has resulted in ongoing innovations with a common theme—access, yield rates well above traditional fixed income through thoughtful, well-diversified automation, transparency, and flexibility. portfolios of alternative investments. Foundation Source Booth: 313 55 Walls Drive, 3rd Floor Fairfield, CT 06824 www.foundationsource.com

Foundation Source is the nation’s largest provider of comprehensive support services for private foundations. Our complete outsourced solution includes foundation creation (as needed), administrative support, active compliance monitoring, philanthropic advisory, tax and legal expertise, and online foundation management tools.

24 Halo Investing Macquarie Investment Management Booth: 412 Booth: 405 123 North Wacker Drive, Suite 1000 2005 Market Street Chicago, IL 60606 Philadelphia, PA 19103 www.haloinvesting.com www.delawarefunds.com

Halo Investing is an independent multi-issuer marketplace technology platform for Structured Macquarie Investment Management is a global asset manager with more than 85 years of Notes. Halo democratizes access to these protective and defined outcome investment experience, entrusted by our clients to manage over $234 billion in assets, and offering products bringing analytics, transparency, price competition, lifecycle management, and full-service capabilities across many asset classes to both institutional and retail investors. liquidity to the Structured Note market for the first time. Money Management Institute (MMI) Hartford Funds Booth: 121 Booth: 220 1177 Avenue of the Americas, 7th Floor 690 Lee Road New York, NY 10036 Wayne, PA 19087 www.MMInst.org www.hartfordfunds.com The industry association representing financial services firms that provide financial advice Hartford Funds believes in human-centric investing, a philosophy supported by our and professionally-managed investment advisory solutions to investors. MMI offers industry- mutual fund and ETF offerings, investment insights, and insights from academics and leading conferences, educational resources, and thought leadership to support the evolution experts. Excluding affiliated funds of funds, as of December 31, 2018, Hartford Funds and professionalism of the investment advisory industry. Management Company, LLC and its wholly owned subsidiary, Lattice Strategies LLC, Morningstar, Inc. had approximately $104.8 billion in discretionary and non-discretionary assets under management. Booth: 407 22 West Washington Hotchkis & Wiley Capital Management, LLC Chicago, IL 60602 Booth: 209 www.morningstar.com 725 South Figueroa Street, 39th Floor Los Angeles, CA 90017 Morningstar, Inc. is a leading provider of independent investment research in North www.hwcm.com America, Europe, Australia, and Asia, providing data and research insights on a wide range of investment offerings. Morningstar also offers investment management services through its Hotchkis & Wiley is an independent, majority employee-owned boutique asset management investment advisory subsidiaries. firm specializing in value investing. We offer an active, team-based investment approach Oak Street Funding driven by fundamental research and bottom-up security selection. As of February 28, 2019, we manage approximately $31 billion. Booth: 406 8888 Keystone Crossing, Suite 1700 JVM Realty Corporation Indianapolis, IN 46240 Booth: 400 www.oakstreetfunding.com 903 Commerce Drive, #100 Oak Brook, IL 60523 Indianapolis-based Oak Street Funding provides commercial financing for registered www.jvmrealty.com investment advisors, CPAs, insurance agencies, and restaurant franchises. Oak Street Funding utilizes industry knowledge, proprietary technology, and passion to deliver top-quality service JVM provides two private equity real estate funds for the accredited investor. We have two and capital products to financial services professionals and franchise owners nationwide. share classes available, equity shares paying 8-percent annual yield or non-equity fixed Oberweis Asset Management, Inc. income shares paying 7 percent. Investments have been approved for custody on most major registered investment advisor custodial platforms. Booth: 307 3333 Warrenville Road, Suite 500 Kopernik Global Investors, LLC Lisle, IL 60532 Booth: 308 www.oberweisfunds.com 302 Knights Run Avenue Tampa, FL 33602 Oberweis Asset Management, Inc. specializes in identifying opportunities in small- and www.kopernikglobal.com mid-cap stocks around the globe. Our process is based on academically documented inefficiencies, and it identifies companies where rapid change drives growth and where Kopernik Global Investors, LLC is a global equity investment management specialist founded behavioral under reaction provides the potential for superior long-term investment results. in July 2013. We are a client-centric, 100-percent employee-owned firm that draws from Osterweis Capital Management the same investment philosophy and process that our founder and chief investment officer, David Iben, h ccomplished investors who trust their own analysis and instincts can generate Booth: 115 significant excess returns as a result of market inefficiencies. 1 Maritime Plaza, Suite 800 San Francisco, CA 94111 Litman Gregory Asset Management www.osterweis.com Booth: 518 1676 North California Boulevard, #500 In 1983, John Osterweis founded Osterweis Capital Management to manage assets for Walnut Creek, CA 94596 individuals, families, endowments, and institutions. Now in our fourth decade, we are an www.litmangregory.com integrated firm managing approximately $7 billion in assets. ProShares With more than 30 years of manager selection and asset allocation experience, Litman Gregory’s core expertise is intensive research. Advisors can access this expertise through Litman Gregory Booth: 207 Portfolio Strategies, AdvisorIntelligence, and the Litman Gregory Masters Funds. 7501 Wisconsin Avenue, 10th Floor East Tower Bethesda, MD 20814 www.proshares.com

