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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 schwabadvisorcenter.com 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 schwabadvisorcenter.com, 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 www.csimfunds.com/toolkit 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
Keeping Family Wealth: Strategies of World Class Advisors Why Attend In an interactive session, learn strategies for more effective communication strategies regarding family wealth transfer and reaching the next generation. By utilizing these tools, you will be able to continue advising the families of clients once wealth has been transferred.  Session Details The greatest risk to an advisor’s business model is a lack of generational reach.  Studies show that when clients pass away, and their assets transfer to the next generation, those assets leave the advisor’s book 98% of the time. And 70% of estate plans go wrong because clients don't communicate with their kids.    Find out how some of the country’s most successful advisors have created strong and life-long generational reach. Come away from the session with a better understanding of: Why assets leave an advisory Learn how to open up the conversation with clients regarding a family's intergenerational wealth management strategy. Learn strategies, tactics, tools, and resources that reflect best practices and have a proven track record of effective communication with the next generation Understand family dynamics regarding the transfer of wealth. How to automate communication with these investors How to keep up with evolutionary demands of the advisory business to both grow and stabilize your practice The value of adding “youth” to your firm 1 Hour | Default Type | Susan Kay, MFS Fund Distributors
Leveraging Centers of Influence: Key Elements of an Effective COI Strategy Why Attend Learn critical success factors for establishing strategic partnerships with centers of influence (COIs) to drive high-quality referrals. Session Details How do you build partnerships with professionals who have trusted relationships with their clients, and encourage them to recommend you to their clients? Having a well-crafted strategy and a structured process to pursue COIs will help distinguish your firm and grow your business through well-qualified referrals. Learn how to effectively engage COIs by: Understanding the key elements of a results-driven strategy Identifying and targeting COIs who work with your ideal client Knowing how to effectively showcase your firm’s value *This session was offered at IMPACT 2013 and 2014 and is being repeated due to popular demand. 1 Hour | Default Type | Nikolee Turner, Charles Schwab & Co., Inc.
Making a Difference: The Power of a New Model for Philanthropy and Hope for Life Why Attend Learn about critical research that generates insight on human health and diseases and be inspired to start a conversation with clients about their philanthropic planning goals. Session Details The Stowers Institute for Medical Research focuses on basic biomedical research in the hopes of unlocking the mysteries of diseases such as cancer, diabetes, dementia, and birth defects. Funded primarily through an endowment established by American Century Investment’s founder Jim Stowers Jr and his wife, the Institute focuses on investigating fundamental biological questions. Find out how Jim and Virginia’s philanthropy has enabled tangible, world-class research that may one day change millions of lives, and consider how your philanthropically-oriented clients can use their wealth to positively change the world. Discover: How uniquely the biomedical research institute is organized, funded, and operated How this structure enables the type and quality of research at the institute Progress to date on basic research and the development of new therapies Next steps, challenges, and obstacles in this life-changing research 1 Hour | Default Type | David Chao, Stowers Institute for Medical Research
Making Data-Driven Decisions in Volatile Markets Why Attend Gain insight into the quantitative approach that Ned Davis Research uses to successfully construct portfolios and make recommendations that can withstand volatile markets and provide consistent returns. Session Details How can you cut through market volatility and subjective noise to make objective, data-driven decisions for building an asset allocation framework and selecting individual securities? Learn how to add additional rigor and discipline to your investment approach during a walkthrough of the tools, and fundamental and technical indicators that have proved most effective. Find out how to construct frameworks using quantitative indicators, monitor portfolio exposures and sensitivities, and use market sentiment to fine-tune portfolios. 30 Minutes | Showcase Session Presentation | Tony Welch, Ned Davis Research
Making the Most of the Schwab Advisor Center Trading Platform Why Attend Learn about the latest enhancements to Schwab’s online trading platform designed to help you make informed and efficient trades.  As your needs and the market environment evolve, so has Schwab’s online trading platform. Learn about new features that deliver the information you need to make intelligent decisions: Session Details Pulsing quotes available in Web Trading Real-time price alerts in Research Exclusive quarterly Morningstar analyst webcasts Initiation of trades, charts, research, and more, for most product types directly from Schwab Advisor Center® positions pages 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 | Technology Showcase Session | Phil Berkman, Charles Schwab & Co., Inc.
Making the Most Out of Our Fixed Income Trading Platform Why Attend  Find out how Schwab’s fixed income platform can help you make more efficient use of your time when trading.  Session Details Learn how enhancements to our online trading platform and working with an experienced fixed income specialist can save you time and lead to more effective fixed income trading decisions. See how to bid and sell bonds online and how other enhancements can lead to improved efficiency and transparency when trading via SAC.com. Leverage the expertise of a dedicated fixed income specialist and take advantage of our portfolio analysis tool with clients and prospects and see how our trading desk helps you source new issue corporates, municipals and preferreds as well as secondary market bonds on all of the major ATS networks.   1 Hour | Default Type | Chris Kendall, Charles Schwab & Co., Inc.
Rob Malone, Charles Schwab & Co., Inc.
Mark Moreci, CFA, Charles Schwab & Co., Inc.
Making Your Account Open Process More Efficient Why Attend Gain control over your account open process to improve efficiency and accuracy, even as new regulations add complexity. Session Details Did you know that one-third of new account openings are negatively impacted by paperwork that is not in good order? The problem will continue to grow as industry-wide regulatory changes lead to additional data requirements and ongoing changes in forms. The good news: Advisors can combat the potential for  front- and back-office inefficiencies by improving their account open process and knowing what paperwork pitfalls to sidestep. Find out: The most common errors when opening accounts and how to avoid them How to use electronic tools to streamline the process How to improve quality assurance 30 Minutes | Technology Showcase Session | Cayla Culver, Charles Schwab & Co., Inc.
