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Actionable Account Data with Schwab OpenView Gateway® and Salentica CRM Why Attend Learn how Schwab OpenView Gateway® can make your client account data actionable in Salentica’s customer relationship management (CRM) platform to improve client service and compliance, while freeing up time for your staff. Session Details Increased regulatory oversight makes it important for advisors to monitor and take actions on account alerts and exceptions to account policies, such as maintaining a minimum account cash balance. Salentica CRM’s integration with Schwab OpenView Gateway enables advisors to stay on top of alerts and automate required actions to ensure timely and consistent actions, without tying up staff to manually monitor for exceptions. Learn how Salentica’s CRM can serve as the hub for all your client management and business development needs. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Tanya Tygesen, Salentica
Bill Rourke, Salentica
Active Edge Why Attend Delve into why market conditions support a shift toward active investing and how to achieve yield in the current environment. Session Details Market volatility, uncertainty, and the search for yield have left advisors confused about where to go and what they can do to help clients not only get enough yield to keep up with their needs, but also avoid volatility that can erode principal. Most advisors want to accomplish this with minimal risk. Learn the marketplace signs that are pointing toward a shift from passively managed portfolios to active management, how to prepare, and the benefits. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Kristina Hooper, Allianz Global Investors
Alternative Income Solutions in a Low-Yield World Why Attend Gain actionable investment and financial planning ideas for income-generating options that can provide diversification and offer higher return than traditional fixed income vehicles. Session Details How do you construct a retirement income strategy that meets a client’s need for cash flow but doesn’t result in a portfolio that is overconcentrated to riskier forms of credit? Generating consistent investment income in the current market environment is a challenge for many investors. Learn about alternative income solutions that can complement traditional fixed sources of retirement income, capture the equity risk premium, and offer stable cash flows in different interest-rate environments. Seating for this session is at capacity, however standing room is still available.   30 Minutes | Showcase Session Presentation | Paul Zemsky, Voya Investment Management
Alternative Strategies and Volatility: Building Portfolios that Can Achieve Better Outcomes Why Attend Discover the various roles alternative investments play in the portfolio.  Gain exposure to our proprietary research on various characteristics of alternative investments and their impact on portfolios with various investment objectives.   Session Details Increased volatility, along with low return expectations for many assets have left investors with concerns around how to position their portfolios for the current market environment in order to meet their financial goals. We believe alternative strategies with low sensitivity to traditional markets can help address some of these concerns. Alternative investments can help clients’ portfolios achieve a more attractive risk adjusted return profile while reducing volatility and providing better downside risk mitigation. In this session we will: Distinguish between goals such as diversification and volatility management Learn about the different dimensions of risk, and characteristics within alternatives and their suitability in meeting portfolio goals Explore why the current market environment may be right for alternative strategies  1 Hour | Default Type | Michelle Borre, OppenheimerFunds
A Modern Approach to Asset Allocation and Portfolio Construction Why Attend In today’s ever-changing market environment, advisors need to evolve their asset allocation approach to meet their clients’ needs and objectives. Advisors should consider evolving beyond the traditional 60/40 allocation and embrace certain types of nontraditional asset classes. Session Details Advisors should incorporate both active and passive strategies and explore some of the innovative smart beta strategies. Key takeaways: Discuss the merits of strategic and tactical asset allocation Evaluate the role of nontraditional investments Provide a framework for incorporating active, market-cap, and fundamental index strategies Evaluate the various types of smart beta strategies Incorporate an evolved asset allocation approach 1 Hour | Default Type | Anthony Davidow, Charles Schwab & Co., Inc.
Annuities in a Fee-Based Practice Why Attend Find out how you can grow assets under management and better serve your clients by integrating annuity assets into your fee-based practice. Session Details If you have a legacy block of annuity business held at a broker/dealer or want to include annuity assets in a fee-based practice, there is an advisor friendly annuity available on the Schwab platform. In addition to improving client service, it can help you grow your assets under management and simplify your practice by enabling you to eliminate holding insurance licenses. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Jon Taylor, Great-West Financial
David Sprague, Charles Schwab & Co., Inc.
Are You Ready for Your Cyber Exam? Why Attend  Understand the SEC’s agenda and NIST Detect Function practices designed to protect your firm and clients from cyber exploitation. Session Details In its recent 2015 Cybersecurity Examination Initiative, the SEC has asked for information regarding firm policies and procedures for vulnerability scanning and penetration testing.  The National Institute of Standards and Technology (NIST) Cybersecurity Framework has referenced such testing under the Detect Function. Any Internet-connected network and systems can be vulnerable to hackers and cybercriminals. Vulnerability scanning and penetration testing can uncover these weaknesses and potential exploits. Find out what is the SEC currently saying about expectations in these areas? This session covers: The basics of scanning and testing A common-sense, risk-based approach to these disciplines How to prepare for a vulnerability scan and manage ongoing testing Choosing the right vendor How to incorporate results into your risk-assessment process and vulnerability management program   1 Hour | Default Type | Robert Ross, Sontag Advisory
Trevor Hicks, Wetherby Asset Management
Michelle Jacko, Core Compliance & Legal Services, Inc.