ProShares has been at the forefront of the exchange-traded fund (ETF) revolution since 2006. ProShares offers one of the largest lineups of ETFs and is the leader in dividend growth, interest rate hedged bond, and geared strategies. ProShares continues to innovate with products that provide opportunities to manage risk and enhance returns.

25 Smead Capital Management TECH TABLES Booth: 415 Smead Capital Management Advicent 1001 4th Avenue, Suite 4305 Seattle, WA 98154 Booth: 7 10700 W. Research Drive, Suite One Smead Capital Management is a Seattle-based investment firm that manages a high-quality, Milwaukee, WI 53226 large-cap value portfolio with boringly dry turnover via separate accounts, subadvisory, and www.advicent.com mutual funds in the United States and abroad. We are contrarians and welcome like-minded investors on this journey. Advicent, the provider of NaviPlan, is the financial planning technology partner of choice for more than 140,000 users worldwide. Through our innovative products and services, we help The University of Chicago, Booth School of Business thousands of financial professionals and their clients understand and impact their financial Booth: 506 future. 450 North Cityfront Plaza Drive LifeYield, LLC Chicago, IL 60611 www.ChicagoBooth.edu/ExecEd Booth: 6 175 Federal Street The University of Chicago Booth School of Business is a leader in business research and Boston, MA 02110 education, producing ideas and leaders that shape business. The “Chicago Approach” develops www.lifeyield.com executives with superior ability to analyze problems, generate key insights, and implement creative solutions. LifeYield is a leading fintech solution that coordinates tax-smart and risk-smart management of an investor’s entire portfolio. LifeYield’s Taxficient Score® differentiates advisors by providing optimal Ultimus Fund Solutions tax strategies that help investors make and keep more money. Booth: 213 Riskalyze 225 Pictoria Drive, Suite 450 Cincinnati, OH 45246 Booth: 5 www.ultimusfundsolutions.com 373 Elm Avenue Auburn, CA 95603 As an award-winning, trusted business partner, Ultimus Fund Solutions provides a highly customized and comprehensive suite of fund administration services, helping investment Riskalyze invented the Risk Number®, which powers the world’s first Risk Alignment advisers and fund families navigate and flourish in today’s increasingly sophisticated and Platform, empowers advisors to automate client accounts with Autopilot, and delivers the dynamic industry landscape. We are pleased to have Oak Associates, Fuller & Thaler and first risk-centric 401(k) experience with Riskalyze Retirement Solutions. Davenport & Co. join us in our booth.

ViewTrade Institutional MEDIA PARTNER Booth: 413 525 Washington Boulevard, 24th Floor InvestmentNews Jersey City, NJ 07310 Booth: 526 www.vtinstitutional.com 685 3rd Avenue, Suite 2301 New York, NY 10017 ViewTrade Institutional provides innovative financial business solutions thoughtfully designed www.investmentnews.com for Registered Investment Advisors, hedge funds, TAMPS, and FinTech platform providers. We’re empowering RIAs to manage their advisory businesses more efficiently and profitably InvestmentNews is the leading source for news, analysis, and information essential to the with smart technology built for advisors by advisors. financial advisory community. Since 1998, our standard of editorial excellence and deep industry knowledge has allowed us to educate, inform, and engage the most influential White Glove financial advisers. Through our weekly newspaper, website, newsletters, research, events, Booth: 520 videos, and webcasts, InvestmentNews provides exclusive and up-to-the-minute news, as 390 Park Street, Suite 250 well as actionable intelligence, that empowers financial advisors to serve their clients and Birmingham, MI 48009 run their businesses more effectively whenever, however, and wherever they need it. www.whiteglove.com

White Glove offers a comprehensive program that gives professionals the tools they need to gain more clients, increase ROI and significantly improve their practice. For our 100% done-for-you, turnkey, risk- free, triple guaranteed seminar planning and digital marketing program.