Managing Advisors’ Compliance Risk in the New Regulatory Environment Why Attend Stay on top of regulatory issues and find out how to best manage compliance risk and protect your firm in a complex regulatory environment. Session Details The regulatory oversight environment is in flux as it becomes both more sophisticated and less predicatable. Advisors must redouble their efforts to adapt to new conditions to manage their compliance risk. Gain insight into the current “hot” topical issues and structural changes in regulatory oversight and it’s impact on advisors including: SEC oversight and enforcement program changes SEC’s current focus on: Conflicts of interest such as mutual fund share classes and outside business activities Fees and expense allocations Use of third-party performance Business continuity Anti-money laundering 1 Hour | Default Type | John Walsh, Sutherland Asbill & Brennan LLP
Mastering M&A: How to Build Your Firm through Mergers and Acquisitions Why Attend Grow your business through merger and acquisitions and learn best practices for mergers and acquisitions from a panel of experts. Session Details Acquiring or merging with an RIA firm is one of the most efficient ways to grow your company and to achieve other important strategic objectives. But the bar to be considered a qualified buyer continues to rise. A recent study found that 89% of RIA acquirers in 2015 had previously bought one or more firms. Many RIAs are developing a core competency in acquiring advisory businesses. Learn the M&A best practices used by some of the industry's leading RIA acquirers, including: Why—or why not—an RIA M&A plan might be an appropriate part of your overall business strategy How to target the ideal acquisition candidates for your organization How to craft a transaction that benefits all parties and stands the test of time How to execute post-merger integration in a way that ensures a seamless transition, optimizes client retention, and facilitates next generation buy-in 1 Hour | Default Type | David DeVoe, DeVoe & Company
Rob Francais, Aspiriant
Michael Nathanson, The Colony Group Llc
Michelle Scarver, Exencial Wealth Advisors
MIT AgeLab Research: Five Ways Technology Will Change the Way We Age Why Attend Learn how your clients can leverage technology to live fuller lives as they age. Session Details For the next generation of retirees, one question will trump all others: How do you add life to longer lives? As people live longer and spend more time in retirement, the challenge will be to get more out of those years. How do you find a rewarding second career? How do you stay close to friends and family? How do you maintain independence and mobility? How do you embrace new experiences? Join to learn about: A new array of devices and services that will make it easier for your aging clients to work, stay healthy, live at home, and remain connected to friends and family. The opportunity for advisors to become longevity specialists. Longevity specialist advice goes beyond investment and planning alone, to focus on the income that will be necessary to address specific needs in later life. Moreover, a longevity specialist serves as a connector between clients and trusted, vetted services that provide solutions to the jobs of longevity. Practical ideas to help your clients experience the capabilities of these new apps and devices. 1 Hour | Default Type | Bill McManus, Hartford Funds
New Capabilities of Schwab's Technology Platform Why Attend Learn about the latest enhancements made to Schwab’s technology platform and find out what’s in store for next year.            Session Details Schwab Advisor Services has added many features to its various advisor technology platforms over the past year that make it easier than ever before to find what you’re looking for, submit  and track requests, serve your clients efficiently, and more. Find out about the latest improvements and get an overview of Schwab Advisor Services’ roadmap for 2017 in a session that will review Schwab Advisor Center®, Schwab Alliance, our upcoming active trading and quotes solution Schwab Advisor Streetsmart Edge, Institutional Intelligent Portfolios™ sponsored by Schwab Wealth Investment Advisory, Inc., and Schwab Advisor Portfolio Connect, the next generation portfolio management solution under development from Schwab Performance Technologies.   1 Hour | Default Type | Jessica Heffron, Charles Schwab & Co., Inc.
John Connor, Charles Schwab & Co., Inc.
Ed Obuchowski, Charles Schwab & Co., Inc.
Brian Shenson, Charles Schwab & Co., Inc.
Lauren Wilkinson, Charles Schwab & Co., Inc.
