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2019 Compliance Update: Protecting Your Firm in a Complex Environment Why attend: Stay on top of the latest regulatory changes and issues to manage compliance and safeguard your firm. Session details: As the regulatory oversight environment continues to evolve, advisors must keep abreast of changing conditions to manage compliance risk. Learn about the latest developments and what to watch for, including: Recent developments in technology, privacy and cybersecurity   SEC’s continued focus on senior and vulnerable investors   New developments in regulation best interest Data in regulation and compliance 75 Minutes - Education Session | John Walsh, Eversheds Sutherland, LLP
2019 RIA Benchmarking Study Insights: Compensation as a Competitive Advantage Attend this short session to: Gain insights into RIA compensation strategies See how compensation has evolved over the years including benefits and ownership Learn how firms increase in organizational complexity as they grow 15 Minutes | Paula Shoup, Charles Schwab & Co.
2019 RIA Benchmarking Study Insights: The Importance of a Long-Term View Attend this short session to: Gain insights into RIA growth in AUM, revenue, and clients See how your peers are doing in key operational areas such as productivity and cybersecurity Learn how firms approach sharing equity and transitioning leadership 15 Minutes | Jerry Cobb, Charles Schwab & Co.
5G and the Next Generation of Real Asset Opportunities Why attend: Learn how 5G technology will disrupt the marketplace and create investment opportunities for the next generation of real assets. Session details: 5G technology’s exponentially improved connectivity will transform how people and infrastructure communicate with one another. In an interactive discussion focusing on real estate and listed infrastructure, a subject-matter expert will explore how 5G may impact real assets. Develop a framework for how to best evaluate those that are positioned to benefit from 5G, and the most appropriate ways for strategic and tactical advisors to allocate resources while navigating the current market landscape and early stages of 5G. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.  Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Andy Wilson, DWS
5 Year Outlook: Navigate the Market with Confidence Why attend: Uncover key investment themes and tactical opportunities to inform your asset allocation decisions over the next five years. Session details: Are your investment portfolios positioned to handle the upcoming market environment? Join our Chief Investment Strategist as he reveals the key economic and market themes, return forecasts, and tactical opportunities that are driving the firm’s most important asset allocation decisions. During this practical application session, find out about: Strategic and tactical considerations around growth, inflation, and interest rates Current risk cases and their potential impact on portfolios Five-year return forecasts for global asset classes 75 Minutes - Education Session | Jim McDonald, Northern Trust
Advanced Roth Planning: How to Squeeze More Juice Out of the Tax Lemon Why attend: Discover how to help your clients take full advantage of Roth IRA conversions to gain optimum tax benefits during retirement. Session details: Do your clients know what their tax rates will be when they need to access their retirement funds? That unknown poses a major risk for many retirees, but a Roth IRA conversion can help reduce and/or eliminate it. Gain an understanding of critical Roth conversion rules and advanced conversion strategies which you can use to help clients move as much money as possible from tax-deferred accounts to tax-free accounts at the lowest cost. Learn: The merits of Roth conversions How the Tax Cuts and Jobs Act affects Roth RIA conversion planning How to distinguish between Roth IRAs and designated Roth accounts   For CPE Credits: Learning Objectives: The merits of Roth conversions How the Tax Cuts and Jobs Act affects Roth RIA conversion planning How to distinguish between Roth IRAs and designated Roth accounts Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Finance - Technical 75 Minutes - Pre-Conference | Jeffrey Levine, Kitces.com
AdvisorEngine: Who, What and When Come hear the latest developments that AdvisorEngine has to offer. 30 Minutes - Showcase Stages | George Irvin, AdvisorEngine
An Inside View of Washington Greg Valliere cuts through the rhetoric and partisan maneuvering to offer observations about how Washington, D.C., politics affects financial markets.  30 Minutes - Keynote Session | Greg Valliere, AGF
Anticipating the Test: Preparing for 2019 SEC Examinations Why attend: Through case studies and interactive dialogue, attendees will gain insight into this year’s SEC examination and compliance priorities and how you can best prepare. Session details: Are you ready for your next SEC exam? The SEC’s Office of Compliance Inspections and Examinations issues Risk Alerts to remind advisors of their regulatory responsibilities and educate firms on how to advance their compliance efforts. Recent Risk Alerts have focused on issues such as cybersecurity, safeguarding, disclosures related to fees and expenses, and senior investor issues, all of which are likely to appear on the next exam. In this session you will learn about: This year’s emphasized areas of focus, including Regulation S-P, the new California Consumer Privacy Act, cybersecurity, senior investor protections, advisory fees and expenses, and performance advertising Internal controls firms should consider implementing based on best practices outlined in the Risk Alerts for successfully managing compliance SEC focus areas and how to prepare for your next examination  2 Hours - Extended Education | Michelle Jacko, Jacko Law Group, PC
Becoming a Forward-Thinking Advisor Why attend: Discover how to prepare your firm for the future by developing a strong culture that drives value and differentiates your business. Session details: Forward-thinking advisors have one thing in common: They know how to build strong cultures that empower their firms. Being forward thinking also means knowing how to grow your enterprise value—whether vertically by adding more clients or horizontally by offering more services—and foster solid succession planning. A subject-matter expert will discuss why: A strong culture, team building, and recruiting are critical for creating efficiency Focusing on results will add value for clients and boost your enterprise value Adopting and experimenting with innovative technology can help you stand out from the competition and pave the way to a successful future 75 Minutes - Education Session | Larry Miles, Adviceperiod
Be Prepared, Be Empowered: Key Questions Women Should Be Asking to Navigate Their Financial Futures Why attend: Learn how to guide female clients preparing for their financial futures in the wake of a spouse’s death or divorce. Session details: Many clients do not know the right questions to ask following a death of the spouse or a divorce. Due to prevailing gender roles, women predominantly suffer the consequences of incomplete information about their rights and obligations. Leslie Geller will walk you through a hypothetical case study and discuss: The most common pitfalls women face, and why incomplete information is often to blame Key questions women should be asking their professional advisors How to create information “guideposts” to help clients prepare for their financial futures Why guiding women through this process can help advisors retain clients and acquire new ones across generations and through family transitions 75 Minutes - Education Session | Leslie Geller, Capital Group
Beyond the Math Why attend: Learn how to pave the way for your firm’s future success through a deeper understanding of business continuity.  Session details: Ensuring the best possible outcome for succession goes beyond simply knowing your firm’s worth. Subject-matter resources offer perspectives on factors advisors should consider when seeking to maximize the value and experience they’ve built with their businesses. Ensure the ongoing success of your firm and its clients by understanding the four phases of any transaction: Consideration: Making the right decisions at the right time Determination: Working with the right people to achieve your goals Integration: Carrying out strategies that benefit clients Affirmation: Measuring your firm’s outcomes and gauging its success 75 Minutes - Education Session | Wendy Hartman, Buckingham Strategic Wealth
Shannon O'Toole, Buckingham Strategic Wealth
Beyond the Portfolio Snapshot Report: Why Holistic Advice Requires Advanced Analytics Why attend: Discover why augmenting holistic advice with portfolio analysis tools can better help you empower clients to make successful choices Session details: Research shows that advisors who provide holistic advice add significant value beyond market performance, earning an additional 1.5%-3% annually. Providing holistic advice offers personalization that apps and robo advisors can’t reproduce. A subject-matter expert will discuss why advisors should use the same portfolio analysis tools as asset managers, such as scenario analysis, attribution analysis, and advanced asset allocation. Learn how Morningstar has paired with top advisor software platforms, using its aggregation services to bring households into Morningstar Direct for Wealth Management. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us in our booth. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Emilie Neumeier, Morningstar
Adrian Johnson, Morningstar
Breakfast Breakfast 30 Minutes |
Breakfast in the Exchange Breakfast in the Exchange 1 Hour |
Break in The Exchange Break in The Exchange 45 Minutes |
Bridge the Gap: Create an Environment Where All Generations Work Together in Harmony Why attend: By 2025, millennials will make up 75% of the working world. They are our future clients, our future coworkers, and our future leaders. If that idea scares you, allow this session to change your mind. Session details: There’s nothing remarkable about a new generation entering the workforce. It’s a phenomenon that has always existed and always will. Now it’s millennials. Next it will be Gen Z. After Gen Z, it will be Gen Alpha. The only constant is change, and those who embrace that fact and adapt, in the long run, will outperform the ones that don’t.  As both a millennial herself and someone who has employed thousands of millennials over the last decade, Kristen Hadeed knows what it takes to attract and retain the next generation. She’ll help you see beyond stereotypes and inspire you to create an environment that brings out the best in everyone: a place where people of all generations can thrive, contribute, collaborate, and work together in harmony. How to understand generational differences in communication and working styles Relationship-building tools that work even with time or technological constraints How to create an engaging office culture that fosters loyalty and productivity 75 Minutes - Education Session | Kristen Hadeed, Student Maid
Brunch in The Exchange Brunch in The Exchange 1 Hour |
Build, Buy or Follow: The Three Most Valuable Insights from 22,000 Aladdin Portfolio Consultations Why attend: Drawn from consulting on 22,000 portfolios, learn practical insights from real-world advisor case studies to help your clients meet their goals. Session details: Most portfolios have done well over the past decade-long bull market.  The question on everyone’s mind is if your clients have the right portfolios for the next decade.  Over the past two years, we analyzed more than 22,000 portfolios for 1,700 advisors. Discover how to: Factor in your portfolios’ factor weighting Manage longevity risk in clients’ portfolios and asset allocation Compare your portfolio versus your peers Incorporate environmental, social, and governance insights into proposals Scale your firm with commission-free model portfolios designed for Schwab’s platform   75 Minutes - Education Session | Martin Small, BlackRock
Brett Mossman, BlackRock
Building Better Portfolios with Behavioral Finance Why attend: Gain insight into behavioral finance principles and how you can apply them in portfolio solutions to help keep clients on track, while improving your value proposition in the process. Session details: Studies show that demographic and social influences affect investing choices. With a behavioral finance-focused approach to portfolio construction, advisors can help mitigate the potentially negative effects of biases,and ultimately help foster more constructive client behavior. In a panel discussion, three subject-matter experts will offer insights into how behavioral finance can enhance portfolio solutions along with practical and actionable strategies to help manage client biases. Discover: How advisors are incorporating behavioral finance in portfolio construction decisions and client interactions Practical tips for employing behavioral finance concepts and how they can help generate better client outcomes Investment strategies and asset allocation approaches that can help keep clients on track and shield them from their worst impulses   Charles Schwab Investment Management is an affiliate of Charles Schwab & Co., Inc. and a subsidiary of The Charles Schwab Corporation. For Institutional Use Only. The Schwab Center for Financial Research (SCFR) is a division of Charles Schwab & Co., Inc. Henry Lao and Mercer Advisors are not affiliated with Charles Schwab Investment Management, Charles Schwab & Co or the Charles Schwab Corporation. (0919-9KET) 75 Minutes - Education Session | Omar Aguilar, Charles Schwab & Co.