Michelle Thetford, Charles Schwab & Co., Inc.
Balancing Acts: Investing for College without Sacrificing Retirement Why Attend One of the keys to successful investing is balance, whether it’s finding the optimal trade-off between risk and return or diversifying across a mix of stocks, bonds, and other asset classes. Balance is also paramount when it comes to life’s two most important financial goals. The question facing families isn’t whether to invest for college or retirement. Session Details During this session, Katherine Roy and Michael Conrath will provide insights into the balancing acts investors must perform between: College and retirement Their desire to spend and their need to save Challenges outside their control and solutions within it 1 Hour | Default Type | S. Katherine Roy, J.P. Morgan Asset Management
Michael Conrath, J.P. Morgan Asset Management
Big Data and Investing: Extracting Value from Volume Why Attend Find out how to consume big data in a way that will give you the right insights for making investment decisions. Session Details The explosion of big data is determining winners and losers in every sector of the economy. Investment management is no exception. With the exponential increase and digitization of data changing the way we share and consume data, how do you transform data into useful insights to make more informed decisions? Active asset managers need resources, expertise, and experience to drive value. Discover how you can leverage the power of big data to guide your investment strategies. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Sam Shapiro, Goldman Sachs Asset Management
China to the U.S. Investor: “The Reports of My Death Have Been Greatly Exaggerated” Why Attend Recognize where the investment opportunities in China lay by understanding how to separate fact from fiction when it comes to the country’s economy. Session Details China’s growth has a profound impact on the economies of Asia and securities markets around the world, and the country's economic headwinds are discussed daily in the media. Sensationalist stories are easier to submit to editors and garner a larger readership, but is there a more nuanced way of looking at the issues that may lead to better investment decisions? Subject matter experts will explore and address key questions: Just how bad is China's economy? What has been exaggerated and what should investors worry about?  How should events be viewed in context of what China has achieved—was it all fake?  Is growth in China and Asia coming to an end? What are the implications for equity and bond markets, not only specifically for China, but also for the broader Asia region?  What are the growth opportunities for investors? 1 Hour | Default Type | David Dali, Matthews Asia
Robert Horrocks, PhD, Matthews Asia
Teresa Kong, CFA, Matthews Asia
Andy Rothman, Matthews Asia
Compensation and Equity Plans that Drive Excellence, Not Entitlement Why Attend Drive performance and reward desired behaviors among employees through fair, merit-based compensation and equity plans that sidestep the danger of creeping entitlements. Session Details Owners of established advisories may wake up one day to discover their equity and compensation plans are not stimulating the right behavior and business outcomes. Learn to recognize the challenges that may emerge over time, and how to better attract, motivate, and retain the right talent. Case studies and compensation modeling will help you understand: The top challenges RIAs face in designing compensation plans How to create a results-oriented culture based on merit and avoid an entitlement culture How to solve commonplace compensation challenges firms face 1 Hour | Default Type | John Furey, Advisor Growth Strategies
Complementary Views: Leveraging a Global Economic Framework in Portfolio Management Why Attend Gain two viewpoints from a Chief Economist and CIO on the global economy, and its structure and impact on portfolio management strategies. Session Details Vincent Reinhart, Standish chief economist and former economist of the Federal Open Market Committee (FOMC), and Raman Srivastava, Standish deputy chief investment officer, collaborate together to put economic theory into the practice of building reliable and risk-adjusted fixed income portfolios. Gain their latest insights on: Geopolitical, United States, and individual country risks U.S. election prospects The relationship between U.S. monetary policy and global central banks   1 Hour | Default Type | Vincent Reinhart, Standish Mellon Asset Management
Raman Srivastava, CFA, Standish Mellon Asset Management
Continue the Conversation: Let’s Talk About Leadership Why Attend Want a thought partner to strategize about what’s next? Bring your point of view and be ready to contribute to these topical, free-flowing conversations about leading your firm into the future. Session Details Clear vision and strong leadership are core to navigating your firm through change, challenge, and opportunity. What’s on your mind? What practical steps can I take to be absolutely engaged with clients and feel energized by my work? What can I do today to better position my firm for ongoing success when I retire? How can we better identify, mentor, and promote the next generation of leadership? How should I transition my firm to an employee-ownership model? *These sessions will take place in The Exchange and have limited enrollment. Please register early. 1 Hour | Default Type |