No One Dies of Old Age: The Science of Vitality and Longevity Why Attend  Explore the science behind the aging process and how to make lifestyle choices that improve your quality of life, longevity, and even your professional performance. Session Details  Living a long and healthy life goes far beyond eating your veggies and getting enough exercise. Vitality and longevity medicine looks at empirical, peer-reviewed evidence to reveal how we age. Learn what you can do to reduce health risks and lengthen your lifespan in a session that will cover: The six biochemical processes of aging and what you can do to alter them Biomarkers that will assess your disease risk and how you can use them to track your progress in reducing risk The interface between disease risk and vitality How your biochemistry affects quality of life and personal performance * This session was offered at IMPACT 2015 and is being repeated due to popular demand. 1 Hour | Default Type | David Leonardi, Leonardi Institute
On Malcolm's Mind Named one of the 100 most influential people by TIME magazine and one of the Foreign Policy’s Top Global Thinkers, Malcolm Gladwell is the author of five New York Times bestsellers. He has explored how ideas spread in the Tipping Point, decision making in Blink, and the roots of success in Outliers. With his latest book, David and Goliath, he examines our understanding of the advantages of disadvantages, arguing that we have underestimated the value of adversity and over-estimated the value of privilege.  1 Hour | Education Session | Malcolm Gladwell, Staff Writer, The New Yorker
Opening Keynote Presentation with Bernie Clark and Walt Bettinger Keynote session with Sherry Turkle, Professor and Director of the MIT Age Initiative on Technology and Self     1 Hour | Keynote Session | Sherry Turkle, MIT Age Initiative on Technology and Self
Opportunity or Obsolescence: Develop Quality Plans to Better Understand Clients and Comply with DOL Why Attend Find out how to establish financial plans that comply with the Department of Labor’s new fiduciary rule and address changes in the financial services industry. Session Details Two forces beyond your control are creating an intersection between opportunity and obsolescence: The applicability date for the DOL fiduciary rule is fast approaching, and the financial services landscape is shifting toward the commoditization of asset management, fee compression, and increased competition. Advisors who want to stay ahead of curve need to begin implementing a new strategy now to avoid falling behind competitors. The advisor who delivers quality financial plans first wins. Learn scalable ways to gather client data and understand your client, efficient financial planning tips, and viral marketing strategies that combine “old school” techniques with tech tools. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Jerry Varela, PIEtechSM
Outlook for Energy: Are We Turning in a Better Direction and the Path Ahead Why Attend  Gain a solid understanding of factors driving the energy sector and where to invest. Session Details Outside of the large, well-known oil producers, where is the growth in the energy sector? Learn the key drivers to pay attention to, where to find investment opportunities, and how to take advantage of them. Portfolio Manager Jamie Stone with Baron Funds will cover oil supply and demand, the outlook for oil inventories, and the effects of growing global demand. Find out what the long-term investment opportunities are for renewables, unconventional investments, and infrastructure, such as master limited partnerships.   Seating for this session is at capacity, however standing room is still available.   30 Minutes | Showcase Session Presentation | Jamie Stone, Baron Capital
Paying for College: Helping Parents Save for the Future Why Attend  Hear about resources and tools your clients need to successfully save money for their children’s college educations. Session Details  With student-loan debt soaring, many college grads and their parents face heavy financial burdens. Saving for college is a fundamental aspect of wealth management, and engaging in productive conversations with your clients about college savings is a crucial task. A subject-matter expert will explain how to advise clients on choosing the right course and what resources and tools they can use to accumulate as much savings as possible. Learn about optimal contributions, diversification, and tax-efficiency solutions, such as gift and estate tax benefits. Seating for this session is at capacity, however standing room is still available.   30 Minutes | Showcase Session Presentation | Kevin McKinley, McKinley Money LLC
Politics, the Markets, and Your Clients Join Jeffrey Kleintop, Liz Ann Sonders and Greg Valliere as they discuss politics, the markets and your clients. As chief global investment strategist at Charles Schwab, Jeffrey Kleintop analyzes and discusses international markets, trends, and events to help U.S. investors understand their significance and financial implications.  Liz Ann Sonders investigates economic trends, reads investor sentiment, and crunches the numbers to analyze the nation’s economic health. Greg Valliere cuts through the rhetoric and partisan maneuvering to offer observations about how Washington, D.C., politics affects financial markets.    75 Minutes | Education Session | Jeffrey Kleintop, Charles Schwab & Co., Inc.
Liz Ann Sonders, Charles Schwab & Co., Inc.
Greg Valliere, Horizon Investments
Power Your Practice With Financial Wellness Why Attend Learn why the time is right for plan sponsors to expand from retirement savings programs to financial wellness initiatives, and how you can grow your practice in this area.  Session Details Financial wellness has become a hot topic for employers. Their Millennial employees often carry high debt burdens, leading to stress and reduced productivity. Auto-plan design and asset allocation products have addressed the historical objectives of participant education that advisors have focused on with employers. Now, advisors have the opportunity to help employers develop a healthier, happier, and more productive workforce by showing employees how to manage their daily finances and build a more secure future. Learn how to strengthen and differentiate your practice in a session that will cover: What is financial wellness? Why should employers care about it? Who may be a good candidate for a financial wellness program? Tools and resources to help you put financial wellness into action 1 Hour | Default Type | Patrick Delaney, T. Rowe Price Investment Services, Inc.
RedBlack: Positioning Today’s Advisor for Compliance and Growth Why Attend Learn how automation can help you scale your business and provide more value to clients, especially in light of new regulatory reforms. Session Details Compliance and scalability are top of mind in the financial services industry. As regulatory reforms from the U.S. Department of Labor and others continue to transform the landscape, RIA firms, advisors, and investors will need to adapt.  Conducting and growing your business in the new environment requires sophisticated tools and technology. Find out how RedBlack can help you with investment policy governance and compliance, multi-asset class order management, straight-through processing for mutual funds via FIX, and sleeve rebalancing management. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Kevin Winn
Jeff Comstock, RedBlack Software, LLC
Regime Change: From Tighter Monetary Policy to Helicopter Money - Three Scenarios for Fixed Income Investors in 2017 Why Attend Stay on top of the potential shift away from the Fed’s monetary policy to an expansive fiscal policy, and its potential effect on fixed income investments. Session Details After eight years of record-low bond yields, diminishing returns from quantitative easing, and negative interest rates, economic regime change is in the air for 2017. Rising populist sentiment has spurred talk of a shift away from the central bank focus on deflation-fighting monetary policy toward a more expansive fiscal policy. What does this mean for fixed income investors? Does it foreshadow the end of the 35-year bull market in bonds? Will investors be ready or caught off-guard? Delve into: Market indicators to watch that may signal a “regime” change The effect a shift could have on performance of various fixed income asset classes How to position fixed income portfolios under three scenarios: continued slow growth with gradual rate hikes, stronger growth with faster Fed rate hikes, and recession with negative interest rates and helicopter money 1 Hour | Default Type | Kathy Jones, Charles Schwab & Co., Inc.