Henry Lao, Mercer Global Advisors
Greg Laurence, Charles Schwab & Co.
Mark Riepe, Charles Schwab & Co.
Build on Your Clients’ Passions: A Value-Driven Strategy for Charitable Giving Why attend: Gain new insight into implementing charitable giving strategies for your clients and find out how a new philanthropy toolkit can help. Session details: Charitable planning is a popular value-added service that advisors provide to high-net-worth clients, who are increasingly requesting guidance on philanthropic planning as part of their wealth management strategies. Learn about a philanthropy toolkit designed by Stanford University in partnership with Schwab Charitable that gives advisors and their high-net-worth clients a structure for philanthropic conversations. Discover: How to expand your relationships with high-net-worth clients through charitable planning Tactics for offering strategic guidance on charitable giving Ideas for extending the conversation beyond tax-driven topics into the value-driven aspects of charitable planning 75 Minutes - Education Session | Kim Laughton, Schwab Charitable
Stephanie Diamond, Schwab Charitable
Nadia Roumani, Stanford Center on Philanthropy and Civil Society, Effective Philanthropy Learning Initiative
Caution! Low-Level Bridge Ahead: Medicare, Custodial Care and the Impact on Retirement Income Why attend: Medicare surcharges, the taxation of Social Security, and early retirement all impact the amount of retirement income and how long that income will last. Learn to create prudent accumulation and withdrawal strategies to keep clients under critical tax thresholds to increase and extend retirement income. Session details: Are you ready to help your clients transition to retirement? As they move down that path, they’ll require some combination of qualified accounts, Social Security benefits, an investment portfolio, and possibly a pension. You’ll need to create prudent accumulation and withdrawal strategies so your clients can remain under critical tax thresholds and increase their retirement income. This session will explore: The effect of provisional income on Social Security Medicare taxation and its impact on retirement income Advanced planning with Health Savings Accounts Estimating health care costs for early retirement Effectively engaging clients regarding custodial care   For CPE Credit: Learning Objectives: The effect of provisional income on Social Security Medicare taxation and its impact on retirement income Advanced planning with Health Savings Accounts Estimating health care costs for early retirement Effectively engaging clients regarding custodial care Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Finance - Technical 75 Minutes - Education Session | Peter Stahl, Bedrock
CFP Ethics: New Standards for a Fiduciary World Why attend: Find out about the CFP Board’s latest guidelines for ethics and conduct, and how your practice will benefit from them. Session details: The CFP Board’s new Code of Ethics and Standards of Conduct, which guides the work of CFP® professionals, will take effect on October 1, 2019. The new version adds greater rigor to the CFP certification requirements, enhancing the value you bring to your clients. Using polls, videos, and case studies, a subject-matter expert will help you: Identify the structure and content of the revised code and standards, and grasp the significant changes Act in accordance with the CFP Board’s fiduciary duty Apply the standards in your financial planning practice Recognize situations when specific information must be provided to a client Recognize and avoid, or fully disclose and manage Material Conflicts of Interest 1.75 Hours | Daniel Candura, Candura Group, LLC
China: Trade, Tariffs and the Trillion Dollar Opportunity Why attend: Learn why China’s growth opportunities and innovation make the country too big for investors to ignore.  Session details: The trade dispute with China shouldn’t deter investors from appreciating the country’s strong fundamentals and long-term economic growth trends. Rising consumer wealth creates new investment opportunities and fosters innovation that will influence global businesses for years to come. Strategists from Matthews Asia will discuss China’s importance and offer insights into topics including: U.S.-China relations, including trade, politics and markets Key misconceptions about the world’s second-largest economy The domestic A-share equity market and the portfolio implications of being underweight China Why active management is essential to capture the opportunity   For CPE Credits: Learning Objectives: U.S.-China relations, including trade, politics and markets Key misconceptions about the world’s second-largest economy The domestic A-share equity market and the portfolio implications of being underweight China Why active management is essential to capture the opportunity Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Economics - Technical 75 Minutes - Education Session | David Dali, Matthews Asia
Joyce Li, Matthews Asia
Andy Rothman, Matthews Asia
Closing the Wealth Gap by Creating a Culturally Responsive Firm Why attend: Gain insight into how firms can reach traditionally overlooked and underserved communities by becoming more culturally responsive. Session details: Financial advisors and planners are the most qualified people to close the ever-widening wealth gap. To succeed at this, they need to improve their ability to reach historically ignored communities, which requires understanding a wide range of client needs and fostering greater financial literacy. A subject-matter expert will discuss how to: Build (or reinvent) your firm to be culturally responsive Tailor your business model and practice to the unique challenges and day-to-day experiences of specific communities Expand your firm’s reach and reputation by working with clients who face financial struggles 75 Minutes - Education Session | Chloe McKenzie, On a Wealth Kick
Combatting Fake News: Why Exchange-Traded Funds Won’t Cause the Next Market Selloff Why attend: Separate fact from fiction about the value of exchange-traded funds and discover why they do not impact market sell-offs. Session details: As ETF assets and secondary market trading volume have increased, pundits have misrepresented the role that ETFs play in market selloffs. Two subject-matter experts will review historic upticks in volatility to challenge the narrative that ETFs are responsible for selloffs, and explore why they remain a crucial asset for investors. Gain insight into: The value of ETFs’ transparency and dual avenues of liquidity How ETFs can deliver benefits during periods of market stress The necessity of moving beyond expense ratios to evaluate overall liquidity How to achieve more efficient assessments of the total cost of ownership 75 Minutes - Education Session | Michael Arone, State Street Global Advisors
Matthew Bartolini, State Street Global Advisors
Communicating to Connect Why attend: Gain insight into the challenges of communicating with clients today and learn strategies to help build stronger connections. Session details: Effective communication with clients has never been more important. In an interactive workshop that incorporates elements of applied improvisation and research from the MIT AgeLab, you’ll practice simple exercises adapted for financial professionals that impart immediately actionable communication skills, as well as learn which traits clients deem most important. In this session, explore: The realities and risks of client communication today How to create REAL (Rational, Emotional, Authentic, and Loyal) connections How to better assess client perspective and leverage listening tools to help you maintain focus   For CPE Credit: Learning Objectives: The realities and risks of client communication today How to create REAL (Rational, Emotional, Authentic, and Loyal) connections How to better assess client perspective and leverage listening tools to help you maintain focus Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Communications and Marketing - Non Technical 75 Minutes - Education Session | Ryan Sullivan, Hartford Funds
Comprehensive Wealth Management = Managing Both Sides of the Balance Sheet Why attend: Discover how integrating lending into your financial planning process can help you deliver superior solutions and, as a result, attract and retain more clients.  Session details: Do you know how to craft a comprehensive wealth management plan? Integrating both sides of the balance sheet can strong results for your clients. Tom Anderson will explain how incorporating lending into his financial planning strategy helped his firm reach $1 billion in assets under management, and why it’s important to position yourself as a personal chief financial officer for your clients. Discover how to: Use assets and liabilities to develop a strong financial plan Stand out from the crowd by demonstrating the value of comprehensive advice Deliver superior solutions and competitor-proof your practice 75 Minutes - Education Session | Thomas Anderson, Thomas J. Anderson Enterprises
Content Marketing: Leveraging Today’s Digital First Environment to Get Your Message Out Why attend: Discover the power of content marketing and how you can put it work to promote your business and efficiently serve your clients.  Session details: Bill Gates once declared that “content is king.” His vision of the Internet becoming a marketplace for content has come true, creating major opportunities for advisors to take advantage of digital, social, and mobile innovations to augment the human relationships that are the foundation of successful advising. Megan Carpenter will offer insight into how content and digital marketing can help advisors increase engagement with clients, add value to services, improve SEO, increase website traffic, and generate leads. Discuss how to: Determine whether content marketing is right for your firm Build a content team to create appropriate material Promote your content and fill your sales pipeline Build a measurement plan for analysis and reporting 75 Minutes - Education Session | Megan Carpenter, FiComm Partners, LLC
Create More ‘A-HA!’ Moments: Demo the Latest in Portfolio Technology Why attend: Top RIAs are scaling their businesses with the latest portfolio management technology. With the right tools, you can too. Session details: Tamarac added BlackRock’s easy-to-use risk analytics to their platform, making it simple to show clients and prospects in minutes the impact of working with you. The combined power of these capabilities help create those ‘A-HA!’ moments that strengthen your own conviction and make lasting impressions in clients’ minds. Leave this session with high-power ideas to: Scale your investment process Stress test your market views Get ahead of client anxieties Shape the decisions that impact your clients’ financial well-being. 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 Stages | Cameron Sheehan, Envestnet
Andre Freyer, BlackRock
Creating a Digital-First Culture at Your Firm Why attend: The process of transforming your firm’s operations from reliance on paper-based processes to fully adopting fast, simple, more secure digital workflows can appear confusing and overwhelming at first glance. As a result, many firms may put off their digitization plans, and therefore miss out on the incredible efficiencies they can deliver.  As your trusted partner, we are here to help you navigate this evolution, no matter where you are on your technology adoption journey. Session details: Is your firm still relying on paper-based processes? Or has your firm begun transitioning to digital tools, and you’re looking for strategies to accelerate the transformation? We will help you assess where your firm currently stands on the adoption spectrum, and develop a strategy to drive digital adoption at a pace that works for your firm.  No matter how far your firm has progressed in this effort, this session will provide: Tips for using digital tools to complement your client service offering Real-time training options available to help your employees efficiently navigate digital workflows Preview of our new Technology Adoption booth located in the Schwab Center providing additional tips, tricks and resources 30 Minutes - Tech Education | Brittany Kremer, Charles Schwab & Co.
Lauren Wheeles, Charles Schwab & Co.
