Feb 6-8 2019
Grand Hyatt
San Diego, CA
Register Now

Agenda

See this year’s schedule of events

Feb 6
Feb 7
Feb 8
Wednesday, February 6, 2019
7:00 AM - 9:00 AM Conference kickoff breakfast
7:00 AM - 7:00 PM Registration and conference resources desk open
9:00 AM - 9:50 AM Veo One: More features, integrations, analytics, and power
Agenda

Veo One: More features, integrations, analytics, and power

Description

A lot has happened in Veo One over the past year. New features. Added integrations. Powerful analytics. Veo One is continually evolving to keep pace with your ever-changing needs. And because all Veo functionality is now available in Veo One, there's no reason to wait any longer to make the switch. Join us to learn what's new with the platform and get ready to unify your technology with Veo One.

Speakers

Chris Valleley, Director, Technology Solutions, TD Ameritrade Institutional Michael Madrid, Product Manager, Technology Solutions, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Technology
Technology
9:00 AM - 11:00 AM Morning ethics course (repeated in afternoon)
9:00 AM - 12:00 PM Morning workshop: Putting a price on your value
Agenda

Morning workshop: Putting a price on your value

Description

Do you have a pricing philosophy? If not—or if you think yours might need a refresh—this workshop is for you. We’ll walk through the fundamentals of developing your pricing philosophy, the pros and cons of popular approaches, and how to craft a plan to introduce your new pricing strategy to clients and prospects.

Credits:

3 IMCA CE Credits
9:00 AM - 12:00 PM Morning workshop: Get started with Veo One
Agenda

Morning workshop: Get started with Veo One

Description

Get ready to get excited about Veo One. Streamlined, simplified, and integrated, it gives you the power to take care of all your client management needs from one unified view. Join us to learn how to set up your user preferences and vendor integrations and find out about new features like consolidated views, activity management, and more. Don't miss out!

Speakers

Rey Pajarillo, Senior Product Manager, Technology Solutions, TD Ameritrade Institutional Charles Fargo, Product Manager, Technology Solutions, TD Ameritrade Institutional

Credits:

3 IMCA CE Credits

Keywords

Technology
Technology
9:00 AM - 12:00 PM Morning workshop: iRebal on Veo: Go from newbie to user
Agenda

Morning workshop: iRebal on Veo: Go from newbie to user

Description

New to iRebal? Roll up your sleeves and get ready to learn how to take advantage of this powerful rebalancing technology. During this highly interactive session, you'll discover how to maximize your efficiency in portfolio monitoring, rebalancing, and model management (using the new Model Market Center). And if you don't already have access to iRebal, we'll get you set up to rebalance portfolios in your firm's iRebal environment in real-time.

Speakers

Jessica DeMartino, Product Manager, iRebal, TD Ameritrade Institutional Michael King, Senior Specialist, iRebal, TD Ameritrade Institutional

Credits:

3 IMCA CE Credits

Keywords

Technology
Technology
9:00 AM - 12:00 PM Morning workshop: Trading in today's markets
Agenda

Morning workshop: Trading in today's markets

Description

Let's take a deep dive into trading. See for yourself how thinkpipes can help maximize your execution capabilities and efficiency. Trade equities and ETFs? Hear how the Institutional Block Desk can help you minimize market impact. And find out how the veterans on our institutional trade desks can give you access to a range of investment solutions to help differentiate your practice.

Credits:

3.5 CFP CE Credits
3 IMCA CE Credits
9:00 AM - 12:00 PM Morning workshop: 401(k) sales: How to close more in less time
Agenda

Morning workshop: 401(k) sales: How to close more in less time

Description

Maybe you've only sold a handful of 401(k) plans. Or maybe these plans are a core part of your business. Either way, having a clearly defined, intentional sales approach can help you increase your close rates while spending less time making a sale. Let's dive into the four stages of the sales process - prospecting, engagement, proposal, and presentation/closing - and define what's required to be successful in each.

Speakers

David Greene, Managing Partner, Greene Consulting Ross Greene, Founder & CEO, Greene Consulting

Credits:

3 IMCA CE Credits

Keywords

Growth Retirement Plans
Growth Retirement Plans
9:00 AM - 12:00 PM Morning workshop: Got service requests? Get them completed faster
Agenda

Morning workshop: Got service requests? Get them completed faster

Description

Join us for a fast-paced workshop to discover how to reduce your NIGO rate. You'll learn about time-saving tools such as same-day check scanning and deposits, online account opening, and client self-service tools. We'll also highlight the latest form changes. This is a hands-on session, so bring your laptops and prepare to get involved.

Speakers

Curtis Divona, Senior Manager Advisor Relations, TD Ameritrade Institutional Brittney Partow, Manager Advisor Relations, TD Ameritrade Institutional

Credits:

3 IMCA CE Credits
10:00 AM - 12:00 PM Morning Service Center Tour
Agenda

Morning Service Center Tour

Description

Here’s your opportunity to get a behind-the-scenes look at how our sales and serve teams work every day to serve you. Sign up for one of two tours of our San Diego office on Wednesday, February 6th (Offered at 10 a.m. and 1 p.m.).

10:10 AM - 11:00 AM iRebal on Veo: Discover user-friendly, intelligent rebalancing
Agenda

iRebal on Veo: Discover user-friendly, intelligent rebalancing

Description

Smart rebalancing technology can help you reduce the cumbersome manual rebalancing process from days (or even weeks) down to mere minutes. This live demonstration of the features and benefits of iRebal on Veo - the most widely adopted and highest-rated rebalancing platform* - encompasses everything from household rebalancing and cash management to model management and tax loss harvesting any time of the year. Understand how iRebal and Model Market Center can help you increase efficiency so you can spend less time with spreadsheets and more time serving your clients. All within a user-friendly platform. *2018 T3 / Advisor Perspectives / Inside Information Software Survey

Speakers

Justin Di Filippo, Director, Technology Solutions, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Technology
Technology
10:10 AM - 11:00 AM 10 business building ideas for Emerging Advisors
Agenda