Continue the Conversation: Let’s Talk About Your Clients Why Attend Join this free-flowing conversation with peers to go deeper into takeaways from other sessions and key challenges you have to find ways to improve client engagement. Session Details We’re all challenged to find ways to improve client communications in areas such as investment strategies and understanding the shifting business and political environment. What’s on your mind? Do I have effective methods for guiding clients through the ups and downs of the market and life? How can I reach my clients’ children with financial and wealth management guidance? What else can I do to better understand the needs of women clients? What else could we do to maximize referral business and strengthen our centers of influence? *These sessions will take place in The Exchange and have limited enrollment. Please register early. 1 Hour | Default Type |
Continue the Conversation: Let’s Talk About Your Firm Operations Why Attend Bring your questions and ideas to spark truly organic, advisor-driven conversations. Walk away with new ideas, strategies and perspectives on technological or compliance solutions in your practice. Session Details Rapid changes in technology capabilities and in matters beyond our control, such as the changing regulatory environment and cyber threats, present both opportunities and challenges. What’s on your mind? How do I know if my firm is safe from cyberattack? Is my firm prepared for the DOL’s ruling? Are we adequately addressing mobile technology? What could we do differently with technology to drive growth, expand client reach, and improve service? *These sessions will take place in The Exchange and have limited enrollment. Please register early. 1 Hour | Default Type |
Continue the Conversation: Let’s Talk About Your People Why Attend Join, share, question, and engage in a conversation with peers about one of your most valuable assets—your employees. Session Details Talent is one of the most important factors in the long-term success of your business and if you’re looking to talk about what you’ve learned or want a thought partner to strategize about what’s next, bring your point of view and be ready to contribute to free-flowing, topical conversations. What’s on your mind? How’s the health of my firm’s culture? How do I attract and retain the right talent? What are the right incentives for my key employees? Do I have the right compensation strategy? *These sessions will take place in The Exchange and have limited enrollment. Please register early. 1 Hour | Default Type |
Conversations That Connect Us in the Digital Age Join Bernie Clark, executive vice president, Advisor Services, Charles Schwab & Co., Inc. for opening remarks for a conversation with Walt Bettinger, president and chief executive office, The Charles Schwab Corporation.  1 Hour | Education Session | Bernie Clark, Charles Schwab
Walt Bettinger, Charles Schwab & Co., Inc.
Creating Impactful Client Proposals Why Attend Discover how to leverage a complimentary tool on to develop client proposals rich in detail that clients will both understand and appreciate. Session Details Creating personalized presentations that your clients will value has become a complicated and expensive process. The complimentary Investment Proposal Center (IPC) tool, powered by Informa Investment Solutions, Inc. and available at, will provide your clients with highly integrated analytics, including Monte Carlo simulations and proposed asset allocations based on mean variance optimization. The IPC tool allows you to research and analyze thousands of money managers and investment products across the separately managed account, mutual fund, and ETF spaces using Morningstar data. Learn to use this robust tool to help create proposals you can further customize with your firm’s commentary, brand, and additional materials. This 45-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us in the Investments area of the Schwab Center. The Investment Proposal Center ("IPC") is provided by Informa Investment Solutions, Inc. ("Informa"), an independent financial services firm and a wholly owned subsidiary of Informa Financial Information, Inc. IPC is licensed from Informa by Charles Schwab & Co., Inc. ("Schwab"). Informa Investment Solutions, Inc. is not affiliated with Schwab.    45 Minutes | Showcase Session Presentation | Matthew Peake, Charles Schwab & Co., Inc.
Demystifying Cybersecurity: Best Practices to Help Strengthen Your Program Why Attend Every firm needs a cybersecurity program. Is your current plan as comprehensive or robust as it should be? Are you effectively protecting your firm and your clients from threats?  Whether you're just starting out or updating a well-documented approach, this session will provide actionable best practices and highlight in-depth tools to help you strengthen your cybersecurity program. Session Details During this session we will: Discuss the current cybersecurity landscape, including the regulatory environment Describe key risk areas and provide actionable best practices that your firm can use to enhance your cybersecurity efforts Review Schwab tools and resources to help you build or strengthen an effective cybersecurity program 1 Hour | Default Type | Adam Moseley, Charles Schwab & Co., Inc.
Developing Future Leaders Why Attend Hear how advisors have been successful at recruiting and developing young talent for leadership positions within their firms. Connect with students and faculty from leading financial-planning programs. Session Details Do you have the right talent for future firm leadership but are unsure how to develop them? Our panelists have experience developing next-generation talent as well as participating in leadership development programs. They will share experiences and best practices, including: The business case for identifying and incenting key individuals to grow with your firm and help bolster an enduring business Practical recruitment, career pathing, and retention strategies for developing next-generation leadership at your firm Why financial advisory internships and recruiting recent graduates is a powerful talent tool A networking luncheon where students, faculty, and advisors can connect immediately follows the session. Click here to register for the lunch. 1 Hour | Default Type | Peggy Ruhlin, Budros Ruhlin & Roe Inc.