Crucial Conversations: Late Stage Credit Positioning for Risk & Opportunity Why attend: Gain insight into the current state of corporate credit market, how it may be at the epicenter of the next financial downturn, and how to mitigate risk. Session details: Following the 2008 Global Financial Crisis, easy money policy has created cheap financing and incentivized corporations to increase debt on balance sheets. As recession risks mount in the U.S., excesses from the corporate debt market could play a role in the next downturn. A Guggenheim subject-matter expert will discuss the current state of corporate credit markets, offer an historical perspective on corporate credit total returns during recessionary periods, and explore optimal fixed-income strategies to maintain attractive income and total return potential while mitigating downside risk. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.  Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Brian Smedley, Guggenheim Partners
Cybercrime, Fraud and Senior Exploitation: What's a Firm to Do? Why attend: The fraud schemes targeting advisors continue to become more complex with new challenges popping up every day.  Fraudsters are focused on your data, your clients and your assets.  Session details: Join Michelle Thetford as she unravels and shares: the latest schemes best practices to detect and prevent them 60 Minutes - Education Session | Michelle Thetford, HighTower Advisors
Cybersecurity: Best Practices to Protect Your Firm Why attend: Gain a better understanding of the current cybersecurity landscape, the latest threats, and the immediate steps you can take to keep your firm safe. Session details: Every firm, no matter the size, is vulnerable to cyber threats that can cripple their business and erode client trust. In this highly interactive session, you’ll learn the latest best practices for enhancing your cybersecurity program. Whether you’re just starting out or building on what you already have, we’ll provide actionable next steps and cover topics including: The current cybersecurity landscape, including the regulatory environment and latest threats Elements of a strong cybersecurity program Key best practices you can use to enhance your firm’s efforts Schwab tools and resources to help you build and maintain an effective program 75 Minutes - Education Session | Adam Moseley, Charles Schwab & Co.
Death by a Thousand Cuts: Navigating Fixed Income Today Why attend: For the last 40 years, US fixed income investors have enjoyed the tailwind of a secular decline in interest rates. But today, the future for income investors is increasingly cloudy. Rates today are approaching record lows, with the 30-year bond touching below 2% for the first time in history, roughly $14 trillion in negatively-yielding debt globally, and a fresh round of QE recently announced in Europe. Given this backdrop, how should a fixed income portfolio is positioned? What do the next 10 years hold for fixed income investing? Join Gautam Khanna- Head of Insight’s US Core and Core Plus strategies and Liz Young Director of Market Strategy as they discuss the future for fixed income investors. 75 Minutes - Education Session | Gautam Khanna, Insight Investment
Liz Young, BNY Mellon Investment Management
Delivering on Our Promises: Reviewing a Year of Schwab Technology Launches Why attend: Learn about how Schwab has delivered against the Platform Strategy shared at last year’s IMPACT, and hear how advisors are directly benefiting from these new technologies. Demonstrations will highlight how deployments on Schwab and 3rd party platforms are extending access to these new capabilities. Session details: Our technology mission is to help advisors put clients first. Discover how we are delivering against our advisor technology strategy to provide a best-in-class custodial experience, as well as broad and deep integrations with leading 3rd party technologies – maximizing choice and flexibility. You’ll see this strategy come to life through the real-world experiences of advisors and vendors. The session will cover: An overview of capabilities we have delivered—both through Schwab Advisor Center®, and through integration with leading 3rd party vendors Insights into how these capabilities will help you to streamline operational tasks Summary of upcoming features and enhancements An overview of the array of Schwab and partner solutions you can explore in The Exchange 1.5 Hours - Extended Education | Andrew Salesky, Charles Schwab & Co.
Schwab Technology Leadership Team, Charles Schwab & Co., Inc.
Digital 2.0: Combining Human and Digital Elements in Client Interactions Why attend: Discover how your clients can benefit from an approach that combines digital tools with a personal touch geared to their specific needs.  Session details: Technology has made it easier to onboard clients, reduce paperwork, and increase transparency. It has also created new business models, such as crowdsourcing and robo advising, as well as reduced the cost of serving clients, lowering the barrier to entry for financial advice. But now we are moving towards a new phase of transformation focused on blending physical and digital interactions to add value. Join subject-matter experts as they discuss: The importance of tailoring personal and digital interactions to meet clients’ lifestyle needs Why the quality of interaction and the authenticity of advice are more important than speed and convenience The opportunities and challenges advisors face in scaling personal service 75 Minutes - Education Session | Sinisa Babcic, Ernst & Young
David Deane, Ernst & Young
Matthew Hatch, EY
Digital Workflows: A Faster, Easier and More Secure Way to Open and Manage Client Accounts Why attend: Thanks to Schwab’s suite of digital tools, it’s easier than ever to deliver a fast, seamless client experience when opening accounts and performing account management and maintenance actions. At each step, the technology pre-fills information, helps prevent errors, and lets your clients securely approve with a few taps on their mobile devices or clicks of a computer mouse. Session details: You want to be able to make a great impression on your clients from the very beginning—and that means delivering the best possible experience starting with the new account opening process.  Our digital tools use smart applications to help eliminate errors and rework, and enables quick, secure, client approvals. Learn how Schwab’s digital workflows help you improve the client experience for both new and existing clients: Use the digital account open workflow to pre-populate forms with CRM data, leverage smart field technology to reduce errors, eliminate paper documents, and even include your firm’s documents --- allowing your clients to approve everything in minutes With eAuthorization for move money transactions, your clients can easily approve checks, wires and journals anywhere on their mobile devices Need to change a client address? Use the digital address change workflow to give your clients a simple, paper-free experience Hear more about the strategy to expand the Digital Office capabilities 30 Minutes - Tech Education | William Pearson, Charles Schwab & Co.
Diplomacy in the Twenty-First Century Despite a host of challenges and pessimism about the state of global politics and economic forces, the global economy is in good shape, and we’re living in a time that has seen the greatest alleviation of poverty in the past 30 years, according to Nicholas Burns. Diseases like polio are close to being eradicated, and the promise of the digital age is delivering—with artificial intelligence and human genome breakthroughs making lives better. Geopolitically, the world has avoided military conflict on the level of the world wars of the twentieth century. Mr. Burns discusses major trends challenging global peace and stability, among them a weakening U.S. leadership role, the U.S.-China competition for power in the Indo-Pacific, and the North Korea nuclear crisis. He also examines prospects for stability in the Middle East and Europe, along with the deepening political crisis in the United States and its impact on foreign policy. 60 Minutes - Keynote Session | Nicholas Burns, Former U.S. Under Secretary of State for Political Affairs
Diversifying and Expanding Your Practice by Managing Employer Sponsored Retirement Plans Why attend: Gain greater insight into managing employer sponsored retirement plans and learn about the benefits they can bring to your practice. Session details: Are you interested in working on employer sponsored retirement plans including 401k, 403b, 457, or defined benefit/cash balance plans but aren’t sure how to get started?  Do you already manage retirement plans but want to grow that part of your business? Company retirement plans can help diversify your revenue stream and deepen your relationship with business owners and C-suite wealth clients. A panel discussion will shed light on what you need to know to advise on employer sponsored retirement plans and provide information about the resources available through Schwab to assist and guide you. This 60-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange. 60 Minutes - Showcase Stages | John Blossom, ABG Retirement Plan Services
Tiffany Case, Epic Retirement Plan Services
Chad Azara, Professional Capital Services
Scott Cloud, The Retirement Plan Company, LLC
Diversifying Beyond Corporate Credit: Uncovering Opportunities in Structured Products Why attend: Learn how structured products provide a balanced and flexible approach to fixed-income investing while diversifying client portfolios. Session details: Traditional approaches to fixed-income investing are highly concentrated around one risk factor—interest rates. Structured products offer one way to access to the consumer balance sheet, which unlike government and corporate balance sheets has de-levered since 2008. A subject-matter expert will discuss how fixed-income investors can maintain strategic flexibility and navigate credit and interest rate volatility while generating positive risk-adjusted returns in all market environments and uncorrelated returns to traditional asset classes. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.   30 Minutes - Showcase Stages | Jason Callan, Columbia Threadneedle Investments
EdTalks: Bracing for a Market Downturn Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join with a small group of peers to share insights, learn more, and explore new possibilities.  60 Minutes - Education Session |
EdTalks: Client Experience Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join with a small group of peers to share insights, learn more, and explore new possibilities.  60 Minutes - Education Session |
EdTalks: Cybersecurity Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join with a small group of peers to share insights, learn more, and explore new possibilities.  60 Minutes - Education Session |
EdTalks: Digital Marketing Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join Professor Michael Myers with a small group of peers to share insights, learn more, and explore new possibilities.  60 Minutes - Education Session |
EdTalks: Family Office Community and Connections Join experts from the family office community and make connections with a small group of peers in an open format to discuss trends, share insights and discuss opportunities to better serve ultra-wealthy families.  60 Minutes - Education Session |
EdTalks: Firm of the Future Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join with a small group of peers to share insights, learn more, and explore new possibilities.  60 Minutes - Education Session |
EdTalks: Attracting and Retaining Talent Dig into the questions and issues that matter most to you. Ed Talks are hour-long, hosted conversations in The Exchange that amplify education session topics. Join Kathy Freeman, with Kathy Freeman Company along with a small group of peers to share insights, learn more, and explore new possibilities, including: Tools for attracting talent  How to think about the appeal of your firm and share the message How to ensure your firm is attractive to new talent Thinking outside the box for future sources of talent Tools for retaining talent  Why other firms can capture mindshare of your people? Defending against loss and steps to preparation 60 Minutes - Education Session |
Emerging Markets: The World’s Innovation Lab Why attend: Learn how cultural shifts, innovation, and the evolving landscape in emerging markets offer new long-term strategic opportunities for investors. Session details: The Emerging Markets of today are vastly different than they were 30 years ago – even 10 years ago.  These markets have expanded in terms of market size, number of securities, and liquidity, and the drivers of returns are changing as well.   No longer just high beta, cyclical or commodity plays, many of these countries are home to firms that sit at the forefront of innovation and threaten the longstanding dominance of incumbents like Alphabet, IBM, Ford, and Wal-Mart.  This “New EM” deserves a dedicated, strategic allocation of a distinct investment style or a blend of styles, and a long-term investment horizon. We believe those investors who have not kept up with the structural changes and drivers of the asset class, and who remain under allocated to the “New EM”, may be overlooking a significant long term investing opportunity. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Peter Gillespie, Lazard Asset Management
Family Office Trends and What Families of Significant Wealth Expect Why attend: Learn about current trends in the family office industry, what today’s ultra-wealthy families expect from advisors, and what you should know to serve them. Session details: Ultra-wealthy families are seeking alternatives to large wealth management firms. Some of the fastest growing RIAs are offering family office services beyond traditional investment management and planning to better serve high-net-worth clients. In a panel discussion, four family office specialists will offer insight into: What is most important to ultra-wealthy families today, and what future generations will require Core characteristics of a family office, and the primary differences between single- and multi- family offices What products and services are most critical to these families How advisors can develop an effective strategy, brand, and value proposition to attract more ultra-wealthy families 75 Minutes - Education Session | Jill Matesic, Charles Schwab & Co.