10 business building ideas for Emerging Advisors

Description

From working moms to young investors, not only is the investing landscape changing - so is the RIA space. As new advisors emerge, how can we think differently about how to support them and their clients? One idea: Pair up clients with associates in your firm with similar backgrounds. In this session, you’ll get tips to strategically build your business and cultivate relationships that are mutually beneficial. #RIANextGen

Speakers

Kate Healy, Managing Director, Generation Next, TD Ameritrade Institutional Kelly Bradley, Financial Planning Assistant, Trinity-Wealth Management Alan Moore, Co-Founder & CEO of XY Planning Network Marjorie Wentz, Retirement Plan Advisor, Trinity-Wealth Management

Credits:

1 IMCA CE Credit

Keywords

Growth Human Capital Next Gen
Growth Human Capital Next Gen
11:00 AM - 1:00 PM Lunch and networking
Agenda

Lunch and networking

Description

Meet your fellow conference goers and begin exchanging ideas

12:30 PM - 1:20 PM Showcase session: Ron Carson, "The New Meaningful Measure: Proving the Value of Relationship"
Agenda

Showcase session: Ron Carson, "The New Meaningful Measure: Proving the Value of Relationship"

Description

Advisors have long held onto a simple metric for defining their worth in a client’s eyes (rate of return, performance, asset growth, etc.). But, are your clients measuring you in more ways than one? They are today. In this keynote presentation, Ron Carson, CEO and founder of Carson Group, will expose the intangible value advisors provide to their clients and illustrate how advisors can bring this invisible value to the forefront of the client conversation. Demonstrating value beyond a doubt is the new standard, and with the advent of interactive technology, Carson will explain what the modern-day consumer expects, why it’s changing investor behavior, and how this will influence the profession forever.

Speakers

Ron Carson, CEO and Founder of Carson Group

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Client Experience Growth
Client Experience Growth
12:30 PM - 1:20 PM Showcase session: Trade war (what is it good for?) – Investing in China during the Trump era
Agenda

Showcase session: Trade war (what is it good for?) – Investing in China during the Trump era

Description

Despite worries of a trade war, China remains the world's best consumer story—and the largest contributor to global growth. Favorable long-term fundamentals, strong earnings growth, lower valuations and rising consumer wealth are creating new opportunities. So, it's time for investors to revise their risk perceptions about investing in China and reconsider why the world's second-largest economy is too big to ignore. Please join Matthews Asia Investment Strategist Andy Rothman, who will discuss: · Why investors should not let trade tensions scare them away from China · The health of domestic demand in China's economy · The emerging opportunity in China A-shares · Why an active approach is essential in having China represent a core part of a portfolio

Speakers

Andy Rothman

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Trading
Trading
1:00 PM - 3:00 PM Afternoon Service Center Tour
Agenda

Afternoon Service Center Tour

Description

Here’s your opportunity to get a behind-the-scenes look at how our sales and serve teams work every day to serve you. Sign up for one of two tours of our San Diego office on Wednesday, February 6th (10 a.m. and 1 p.m.).

1:00 PM - 7:00 PM Grand opening of the Exhibit Hall, Business Consulting Lounge, Veo Village, and Innovation Alley
Agenda

Grand opening of the Exhibit Hall, Business Consulting Lounge, Veo Village, and Innovation Alley

Description

Grand opening of the Exhibit Hall, Businenss Consulting Lounge, Veo Village, and Innovation Alley

1:30 PM - 2:20 PM Better connect with your clients through our upgraded client portal
Agenda

Better connect with your clients through our upgraded client portal

Description

We didn't just redesign AdvisorClient.com. We've rebuilt it from scratch! The new design is clean, focused, and user-friendly with a streamlined home page built around what clients have said is most important to them. Attend this session for a demonstration of the new platform and get a glimpse into what the future holds for AdvisorClient.com.

Speakers

Rob Petek, Senior Product Manager, Technology Solutions, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Technology
Technology
1:30 PM - 4:30 PM Afternoon workshop: Designing a competitive compensation plan
Agenda

Afternoon workshop: Designing a competitive compensation plan

Description

A solid compensation plan is key to recruiting and retaining top talent. So how can you create the right plans for your staff? We’ll work together to create plans for a variety of roles, including lead advisors, junior advisors, and operations managers. You’ll learn how to account for base salary, incentive compensation, equity and profit sharing, and rewards and recognition.

Credits:

3 IMCA CE Credits
1:30 PM - 4:30 PM Afternoon workshop: Make Veo One work(flow) for you
Agenda

Afternoon workshop: Make Veo One work(flow) for you

Description

Discover the ins and outs of Veo One. We'll show you how to efficiently manage your workflows, including: opening accounts, submitting paperwork and monitoring its status, processing cash management requests, and reviewing analytics to help you keep your firm on track. You'll also find out how to get the most out of the experience by leveraging third-party integrations with CRM, financial planning, and portfolio management applications. Finally, we'll discuss documenting processes for increased efficiency and help you define or refine your firm's unique workflows.

Speakers

Stephanie Macon, Technology Consultant, TD Ameritrade Institutional Greg Jackson, Technology Consultant, TD Ameritrade Institutional

Credits:

3 IMCA CE Credits

Keywords

Technology
Technology
1:30 PM - 4:30 PM Afternoon workshop: So you want to be an owner?
Agenda

Afternoon workshop: So you want to be an owner?

Description

Owning a firm allows for great freedom. But it also requires great responsibility. If you think ownership might be the right path for you, come join us for this half-day workshop designed with junior advisors in mind. We’ll discuss: • The difference between a leader and a manager • How to come across with confidence when engaging with clients, prospects, and staff • What it takes to grow and lead a firm into the future

Credits:

3 IMCA CE Credits
1:30 PM - 4:30 PM Afternoon workshop: Outsourcing your wealth management
Agenda

Afternoon workshop: Outsourcing your wealth management

Description

Stop trying to be all things to all people and start streamlining your investment management activities. How? Through outsourcing - one of the top trends in today's RIA world. Learn how you can make it happen at your firm. We'll also discuss products and services available through TD Ameritrade Institutional designed to enhance your investment processes.