Xandra Burnette, Signature Family Wealth Advisors
Kyle Demshki, Joel Isaacson & Co., LLC
Bradley Losson, Charles Schwab & Co., Inc.
Developing Talent through Mentorship and Coaching Why Attend Firm principals concur that finding and retaining talent is a top priority and creating an environment where skilled people can grow ensures a bright future for your firms. Talented people seek opportunities to grow and join firms that create a “leadership brand,” and offer personal, knowledge and career growth. Session Details This session will offer: Ideas to implement a structured mentorship and coaching program which includes accountability for both the mentor and mentee Strategies advisory firms have pursued to develop a leadership brand that results in high-potential intelligent employees An understanding of how to identify high-potential talent, develop that talent, and ensure a powerful legacy for your business 1 Hour | Default Type | Richard Schwartz, Charles Schwab & Co., Inc.
E-commerce, Millennials, and Other Disrupters: Opportunities and Risks in Commercial Real Estate Why Attend Identify specific areas of the real estate market that may help you generate above average returns with lower volatility and equity market correlations for your clients. Session Details Real estate represents a compelling investment opportunity in today’s market as investors continue to search for yield. At the same time, the commerical real estate market is being transformed by demographic, cultural, and technology-related shifts. Learn more about the structural changes, opportunites and risks, and the potential winners and losers in commercial real estate as a result of these changes. Find out how to potentially make the most of the opportunities by working with an experienced real estate investment manager.  Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Kevin White CFA, Deutsche Asset Management
Emerging Markets: The Opportunity Now Why Attend Gain actionable investment ideas for when and how to invest in emerging market equities, debt, and currencies.  Session Details Are you thinking about allocating to emerging markets? If so, what factors should you consider? Is it possible to achieve EM returns through passive products while still mitigating risk? Emerging Market asset classes have caught investors’ attention this year, posting impressive returns after significantly underperforming developed markets in years past. Both equities and fixed income have proved to be challenging and confusing places to invest, but offer return potential and diversification benefits. Gain an overview of the current landscape from a macro perspective; learn where investment opportunities exist and where valuations stand. Discover the parts of the market best positioned for growth, and different ways to gain exposure within client portfolios.   Seating for this session is at capacity, however standing room is still available.   30 Minutes | Showcase Session Presentation | Jai Jacob, Lazard Asset Management
Emotional Intelligence: Enhancing Decision Making, Relationships, and Performance Why Attend Learn practical tools to develop emotional intelligence to better navigate relationships, influence and inspire others, and achieve greater personal and professional success. Session Details Emotions inform how we think and make decisions, the quality of our relationships, our physical and mental health, and our everyday performance. What we do with our emotions is especially important. In this highly interactive session, rooted in a “hard science” approach to what has often been referred to as “soft skills,” participants learn how to: Harness the wisdom of emotions Recognize, understand, label, express, and regulate emotions Forge more-effective communication and closer ties with clients and colleagues and better understand their needs 1 Hour | Default Type | Marc Brackett, Yale Center for Emotional Intelligence
Ending the Monetary Experiment Why Attend Hear what visionary and unconventional thinker Jeffrey Gundlach believes will happen with global markets. Session Details Would you like to find out how to apply “bond king” Jeffrey Gundlach’s insights to your clients’ portfolios? Mr. Gundlach shares his thoughts on the current state of the markets, the central bankers, and election results. During a session and Q&A, advisors will: Gain new ideas for investing in today’s market environment and opportunities to generate income Develop a deeper understanding of sectors to avoid Learn where interest rates may be headed in 2017 SPDR® is a registered trademark of Standard & Poor’s Financial Services LLC (S&P) and has been licensed for use by State Street Corporation. State Street Corporation’s financial products are not sponsored, endorsed, sold or promoted by S&P, S&P Dow Jones Indices LLC, Dow Jones Trademark Holdings LLC, their respective affiliates and third party licensors and none of such parties make any representation regarding the advisability of investing in such product(s) nor do they have any liability in relation thereto, including for any errors, omissions, or interruptions of any index.   1 Hour | Default Type | Jeffrey Gundlach, DoubleLine Capital
Ethics 2016 Why Attend Meet the CFP Board’s ethics training requirement for 2016 in this two-hour extended education session. Session Details Participate in an interactive and engaging session that will cover the six objectives of the 2016 ethics training requirement. Through live polling and case studies, you learn how to: Define and discuss a financial planning engagement, material elements of financial planning, and the financial planning process Analyze specific fact patterns to determine if a financial planning relationship exists Differentiate between the standards of care set forth in Rules 1.4 and 4.5 of the Rules of Conduct, and apply each standard of care to specific factual situations Apply each practice standard set forth in the Financial Planning Practice Standards to a hypothetical financial planning engagement Identify the information that must be disclosed to the client in writing by a CFP® professional who is engaged in a financial planning relationship or providing material elements of financial planning Define the required information that must be disclosed to clients and prospective clients, when that information must be disclosed, and apply each disclosure requirement to specific factual situations 2 Hours | Education Session | Dan Candura, CFP, Candura Group, LLC