Regulatory Issues Facing Advisors and Record-Keepers in Today’s Political Turmoil Why Attend Learn how the policy differences between the two main presidential candidates may affect both the financial services industry and clients’ portfolios, and what the current legislative and regulatory landscape may mean for your firm. Session Details With all eyes focused on the race between Clinton and Trump—and the battle for control of Congress—2016 has been a quiet year on the legislative front. Within regulatory agencies, the courts, and the states, however, there have been several important developments affecting advisors and retirement savings. Join our subject-matter experts as they cover the key developments, the policy positions between the two candidates and what the 2017 agenda may look like for the financial services industry depending upon who sits in the Oval Office. The session will cover: Policy differences between Clinton and Trump on issues such as financial regulation and taxation Legal and legislative challenges to the Department of Labor fiduciary rule Court cases covering excessive fees Expansion of state-run retirement plans New regulatory initiatives affecting retirement savings Increased SEC enforcement affecting RIAs 1 Hour | Default Type | Jeff Brown, Charles Schwab & Co., Inc.
Michael Townsend, Charles Schwab & Co., Inc.
Reimagine Your Communication Strategy: Amplify Your Voice Why Attend Today’s RIAs have enormous opportunities to stand out from the crowd and to better define their businesses with clients, the community, and the world. Many advisors need a fresh look at how they share their insight on their websites, need a more robust social media presence, and gain visibility in the media that builds credibility and distinguishes them from other advisors. Hear how one advisor approaches communications in a refreshing way that interrupts the selfish and ineffective pattern of what most advisors share.  You'll learn about specific tools that are effective, easy, compliant and mostly free.  Learn how to combine the ingredients of technology, media, personal contact, and innovative thinking in new ways to launch a successful communications strategy. In this session, advisors will: Learn techniques to develop an authentic voice to communicate with prospects, clients and the world. Learn why clients aren't reading newsletters or economic commentaries. Hear ideas and best practices of what makes a communications’ strategy effective.​ Be given a list of valuable tricks and tools to innovate a communication strategy 1 Hour | Default Type | Barry Glassman, Glassman Wealth Services LLC
Reimagining the Client Experience in the Age of Empowerment Why Attend Explore new approaches to authentic relationship-building to improve the client experience at a time when marketplace disruptions, demographic shifts, and technology are changing the way clients view their relationships with their advisors.  Session Details The “empowered client” has arrived. With information at their fingertips and platforms to share opinions, clients understand the power they yield in the marketplace. Financial advisors used to be expert authority figures, but their role is changing as information has become readily available. Using the latest research and case studies, a subject-matter expert challenges conventional thinking and reveals bold, new approaches to managing the expectations of today’s clients. The session will help you: Decode the major trends impacting connected and empowered consumers Explore how disruptors have created elevated expectations around speed, transparency, simplicity, and personalization Create a roadmap to build stand-out client experiences ​Uncover ways to empower the growing client segment of widows ​Understand how to best engage empowered clients 1 Hour | Default Type | Kimberly Lear, Inlay Insights
Retirement Health Care: Beyond the Election Why Attend Find out how to develop a financial planning strategy that will enable clients to manage their health care costs in retirement. Session Details Clients approaching retirement age rank health care costs as their top concern. To build comprehensive retirement income strategies, financial advisors must understand the convergence of financial planning and health care. The significant demographic, political, and legislative changes in 2016—and the presidential candidates’ differences on retirement health care solutions—require modifications to traditional financial planning approaches. Learn about the challenges and solutions related to accumulation and distribution strategies, including: How to modify wealth accumulation strategies to fund health care in retirement How to effectively and creatively use health savings accounts (HSAs) Realistic forecasts of retirement health care costs The presidential candidates’ approaches to solving the nation’s health care crisis 1 Hour | Default Type | Peter Stahl, Bedrock Business Results
Scale Your Business by Integrating Your Data Why Attend Learn how a variety of technology solutions that advisors use to the run their businesses integrate with Schwab custodial data and features. Session Details  Gain a clear understanding of how to streamline workflows, improve client service, and grow your business by integrating disparate data using a single technology platform. With Schwab OpenView Gateway™, advisors can integrate data from their existing financial planning tools, and customer relationship management and practice management systems. A subject-matter expert will use case studies to illustrate how to integrate custody data and import trades into Schwab through this platform. For advisors considering technology purchases, the session will explain solutions that integrate with Schwab OpenView Gateway. 30 Minutes | Technology Showcase Session | Emily Vidovich, Schwab Performance Technologies
Scaling Your Business with InvestCloud’s Digital Applet Platform Why Attend Discover how to provide clients with a unique and tailored digital experience that can also scale as your business grows.   Session Details Advisors have the opportunity to differentiate themselves by offering the type of customized user experience that clients have come to expect. InvestCloud’s digital applet platform provides a framework for firms to scale digital client management, automation, communications, and compliance needs, regardless of firm size and client segment. Learn how working with an experienced digital partner enables proper integration and aggregation of all your data. The session includes examples of digital client and advisor experiences.    Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Michael Smith, InvestCloud
Schwab Advisor Portfolio Connect Why Attend Discover how the latest portfolio management technologies from Schwab can give your firm greater agility—helping you better meet business and client needs, respond to market conditions, and focus more of your time on clients. Session Details Schwab Advisor Portfolio Connect™ and PortfolioCenter® give you a consolidated view of each client’s investments, help you make timely decisions, and streamline data-management processes so you can spend more time building client relationships and scaling your business. Learn more about our new approach to portfolio management, Portfolio Connect, by exploring how you will address real life scenarios, what features will be available in the first release, and the future product roadmap. You will also learn about the latest enhancements to PortfolioCenter. A subject-matter expert will explain: How Portfolio Connect works and features available in the first release. The latest enhancements to PortfolioCenter and upcoming improvements. Roadmaps for Portfolio Connect and PortfolioCenter. How to make informed decisions about near-term portfolio management purchase and renewal decisions. ©2016 Schwab Performance Technologies (“SPT”).  All rights reserved. Schwab Advisor Portfolio Connect™ and PocketFolio™ are products of SPT.  Schwab Advisor Services™ includes the custody, trading, and support services of Charles Schwab & Co., Inc. ("CS&Co"), a registered broker-dealer and member SIPC. SPT provides technology solutions to independent investment advisors, while CS&Co provides them and their clients with custody, trading, and related support services. SPT and CS&Co are separate companies affiliated as subsidiaries of The Charles Schwab Corporation, but their products and services are independent from each other.  30 Minutes | Technology Showcase Session | Charles Covin, Charles Schwab & Co., Inc.