Credits:

3.5 CFP CE Credits
3 IMCA CE Credits
1:30 PM - 4:30 PM Afternoon workshop: Strategies for enhancing your retirement plan service model
Agenda

Afternoon workshop: Strategies for enhancing your retirement plan service model

Description

Let's take a close look at the increasingly important role that you as an Advisor can play in retirement plans. From choosing which services can bring the most value to plan sponsors and participants to helping plan sponsors understanding their fiduciary duties, you are uniquely equipped to provide the services and education plan sponsors need today. So how do you build your business model to meet these needs?

Join us as we discuss trending questions and concerns that you can help your plan sponsors address, including:

  • The growing demand for fiduciary support
  • Which services Advisors provide and which are outsourced
  • The need for fiduciary insurance and concerns about cybersecurity
  • Best practices that will drive fiduciary compliance
  • DOL enforcement hot buttons

Speakers

Pam O'Rourke, Senior Vice President and Managing Principal, Integrated Retirement

Credits:

3.5 CFP CE Credits
3 IMCA CE Credits

Keywords

Growth Retirement Plans
Growth Retirement Plans
1:30 PM - 4:30 PM Afternoon workshop: iRebal 2.0
Agenda

Afternoon workshop: iRebal 2.0

Description

Already know the basics of iRebal? Become a power user. We'll walk you through advanced features like tax loss harvesting, cash management, model management, and model blending. You'll also walk away with the knowledge to build disciplined and repeatable portfolio implementation workflows.

Speakers

Travis Rothlisberger, iRebal Product Manager, TD Ameritrade Institutional

Credits:

3 IMCA CE Credits

Keywords

Technology
Technology
2:30 PM - 4:30 PM Afternoon ethics course (repeat of morning ethics session)
Agenda

Afternoon ethics course (repeat of morning ethics session)

Description

Ethics course CE credit

2:40 PM - 3:30 PM Panel discussion: Why Advisors use options (and how to explain them)
Agenda

Panel discussion: Why Advisors use options (and how to explain them)

Description

Options strategies have the potential to be beneficial for clients both for income and portfolio protection. However, explaining these concepts and how they work can be more difficult. Our panel discussion will feature three advisors that currently utilize options in their practice to talk about why they use them, how they can differentiate your investment management offering, and making complex topics relatable.

Speakers

Jay Pestrichelli, Zega Financial, Co-Founder and Managing Director Dan Powers, Vice President, Vector Wealth Management Chris Recker, CIO, AZA Capital Management

Credits:

1 CFP CE Credit
1 IMCA CE Credit
4:30 PM - 6:00 PM Sparkling Reception
Agenda

Sparkling Reception

Description

Join us for a networking reception to celebrate and support women and diverse communities. All are welcome to attend.

4:30 PM - 6:00 PM Welcome cocktail reception with exhibitors
6:00 PM - 7:30 PM Dinner on your own
8:00 PM - 10:00 PM Welcome celebration
Thursday, February 7, 2019
7:00 AM - 7:45 AM Breakfast with exhibitors
7:00 AM - 7:00 PM Conference registration and conference resources desk open
8:00 AM - 10:00 AM Opening general session
Agenda

Opening general session

Description

Opening remarks from Tom Nally, TDAI President, followed by our general session keynote - "The Experience Economy" - including TD Ameritrade CEO, Tim Hockey, and TD Ameritrade CMO, Denise Karkos.

10:30 AM - 11:20 AM Propel your business with the TD Ameritrade Retirement Plan
Agenda

Propel your business with the TD Ameritrade Retirement Plan

Description

Looking to activate or accelerate your focus on retirement plans? Join Skip Schweiss and Frank Pitten as they discuss the opportunities in the retirement plan space. You'll also learn how the TD Ameritrade Retirement Plan, the Playbook, and our sales and service teams can help you achieve success.

Speakers

Frank Pitten, Sales Director, TD Ameritrade Institutional Skip Schweiss, Managing Director, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Growth Retirement Plans
Growth Retirement Plans
10:30 AM - 11:20 AM Veo One: More features, integrations, analytics, and power
Agenda

Veo One: More features, integrations, analytics, and power

Description

A lot has happened in Veo One over the past year. New features. Added integrations. Powerful analytics. Veo One is continually evolving to keep pace with your ever-changing needs. And because all Veo functionality is now available in Veo One, there's no reason to wait any longer to make the switch. Join us to learn what's new with the platform and get ready to unify your technology with Veo One.

Speakers

Chris Valleley, Director, Technology Solutions, TD Ameritrade Institutional Michael Madrid, Product Manager, Technology Solutions, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Technology
Technology
10:30 AM - 11:20 AM The modern HSA experience
Agenda

The modern HSA experience

Description

Health savings account (HSA) assets have grown 23% year-over-year. Which means there are now over 22 million accounts that encapsulate $45.2 billion in assets. Come discover how you can help your clients take advantage of HSAs to prepare for healthcare costs in retirement while saving money today. We will discuss how HSAs work, their benefits, who qualifies, and how HSA providers are innovating to create a more modern banking and investing experience.

Speakers

Shobin Uralil, Co-Founder/COO, Lively, Inc.

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Client Experience Growth
Client Experience Growth
10:30 AM - 11:20 AM Panel discussion: Trust and estate planning for holistic client relationship management
Agenda

Panel discussion: Trust and estate planning for holistic client relationship management

Description

Explore how trust and estate planning can be used for holistic relationship management with clients. In this session you will hear about the corporate trustee model, roles and responsibilities of the advisor, client and trustee as well as the onboarding and administration process for corporate and successor trustees.

Speakers

Moderator: Kurt Koehler, Estate Planning Attorney, National Advisors Trust Company Pat Agnew, Estate Planning Attorney, Agnew Law Office Ron Carson, Founder and CEO, Carson Wealth Management Judith Lu, Advisor Miracle Mile Advisors

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Estate Planning Wealth Management
Estate Planning Wealth Management
10:30 AM - 11:20 AM Why is it still all about AUM?
Agenda

Why is it still all about AUM?