Glen Johnson, Family Office Exchange
Tom Livergood, Family Wealth Alliance
Bret Magpiong, Aspiriant
Final Night Event Final Night Event 3 Hours |
Fortifying Your Firm: How to Future Ready Your RIA Why attend: Discover tools and best practices for preparing your firm to withstand current and future market challenges and thrive in the years ahead.  Session details: In today’s market, advisors face a host of challenges: economic turmoil, disruptive technologies, and shifting client expectations. Keeping pace with change instead of reacting to it could determine how—or whether—your firm will succeed. Find out how to strengthen your business for the future, and learn how to: Build a “fortress” balance sheet Think beyond profit and loss by developing five-year economic models that can adapt to various scenarios Future-proof your firm for market downturns and know what to consider when cutting costs Take advantage of a hot capital market, and understand why getting in when you don’t think you need to is important 75 Minutes - Education Session | Shirl Penney, Dynasty Financial Partners
From Prospecting to Plan with MoneyGuide Why attend: Learn how to use Envestnet’s MoneyGuide software to maximize your value to clients, attract prospects, and foster valuable financial conversations. Session details: Envestnet’s MoneyGuide software can be a valuable resource to create dynamic experiences for your clients. A subject-matter expert will discuss how it can help advisors enhance their value by offering a comprehensive financial planning process and efficient and scalable insights to improve the financial lives of both clients and advisors. In addition, discover how it can promote productive financial conversations, provide personalized experiences for clients, and showcase your value.   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 Stages | Ethan Booth, Envestnet MoneyGuide
Fueling Financial Wellness with an Integrated Technology Platform In this session, learn how to drive the financial wellness conversation with your clients through the extensive technology available on the Tamarac platform.  Through system integrations, we will demonstrate how to utilize the tools on our platform to deliver financial wellness and positive growth to your invested clients.   30 Minutes - Showcase Stages | Cameron Sheehan, Envestnet
Fueling Financial Wellness with an Integrated Technology Platform In this session, learn how to drive the financial wellness conversation with your clients through the extensive technology available on the Tamarac platform.  Through system integrations, we will demonstrate how to utilize the tools on our platform to deliver financial wellness and positive growth to your invested clients. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Cameron Sheehan, Envestnet
Get the Most Out of Solutions and New Offers from Charles Schwab Bank Why attend: Discover how to get the most out of solutions and offers from Charles Schwab Bank. Session details: Do you need access to a broad array of cash management, banking, and lending solutions? You can offer clients comprehensive financial management strategies with complementary lending solutions and pledged asset lending through Schwab Bank’s programs. John DiNisio will be covering topics such as business updates, solutions available through Quicken loans, and various banking and credit solutions. This 60-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. 60 Minutes - Showcase Stages | John DiNisio, Charles Schwab Bank
Giving Back with Pro Bono Financial Planning: How Advisors and Their Firms Can Engage & Benefit Why attend: The Foundation for Financial Planning (FFP) is the nation’s only nonprofit organization solely devoted to supporting the delivery of pro bono financial planning. FFP connects financial planners to provide pro bono planning and advice for people in need – including wounded veterans, domestic violence survivors, low‐income seniors, people with cancer, and many more – helping them improve their finances and their lives. Session details: During this session, you will learn more about pro bono financial planning, including how you can get involved. Whether you’re an advisor interested in volunteering, or with a firm or company interested in how pro bono work can enhance your culture, this session will give you the introduction you need to take that first step. 30 Minutes - Showcase Stages | Bernie Clark, Charles Schwab & Co.
Jon Dauphiné, Foundation for Financial Planning
Google 101: The Evolution of Search and How You Can Benefit Why attend: Learn the nuances and key components of digital marketing in a session offering insight for beginners and more advanced practitioners. Session details: How do you make your business stand out online? Michael Myers will discuss Google and the evolution of search, mobile customer behavior, and changing customers’ expectations, as well as share resources for newcomers to digital marketing and people with substantial experience. Discover how to create a website, use schemas to prepare for voice search, and understand: The best practices for essential search engine optimization and finding search resources How to optimize your content elements Tools to assess mobile usability and PageSpeed insights How Google Trends can help your business 75 Minutes - Education Session | Michael Myers, Daniels College of Business, University of Denver
Go With the Flow: Leveraging Data Integrations to Create Efficient Workflows, Enhance the Client Experience, and Boost Productivity Why attend: Learn how you can leverage Schwab’s integration with 3rd party technologies to enhance your firm’s efficiency. From rich data to key workflows, we will demonstrate integration with leading technology tools used by advisors that save you time and enhance your client’s experience. Session details: Now more than ever, adopting digital workflows is critical to drive efficiency, scale your business, and meet the high service expectations of today’s clients.  Schwab is committed to consistently investing in new integration capabilities with leading technology providers to support you in this effort. In this session, learn everything you need to know to take full advantage of this investment: An overview of the various integration options that are currently available Real-life examples of  how these capabilities help you streamline operational tasks, dramatically reducing processing time--in some cases, from days to minutes A review of recent enhancements and a roadmap for future integrations 30 Minutes - Tech Education | Drew Keating, Charles Schwab & Co.
Thushara Shastri, Charles Schwab & Co.
Growth Investing in a World of Technological Innovation Why attend: Discover how growth stock investing can be used to capitalize on the disruptive innovations and technologies that are transforming industries.  Session details: Over the last decade, innovative technologies like the mobile Internet, e-commerce, and video streaming have transformed the typical day for most consumers. These disruptions are shaping industries and will continue to drive global change, while emerging trends like digital payments, health care innovations, and electric vehicles are creating even more secular global growth opportunities for investors. Explore how: Smartphones launched a wave of disruptive innovation Growth for mobile internet, e-commerce, and video streaming is accelerating These innovations are putting a wide range of incumbent companies at great risk Experience in growth stock investing is necessary to identify innovative, disruptive technologies 75 Minutes - Education Session | Thomas Davis, Jennison Associates
Grow Your Retirement Advisory Practice with Tools from Schwab Why attend: Discover how Schwab technologies can help you augment your firm’s reach by building a corporate retirement plan practice.  Session details: Are you working on corporate retirement plans, or hoping to do so? Schwab’s technology can help you grow your retirement plan practice and better serve plan sponsors and participants. A subject-matter expert from Schwab will demonstrate tools to help you spend less time managing data, focus on more strategic work, and demonstrate to plan sponsors and employers how effective their plan features are for driving successful outcomes. View and analyze plan, investment, and participant data through Schwab’s advanced reporting tools and dashboards that let you easily focus on completing tasks.   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 Stages | Benjamin Lee, Schwab Retirement Technologies
Guiding Principles for Advisory Firm Success Why attend: Learn and understand the five core principles propelling advisory firms that consistently outperform. Session details: Do you know what makes the top-performing advisory firms outperform? There are essential elements that advisors need to address over and over as they approach key turning points at different AUM levels. In this session, Jerry Cobb will dive deep into five principles that help create a clear path forward, providing strategic and behavioral clarity: Strategic planning and execution is a leading indicator of success  Value is defined through your clients’ eyes Operational excellence creates greater capacity for clients Your reputation is your brand People are your most important asset 60 Minutes - Education Session | Jerry Cobb, Charles Schwab & Co.
Harnessing the Power of Google Analytics for Today’s RIA Firm Why attend: Learn how using Google Analytics can help you uncover insights about prospective clients and improve your digital presence. Session details: Most prospects will visit your website long before they meet you in person. Google Analytics, a free website measurement platform, can help you evaluate website performance and identify opportunities to increase effectiveness. With a focus specific to advisory firms, two subject-matter experts will cover getting started with Google Analytics, navigating and reading standard reports, and using data visualization. Discover how: Google Analytics can help you improve your firm’s digital presence You can read and understand data within the platform To create customized report templates To find additional resources to help you benefit from the platform   For CPE Credit: Learning Objectives: Google Analytics can help you improve your firm’s digital presence You can read and understand data within the platform To create customized report templates To find additional resources to help you benefit from the platform Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Communications and Marketing - Non Technical 75 Minutes - Education Session | Audrey Berger, The Richards Group
Jason Jeong, The Richards Group
Helping Your Clients Combat Fraud: Latest Trends and Best Practices Why attend: Gain a better understanding of the complexity of the latest scams and cybercrime schemes and learn how to educate your clients to protect themselves from the ever-evolving threat landscape. Session details: Can you spot the signs of a potential fraud or scam? Can your clients? Because the threat landscape is changing daily, your firms’ efforts at mitigating fraud risk becomes an increasingly complex challenge. Even with strong firm internal controls, you are not immune from fraud attempts that target your clients directly. This highlights the need to not only educate your staff on fraud, but also your clients.  In this session, you will learn how to help safeguard client accounts through a discussion about: Recent fraud trends in the financial services industry with an emphasis on scams and phishing Real-world case study examples of fraud Red flags to watch for Best practices and strategies for raising awareness with your clients   For CPE Credit: Learning Objectives: Recent fraud trends in the financial services industry with an emphasis on scams and phishing Real-world case study examples of fraud Red flags to watch for Best practices and strategies for raising awareness with your clients Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Regulatory Ethics - Technical 75 Minutes - Education Session | Greg Ruppert, Charles Schwab & Co.
Kara Suro, Charles Schwab & Co.
Helping Your Clients Go Digital: How You Can Prepare Your Clients for a New, Technology-Enabled Experience Why attend: In this session, we’ll help you learn the best techniques for educating clients about how new digital processes will revolutionize their service experience. As you combine the high-touch, personalized service that differentiates your firm with the speed, security, and convenience of digital workflows, we’ll share resources and ideas for how you can engage clients throughout the transition, ensuring they know exactly what to expect at every step of the way. Session details: At Schwab, we have many resources available to help you to prepare your operations staff and client facing teams for the change in workflows. What you may not know is that we also offer an array of resources designed specifically to help you communicate these changes with clients. We’ll take a look at your clients’ experience so that you can feel confident in guiding them through common needs. In this session, learn how to: Use the new Client Tool Kit to help keep clients informed as you adopt new tools Leverage the Quick Start checklist and pre-made email templates to explain each change, outlining the benefits of key tools like the digital account open workflow Navigate your clients’ experience in everything from downloading tax documents, to using the Message Center on the Schwab Alliance website, to securely approving a wire in seconds ​Preview of our new Technology Adoption booth located in the Schwab Center providing additional tips, tricks and resources 30 Minutes - Tech Education | Jon Septer, Charles Schwab & Co.