Yale School of Management Booth: 107 165 Whitney Avenue New Haven, CT 06511 https://som.yale.edu/programs/executive-education/for-individuals/finance/investment- management-theory-practice

Yale School of Management Executive Education educates leaders of business and society. With our world-class faculty, we design and deliver immersive, action learning that transforms senior leaders, their teams, and their organizations. For rising leaders of investment and wealth management, Yale Executive Education delivers online programs that fulfill the education requirements and test preparation materials for the CIMA and CPWA certifications.

26 SAVE THE DATES!

Investments & Wealth Institute conferences provide you advanced education with practical application. You get exceptional peer-reviewed content delivered by prominent industry experts. Learn why Institute conferences are recognized throughout the industry as the best educational experiences available—register now!

BEHAVIORAL ADVISOR FORUM* September 23–24, 2019 The Palace Hotel, San Francisco, CA Pre-conference workshop available on September 22, sponsored by Toews Corporation

EXCEPTIONAL ADVISOR CANADA October 8, 2019 Toronto Public Library, Toronto ON

WEALTH ADVISOR FORUM* Powered by CPWA® Certification October 21–22, 2019 Fairmont Scottsdale Princess, Scottsdale, AZ Pre-conference workshop available October 20, sponsored by Capital Group, home of American Funds

RETIREMENT MANAGEMENT FORUM* Powered by RMA® Certification December 9–10, 2019 Diplomat Beach Resort, Hollywood, FL Pre-conference workshop available December 8, sponsored by Capital Group, home of American Funds

2020 INVESTMENT ADVISOR FORUM* Powered by CIMA® Certification February 13–14, 2020 New York Hilton Midtown, New York, NY

ACE 2020, THE EXCEPTIONAL ADVISOR CONFERENCE* May 27–30, 2020 Hynes Convention Center, Boston, MA

*Register online today! www.investmentsandwealth.org

27 Award-winning advisor tech that helps you master your universe

Ready for tech that lets you call the shots in your business? Yeah, of course you are. Get access to open-architecture platforms that pull some of your favorite third-party apps and data into one easy-to-read screen. Rebalance portfolios automatically. Boost trading efficiency. Do it your way with tech available through TD Ameritrade Institutional. Ready for total tech mastery?

tdainstitutional.com 800-934-6124

TD Ameritrade Institutional, Division of TD Ameritrade, Inc. member FINRA/SIPC. TD Ameritrade is a trademark jointly owned by TD Ameritrade IP Company, Inc. and the Toronto-Dominion Bank. © 2019 TD Ameritrade. TDAI 5105 D 03/19 28

TDAI_5105_D_03_19_General_Tech_FINAL.indd 1 3/20/19 4:44 PM THANK YOU TO OUR 2019 PARTNERS & SPONSORS

PLATINUM PARTNERS

GOLD PARTNER

SILVER PARTNER

ACE SPONSORED ITEMS & EVENTS

Monday Women in Wealth Luncheon Sunday NextGen Reception Monday Lunch

®

Tuesday Dog Petting Break

Lanyards Shoe Shine Station Continuous Coffee Station

29 We’re committed to helping you serve your clients better.

Discover the latest market insights, innovative ways to connect with your clients, and tips from other experienced RIAs to help streamline your business.

capitalgroup.com/ria

Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value. Securities offered through American Funds Distributors, Inc. © 2019 Capital Group. All rights reserved. 30 30 THANK YOU TO ALL OF OUR PARTNERS, SPONSORS, AND EXHIBITORS

Platinum Partners

Gold Partner

Silver Partner

31 5619 DTC Parkway, Suite 500 Greenwood Village, CO 80111 T +1 303-770-3377 F +1 303-770-1812 E [email protected] www.investmentsandwealth.org/ACE

INVESTMENTS & WEALTH INSTITUTE® is a registered mark of Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. CIMA®, CERTIFIED INVESTMENT MANAGEMENT ANALYST®, CIMC®, CPWA®, and CERTIFIED PRIVATE WEALTH ADVISOR® are registered certification marks of Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. RMA® and RETIREMENT MANAGEMENT ADVISOR® are marks owned by Investment Management Consultants Association Inc. doing business as Investments & Wealth Institute. 32