Description

Let’s talk pricing. In this workshop, we’ll closely examine the current state of pricing in the industry, the reasons why firms are reluctant to implement a pricing change, and the benefits your firm may experience if you choose to pursue a pricing change.

Credits:

1 IMCA CE Credit
10:30 AM - 11:20 AM Industries of change: Trends & tech innovation
Agenda

Industries of change: Trends & tech innovation

Description

We're witnessing significant change in almost every industry, from the medical field to pizza delivery. How will our behaviors change? How will our businesses change? Hear about some of the most explosive tech discoveries and trends budding in the world and how they might impact financial services - from our communications and advertising to the client experience and beyond.

Speakers

Dani Fava, Director, Institutional Product Development & Strategy, TD Ameritrade Institutional

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Technology
Technology
10:30 AM - 11:20 AM Implementing disruption within core portfolios
Agenda

Implementing disruption within core portfolios

Description

The current breathtaking pace of innovation—commonly referred to as the fourth industrial revolution—is giving rise to a new economy and making it clear that the future is now. In order to pursue the potential within this new economy, you may want to consider complementing an existing core allocation with more dynamic growth exposure, focusing on future disruption to potentially control both growth and sector drivers. Understanding the drivers of risk and return within a portfolio is important to staying grounded in your core, while still positioning for the new economy. This session will focus on the basics of portfolio construction while analyzing selected implementation considerations for adding disruption to the core. Session presented by State Street Global Legal – TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies.

Credits:

1 CFP CE Credit
1 IMCA CE Credit
10:30 AM - 11:20 AM Navigating global disruptive forces
Agenda

Navigating global disruptive forces

Description

Throughout 2018, the global economy saw the return of intermittent volatility, leaving investors to face shifting currents in disruptive innovation and the long and unwinding road of monetary policies. Navigating the investing landscape to discover new opportunities—while avoiding the pitfalls associated with rapidly moving markets—requires a strategic investing approach. This session will provide actionable insights on compelling opportunities in select countries, sectors, and companies to guide investment decisions. Join our expert panel as they discuss the current environment and look ahead at how the following could impact 2019: • U.S. dollar strength and its influence on market returns • Implications of the trade war between the U.S. and China • The shift from “growth vs. value” to “tech vs. energy and financials” Session sponsored by T. Rowe Price

Credits:

1 CFP CE Credit
1 IMCA CE Credit
11:30 AM - 1:00 PM Explore & lunch
11:50 AM - 12:40 PM Showcase speaker: Dan Allison "A new approach to earning referrals"
Agenda

Showcase speaker: Dan Allison "A new approach to earning referrals"

Description

Dan Allison is an expert in human behavior and understanding the behavioral element of client referrals. In this presentation, Dan will walk you through the real problem that consumers face in referring the professionals they work with. Then he will show you how to implement simple strategies that will help you start getting referrals right away without ever feeling like a salesperson. Drawing from his background in clinical and behavioral psychology, Dan has interviewed thousands of clients to learn how they want to be approached about referrals. The results are detailed in this popular talk that has been described as “brilliantly simple,” “eye-opening,” and “the most refreshing presentation in years.” Some key take away points you will learn: 1. Why the majority of their clients do not give referrals as frequently as they could. 2. The true roadblocks that prevent most professionals from creating effective referral relationships. 3. How to implement simple, step-by-step strategies to begin getting referrals immediately.

Speakers

Dan Allison, Founder, Feedback Marketing Group

Keywords

Client Experience Growth
Client Experience Growth
11:50 AM - 12:40 PM Showcase speaker: Jenny Fleiss "Experiential marketing - the new frontier"
Agenda

Showcase speaker: Jenny Fleiss "Experiential marketing - the new frontier"

Description

Jenny recently started Jetblack, the first portfolio company within Walmart’s startup incubator. As CEO and Co-Founder of Jetblack, she is disrupting traditional e-commerce with a personal shopping service over text message and voice to offer consumers highly-personalized, one-to-one shopping experiences. Jenny Co-Founded Rent the Runway, a business that has transformed the retail industry by making designer clothing rentals a convenient and accessible luxury experience for millions of women. Jenny has been honored with numerous recognitions including: Inc. Magazine’s “30 Under 30”; Fortune Magazine’s “40 Under 40” and “Most Powerful Women Entrepreneurs”; and Fast Company’s “Most Influential Women in Technology”.

1:00 PM - 1:50 PM How to construct an all-weather emerging markets portfolio
Agenda

How to construct an all-weather emerging markets portfolio

Description

Given the current market volatility, can investors access sustainable growth and equity returns in emerging markets? Potentially. Through a thoughtful combination of exposures, leading to an "all-weather" portfolio allocation within emerging markets. The key lies in offsetting the significant cyclical exposure within certain emerging economies with less volatile, fast-growing consumer exposure in Asia. Session sponsored by Matthews Asia

Credits:

1 CFP CE Credit
1 IMCA CE Credit
1:00 PM - 1:50 PM TD Ameritrade Retirement Plan onboarding: An advisor's journey
Agenda

TD Ameritrade Retirement Plan onboarding: An advisor's journey

Description

Ever wonder what the lifecycle of a retirement plan looks like? Get the inside scoop as Frank Pitten leads this in-depth conversation with Advisors on their process from start to finish. They'll cover everything from finding clients, buying criteria for plan sponsors, conducting meetings, and the implementation process.