Gail Romano, Charles Schwab & Co.
How Tech Can Future-Proof Your Firm’s Growth Why attend: With the dramatic shift taking place in wealth management, a firm’s growth depends on modern technology. Learn how implementing an integrated and flexible tech solution helps firms, from RIAs to Private Banks, create stronger client relationships, efficiently operationalize their back offices, recruit new talent and achieve exponential growth. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.    30 Minutes - Showcase Stages | Anthony Russo, Addepar
Daniel Hernandez, Addepar
How to Create a Behavioral Policy Statement, And Why You Should Why attend: Create a behavioral policy statement to help clients manage their expectations, filter out noise, and stick with their investing strategy. Session details: Are you helping your clients avoid distracting market signals? In an extended workshop session, Jay Mooreland will discuss the importance of creating a behavioral policy statement to keep clients focused and review its essential elements, including how to manage investment and investor expectations and other best practices. Delve into: Which essential items need to be part of a behavioral policy statement and what not to include How to effectively present and use a policy in your client framework How to identify and select the best coaching points for your behavioral policy statement 90 Minutes - Pre-Conference | Jay Mooreland, The Emotional Investor
Insights on the Industry Keynote session with Walt Bettinger, Bernie Clark and special guest, Charles R. Schwab. 90 Minutes - Keynote Session | Walt Bettinger, The Charles Schwab Corporation
Bernie Clark, Charles Schwab & Co.
Charles R. Schwab, The Charles Schwab Corporation
Introducing Orion Planning Powered by Advizr Session details to come. 30 Minutes - Showcase Stages | Hussain Zaidi
InvestCloud's Goals Based Financial Planning Why attend: InvestCloud's Goals-Based Planning, provides service at an intimate level, deconstructing vague targets such as, “I wish to retire by age 65,” into plans that provide both the client and advisor with greater clarity, purpose and actions that align the client’s assets to future liabilities. Session details: Our Goals-Based Financial Planning apps are part of a library of 300+ integrated apps that create custom digital experiences for advisors and their clients. Learn how these apps automate the process of client acquisition and include defining the client’s goals and priorities, developing the client’s financial plan with optimal asset allocation strategies based on their risk profile and time horizon, plan execution, and an ongoing holistic view of the client’s portfolio that includes performance analysis and reporting. InvestCloud’s Goals-Based Financial Planning apps have automated the process of providing highly customizable planning and advice services that differentiate wealth management firms in a cost effective manner. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Yaela Shamberg, InvestCloud
Investing for a Late Cycle or a New Cycle Why attend: Negative interest rates, trade tensions, and slowing economic data are concerning investors. With accommodative monetary policy added to the mix, many are trying to balance strategies that worked in the past with defensive postures that prepare for future uncertainty. Join David Mazza with Direxion, as he examines the notion that as advisors consider the range of options available, those focusing on capital efficiency should be able to discover viable opportunities. 30 Minutes - Showcase Stages | David Mazza, Direxion Investments
Junxure CRM: What’s New, What’s Ahead Session details to come. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Kathy Crowley, Junxure
Keeping Your Clients Focused On Success by Mitigating Behavioral Risk Why attend: Help your clients adhere to the financial plan you’ve created and keep irrational impulses at bay through behavioral solutions. Session details: When designing financial plans for clients, advisors often fail to include an essential element: the behavioral plan for helping investors stay on track. Coaching your clients to succeed at this is a crucial skill, and it can’t be commoditized or outsourced. In this interactive session, you’ll learn about straightforward behavioral solutions to help clients pursue their financial goals with confidence. Delve into: What makes investors tick, and the role emotion plays in their choices Common biases that influence investors, and how to mitigate their impact Tactics for effectively framing and delivering your message to clients, and for helping them adhere to your financial plan 75 Minutes - Education Session | Jay Mooreland, The Emotional Investor
Laying the Groundwork for Trusts in 2030: Tactics and Strategies Why attend: Learn how to prepare for changes in trust and estate-planning and how to benefit from them to guide your firm in the decade ahead. Session details: Will your firm be well-positioned to succeed in 2030? Getting there involves a combination of auditing, compliance, and risk management to understand the past, succeed in the present, and focus on what lies ahead. Phil Buchanan will share insights into a future in which firms increasingly embrace technology, support and back-office function changes, and where specialization becomes the norm. Discover how to: Use trust and estate planning decisions to stay relevant in the face of automation and artificial intelligence Deploy technology to deliver value while relying on fewer employees Help clients use trusts to achieve their goals in a changing tax and political environment 75 Minutes - Education Session | Phil Buchanan, Cannon Financial Institute
Macro Themes for 2020 Why attend: Learn which macroeconomic factors have had the biggest impact on the U.S. economy so far this year, and how they are likely to play out in 2020. Session details: Developed economies have evolved since the financial crisis, creating opportunities for investors that can have unintended consequences. A wide range of macroeconomic trends are creating uncertainty and unpredictability in the global markets, challenging investors. In this overview of the macro environment, discover why it’s important to: Generate income from a range of sources Ensure that your investing approach includes downside protection and asset preservation strategies Diversify your holdings to weather changing macroeconomic trends 75 Minutes - Education Session | Kristina Hooper, Invesco
Managed Portfolios: New Realities, Innovative Solutions, and Activating Your Genius Zone Why attend: Learn how integrating managed portfolios into your practice can help you build stronger client relationships and grow your business. Session details: Clients want personalized attention, but given the demands of investment selection, analysis, and monitoring, how can you find time to build deeper relationships with them? Integrating managed portfolios into your practice can help align client goals with investment strategies as part of holistic financial planning, and working with investment management providers can also help. A subject-matter expert will share five benefits of using managed portfolios, how they can address investors’ expectations for holistic financial planning, and key considerations for choosing a managed portfolios provider.   This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us in our booth. 30 Minutes - Showcase Stages | Matthew Radgowski, Morningstar
Tom Simutis, Morningstar
Manage Your Clients’ Health Savings Account Investments at Schwab Why attend: Learn how Schwab’s integrated solutions can help you put tax-advantaged health savings accounts to work for your clients Session details: Health savings accounts are an increasingly popular tax-advantaged savings vehicle for people enrolled in qualified high-deductible healthcare plans. New offerings at Schwab can help you invest and manage your clients’ health savings accounts. In this session, you will learn about an integrated HSA solution at Schwab, the Advisor Managed Consumer Direct HSA Program.  The program uses Schwab’s Health Savings Brokerage Account, a brokerage window within an HSA, to deliver broad investment capabilities and allows you to easily manage your clients’ health savings portfolios at Schwab. An overview of the benefits of investing HSA dollars will include a demo of the client experience and tips for driving firm growth. 30 Minutes - Showcase Stages | Hank Rosenblum, Charles Schwab & Co.
Managing Your Clients’ HSA Investments at Schwab Session details to come. 15 Minutes | Hank Rosenblum, Charles Schwab & Co.
MEPs and PEPs: What’s New and What’s Coming Why attend: It’s no secret that Multiple Employer Plans (MEPs) and Pooled Employer Plans (PEPs) are making some waves in the retirement marketplace. The possible changes they imply have the potential to disrupt, enhance, or at the very least add to the list of options for retirement plans. Session details: You’ll hear the latest regulatory and legislative news from Washington and learn how these products differ. In this session, Cynthia Hayes will: Discuss the various risks and opportunities MEPs and PEPs hold for our industry Explain what you should consider when looking at MEPs for your business 75 Minutes - Education Session | Cynthia Hayes, Oculus Partners
Misallocation of Capital After 10 Years of Running the Printing Presses Why attend: Discover how the last decade’s unprecedented infusion of liquidity has led to misallocation of capital, and examine the threats this poses to the global economy and capital markets. Session details: In response to the financial crisis, the world’s leading central banks performed an unprecedented monetary experiment, injecting tremendous liquidity into the markets. This experiment led to misallocations, distortions, and excesses, the greatest of which have affected valuations and created pinch-points in liquidity. A subject-matter expert will discuss areas of heightened risk to avoid and corresponding areas of relative strength, explore the risks and opportunities in global investing, and assess the readiness and policy ammunition available to authorities to deal with economic downturn and manage economic shocks. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.  Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Tony Cousins, Pyrford International, a part of BMO Global Asset Management
MIT AgeLab Research: Retiring the “Old Age” Story Why attend: Better understand misconceptions about retirement, and how you can steer your clients towards a fresh approach. Session details: Many people planning for retirement base their approach on myths, traditions, and expectations of previous generations, even though retirement today may last far longer than it did in the past. Retirees often find themselves bored, disengaged, or regretting a lifestyle they were told they should enjoy. A subject-matter expert will discuss how to help your clients create a fulfilling retirement. Learn: The origins of the traditional, leisure-filled retirement story Why many ideas about retirement are outdated or inaccurate How clients can use their life stories to plan for an engaging and exciting retirement How to prevent ageism from affecting your clients’ retirement views 75 Minutes - Education Session | John Diehl, Hartford Funds
Multi-Asset Investing in an Uncertain World Why attend: Gain a better understanding of the most pressing questions and challenges facing multi-asset investors in today’s market. Session details: Investors in today’s markets face several crucial tasks, including determining where they are in the business cycle, how to best allocate assets between value and growth strategies, and understanding the implications of their choices. Two subject-matter experts will delve into a range of important questions: Are markets expensive? Where do rates go? Are illiquid assets a viable strategy? When does diversification fail? Delve into: The current market environment and the implications of geopolitical events on portfolios Signals that may trigger additional updates to portfolios Best practices from the multi-asset strategy team at T. Rowe Price 75 Minutes - Education Session | Christopher Dillon, T. Rowe Price
Sebastien Page, T. Rowe Price
Navigating the Fixed Income Landscape in 2020 Why attend: Find out how to balance value and risk in fixed income and uncover strategies to prepare for what lies ahead in 2020.  Session details: After the steep drop in interest rates and strong performance of fixed income assets in 2019, investors are back to searching for yield. In a lower-for-longer world, where valuations may be stretched, finding good value while managing risk in the bond market is going to be challenging. Meanwhile, policy issues—such as the Federal Reserve shifting its stance—and the upcoming elections could move markets in 2020. Gain insight into: Fiscal and monetary policy changes that might affect various fixed income asset classes Strategies for positioning portfolios for a range of potential outcomes Which asset classes are poised to do well and which you should avoid How to maintain diversification in fixed income while managing risk 75 Minutes - Education Session | Kathy Jones, Charles Schwab & Co.