Expanding Your Retirement Practice with Schwab Retirement Technologies (“Schwab RT”) Why Attend Grow your advisory practice to include corporate retirement planning by using Schwab RT technology. Session Details Advising on corporate retirement plans can be a departure from the specialty work of many advisors’ practices. Schwab RT’s technology solutions can help take the complexity out of expanding into this space and help you better serve plan sponsors and participants. Discover how the technologies enable you to analyze retirement plans, investment, and participant data, and focus on actionable tasks. During the session, you’ll learn how to spend less time managing data and more time on strategic work, such as showing plan sponsor clients the effectiveness of their plan features in driving outcomes.  Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Benjamin Lee, Schwab Retirement Technologies
Final Night Event Celebrate with others in the field as you make major-league memories at Petco Park. It's your chance to enjoy the area at its finest, set to the music of two Grammy Award-winning SoCal originals: Jason Mraz and Los Lobos. Petco Park - Entrance located on 7th between K&L Your IMPACT Badge is required for admittance and you must be 21 and over. 3 Hours | Final Night Event |
Financial Elder Abuse: How Advisors Can Advocate for Clients Why Attend With news agencies reporting elder abuse on the rise, it is important to be alert to a variety of issues that could threaten your aging clients’ well-being, including, specifically, elder financial abuse. Session Details Learn from a national expert in the field to: Understand what constitutes abuse, to recognize its potential signs Understand the growing fraudulent schemes specifically targeted at seniors, such as charitable scams Understand how to be alert to undue influence, misuse of POAs and guardianships, identity theft, Medicare/Medicaid fraud, and other insidious practices and know where to go if you suspect abuse Learn communication techniques for discussing these delicate subjects with your clients and their families 1 Hour | Default Type | Ingrid Evans, Evans Law Firm, Inc.
Financial Planning for Corporate Executives Why Attend Corporate executives face a unique set of planning challenges. This workshop adresses many of these corporate executive specific issues, such as concentrated positions, net unrealized appreciation and employee stock options.  This program covers a range of techniques that help advisors manage or liquidate a concentrated stock position to meet client objectives. It includes a complete discussion of employee stock option fundamentals, sophisticated strategies, case studies and a useful framework to help establish the client's objectives and guide their strategies.  Additionally the training covers the requirements of using NUA and employs scenarios to illustrate the process. Session details Suggests strategies for matching solutions for concentrated stock positions with the needs of the client Highlights the reasons stock option holders can greatly benefit form the advice and guidance of an advisor Outlines strategies to help clients maximize the value of stock options and avoid investment concentration and tax consequence issues Educates advisors on how to save significant tax dollars on the distribution of retirement plan assets Addresses how to reposition the financial advisor as a wealth manager in the client's mind   2 Hours | Education Session | John Nersesian, Nuveen Investments
Financial Planning in the Shadow of Dementia Why Attend Learn how to help clients and their families financially prepare for the challenges of living with dementia. Session Details The question isn’t “if” but “how many” of your clients will be impacted by dementia symptoms and Alzheimer’s, the most common dementia-related disease. On average, 1 in 9 Americans age 65 and older has Alzheimer’s and each advisor has seven clients with the disease. In a session based on Transamerica-Massachusetts Institute of Technology (MIT) AgeLab’s “Advisor’s Guide to Financial Planning in the Shadow of Dementia", find out how Alzheimer’s may affect your clients and their families, and how to help them prepare for the challenges and issues they’ll face. Learn how to: Recognize the 10 warning signs of Alzheimer’s and help family members detect its initial stages Address the financial planning implications of the disease Help clients avoid money mismanagement and elder fraud associated with the disease Avoid potential legal headaches 1 Hour | Default Type | Ryan Bertrand CFP, CLU, Transamerica
Finding Your Voice: Marketing with Purpose and Personality Why Attend If you think “marketing” means building a generic website, throwing together a standard services brochure, or just relying on referrals, get ready for a whole new world of opportunity. Session Details In today’s era of online branding, your unique voice is what differentiates you and your practice. Finding that voice is the challenge, but once you do, you’ll be able to connect with clients and prospects and earn their trust more quickly and effectively than ever. This session includes practical, hands-on techniques to help you: discover your own voice and why it matters to your clients and prospects communicate who you are, how you help, and why you’re passionate about making a difference in your clients’ lives drive better, more valuable conversations—online and off leverage social media to your advantage (and keep compliance happy about it!) deliver clear, consistent messages that matter Lauren Klein, a fellow Schwab advisor, will also share how finding her own voice—one that expresses her personal life experience, values, and client relationships—has changed the course and success of her firm. 1 Hour | Default Type | CaroleAnne Hardy, The Advisors Voice
Five Industry Trends That Will Change How You Do Business in the Future Why Attend Is your firm prepared to adapt to the changing landscape of the financial planning profession? Are you prepared to work with next generation clients, adopt new technology, and utilize the latest marketing opportunities? As technology continues to push our profession forward, the way we do business will continue to shift. From technology to marketing, from fee structures to business practices most believed would never change, the profession is changing at a faster pace than ever before. Session Details Join Alan Moore & Michael Kitces for this discussion on five trends that we believe will alter the way you do business forever, and what you can do to embrace and leverage them. After this presentation, "I didn't know" will never be an excuse you can use again! 2.5 Hours | Education Session | Michael Kitces, Nerd's Eye View | Pinnacle Advisory Group