Speakers

Moderator: Frank Pitten, Sales Director, TD Ameritrade Institutional Jac M. Arbour, President, J.M. Arbour Wealth Management Zachary Chavira, Institutional Services Relationship Manager, Donaldson Capital Management LLC

Credits:

1 IMCA CE Credit

Keywords

Growth Retirement Plans
Growth Retirement Plans
1:00 PM - 1:50 PM iRebal user roundtables
Agenda

iRebal user roundtables

Description

Did you know that iRebal is the most widely adopted rebalancing platform and has the highest user rating in its category?* Learn why as this session kicks off with a panel of iRebal power users. Hear about their best practices and how they get the most out of this efficient system. Following the panel, our team of iRebal product experts will guide a highly interactive discussion on iRebal features and functionality, and will also address any questions you may have about the platform. *2018 T3 / Advisor Perspectives / Inside Information Software Survey

Speakers

Jason Kurpjuweit, Senior Product Manager, iRebal, TD Ameritrade Institutional Chris Stryker, Product Manager, iRebal, TD Ameritrade Institutional

Credits:

1 IMCA CE Credit

Keywords

Technology
Technology
1:00 PM - 1:50 PM Improve your firm's marketing in the digital age
Agenda

Improve your firm's marketing in the digital age

Description

Ever feel like you could be more successful when it comes to marketing, particularly when it comes online marketing? The new business landscape has changed, and digital marketing tactics are increasingly important for interacting with current clients and prospects. So come find out what works, and what doesn't. Join this session to get advanced online marketing strategies. The advice will go beyond the basics and provide recommendations that can become the foundation for pursuing your business goals online in 2019 and beyond.

Speakers

Michael Byrnes, President, Byrnes Consulting, LLC

Credits:

1 IMCA CE Credit

Keywords

Client Experience Growth Technology
Client Experience Growth Technology
1:00 PM - 1:50 PM Proven marketing strategies to grow your business
Agenda

Proven marketing strategies to grow your business

Description

Panelists include: Karen Lee – Chief Marketing and Strategy Officer, Mercer Advisors Jud Mackrill – Chief Marketing Officer, Carson Group Allison Hillgren – Director of Marketing and Communications, Beacon Pointe Advisors Edward Kummer – Chief Marketing Officer, United Capital

Speakers

Allison Hillgren – Director of Marketing and Communications, Beacon Pointe Advisors Edward Kummer – Chief Marketing Officer, United Capital Karen Lee – Chief Marketing and Strategy Officer, Mercer Advisors Jud Mackrill – Chief Marketing Officer, Carson Group

Credits:

1 IMCA CE Credit

Keywords

Growth
Growth
1:00 PM - 1:50 PM The best of both worlds - An open dialogue with Larry Tabb
Agenda

The best of both worlds - An open dialogue with Larry Tabb

Description

Join Trading Services as we sit down with Larry Tabb, Founder and Research Chairman of TABB Group, to discuss market structure and identify opportunities for value within the RIA trading process. We'll attempt to answer some of the most pressing questions surrounding trading as a fiduciary. (Are there benefits to routing directly to the market? When is a high-touch desk necessary? Could a solid trading process contribute Alpha?) Finally, we'll wrap up with Mr. Tabb offering us his outlook on the market structure and regulatory landscape for 2019.

Speakers

Larry Tabb, Founder and Research Chairman of TABB Group

Credits:

1 CFP CE Credit
1 IMCA CE Credit
1:00 PM - 1:50 PM ExO technology innovation Part 1
Agenda

ExO technology innovation Part 1

Description

Anyone can be an innovator, you just have to understand how to unlock your potential. We’ll show you how to leverage the Exo Sprint—a repeatable innovation process—to develop, evaluate, and potentially implement ideas to help your firm pursue success.

Credits:

1 IMCA CE Credit
1:50 PM - 2:10 PM Refreshment break with exhibitors
Agenda

Refreshment break with exhibitors

Description

Enjoy an afternoon pick me up while connecting with our sponsor partners.

2:10 PM - 3:00 PM Afternoon breakout session
2:10 PM - 3:00 PM ExO technology innovation Part 2
Agenda

ExO technology innovation Part 2

Description

Anyone can be an innovator, you just have to understand how to unlock your potential. We’ll show you how to leverage the Exo Sprint—a repeatable innovation process—to develop, evaluate, and potentially implement ideas to help your firm pursue success.

Credits:

1 IMCA CE Credit
2:10 PM - 3:00 PM Are you wealthy in health? Takeaways from an Advisor wellness study
Agenda

Are you wealthy in health? Takeaways from an Advisor wellness study

Description

Advisors are continually focused on adjusting client portfolios with the goal of maximizing returns while also managing risk. But is the same true for how they manage their own wellness? A 2017 survey by FlexShares revealed that Advisors are stressed—25% more so than the average American. In this session, FlexShares Chief Marketing Officer, David Partain, will discuss the origins of the survey and explain changes they’ve seen in Advisor wellness over the past year. He’ll also share insights from the medical community on how to better understand the causes of stress and tools that may help alleviate bad stress. Speaker – David Partain, Chief Marketing Officer, FlexShares Exchange Traded Funds Legal – TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies Session sponsored by Flexshares

Credits:

1 IMCA CE Credit
2:10 PM - 3:00 PM Build, buy, or follow: Scale your business with model portfolios
Agenda

Build, buy, or follow: Scale your business with model portfolios

Description

Time is your most valuable resource. And yet, most Advisors spend 40% of their day building and administering client portfolios. That model may have worked ten years ago. But in order differentiate and grow, it’s important to evolve. Find out how deploying model portfolios can help you free up time to focus on growth. We’ll share strategies for building portfolios with cutting-edge technology or utilizing tools from BlackRock and TD Ameritrade Institutional, Orion, and others to find pre-packaged models and build a better investing experience for your clients. TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by BlackRock

Credits:

1 IMCA CE Credit
2:10 PM - 3:00 PM How do you find talent that helps broaden your reach?
Agenda

How do you find talent that helps broaden your reach?

Description

Audra Bohannon, a Senior Partner at Korn Ferry Hay Group, has delivered strategic leadership and business development solutions that propel people and organizations toward their goals. In this session, Audra will help you look to your business’s future by addressing contemporary issues such as biases, cultivating conscious inclusion, and creating a workplace that supports diversity, all of which will allow you to be better prepared to build a forward-thinking and forward-looking organization. #RIANextGen

Speakers

Audra Bohannon, Senior Client Partner at Korn Ferry Hay Group

Credits:

1 IMCA CE Credit

Keywords

Human Capital Next Gen
Human Capital Next Gen
2:10 PM - 3:00 PM Elevating your client experience
Agenda

Elevating your client experience

Description

In order to remain competitive, your firm needs to stand out. But how can you make that happen? The client experience is where you may have an opportunity to make a lasting impression—and potentially drive loyalty. Join us to examine the scope of the client experience and learn how to create a framework to help evaluate and elevate your own client experience.