Next Gen Compensation and Equity: Aligning Interests with a Firm’s Most Valuable Asset Why attend: Discover how to develop a next generation equity plan that promotes firm sustainability and enhances firm value. Session details: Independent advisory firms are only as good as their teams. For firms seeking business sustainability, high valuations, and successful client growth and relationships, delivering a superior career path and understanding what the next generation of talent is looking for are paramount. John Furey will share industry best practices, technical approaches to compensation, a relevant case study, and explore how to: Link compensation and equity to a firm’s strategy and financial objectives Structure compensation and benefits to align the interests of the firm and its clients Develop incentives based on professional roles and contributions Avoid compensation traps that promote entitlement over effort   For CPE Credit: Learning Objectives: Link compensation and equity to a firm’s strategy and financial objectives Structure compensation and benefits to align the interests of the firm and its clients Develop incentives based on professional roles and contributions Avoid compensation traps that promote entitlement over effort Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Personnel/Human Resources - Non Technical 75 Minutes - Education Session | John Furey, Advisor Growth Strategies, LLC
Opportunities And Challenges in the Landscape for Financial Advice: A Nerd’s Eye View Why attend: In a fireside chat, explore current and future challenges facing the financial services industry with one of its foremost voices. Session details: Join industry nerd Michael Kitces as he sits down with Lisa Salvi, Vice President of Schwab's Advisor Services Business Consulting and Education, to discuss the current state of the financial advisory landscape, where he sees the industry heading, and what he thinks advisors should be preparing for to survive and thrive in the future. Ask the questions that matter most to you in a Q&A segment. Mr. Kitces will cover a wide variety of topics, including the: Convergence of broker-dealer and RIA channels Crisis of differentiation amongst advisors Search for new business models and why AUM isn’t dying How to justify fees with a better client experience What FinTech disruption will and will NOT replace in advisory firms Expectations of a new generation of clients who are digital natives Fiduciary rules, robo advisors, and other current trends   For CPE Credit: Learning Objectives: Convergence of broker-dealer and RIA channels Crisis of differentiation amongst advisors Search for new business models and why AUM isn’t dying How to justify fees with a better client experience What FinTech disruption will and will NOT replace in advisory firms Expectations of a new generation of clients who are digital natives Fiduciary rules, robo advisors, and other current trends Prerequisite: None Program Knowledge Level: Overview Delivery Method: Live Field of Study: Business Management & Organization 60 Minutes - Education Session | Lisa Salvi, Charles Schwab & Co.
Michael Kitces, Nerd’s Eye View / Pinnacle Advisory Group / XY Planning Network & AdvicePay
Optimizing Your Firm’s Marketing Through the Lens of Your Ideal Client Why attend: Learn how developing an ideal client persona, and client value proposition, can guide your firm’s marketing in a way that increases referrals and generates new business. Session details: Outperforming firms understand that value is defined through their clients’ eyes. They start by identifying the type of client they are best suited to serve so they can leverage marketing to communicate their value to those clients. In fact, firms with a documented ideal client persona and client value proposition attract 26% more new clients and 41% more new client assets.1 Begin the foundational work of defining a strong ideal client persona and applying it to your marketing strategy by learning how to: Develop your firm’s ideal client persona Discover the fundamentals of a strong client value proposition Evaluate your firm’s digital marketing effectiveness with a focus on your website and search engine optimization (SEO) Identify a list of actionable items that will help elevate your firm’s marketing effectiveness to engage clients and attract more prospects   12018 RIA Benchmarking Study from Charles Schwab, fielded January to March 2018. Study contains self-reported data from 1,261 firms. Participant firms represent various sizes and business models categorized into 12 peer groups—7 wealth manager groups and 5 money manager groups—by AUM size. Median results for all firms with $250 million or more in AUM. Past performance is not an indicator of future results. 1.5 Hours - Extended Education | Liz Manibay, Charles Schwab & Co.
Peer-to-Peer RIA Perspectives of the High-Net-Worth Investor Why attend: Gain insight into high-net-worth investors’ needs, their current market perspectives, and how they can help you grow your practice. Session details: Goldman Sachs Asset Management will examine the market perspectives of high net worth investors on issues such as the impact of the pace of economic growth, the ongoing withdrawal of monetary policy accommodation, escalating trade tensions, and geopolitical risk. GSAM will then host a panel of your peers in the RIA community to discuss five global disrupters and opportunities that advisory firms face today. Gain a better understanding of: The market pressure points that magnify sensitivities emerging in the system, and why they’re not likely to spark a recession The special needs of high-net-worth investors Best practices on how to re-tool your firm to serve wealthy clients 75 Minutes - Education Session | Shannon Saccocia, Boston Private Wealth
Travis Upton, The Joseph Group
Matt Hostasa, Goldman Sachs
Vincent Tiseo, Goldman Sachs
Brett Sharkey, Three Bridge Wealth Advisors
Policy and Politics: The Regulatory and Legislative Landscape for RIAs in 2020 and Beyond Why attend: Learn how current and future policies may affect the markets, the financial services industry and clients’ portfolios, and what the legislative and regulatory landscape may mean for your firm. Session details: With all eyes focused on the upcoming presidential race, join Michael Townsend, Schwab’s resident Washington insider, as he sorts through the noise and the nonsense to focus on the issues that matter most to investors and RIAs.  Mike will discuss the latest developments on key policy issues on Capitol Hill, regulatory proposals that could affect investors, and how the policy agenda could look very different depending on the outcome of the 2020 elections.  The session will cover: The 2020 legislative and regulatory agenda for the financial services industry The latest on proposals affecting taxes and retirement savings How regulatory developments could impact companies and sectors Key SEC enforcement priorities for RIAs A look ahead at thee 2020 battles for the White House and control of Congress 75 Minutes - Education Session | Michael Townsend, Charles Schwab & Co.
Powerful Portraits: An Intimate Look at Leadership and Humanity Keynote session with Platon, Photographer, The New Yorker 60 Minutes - Keynote Session | Platon ., Staff Photographer, The New Yorker
Private Equity: Innovation & Evolution Why attend: Learn about the new opportunities in private equity, and how product innovation has evolved over the years. Session details: In a lower-return environment, investors are increasingly turning to private equity to generate higher returns in their portfolios. With recent structural innovations, these once exclusive investments are now easier to access. Investors now have a range of options to consider, including: traditional private equity funds, feeder funds, interval funds, and auction funds. This session will explore: How advisors should evaluate private equity and incorporate them in portfolios? What are the structural trade-offs in gaining exposure to private equity? What’s next in private equity innovation? 90 Minutes - Pre-Conference | Bob Rice, Tangent Capital Partners, LLC
Putting Schwab’s Simplified Approach to Portfolio Management to Work for Your Firm Why attend: Learn how Schwab’s approach to portfolio management offers your firm a simplified, scalable, cost-effective solution. Hear from an advisor on their experience using this new product. Session details: Portfolio management tools are an important part of any successful advisory practice, offering valuable insights into clients’ needs. Many growing firms are searching for ways to scale their operations so that they can spend more time with clients. Our goal is to offer you the flexibility to choose what’s best for your firm, whether you’re looking for better ways to manage accounts at Schwab or for secure, integrated options with a third-party system. Learn how Portfolio Connect can simplify your data processing and give you a new perspective on your clients’ data Hear an advisor’s story about how Portfolio Connect is working for their firm Resources to help you determine next steps based on your portfolio management needs 30 Minutes - Tech Education | Amy Mannello, Charles Schwab & Co.
Patrick Farnsley, Riverview Capital Management
Recruiting Success: An Expert Shares Her Approach to Attracting Top Advisor Talent Why attend: Discover how to make recruiting and M&A a part of your firm’s strategic process and ensure you can attract the right talent in a red-hot recruiting market. Session details: Firms often reach a point where they recognize that inorganic growth is necessary to drive enterprise value, gain scale, and remain relevant. The most successful ones are strategic and proactive when it comes to attracting and engaging talent. Mindy Diamond will discuss how to win the race for top talent by using emotional intelligence to better connect to candidates, and assess their key drivers, pain points, and goals. Learn how to: Make your firm attractive to top talent Identify and engage the right potential hires Customize offers based on your firm’s goals and the candidate’s needs Develop a strategic process to accelerate and achieve your growth targets 75 Minutes - Education Session | Mindy Diamond, Diamond Consultants
Reduce Stress, Be Focused, and Stay on Purpose: How Mindfulness Can Help Why attend: Learn how mindfulness meditation can help you be more resilient, better focus on achieving your goals and stay aligned with your purpose. Session details: Mindfulness meditation has become a popular practice for reducing stress and improving well-being, and hundreds of controlled studies support its usefulness. It has been shown to enhance focus, sustain attention, improve working memory, and to help people prevent their minds from wandering while working on tasks. Cassandra Vieten will discuss: What mindfulness is and how it can benefit financial professionals The research that supports its effectiveness Three mindfulness practices you can implement in your personal and professional lives 75 Minutes - Education Session | Dr. Cassandra Vieten, John W. Brick Foundation
Reducing Your Exposure with Covered Calls Why attend: Discover how to use covered calls to strategically reduce a large concentrated equity position while mitigating risks and spreading out capital gains obligations. Session details: Many investors are overly exposed to a single stock in their portfolio, often because it’s equity compensation from an employer. Despite the obvious risks, they are often hesitant to pare back the position because of capital gains taxes or concerns about selling when they have a bullish outlook. Learn how selecting strike prices, expiration dates, and quantities of covered calls to slowly reduce a concentrated position can help you: Reduce risk in a portfolio at a measured pace Spread capital gains over multiple years to lessen tax impact Generate short-term income using a low-risk option strategy Avoid missing out on upside opportunity 75 Minutes - Education Session | Randy Frederick, Charles Schwab & Co.