Alan Moore, XY Planning Network
Fixed Income 3.0: Investing in a Post–Post–Crisis World Why Attend Learn how to build sustainable bond portfolios in the post–post-crisis era of fixed income. Session Details In a world of anemic growth and rock-bottom interest rates, investors can still build bond portfolios to anchor an asset allocation program. A well-constructed fixed income program can provide diversification from equities, dampen overall portfolio volatility, and generate meaningful income and total return. In this session, attendees learn about: Building sustainable bond portfolios Identifying underinvested areas of fixed income Ways to navigate a world of lackluster growth, elevated volatility, and negative interest rates The do’s and don’ts of investing in high-yielding plus sectors Being aware of scope creep in bond strategies 1 Hour | Default Type | Michael Gitlin, American Funds
Fort Blocks: Building the Gold Standard for Cybersecurity Programs Why Attend Learn how to appropriately safeguard your firm from cyber threats from identification through attack recovery.  Session Details Do you have a response and recovery plan to address the growing threat from cybercriminals? This session will focus on how to identify, protect against, detect, respond to and recover from cyber threats.  .  Through the use of case studies and key takeaways, we will address essential considerations for transition and continuity planning, conducting due diligence of service providers, employee training tips, and practical guidance for testing your firm’s cybersecurity readiness. Topics to be addressed include:   How to identify, protect against, detect, respond to, and recover from cyber threats Key elements of an effective cyber-incident response plan Cyber considerations for transition and business continuity planning Hot topics around due diligence, training, and testing 1 Hour | Default Type | Michelle Jacko, Core Compliance & Legal Services, Inc.
Craig Watanabe, Core Compliance & Legal Services, Inc.
Game Changer: From the Court to the Boardroom We’ll be talking about Magic Johnson long after we leave San Diego after hearing his inspiring story of his stunning ascent, his philosophy for success, and his vision for a bright and promising future. 1 Hour | Education Session | Earvin Magic Johnson, NBA Hall of Famer, Businessman and Philanthropist
Generating Alpha the Private Equity Way Why Attend Better understand private equity and its role in a portfolio by learning how to assess its unique benefits, risks, and features. Session Details In a low-return environment, private equity can generate alpha in an investor’s portfolio. Recent innovations are now bringing true private equity access to accredited investors for the first time. Learn more about the drivers of private equity and why to consider private equity in client portfolios. Find out the current outlook for private equity markets and how investors can find value. Understand why private equity has been inaccessible to high-net-worth individuals until recently and how tap into it in the same way institutional investors have. Gain insight into the importance of manager selection in driving returns and the dispersion between top and bottom performers. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Susan Long McAndrews, Pantheon Ventures
Generology: The Art and Science of Multi-Generational Investing Why Attend Learn how to apply behavioral finance concepts into real life solutions for your practice. Session Details In the age of robo investing, new DOL fiduciary rules and a multi-billion-dollar generational asset transfer on the horizon, it’s imperative for advisors to master more “human” skills. This brings the field of Behavioral Finance to the forefront. While the science of Behavioral Finance becomes more mature, the art of applying its principles can get complicated. Do your clients want an experience that delivers less risk, less volatility, less stress and angst? Probably so! But the truth is, depending on their generational profile, “less risk” might not be the experience they truly need to meet their goals. How do you reconcile that? This presentation will provide strategies to help you balance a client’s emotional and financial needs. We’ll examine how to blend (and mend) the psychological biases that trip investors up – with the generational and social constructs that add layers of complexity to investment decisions. The result? You’ll learn how to design and implement a more customized investing experience that your clients want…and need. What are the major learning outcomes/actionable ideas for this session? Understand investing biases from both scientific and social perspectives See how biases play out in the markets with examples from current events Discover how multi-generational clients’ experiences shape their investing behaviors See how to factor your clients’ emotional, cognitive and social biases into portfolio modeling and communication For more information, please visit 1 Hour | Default Type | Omar Aguilar, Charles Schwab Investment Management
Guiding Women Clients through Life Transitions Why Attend Set yourself apart and learn how to be an advisor that is trusted by women clients. Session Details Women are waiting to be better served; can you fill that need? When women find an advisor they trust, they are loyal for life. Learn practical skills in this information-packed session including: All the transitions – positive and negative – that women encounter in their life spans, and how to effectively communicate with and guide them in ways that set you apart.  Gaining skills that extend your reach into the next generation, so you can advise the entire family throughout life.   1 Hour | Default Type | Amy Florian, Corgenius
Helping Deliver a Better Client Service Experience Using Electronic Approvals Why Attend Advisors who attend this session learn about the powerful tools we've created that will enable them to deliver a smooth, seamless service experience for their clients. Session Details Learn how using electronic approval tools will make you more efficient and deliver a better experience for your clients. Learn how to enable clients to securely authorize money movement transactions electronically Learn how to send forms to clients electronically for signature Learn how to securely enable 3rd party viewers access to client accounts 30 Minutes | Technology Showcase Session | Kenneth Burrell, Charles Schwab & Co., Inc.