Schwab’s New Online Service Experience Why Attend Explore the new online service center on Schwab Advisor Center® and find out how it can improve your efficiency and interactions with clients. Session Details To help you serve your clients better and more efficiently, Schwab is making significant enhancements to Schwab Advisor Center®. Our goal: provide you with effortless self-service for routine tasks, minimize the number of times you need to contact Schwab with questions, and maximize the time you spend focused on clients. Find out what the new service center offers, including: Tools to help your firm drive high-value discussions with clients Intuitive navigation and enhanced search functionality to enable you to quickly find the information you need Streamlined processes for submitting and tracking requests 30 Minutes | Technology Showcase Session | Michelle DeLucia, Charles Schwab & Co., Inc.
Sharing Equity to Accelerate Growth: Drive Value through Internal Ownership Transition Why Attend Discover how advisors build growing and sustainable businesses by developing employee ownership models. Session Details Creating a path to partnership for high-potential employees can be an important step toward building a strong business. Sharing ownership aids in the recruitment and retention of key talent and can drive growth. Explore how firms successfully implement employee ownership models and learn how to: Prioritize what is important to you and what you value Engage prospective employee owners and align interests to create a shared vision of the future Address key considerations, including valuation, financing, control, and the future exchange of shares *This session was offered at IMPACT 2015 and is being repeated due to popular demand. 1 Hour | Default Type | Richard Schwartz, Charles Schwab & Co., Inc.
Strategies for Global Fixed Income Investing Why Attend Gain an in-depth understanding of the market forces that have affected fixed income investments since the Great Recession and learn how assess future factors to help your clients make the most of market opportunities. Session Details Divergent monetary policy and unprecedented global events have challenged financial markets and increased volatility. Dive into the influences on fixed income markets during past cycles and learn how to navigate through future cycles. Understand: How to accurately evaluate technology, demographic, commodity, and businesses cycles to implement appropriate solutions for clients Ongoing cycles and events in the fixed income environment so that you can position clients to take advantage of opportunities and avoid obstacles associated with heightened volatility 1 Hour | Default Type | Rick Rieder, BlackRock
Streamlining Your Investment Process with Technical Analysis Research and Tools Why Attend Recognize how to translate smart beta investment approaches into turnkey portfolio management strategies by using the right technical analysis and tools. Session Details The financial services industry has spent much of the past decade focused on the introduction of various smart beta investment strategies, such as value, momentum, and low-volatility. What are the tools for blending and providing tactical exposure to these different strategies? Delve into technical analysis, how it can be applied to various products, and what tools are available in the market to take the emotion out of daily investment decisions. Advisors will come away with a solid understanding of how to position smart beta investments in light of current trends and technology’s role in the portfolio management process. 30 Minutes | Showcase Session Presentation | Andy Hyer
Strengthen Your Cybersecurity Practices with the Schwab Cybersecurity Resource Center Why Attend Find out how to implement and strengthen your firm’s cybersecurity strategy by using a comprehensive new site that provides step-by-step tools and resources. Session Details The current fraud and regulatory landscape makes it clear that every firm needs a comprehensive strategy to protect itself and its clients from the threat of cybercrime. Schwab’s new Cybersecurity Resource Program delivers far more than just education; it provides advisors with a guided approach and action-oriented tools to strengthen their security practices. Gain an overview of the program, including how to use the Cybersecurity website and the following tools: “Take Inventory” Worksheet, Cybersecurity Assessment and Action Plan Workbook, and Cybersecurity Reference Guide. Advisors will also learn about the many additional resources available on the website. 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 | Showcase Session Presentation | Leslie Tabor, Charles Schwab & Co., Inc.