Speakers

Greg Menefee, Director of Business Consulting, TDAI

Credits:

1 IMCA CE Credit

Keywords

Client Experience
Client Experience
2:10 PM - 3:00 PM Best practices for achieving success in the retirement plan business
Agenda

Best practices for achieving success in the retirement plan business

Description

If you're in the retirement plan business - or want to be - this is a don't-miss session. Listen to fellow Advisors discuss why they entered the retirement plan business and share their best practices. Walk away with actionable insights into retirement plans.

Speakers

Moderator: John Newman, Managing Director, TD Ameritrade Institutional J. Marcel Louimeus, Senior Retirement Plan Specialist, Majors & Mondragon Harry Pearson, CEO, Certified Kingdom Advisor® Brandon Roop, VP of Institutional Services & Sr. Portfolio Manager, Donaldson Capital Management LLC

Credits:

1 IMCA CE Credit

Keywords

Growth Retirement Plans
Growth Retirement Plans
2:10 PM - 3:00 PM Creating defined outcomes using options
Agenda

Creating defined outcomes using options

Description

Creating defined outcomes in terms of downside risk and upside potential is one of the possible advantages of options strategies. Let’s explore how you can make this happen—and then clearly explain the benefits to your clients.

Credits:

1 CFP CE Credit
1 IMCA CE Credit
2:10 PM - 3:00 PM The next chapter - building on today's success
Agenda

The next chapter - building on today's success

Description

We’re certainly not going to try to predict the future. But it’s safe to assume that our industry will continue to evolve quickly—fueled, in part, by real-time access to information, the application of artificial intelligence, and generational preferences of high net worth investors. This session will show you how to build on your current success by pursuing growth with intent. We’ll also discuss how to advance your journey as a leader and introduce the tools you need to adapt to the future demands of financial advising.

Credits:

1 IMCA CE Credit
3:15 PM - 3:45 PM Innovation Quest - finalist presentations
Agenda

Innovation Quest - finalist presentations

Description

The finalists of the TDAI Innovation Quest will present from the mainstage. Judges include: Joel Bruckenstein – CFP, Technology Tools for Today (T3); Heather Fortner – Partner, Chief Compliance Officer & Chief Operating Officer, Signature FD; J.D. Bruce – President, Abacus Wealth Partners; Vijay Sankaran – Chief Information Officer, TD Ameritrade

4:00 PM - 5:00 PM Keynote presentation: Robert Herjavec
Agenda

Keynote presentation: Robert Herjavec

Description

Robert Herjavec is a dynamic entrepreneur and a leading Shark on ABC’s Shark Tank. His firm, Herjavec Group has quickly become one of North America’s fastest growing technology companies. Today, Herjavec Group is recognized as a global leader in information security specializing in managed security services, compliance, incident response and remediation efforts for enterprise level organizations. Robert has built and sold several IT companies to major players such as AT&T. Born in Eastern Europe, he arrived to North America on a boat with his parents after escaping Communism in the former Yugoslavia. From delivering newspapers, and waiting tables, to launching a computer company from his basement, his drive to achieve has led him to the fulfillment of a better life for himself and his family.

5:00 PM - 6:30 PM Networking reception
6:00 PM - 8:00 PM NextGen celebration: Student-Advisor meet and greet
Agenda

NextGen celebration: Student-Advisor meet and greet

Description

Help us celebrate 10 years of RIA NextGen growth at this special event designed to facilitate meaningful conversations between Advisors and the next generation of advisors. Want to get a jump on filling your talent pipeline? This is the perfect venue to make those connections.

7:00 PM - 9:00 PM Evening on your own
8:00 PM - 9:30 PM After party
Friday, February 8, 2019
7:00 AM - 8:00 AM Breakfast with exhibitors
8:00 AM - 8:20 AM Innovation Quest award presentation
8:20 AM - 9:20 AM Keynote presentation: Platon, "The art of influencing power"
Agenda

Keynote presentation: Platon, "The art of influencing power"

Description

Platon, World-Renowned, Award-Winning Photographer and Founder, The People’s Portfolio

9:20 AM - 9:40 AM Refreshment break with exhibitors
9:40 AM - 10:30 AM Technology can help you transform your business: Now, how do you implement it? Part 1
Agenda

Technology can help you transform your business: Now, how do you implement it? Part 1

Description

This is a two-part session. Are you in the process of implementing a new technology or you are thinking about it? Join our technology consultants for a hands-on, interactive session designed to help you explore some of the best techniques for implementing technology, and the tools you need to create a roadmap that will actually work for your practice.

Credits:

1 IMCA CE Credit
9:40 AM - 10:30 AM Fixed income and the 2019 U.S. interest rate outlook: What bond investors should know
Agenda

Fixed income and the 2019 U.S. interest rate outlook: What bond investors should know

Description

The Federal Reserve continues to methodically increase the Fed Funds rate and unwind its balance sheet, making the short end of the yield curve extremely attractive. And yet, there has been little to no meaningful increase in yields on the long end. Does the flattening yield curve cause the Fed to pause? In addition to monetary policy and the Central Banks, LIBOR—the world’s most common reference interest rate—is being replaced after 2021. Come hear our take on where interest rates may be heading, whether a flattening yield curve is signaling an inversion, what the economic data tells investors, and what investors should know about SOFR and the transition away from LIBOR.

Speakers

Gennadiy Goldberg, Senior US Rates Strategist, Global Security, TD Securities USA LLC

Credits:

1 CFP CE Credit
1 IMCA CE Credit
9:40 AM - 10:30 AM Panel discussion: Charitable giving: Strategies and resources
Agenda

Panel discussion: Charitable giving: Strategies and resources

Description

Many of today's clients want to know how they can maximize their charitable impact. Join us as we explore case studies that highlight ways you can deepen client relationships while helping them pursue their goals. We'll also discuss the industry's latest developments and outlook.