How Elegantly Simple Technology Helps RIAs Tame Complexity Why Attend Learn how Morningstar’s open ecosystem approach to product development and its technology roadmap can help you work intelligently to achieve better investment outcomes. Session Details For the modern RIA, increasingly sophisticated technology, a complex regulatory environment, and evolving client expectations have created a tangle of choices. Modern developers are taming complexity with an open ecosystem approach, which results in integrated, flexible, and scalable best-in-class systems. Because Morningstar has a deep investing competency and the technology expertise to back it up, we’re uniquely suited to tacking the complexity. We’re committed to building and refining technology that simplifies your workflow and makes choices natural and even intuitive, so you can focus on what matters: your clients. Join us to learn more about our development approach and how elegant simplicity comes to life for advisors who custody with Schwab. 30 Minutes | Technology Showcase Session | Dermot O'Mahony, Morningstar
Tricia Rothschild, Morningstar
How Technology Will Shape Your Future: A Conversation with Schwab CTO Tim Heier Why Attend  Listen in as Ed Obuchowski, head of Advisor Services Technology, and Tim Heier, Schwab’s chief technology officer, talk about the technological advancements that are shaping the RIA industry, Schwab’s vision for the future, and what advisors should be thinking about. Session Details  What you do today has been completely influenced by technology. How will it affect your business tomorrow? From the early days of portfolio management systems to today’s integrated technology platforms, the cloud, and the rise of “financial tech,” advancements in technology are affecting the way advisors attract and serve clients. Join Ed Obuchowski as he shares views with Tim Heier about: The evolution and impact of tech on the RIA industry Responding to new generations of digitally wired investors Challenges and opportunities for the industry Schwab’s vision for the future Trends for advisors to ponder—from cybersecurity to offering integrated financial planning and portfolio management services that can scale Institutional Intelligent Portfolios is made available through Schwab Wealth Investment Advisory, Inc. ("SWIA"), a registered investment advisor. Portfolio management services are provided by Charles Schwab Investment Advisory, Inc. ("CSIA"). SWIA and CSIA are affiliates of Charles Schwab & Co., Inc. ("Schwab") and subsidiaries of The Charles Schwab Corporation. 1 Hour | Default Type | Tim Heier, Charles Schwab & Co., Inc.
Ed Obuchowski, Charles Schwab & Co., Inc.
Income Solutions: Navigating Volatility in Munis with Active Management Why Attend Explore how to plan for municipal bond volatility and improve liquidity through active management. Session Details Should investors be concerned about today’s liquidity profile and heightened volatility within the municipal market? While there is reason to pause, municipal price movements tend to present opportunities. Learn how to: Reposition your clients’ muni bond strategy Navigate and capitalize on heightened volatility by working with experienced and nimble municipal managers 1 Hour | Default Type | Robert DiMella CFA, MainStay Investments
Innovations in Indexing: The Smart Beta Discussion Why Attend Find out how to tap into the potential of smart beta by evaluating alternatively weighted–indexes that integrate factors beyond a company’s market capitalization into the selection and weighting of securities. Session Details Do alternatively weighted–indexes provide investors better longer-term risk-and-return opportunities than traditional market capitalization–weighted indexes? WisdomTree’s patented fundamentally weighted–indexes have presented viable alternatives to traditional capitalization weighted–indexes years before the term “smart beta” existed. Better understand and evaluate indexes that weight constituents by measures other than a company’s market value by examining: The conceptsof smart beta, risk premia, and weighting by income How to weight equity markets by income instead of market value Why rebalancing equity markets back to measures of relative value matters for investors The historical risk-adjusted returns of dividend-weighted indexes relative to comparable market cap–weighted benchmarks 1 Hour | Default Type | Luciano Siracusano, WisdomTree Asset Management
Institutional Intelligent Portfolios™: A Focus on Recent and Future Platform Enhancements Why Attend Find out how the automated investment management technology, from Schwab Wealth Investment Advisory, Inc., works and how you can take advantage of it with your clients. Session Details Institutional Intelligent Portfolios™, sponsored by Schwab Wealth Investment Advisory, is an automated investment-management platform designed exclusively for RIAs who custody with Schwab. The platform provides an advisor-branded experience and allows you to create customized portfolios that reflect your firm’s investment strategy by choosing from among 500 ETFs across all major fund families. Hear a brief overview of how the program works and learn about recent and upcoming enhancements.  This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us in the Schwab Center. 30 Minutes | Education Session | Andy Plaice, Charles Schwab & Co., Inc.