Student Program Luncheon Please join us for the Student Program at IMPACT Luncheon just following the Developing Future Leaders education session panel. During this networking luncheon you’ll have an opportunity to connect with students and faculty from leading financial planning programs, including: San Diego State University Temple University Texas Tech University University of Akron University of Arizona University of California, Irvine University of Georgia Utah Valley University Virginia Tech William Paterson University When Tuesday, October 25 11:00 a.m. – 12:45 p.m. Where Luncheon: Plaza Terrace, Upper Level San Diego Convention Center     2 hour | Ancillary Event |
Succession: Unlocking Value, Power, and Potential in Wealth Management Firms Why Attend Gain a deep understanding of the operational, financial, and emotional elements that drive successful management and ownership transitions at wealth management firms. Session Details Succession is one of the industry’s most urgent business issues. Gain firsthand insights and practical guidance about how to ensure a successful leadership transition of your firm from the successor’s perspective. Co-authors of the book, Success and Succession, will thoroughly explore the challenges to successful transitions, including the insights of more than 20 industry leaders who contributed to the book. Advisors will learn why: Successors are at least as important to the process as the founder and CEO The emotional weight borne by founders and successors is a more important consideration than even the essential financial aspects, and how this serves as a starting point Ensuring a successful transition for current and future clients should be the driving objective 1 Hour | Default Type | Tim Kochis, Kochis Global
Eric Hehman, Austin Asset
Jay Hummel, American Century
Sustainability and Investing: When It Works, When It Doesn’t and What You Can Do About It Why Attend Sustainability is a hot investment topic these days. You don’t have to look far to see environmental, social, and governance (ESG) factors being discussed—with investments managers, non-governmental organizations, regulators, corporations, shareholders, and, importantly, in your clients’ homes. Session Details Come hear Harvard Business School’s Jakurski Family Associate Professor of Business Administration George Serafeim discuss his ongoing research efforts in the ESG space and why as an advisor you need to understand the importance that “materiality” plays in investment outcomes. Understand how ESG data can predict future returns and explore why it is important to focus on the materiality of ESG data Learn about the challenges of integrating ESG data and review case studies of ESG integration in action—equities and fixed income Discuss how shareholder activism on ESG issues is shaping corporate behavior and affects market valuations 1 Hour | Default Type | George Serafeim, Harvard Business School
Tackling Hard Meetings with Soft Skills Why Attend Delve into the soft skills, demeanor, and approaches you can use to manage challenging conversations with clients, while also deepening their trust and confidence in you. Session Details Every advisor occassionally has difficult clients and situations to work through. How you respond to tough situations, mistakes, and client disappointments can leave a lasting impression. While you can’t control what a client says or does, maintaining a posture of real listening, humility, ownership, and transparency will dramatically enhance your value and professionalism. Learn the soft skills to use during difficult meetings, specifically how to: Recognize when a client disagrees, including non-verbal signals Encourage clients to open up Develop effective initial responses Respond effectively to concerns about underperformance Maintain clients’ focus on your strategy, rather than on what they hear from others and in the media Offer constructive redirection to negative or pessimistic clients without making them feel discounted 1 Hour | Default Type | James Mooreland, The Emotional Investor
The ABC’s of Vulnerability Scanning and Penetration Testing Why Attend  Understand the SEC’s agenda and best practices designed to protect your firm and clients from cyber exploitation. Session Details  Any Internet-connected network and system can be vulnerable to hackers and cybercriminals. Vulnerability scanning and penetration testing can uncover these weaknesses and potential exploits. In its recent 2015 Cybersecurity Examination Initiative, the SEC asked for information regarding firm policies and procedures for vulnerability scanning and penetration testing.  Find out what they are currently saying about expectations in these areas and what practices your firm may consider implementing to meet these obligations? This session covers: The National Institute of Standards and Technology (NIST) Cybersecurity Framework (Detect Function ) 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 | Tim Villano, Artemis Global Security
The Art of Storytelling Why Attend Stories compel us to engage in experiences, learn lessons, and define our values and ourselves within our organizations. As a leader, storytelling allows you to bridge business and heart to lead your team forward. When stories are personable, impactful, and memorable, they can motivate employees to challenge the status quo and achieve more than they ever thought possible. Session Details Join Matthew Luhn, writer and story consultant with over 20 years’ experience creating stories and characters at Pixar Animation Studio, as he teaches you how to tell the right story at the right time to clients and staff, and how to turn great ideas into stories. 1 Hour | Default Type | Matthew Luhn, Writer and Story Consultant
The Cybercriminal’s Back Door: Locking Down Vendors to Avoid Cyber Break-Ins Why Attend Learn how to choose and properly manage vendor relationships to minimize cybersecurity risks to your firm. Session Details The SEC’s 2014 Cybersecurity Examination Sweep found that 74% of advisors experienced cyberattacks directly or through one or more of vendors. Vendor relationships can play a critical role in the success of your firm, but what risks could they potentially introduce to your business? Gain insights into: Key elements of a successful vendor management process The vendor due diligence process for both new and existing relationships to ensure your client information is safe Proper monitoring techniques to detect potential weaknesses in your vendor cybersecurity programs Strategies and action plans to deal with a potential cybersecurity breach 1 Hour | Default Type | John Bina, Focus Financial Network Inc.
Jocelyn Henkensiefken, Meristem LLP
Michelle Thetford, Charles Schwab & Co., Inc.
Greg Ruppert, Charles Schwab & Co., Inc.
The Geopolitical Forces Influencing Our World Global political developments are taking on increased importance in today's world; changes can have immediate impacts on the markets, economies, business, and investors. Ian Bremmer will provide insight into what's happening now and a glimpse into what’s in store for 2017.  1 Hour | Education Session | Ian Bremmer, Eurasia Group
The Long and Short of It This keynote session will feature former Senator Alan Simpson and former U.S. Labor Secretary Robert Reich. With a particular focus on the economic and market issues presented by the election, the long-term colleagues from opposite sides of the aisle will discuss and place the 2016 election landscape in a historical and senior statesman perspective.   1 Hour | Education Session | Alan Simpson, U.S. Senator
Robert Reich, Economic Analyst
The New DOL Fiduciary Rule: What it Means and How it Applies to You Why Attend Find out what every advisor should know about the new DOL Fiduciary Rule and how it applies to your business, even if you are a fee-only discretionary manager.  Session Details Although the industry understood that the new DOL Fiduciary Rule would impact broker-dealers, many RIAs are not aware of how and why this new rule impacts their own fiduciary obligations when it comes to recommending IRA rollovers or preparing an investment plan for new or prospective clients.  Join Charles Schwab & Co.’s Chief Legal Officer and a partner at a leading law firm as they team-up to: Explain the rule Discuss advisor use cases Clarify available exemptions including one for “Level Fee Fiduciaries” Address top-of-mind questions for ERISA plan consultants and record keepers 1 Hour | Default Type | Kristina Zanotti, K&L Gates LLP
Christopher Gilkerson, Charles Schwab & Co., Inc.