Reevaluating Conflicts of Interest for Independent Advisors Why attend: Explore potential conflicts of interest that affect many advisors and develop strategies to resolve them. Session details: Amidst all that’s changing, from diminishing brokerage commissions to elevated standards of care, independent advisors increasingly face complex situations that can lead to conflicts of interest. Some are difficult to manage because advisors are blinded by their own good intentions. Though they are inevitable, conflicts of interest—many of which may not be obvious—are moral problems that must be addressed by removing, managing, and disclosing them. Gain insight into: The multiple (and often overlooked) conflicts of interest RIA’s typically face Why conflicts should not be seen as a cause for concern but rather as a normal business risk to be managed thoughtfully and proactively Best practices and strategies for evaluating and resolving these conflicts 75 Minutes - Education Session | Brian Hamburger, MarketCounsel
Daniel Bernstein, MarketCounsel
Revisiting Modern Portfolio Theory: Does Global Diversification Still Work? Why attend: Explore modern portfolio theory (MPT), its limitations, and whether global diversification is still a strategically sound approach. Session details: With strong U.S. equity returns, and lackluster international results, investors have begun to question the merits of global diversification. Is their skepticism warranted? Jim Peterson will revisit modern portfolio theory and its limitations. He’ll review the new market realities and suggest ways that advisors can evolve their asset allocation philosophy and approach. Jim will discuss the merits of global diversification and the critical role of portfolio construction. This session will explore modern portfolio theory and delve into: Is MPT still modern? Does global diversification still work? How should advisors respond to new market realities? How should advisors evolve their asset allocation philosophy? 75 Minutes - Education Session | James Peterson, Charles Schwab Investment Advisory
RIA M&A and Succession: How to Succeed in Today’s Environment Why attend: Join an interactive discussion to learn the latest M&A and succession planning trends and learn tangible techniques to move your transition plans toward success. Session details: RIA M&A activity and valuations are at all-time highs, a surge of new capital / lending options is flowing into the market, and deal structures are more flexible than they’ve ever been. Whether you are contemplating buying, selling, merging, or finally putting a succession plan in place, this session will help you capitalize on these developments and determine your path. Focusing on firms managing between $100 million and $2 billion, the seasoned panel of experts will share perspectives and technical insights from their experience in the trenches. Explore and learn: What option is best for your firm, and a decision-making framework for your transition plan The key ingredients to successful transactions—and the specific challenges that have undermined others’ success The fundamentals of deal structure and tangible techniques for transitioning to the next generation of shareholders 75 Minutes - Education Session | David Barton, Mercer Advisors
Adam Birenbaum, Buckingham Strategic Wealth
David DeVoe, DeVoe & Company
Bob Oros, HighTower Advisors
Shift Your Human Capital Perspective Why attend: Better understand the importance of human capital, and why creating a strong corporate culture is crucial for your firm’s success.  Session details: As the competitive landscape and the demand for top talent intensifies, the declining number of people entering financial services may be the industry's greatest threat. Firms that can effectively recruit, retain, and reward human capital will experience the most enterprise value growth. A coaching and training specialist will help you rethink your compensation plan and build a culture that will deliver better business results by exploring: Compensation design and analysis How to deploy capital wisely and logically while fostering trust What makes your corporate culture thrive Multigenerational sustainability  75 Minutes - Education Session | Ray Sclafani, ClientWise, LLC
Skyrocket Your Sales Performance: How to Utilize the Mindsets, Rituals, and Routines of World Class Performers Why attend: Learn how to improve your ability to close sales and serve clients by embracing the mindset and routines of elite athletes and performers.  Session details: No matter what your sales system is or how rich your pipeline might be, finding and qualifying leads, following up, and servicing clients requires a substantial amount of time and effort. Using stories and statistics as a foundation, Alan Stein Jr. will explain how to maximize your resources and improve your sales effort by controlling and trusting the process. Learn how to generate stronger results by: Shifting your mindset (your goal is to solve, not to sell) Becoming a world-class listener (telling is not selling) Consistently creating quality touches (sales is a high contact game) 75 Minutes - Education Session | Alan Stein, Jr., Raise Your Game
Songs of America Jon Meacham and Tim McGraw, authors, Songs of America 60 Minutes - Keynote Session | Jon Meacham, Presidential Historian and Author
Tim McGraw, Author, Singer, Songwriter
Streamline Your Investing and Operations with Institutional Intelligent Portfolios Why attend: Get the latest information on Schwab’s Institutional Intelligent Portfolios platform and learn how this automated investing solution can save time and lower costs at your firm. Session details: This session will provide an overview of Schwab’s Institutional Intelligent Portfolios (IIP) solution, and how it is enabling advisors of all sizes to put automated investing to work for their firms. Learn about: How the platform streamlines onboarding and investing to save time and reduce errors, freeing up time you can spend serving clients and growing your business How our intuitive modeling tools and a sophisticated rebalancing engine provide access to more than 4,000 low-cost ETF and mutual funds  New capabilities that make it easy to convert existing brokerage accounts to IIP accounts 30 Minutes - Tech Education | Jason Johnson, Charles Schwab & Co.
Strengthen Your Cybersecurity Practices with the Schwab Cybersecurity Resource Center Learn about Schwab’s Cybersecurity Resource Center and the tools and resources available to help strengthen your firm’s cybersecurity program.  From our 5-step framework to educational materials for your employees and clients, we will take a comprehensive look through this website and highlight key resources to help evolve your cybersecurity efforts.   15 Minutes |
Succession Planning for Those at the Top—and Those Climbing the Ladder Why attend: Gather insights and tools on how effective succession plans are built from the C Suite perspective and how the Next Gen can create their own path towards leadership. Session details: Strategic thinking and preparation are mandatory for advisors CEO’s considering retirement and also for the next generation seeking promotion. In a panel discussion with executives and their successors, Kathy Freeman Godfrey will highlight how executive-level candidates should be evaluated and how the next generation can prepare to move up. Learn how to: Identify the traits and skills required of potential succession plan candidates Define an ideal retirement path ahead of hiring a successor Determine whether your succession plan should differ from the one you originally previously envisioned Gauge whether to hire internal candidates or consider outside talent 75 Minutes - Education Session | William Beamer, Dowling & Yahnke
Kathy Freeman, Kathy Freeman Company
Mark Munoz, Dowling & Yahnke
Dale Yahnke, Dowling & Yahnke
Syndicated 1031 Exchanges: Benefits and Best Practices Why attend: Learn about the advantages of syndicated tax-deferred exchanges, and how offering them can help your firm attract new clients and referrals. Session details: Although Section 1031 provides real estate owners a means of deferring taxes on the sale of appreciated real estate, various factors make it impractical for many investors. Syndicated exchanges can reduce these burdens on clients, allowing clients to satisfy IRS leverage requirements without assuming additional personal debt, providing diversification into a pool of institutional-quality real estate, and creating flexibility for estate planning. Learn about the advantages of syndicated tax-deferred exchanges, and how offering them can help your firm attract new clients and referrals.   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 Stages | Drew Dornbusch, JLL Income Property Trust
Taking the Bull Market by the Horns: What Investors Need to Know Why attend: Gain answers to questions about investing in the bull market, and learn more about crucial factors driving economic growth and how to position portfolios to benefit from them.  Session details: Investors seeking to understand the current economic cycle are faced with challenging questions: How long can the bull market last? How will it end? Where should one allocate capital late in the business cycle? Does the Fed have enough ammunition to buffer the next recession? Veteran investors will address these and other questions related to stock performance, including: How monetary policy influences growth and stocks The long-term growth outlook for the United States Industries and companies that offer interesting investment opportunities 75 Minutes - Education Session | Christopher Marangi, GAMCO Investors, Inc.
Mario J. Gabelli, GAMCO Investors, Inc.
Howard F. Ward, GAMCO Investors, Inc.
The Anatomy of the Deal: How M&A Actually Gets Done Why attend: Understand how successful deals actually get done. Learn from a top M&A deal team and glean best practices in M&A strategy, legal, and financing.  Session details: Creative deal-making requires a series of complex and nuanced steps to reach the desired milestones. In a panel discussion featuring a “dream deal team,” Schwab will moderate and provide its perspective on the process, including succession, mergers and acquisitions, and its latest research and benchmarking. The panelists will cover every step involved in dealmaking—from strategy to legal to financing—and offer tangible insights into how to succeed. Learn about: Key M&A milestones and what they consist of Do’s and don’ts based on real-life “war stories” Where to spend time and resources on dealmaking How to best position yourself as a buyer or a seller  75 Minutes - Education Session | Tony Parkin, Charles Schwab & Co.
James Hughes, Live Oak Bank
Jessica Karner, Keegin Harrison LLP
David Selig, Advice Dynamics Partners
The Art and Science Behind eMoney’s Product Vision Why attend: The eMoney product strategy is built on logic and creativity and propelled through innovation. eMoney's Vice President of Product Management, Emily Jipson, will share insights on the meaningful enhancements on eMoney’s roadmap and how these efforts will enable even more productive interactive conversations to help people talk about money.  This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us at our booth in The Exchange. Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Emily Jipson, eMoney Advisor
The Challenge of Entrepreneurship: Overcoming Obstacles Why attend: Gain insight from successful entrepreneurs about how to get past roadblocks and successfully grow your business.  Session details: Do you see yourself as an entrepreneur? If so, you’ve probably faced—and gotten past—obstacles on the path to success. A panel of entrepreneurs from inside and outside the RIA industry will share their personal stories and the struggles they faced to build and grow their businesses, providing insights and real-life examples relevant to all advisors. The panelists will share and discuss: Their biggest “A-ha” moments How they determined what was non-negotiable Lessons gleaned from their greatest failures How they learned to embrace risk-taking Recent business setbacks, and how they recovered from them 75 Minutes - Education Session | Bradley Losson, Charles Schwab & Co.
Joe Duran, United Capital
Richard Hagberg, -
Scott Olivet, Altamont Capital Partners
The Digital, Integrated Advisor: Leveraging Integrations to Supercharge Everyday Workflows Why attend: The word “integration” is used frequently in this industry, but oftentimes it’s applied to fairly minor connections between systems. In this demonstration, we’ll show you how much impact deep, broad technology integration can have on the way your firm works every day. You’ll see how an advisor leverages Schwab data and workflows within a leading 3rd party tool to open accounts, view alerts, and submit trades. Session details: In this session you will: Learn about Schwab’s various integration offerings Find out how SS&C Black Diamond has built deep integration with Schwab’s APIs to bring powerful real-time data and workflows to advisors and their clients 30 Minutes - Tech Education | Kartik Srinivasan, Charles Schwab & Co.