Speakers

Moderator: Atul Sapkal, Senior Manager, High Net Worth & Retirement Plans, TD Ameritrade Institutional Kate Healy, Managing Director, Generation Next, Advisor Management, TD Ameritrade Institutional Sarah Lee Kjellberg, Director, Head of U.S. iShares Sustainable ETFs, Blackrock James Miller, President, Woodward Advisors

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Wealth Management
Wealth Management
9:40 AM - 10:30 AM Retirement plan legislative & regulatory update
Agenda

Retirement plan legislative & regulatory update

Description

Stay ahead of the legislative and regulatory curve. ERISA attorney Thomas Clark will provide insights on proposed and recently enacted legislation affecting retirement plans, including a push for updated multiple employer plans (or pooled employer plans). Hear about the latest developments in the DOL's efforts to change investment advice after the Conflict of Interest Rule was vacated by the 5th Circuit Court of Appeals and how that dovetails with the proposed Regulation Best Interest by the SEC. Find out how you and your plan sponsors can be better prepared in an ever-evolving environment.

Speakers

Thomas Clark, Partner, The Wagner Law Group

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Retirement Plans
Retirement Plans
9:40 AM - 10:30 AM How to build deeper relationships with your female clients
Agenda

How to build deeper relationships with your female clients

Description

Looking for new and insightful ideas on ways to better engage with your female clients? In this session, we'll discuss research and key lessons learned about women's unique financial needs. Takeaways include better communications tools and possible blueprints for a women's initiative at your firm. Speaker – Kahne Krause, CFA, VP, Head of Advisor Communities, Dimensional Fund Advisors Session presented by Dimensional. Legal - TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by Dimensional Fund Advisors

Speakers

Kahne Krause, CFA, VP, Head of Advisor Communities, Dimensional Fund Advisors

Credits:

1 CFP CE Credit
1 IMCA CE Credit
9:40 AM - 10:30 AM Advanced technology: What's next in fintech?
Agenda

Advanced technology: What's next in fintech?

Description

We all know technology advances at an exponential pace. Our team of Advanced Technology experts aims to help the RIA industry keep up with tech advances so your firm can prepare for the next generation of investors. Artificial Intelligence, robotics, AR, and VR are just a few the topics we'll touch on in this jam-packed session. Join us for a discussion on the not-so-distant future of fintech and how it may help your firm stay relevant in a rapidly expanding technological environment.

Speakers

Justin Webster, Director of Advanced Technology, TD Ameritrade Nathan Hogge, Experience Design Lead, TD Ameritrade

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Technology
Technology
9:40 AM - 10:30 AM The fixed income conundrum: Solutions in a rising rate environment
Agenda

The fixed income conundrum: Solutions in a rising rate environment

Description

Interest rates are on the move, increasing risk and volatility for fixed income investors. Join us as Paul McGinn, Senior Vice President of Institutional Investments at First Trust Advisors L.P., takes a broad look at the fixed income market and gives ideas for how to assess/reassess your investment options in this ever-changing environment.He'll also present the potential benefits of active management across various income strategies. Speaker – Paul McGinn, Senior Vice President of Institutional Investments at First Trust Advisors L.P. Legal – TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by First Trust Portfolios

Speakers

Paul McGinn, Senior Vice President of Institutional Investments at First Trust Advisors L.P.

Credits:

1 CFP CE Credit
1 IMCA CE Credit
9:40 AM - 10:30 AM Market compass: Understanding and investing in the market
Agenda

Market compass: Understanding and investing in the market

Description

The current convergence of global economic risk factors is unique in recent history. The stagnant populations of some developed nations face ever-rising debt loads while global alliances shift. And the outlook for the U.S. economy varies widely. Against this backdrop, we’ll discuss a mix of strategies that we believe can potentially help investors manage volatility, generate income, and defend against downturns. Speaker – Kristina Hooper, Global Market Strategist, Invesco TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by Invesco

Credits:

1 CFP CE Credit
1 IMCA CE Credit
10:30 AM - 10:50 AM Refreshment break with exhibitors
10:50 AM - 11:40 AM American hybrid models from CLS: Get the best of both worlds
Agenda

American hybrid models from CLS: Get the best of both worlds

Description

What can you potentially get with the right combination of funds and portfolio construction? The best of both worlds, of course. Come join Capital Group’s Jim Raker and CLS CIO Rusty Vanneman talk about key drivers of success for active managers. They’ll show you how Capital Group’s American Funds have delivered consistent long-term results for investors and walk through CLS’ unique portfolio construction process. Speakers – • Jim Raker, senior advisory resources liaison at Capital Group. • Rusty Vanneman, Chief Investment Officer at CLS Investments Legal – TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by American Funds

Speakers

Jim Raker, Senior Advisory Resources Liaison at Capital Group. Rusty Vanneman, Chief Investment Officer at CLS Investments
10:50 AM - 11:40 AM Capitalizing on disruption
Agenda

Capitalizing on disruption

Description

How has technology affected the intermediary market and how can your firm best take advantage of these changes? Join us as we share ideas on ways you can leverage technological advances to streamline your practice's operations, pivot your practice toward behavioral coaching, and be more proactive and responsive in building relationships with clients. Session presented by Vanguard. Legal – TD Ameritrade Institutional and all third parties listed above are separate and are not responsible for each other’s services or policies. Session sponsored by Vanguard

Credits:

1 IMCA CE Credit
10:50 AM - 11:40 AM Technical analysis and volatility tools for strategy selection
Agenda

Technical analysis and volatility tools for strategy selection

Description

If finding the right options strategy sometimes feels like reading a menu at a chain restaurant (three pages of chicken?), then this session is for you. We'll show you how to better understand fundamental characteristics of options strategies using technical analysis indicators and volatility studies to better serve your client's needs.