The Pursuit of Absolute Engagement: Design a Business that Supports the Life You (Really) Want to Live Why Attend Discover the 5 steps you can take to intentionally design the future of your business to combine true meaning with significant momentum. Session Details According to Julie Littlechild, the most successful advisors fall victim to the 1-degree effect, an unintentional drift from the things that energize and inspire them. They are successful but not always fulfilled - good but not great. However, she says, it doesn’t have to be that way. Her research shows that those who are ‘Absolutely Engaged’ not only generate more revenue, but report better health, lower stress and spend more time doing the work that they alone should do. In this inspiring presentation, Julie shares powerful stories, compelling data and a defined plan to achieve Absolute Engagement. The 3 strategies that are common to advisors who are who are Absolutely Engaged 5 steps to intentionally design the next phase of your business in a way that supports the life you want to live Concrete tactics to translate your personal vision into a compelling client engagement strategy 1 Hour | Default Type | Julie Littlechild, AbsoluteEngagement.com
There’s More to Commodities than Energy: Opportunities in Metals and the “Other” Commodities Why Attend Explore the investment opportunities in commodities and the benefits of having a fully diversified portfolio in this asset class. Session Details After four years in the red, commodities have made a comeback in 2016. To be fully diversified, investors should consider all segments of commodities, not just oil, which grabs the headlines. Better understand the opportunities and benefits of diversifying your clients’ portfolios with precious metals and other commodities including livestock, agriculture, and soft commodities. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Kurt Nelson, SummerHaven Investment Management
Tough Love or Open Checkbook? How Difficult Family Conversations with Clients Will Build Your Practice Why Attend Learn how to facilitate family conversations with clients about values, relationships, and legacy that broaden business and generate referrals.  Session Details Talking with your clients about values, relationship dynamics and leaving a legacy can enhance loyalty, generate referrals and connect you with the next generation. But this opportunity remains largely untapped, as many advisors are reluctant to tackle often uncomfortable and awkward conversations. This session will help you explore: How to move to a deeper level of values-based discussions with your clients Tips for helping clients with the difficult questions about supporting their children What you can to do help clients empower the entire family to embrace financial planning How philanthropy can bring a family to the table and move your client relationships to a new level Why a values-based approach will help grow your practice and build relationships with key clients 1 Hour | Default Type | Valerie Jacobs, Valerie Jacobs Consulting
Kim Laughton, Schwab Charitable
Transformation Through Innovation: How eMoney Transforms the Client Experience and Supports the Entire Advisor-Client Lifecycle Why Attend Learn how eMoney’s newest products and features enhance all phases of the advisor-client lifecycle – from lead generation to data analytics and onboarding -- and how advisors and firms can leverage technology as a compliance solution in a post DOL-rule world. Session Details In an era of rising client expectations, evolving regulations, and intense competition, you can create holistic financial planning that leads to greater collaboration with your clients and deepens existing relationships. Smart technology enables you provide an interactive wealth management experience while also meeting the U.S. Department of Labor’s fiduciary rule. As the digital revolution of financial services continues, take the opportunity to learn about the newest eMoney Advisor products and their features, including the compliance and oversight tool, advanced analytics, lead generation, new partner integrations, advisor marketing, and more.  30 Minutes | Technology Showcase Session | Mike Hemmert, eMoney Advisor
Understand Why the Real Estate Asset Class is Changing Before Your Very Eyes Why Attend Become well versed in how to talk to clients about adding real estate to their investment portfolios by understanding the many changes that are affecting the sector. Session Details Interest in real estate as an investment has been on the rise. After several years of strong performance, your clients may be wondering if there is room for further gains in the real estate market. Also, recent changes to the Foreign Investment in Real Property Act (FIRPTA) and stock market reclassification (GICS®) to make  real estate its own category are likely to draw increased attention to and demand for these investments. Get a Portfolio Manager’s perspective and an up-to-date view on this quickly changing space as well as insight into what the GICS changes could mean for client portfolios. Seating for this session is at capacity, however standing room is still available.   30 Minutes | Showcase Session Presentation | Michael Torres, Adelante Capital Management
Untapped Opportunities: The Power of Active Management in a Low-Growth World Why Attend Learn about the potential risks investors face due to changes in the U.S. economy and the Fed’s policy decisions—and how Legg Mason investment managers are allocating portfolios to balance short-term economic concerns with longer-term strategies to capture value. Session Details As equity markets continue to make new highs and debt markets continue to generate lower and lower yields amid slowing global growth—while central bank policies seem unable to spur growth and employment—where can you find investment opportunities? Active strategies offer flexibility to shift in response to changing market conditions, and value investing can move the focus away from the market as a whole toward undervalued assets that represent opportunities. Learn how to: Cut through speculation about Fed policy and future interest rates Explain to clients the potential consequences of changes in the U.S. economic environment Use active strategies to moderate the effect of economic weakness on  client portfolios  Find pockets of value in equities and fixed income by analyzing macro developments and high-conviction security selection   1 Hour | Default Type | Margaret Vitrano, ClearBridge Investments
John Bellows, PhD, CFA, Western Asset
Using Compelling Stories to Maximize Referrals Why Attend Create a more powerful referral culture at your firm by learning how to craft and tell stories that communicate your firm’s value and compel action to drive client referrals. Session Details Many firms have difficulty dedicating the time and resources to a strategic referral program. Yet most would agree that generating a steady flow of qualified referrals is a fundamental strategy for achieving growth goals. This highly interactive roundtable session shows you how to leverage Schwab’s strategic framework to build and communicate compelling stories that will make your firm memorable. Get a start on how to build a stronger referral culture at your firm by learning: Fundamentals of referral dynamics Keys to an effective referral strategy What makes a story compelling How to construct a story library for your firm 2 Hours | Education Session | Sheila Foley, Charles Schwab & Co., Inc.