James Gladney, Portfolio Solutions
Robert Conchiglia, SS&C Advent
The Empirical Strikes Back: Active and Passive in Your Portfolio Why attend: Discover a data-driven roadmap for choosing between mutual fund and exchange-traded fund implementation options, and the ideal roles for both in well-constructed investment portfolios. Session details: Not all asset classes are created equally. A subject-matter expert will discuss the historical outcomes across more than a dozen asset classes and why product depth and accessibility matter. Gain insight into how asset allocation is inherently active and why the active vs. passive debate misses the point by focusing too much on manager-level performance and overlooking the decisive role asset allocation plays in risk and return. This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange.  Seating for this session is at capacity, however standing room is still available. 30 Minutes - Showcase Stages | Theodore Enders, Goldman Sachs
The Future of Alternative Investments Education Why attend: Discover how a new service from CAIS can help independent financial advisors master their knowledge of alternative investments.  Session details: As part of its mission to empower independent financial advisors, CAIS is launching a service for mastering alternative investments. Using an adaptive learning system developed to improve memory and retention, the educational solution is designed to help advisors unlock opportunity across the industry, from asset classes and thematics to specific product knowledge. Two subject-matter experts from CAIS will explain how their solution brings together artificial intelligence and learning sciences, and offer advisors a better understanding of what to look for in an educational platform focusing on alternative investments.   This 60-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting us at our booth. 60 Minutes - Showcase Stages | Andrew Smith Lewis, CAIS
Matt Brown, CAIS
The Future of Today: Emerging Tech Trends Amy Webb is a quantitative futurist, a professor of strategic foresight at New York University’s Stern School of Business, and the founder of the Future Today Institute, a leading foresight and strategy firm that helps leaders and organizations prepare for complex futures. She advises Fortune 500 and Global 1000 companies, government agencies, large nonprofits, universities, and startups around the world. A specialist in artificial intelligence, she has advised generals and admirals, White House leaders, and chief executive officers of some of the world’s largest companies. 60 Minutes - Keynote Session | Amy Webb, Future Today Institute
The Happiness Factor: Making Your Personal and Work Lives Better Why attend: Get an overview of current happiness research and discover practical steps you can take to increase personal and workplace happiness. Session details: Do you know what makes you happy? Researchers say most people can’t answer the question, and that daily routines can thwart happiness. Studies also show that when managers understand happiness, they can dramatically improve their workers’ performance, enhance workplace culture, and increase profits. Learn: Why happiness matters in the workplace How to erase misunderstandings about happiness How you can improve management skills and culture A set of practical, daily routines that will make you measurably happier 75 Minutes - Education Session | Ken Harmon, Henssler Financial
The Liquidity Paradox: Finding Expected Returns in Unexpected Places Why attend: Learn how investing in less-liquid or illiquid assets may be key to preparing for challenging markets ahead.   Session details: High equity valuations and the end of a 30-year bull market may challenge the returns of traditional assets in the years ahead. Building a portfolio to meet long-term investor goals may require investing in less-liquid assets. Gain insight into the evolution of investments designed to help investors access less-liquid areas of the market, how the right or wrong match between asset liquidity and fund liquidity can impact portfolio returns, and how to help your clients incorporate these assets into their portfolios.   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 Stages | Brian Boulerice, FS Investments
The Markets, the World and Your Clients Join Jeffrey Kleintop and Liz Ann Sonders 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. 60 Minutes - Keynote Session | Jonathan Beatty, Charles Schwab & Co.
Jeffrey Kleintop, Charles Schwab & Co.
Liz Ann Sonders, Charles Schwab & Co.
The Re-Architecting of Business: Spotlight on Financial Services Why attend: Explore the ways in which automation, artificial intelligence, and shifting client demands will impact the future of financial management. Session details: Research suggests that automation and machine intelligence will soon expand their roles in financial management—yet the Bureau of Labor Statistics predicts significant growth in the number of financial managers in the next decade. This raises questions about how advisors will serve clients and what clients will be willing to pay for. Delve into: The trajectory of financial services in the face of big data, robotics, and natural language processing How technology will continue to alter the industry, and what research predicts about the future How to prepare your firm—and your clients—for transformation 75 Minutes - Education Session | Charles Marston, Generational Insights
Transforming the Alternative Investment Landscape Why Attend: Learn about how technology has revolutionized the ability of advisors to access private equity, private credit, and hedge funds for their clients. Session Details: Alternative investments offer attractive portfolio diversification and return potential, but high investment minimums and challenges in accessing top-tier fund managers have created barriers for advisors and high net worth investors seeking exposure to these vehicles. This session will explore how iCapital Network is using technology to expand the alternative investment capabilities of RIAs. Learn about: How technology has enabled the efficient creation and management of alternative investment vehicles designed for high-net-worth investors How iCapital sources, screens, and monitors high-quality alternative investment managers Types of funds available on iCapital’s flagship platform and how advisors can access it 30 Minutes - Showcase Stages | Robert Worthington, iCapital Network
Lawrence Calcano, iCapital Network
Understanding, Connecting to and Growing Your Business with Ultra-Wealthy Clients through Referrals Why attend: One of the top challenges with independent advisors is consistent growth.   Obtaining new ultra-wealthy clients is a goal of many advisors and can have some significant impact on the growth of your firm.  Learn how to enhance your knowledge of the ultra- wealthy through research and data and how to connect with them.  Develop a strategic and systematic process to grow your business through referrals.  Session details: Ultra-wealthy families are constantly bombarded by services providers and are the most sought after clients for advisors.  What is the best way to prospect these clients?  The same methods that work for mass affluent clients do not work for these clients.  They do not respond to cold calls, often have gatekeepers, and are purposely skilled at being unreachable to those outside of their inner circle.  This session will not only describe unique technology tools and services designed to research these hard to find prospects, but will also provide an effective and repeatable process that translates this research into winning clients in this segment.  The session will have a case study to take you through a process that will provide a proven methodology and mindset to have a higher success rate with the ultra-wealthy community. In this session, you will learn: What are the trends and behaviors of the ultra-wealthy? How to gather research on ultra-wealthy families including a profile of their wealth, interests, giving and connections. What mistakes to avoid when pursuing ultra-wealthy clients? 60 Minutes - Education Session | Paul Ferguson, Charles Schwab & Co.
David Friedman, WealthQuotient
Richard Green, Wealth-X
Using Strategic Planning to Build a Top-Performing Firm Why attend: Learn how to develop or enhance a strategic plan to help your firm grow and succeed in a competitive business environment. Session details: As the RIA industry evolves and competition becomes more fierce, firms with a strong strategic plan are 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. 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 analysis How to construct and  implement an effective plan 2 Hours - Extended Education | Nikolee Turner, Charles Schwab & Co., Inc.
Welcome to the Factor Jungle: Tips For Navigating the Rapidly Changing Strategic Beta Landscape Why attend: Assets in strategic beta and multi-factor strategies have ballooned over the past several years, but a recent uptick in the number of fund closures has many industry pundits questioning if the marketplace is oversaturated and at an inflection point. Session details: This session will offer insight into the changing strategic beta and multi-factor landscape, the role of these strategies, and provide advisors with actionable tips to help navigate the evolving product landscape. Key discussion topics include:  The role of strategic beta and multi-factor strategies in helping to meet client goals Helpful terminology and tools to help advisors navigate the plethora of strategic beta and multi-factor choices available in the market How to use strategic beta and multi-factor products within an overall portfolio construction strategy   This 30-minute session is scheduled to take place on The Exchange showcase stage. After the session, continue the conversation by visiting our booth in The Exchange 30 Minutes - Showcase Stages | D.J. Tierney, Charles Schwab & Co.
What Does Your Team Want? Strategies for Engagement Why attend: Learn the most effective practices for developing and sustaining team engagement, and how doing so can help your firm’s growth.  Session details: Understanding your team’s priorities is key to developing effective engagement strategies. A new study—released for the first time at IMPACT—on team engagement gathered data from both advisors and their staffs. The results illuminate what each perceives team engagement to be, what drives strong engagement, and what differences in thought there are between the two groups. Discover: What advisors think is most important to team members Which aspects of employment team members identify as most important The strategies and tactics that drive team engagement among employees The connection between team engagement and firm growth 75 Minutes - Education Session | Kelli Cruz, Cruz Consulting Group
Julie Littlechild, Absolute Engagement
What Makes Gen X Different? The Answer Could Change Your Business Why attend: Learn how to break through barriers and connect with the fiercely independent Generation X, with specific strategies tailored to their needs. Session details: The personal finance industry sees Generation X, or Gen X, as the hardest generation to connect with, partly because they do not tend to seek investment and planning advice like baby boomers or millennials. The Census Bureau predicts that by 2028 Gen Xers will outnumber boomers, creating a major opportunity. Research shows many Gen Xers would use advisors who successfully blend human contact and technology. Explore: The key demographic differences of this generation, including married with children, child-free couples, and independent women Strategies tailored to specific demographics of Generation X Techniques to manage nuances and empathy and build client relationships 1.5 Hours - Extended Education | Megan Gorman, Chequers Financial Management
Workplace Preferences and High Performing Teams Why attend: Gain an understanding of how workplace preferences can hinder teamwork, and learn about tools to develop high-performance teams.  Session details: Workplace preferences are often generationally driven: Those of Gen X employees are likely to differ from those of baby boomers and millennials. Understanding your colleagues’ preferences will help you work better with them, while understanding your own can foster personal growth. In an interactive roundtable session, find out how individual preferences can stymie cooperation and teamwork, and what to do about it. Cam Marston will: Lead participants through the Work Preference Puzzler exercise Demonstrate the Gen-Flex® system, which helps workplace teammates thrive Discuss how to use these tools as building blocks for creating high-performance teams Seating is limited. 75 Minutes - Education Session | Charles Marston, Generational Insights
Your Aging Client: Are You Prepared for Diminished Capacity and Elder Fraud? Why attend: Develop protocols to help guide your aging clients through diminished capacity and protect against elder fraud. Session details: Aging clients become increasingly susceptible to diminished capacity and/or elder fraud. Yet many advisors have insufficient knowledge of these issues, and don’t adequately prepare themselves or their clients. In this 90 minute pre-conference session, learn how to become an informed and trusted resource for your clients as they age. Gain insight into: The nature and causes of diminished capacity, and signs to watch for Ways to educate clients about abuse and fraud before they occur Your legal responsibilities Protocols to implement when you suspect diminished capacity, elder fraud, or both 90 Minutes - Pre-Conference | Amy Florian, Corgenius
Your Clients Should Be on Your App Session details to come. 30 Minutes - Showcase Stages | Nikhita Iyar, Moxtra
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