Speakers

Clint Cowles, Senior Strategist, Institutional Trading Education, TD Ameritrade Institutional

Credits:

1 CFP CE Credit
1 IMCA CE Credit
10:50 AM - 11:40 AM The best tech decisions other advisors ever made
Agenda

The best tech decisions other advisors ever made

Description

Making decisions about which technology you use can be tough. Sometimes the choices we make are good enough to get the job done. And other times our choices allow for significant gains in efficiency and productivity. We've gathered three of your peers to discuss the best tech decisions they've ever made, what went into helping make those choices, and what benefits they've experienced since implementation.

Speakers

Craig Uhlenkott

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Technology
Technology
10:50 AM - 11:40 AM Technology can help you transform your business: Now, how do you implement it? Part 2
Agenda

Technology can help you transform your business: Now, how do you implement it? Part 2

Description

This is a two-part session. Are you in the process of implementing a new technology or you are thinking about it? Join our technology consultants for a hands-on, interactive session designed to help you explore some of the best techniques for implementing technology, and the tools you need to create a roadmap that will actually work for your practice.

Credits:

1 IMCA CE Credit
10:50 AM - 11:40 AM Panel discussion: Using securities-backed loans to grow your practice
Agenda

Panel discussion: Using securities-backed loans to grow your practice

Description

Hear the latest industry trends centering on securities-backed lines of credit and explore how they can offer investors a unique way to generate liquidity without having to sell off investments. Our panel will discuss topics such as liquidity generation strategies, the risks involved, the regulatory landscape, best practices, and business development techniques for RIAs looking for new ways to grow their practices.

Speakers

Moderator: Jason Susdorf, Product Manager, Institutional Wealth Management, TD Ameritrade Institutional Bryan Loew, Head of Wealth Lending Sales, TD Private Client Group, a business of TD Wealth Jim Mirasola, Director of Alliances, TriState Capital Bank Marc Rock, Managing Partner, Fountainhead Capital Management, LLC

Credits:

1 IMCA CE Credit

Keywords

Wealth Management
Wealth Management
10:50 AM - 11:40 AM Uncovering the truth about cybersecurity
Agenda

Uncovering the truth about cybersecurity

Description

You and your colleagues are faced with cyber security risks every day. Are you making the right decisions? Or are you putting your firm at risk? Test your knowledge in this interactive session and gain insights into how you, and your office, can become more cyber-safe.

Credits:

1 CFP CE Credit
1 IMCA CE Credit

Keywords

Cybersecurity Risk/Risk Management
Cybersecurity Risk/Risk Management
10:50 AM - 11:40 AM Behavioral Finance 101 - Ten ways to manage client expectations and behavior
Agenda

Behavioral Finance 101 - Ten ways to manage client expectations and behavior

Description

Why do clients do what they do? They’re all different, and they all have different motivations. Between spending, investing, trading, financial planning, and portfolio management, understanding clients’ behaviors and what’s behind them can influence how you work with them, and ultimately help you manage expectations. In this session, you’ll learn how to put into practice some of the basic concepts of behavioral finance, understand different types of clients, and improve your working relationships.

Credits:

1 CFP CE Credit
1 IMCA CE Credit
11:40 AM - 2:00 PM Explore & lunch
12:10 PM - 1:00 PM Showcase speaker: Pascal Finette, "Blockchain and cryptocurrencies – from hype to reality to disruption"
Agenda

Showcase speaker: Pascal Finette, "Blockchain and cryptocurrencies – from hype to reality to disruption"

Description

Pascal Finette is the Co-Founder of Radical Ventures and Singularity University’s Chair for Entrepreneurship & Open Innovation. His work focuses on the intersection of technology, global impact, and culture; inspiring, educating and empowering entrepreneurs, corporate irritants and change makers to tackle the most intractable problems of our time. He has spent his career pushing the boundaries of technology and passionately believes it can profoundly impact the betterment of humankind. He got started on the net before there was a web browser, founded a series of technology startups, led eBay’s Platform Solutions Group in Europe, launched a consulting firm helping entrepreneurs with their strategy & operations, and invested into early-stage tech startups. Pascal led Mozilla’s Open Innovation Lab, created Mozilla’s accelerator program WebFWD, and headed up Mozilla’s Office of the Chair. As Principal at Google.org, he invested into social impact organizations around the globe. Most recently he built Singularity University’s startup programs including the SU Accelerator and Venture Fund. Pascal frequently speaks and writes about the magic and potential which happens at the intersection of technology, culture & global impact.

Credits:

1 CFP CE Credit
1 IMCA CE Credit
12:10 PM - 1:00 PM Showcase speaker: David Goggins, "What's holding you back?"
Agenda

Showcase speaker: David Goggins, "What's holding you back?"

Description

David Goggins is a retired Navy SEAL, endurance athlete and motivational speaker. In this session, David will be talking about ways to take the governor off of your mind and how to focus on the true reality of what you are facing, not the reality you have made up in your mind. Stop settling for 40% and start tapping into your true potential! David is one of the greatest endurance athletes in the world. David has completed multiple ultra-marathons, triathlons, and ultra triathlons, setting new course records and regularly placing in the top five. David also set a Guinness World Record for the most number of pull-ups in a 24-hour period completing 4,030 in 17 hours. His achievements made him the subject of a lead feature in Runner’s World, where he was named “Running Hero”. Outside Magazine named him “The Fittest (Real) Man in America.” The Navy SEALs tagged him as their poster boy and lead recruiter. In November, 2015, he was the subject of the New York Times Bestseller, LIVING WITH A SEAL.

Speakers

David Goggins, Retired Navy Seal and Endurance Athlete

Credits:

1 IMCA CE Credit
2:00 PM - 5:00 PM LINCx
Agenda

LINCx

Description

LINCx is quickly becoming a highlight of our Friday afternoon conference programming, and we can’t wait for you to make powerful connections while engaging in unique experiences that help you develop personally and professionally. Advance Sign up is required.

7:00 PM - 10:00 PM Final night concert with Weezer
Agenda

Final night concert with Weezer

Description

Grab some food and drinks and get ready to finish off the week in style. We’ll rock the night away with Weezer, dancing to hits like “Beverly Hills” and “Buddy Holly.”

10:00 PM - 11:00 PM After party