Using Junxure Cloud's Unique CRM tools to Address the DOL Fiduciary Policy Why Attend Explore how Junxure’s solutions and integration with Schwab OpenView Gateway™ can help you cost-effectively fulfill the federal government’s fiduciary rule. Session Details How does the U.S. Department of Labor’s fiduciary rule affect how you document your client activities? Because the fiduciary rule is a workflow management change, advisors can use workflows to substantiate a consistent fulfillment of their fiduciary obligations. Learn how automation tools can help reduce the cost and administrative burden of compliance. Junxure Cloud’s Client Service Monitor ensures that client services are delivered as promised with increased efficiency. This session also takes a closer look at the deep integration with Schwab OpenView Gateway, which goes beyond basic data sharing to create a seamlessly connected experience that is both convenient to advisors and DOL compliant. 30 Minutes | Showcase Session Presentation | Robert DeFrancis, Junxure
Using Momentum Investing to Enhance Fixed Income Returns Why Attend Discover how momentum can be used in fixed income investing in the same way it has been deployed as a strategy for equities, currencies, and commodities.  Session Details With investors looking for ways to boost fixed income returns, there is evidence that buying on upward momentum may offer an effective way to expand the investment potential of this key asset class. New research suggests momentum may also be used to strengthen the risk/reward profile of fixed income investments. What’s more, a momentum fixed income strategy may add a diversified return source that complements a traditional core bond allocation. The session includes discussions about active trading, rebalancing, and the potential to improve returns over time without increasing exposure to volatility. Seating for this session is at capacity, however standing room is still available. 30 Minutes | Showcase Session Presentation | Sal Bruno, IndexIQ
Using Strategic Planning to Build a High-Performance Business Why Attend Learn how to develop a strategic plan to help your firm grow and succeed in a competitive business environment. Session Details As the RIA industry matures and competition becomes more fierce, firms with a strong strategic plan can be in a better positioned to prosper. Back by popular demand, this highly interactive roundtable session will show you how to use Schwab’s strategic planning process to help you keep your firm focused on key priorities and in alignment around a shared direction. Learn ways to help achieve your vision by learning: Strategic planning basics Approaches that have and haven’t worked Your firm’s strengths and opportunities through completion of a SWOT (Strengths, Weaknesses, Opportunities and Threats) analysis How to construct and carry out an effective plan *This session was offered at IMPACT 2015 and is being repeated due to popular demand. 2 Hours | Education Session | Paul Fullerton, Charles Schwab & Co., Inc.
What Makes a Comprehensive Technology Suite for RIAs Why Attend Learn how to efficiently meet the needs of today’s investors by using technology that enhances clients’ online experiences, provides better service regardless of account size, and delivers integrated portfolio and client management capabilities. Session Details Whether you’re looking to appeal to next-generation investors, compete with robo-advisor offerings, differentiate your firm, or integrate your back-office and front-office technologies to improve efficiencies, Envestnet | Tamarac’s Advisor Xi Suite can help transform the way you conduct business. See Tamarac’s next generation Client Portal and how it can be a single solution supporting your client’s complete financial picture. Find out how Advisor Xi can integrate with third-party financial planning tools and the new Salesforce CRM option. Access investment products and research from Envestnet PMC directly from Tamarac’s platform and use powerful Yodlee data aggregation.  30 Minutes | Showcase Session Presentation | Ashley Dahl, Envestnet Tamarac
When Fiduciaries Control the Money Why Attend Fiduciary Capitalism is a little recognized but powerful and growing global phenomenon. Delve into the significant, mostly positive, changes that are likely to be in store for the financial services marketplace, investors, and society at large if and when fiduciary capitalism takes hold. Session Details What would happen if professionals who are legally obligated to serve investors’ best interests controlled most of the world’s investable wealth? That future may be close at hand as fiduciaries now manage nearly half of it. Fiduciary capitalism promises to precipitate a number of substantial marketplace shifts, including the development of innovative new financial products, a transition from short termism to longer term thinking, and changing global investment practices. Learn what to watch and plan for as this new paradigm unfolds. The session will cover: Why the fiduciary standard exists as an enduring societal expectation for professionals The evolution of capitalism What fiduciary capitalism is, how it works, its many implications, and the role of a new class of “universal owners” How financial advisors can prepare for this new era of capitalism 1 Hour | Default Type | Blaine Aikin, fi360
Your Employment Brand: Creating Inclusive Hiring Practices Why Attend Learn how to block bias in your hiring practices in order to create a welcoming workplace. Session Details Hiring, and then retaining, the best employees requires that you source from, and then hire, top talent. Yet, bias can creep into the way you market to, review and interview candidates, making your workplace seem unwelcoming and deterring some candidates from applying. Learn how to reframe your hiring practices so that your workplace welcomes the best diverse, global talent to contribute to a bright future. You will learn inclusive hiring practices that block bias, including: How to write a job description to appeal to a broader pool of candidates How to identify criteria in the hiring process that unintentionally weeds out diverse candidates Ways to help managers create a welcoming experience for new employees   2.5 Hours | Education Session | Lori Mackenzie, Clayman Institute for Gender Research, Stanford University
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