Martin Prazak, Charles Schwab & Co., Inc.
Institutional Intelligent Portfolios™: Lessons from Early Adopters of Automated Investment Management Why Attend Gain the latest insights about how advisors are approaching automated investment management and hear from a panel of peers about their firms’ implementations. Session Details Delve into the results of a recent survey of more than 300 advisors using automated investment management, and learn how registered investment advisors are approaching this new technology.  A panel of early adopting firms will discuss their approach to digitally based advice.  Topic covered will include the market segments firms are targeting, their approach to building and pricing an offer and how they position automated investment management against traditional services.  The session will also delve into branding, marketing and servicing a digital offer.    1 Hour | Default Type | Philip Kessler, SWS Partners, LLC
Cam Goodwin, HawsGoodwin Financial
Michael Heburn, Level Financial Advisors Inc
Intergenerational Wealth Transfer: Four Concepts You Need to Know Why Attend Better advise clients who are preparing to transfer their material assets to the next generation by understanding four essential trust and estate planning concepts. Session Details What are your fiduciary responsibilities when it comes to trust and estate planning? Gain insights into tax efficiencies, asset protection, and other areas you must be knowledgeable about as a fiduciary advising clients seeking to transfer their wealth to the next generation, specifically: Income tax efficiency for trust investments IRAs that are payable to trusts Asset-protection trusts and their caveats Incomplete gift non-grantor (ING) trusts to reduce state income taxes 1 Hour | Default Type | Robert Keebler, Keebler & Associates
Introducing the Next Generation of fi360 Software: Helping Advisors Scale their Practice Using a Fiduciary Process Why Attend Find out how to stay on top of the U.S. Department of Labor’s latest fiduciary rule by using fi360 software to monitor your investment processes and scale them efficiently across your practice. Session Details See a demo of the Fi360 software and explore key features designed to help advisors profitably scale their practice using a fiduciary process.  The software enables advisors to minimize liability risks by establishing a custom investment policy statement that can be documented, followed, and reviewed on an ongoing basis.  Learn how to improve efficiency and minimize liability risks by documenting the process used to monitor investments and make investment changes. You’ll also learn how to create a compelling and impactful client monitoring report.  Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Dave Palascak, fi360
Investing in People, the Planet, and Profits: Leaning into ESG Why Attend Be informed about socially responsible investing, ready to answer client questions, and prepared to grow your practice in environmental, social, and governance (ESG) investments. Session Details ESG is gaining a lot of attention in investing for reasons that move it far beyond a feel-good investing trend. The Gabelli ESG Investing Team, which has a nearly 30-year track record in socially responsible investing, will explain why ESG investing is accelerating, why it matters now to financial advisors, and how it may help generate alpha for investors. Walk through a case study of how ESG factors are analyzed in fundamental stock analysis, and gain tips for using ESG to get to know your clients better, strengthen client relationships, and add value to your offerings. Advisors will learn: Why individuals and institutions are converging around ESG Why some CEOs want to “lean in” to ESG How ESG data tools have advanced How to understand and talk about ESG with clients How to target clients to capture the demand and interest 1 Hour | Default Type | Christina L. Alfandary, GAMCO Investors, Inc.
Christopher C. Desmarais, GAMCO Investors, Inc.
Kevin V. Dreyer, GAMCO Investors, Inc.
Is Muniland the Last Frontier of Inefficiency? Why Attend Develop a deeper understanding of current inefficiencies in the high-grade municipal bond market and how to leverage them to generate active return. Session Details In the past decade, ‘muniland’ has proven to be a challenge, leaving investors attempting to navigate the expansive terrain of the $3.7 trillion municipal market struggling to tap its potential. Yet, for those with a deeper understanding of the municipal market’s credit and structural inefficiencies, the municipal market has proven to be a great source of many often overlooked opportunities to capture above market, tax-exempt income. Find out from a subject matter expert on: How to create added value by exploiting market mispricing. How the broad misrepresentation of the municipal yield curve and key events, such as the demise of municipal bond insurance, rapid growth of mutual funds, and increased bank regulations, have resulted in investment opportunities often hidden in plain sight.   1 Hour | Default Type | William Gurtin, Gurtin Municipal Bond Management
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