All Times are in Eastern Time (ET)

Agenda is subject to change

May

18

May

19

Welcome from the RIA Summit co-Chairs
11:00 am  to  11:10 am
Speakers:
Jeff Benjamin. Senior Columnist. InvestmentNews.
Chuck Failla. Principal. Sovereign Financial Group.
Opening Keynote: The Future of RIAs
11:10 am  to  11:40 am

It’s no secret that the wealth management industry is undergoing a steady migration toward the independent RIA model that is dramatically reshaping the way financial planning gets done. Blaine Aikin will share his views on where the profession should be heading sharing his experiences at Fi360, the CFP Board and the international Financial Planning Standards Board where he studied the changes evolving in 27 territories around the globe.

Speakers:
Blaine Aikin. Founder. Fiduciary Insights.
Chuck Failla. Principal. Sovereign Financial Group.

Track 1: Established RIAs

Track 1: Established RIAs
Track 1: Panel: Growth through M&A
11:40 am  to  12:30 pm

It's a seller’s market with offers coming from serial acquirers and new buyers entering the marketplace. Hear the process of calculating what a firm is worth, how a selling price is determined, and the intangibles of what adds value above and beyond assets under management.

Speakers:
Rick Dennen. President & CEO. Oak Street Funding.
David DeVoe. CEO & Founder. DeVoe & Company.
Kurt MacAlpine. CEO. CI Financial.
Jeff Benjamin. Senior Columnist. InvestmentNews.

Track 2: New or Breakaway RIAs

Track 2: New or Breakaway RIAs
Track 2: Panel: What to consider before going RIA, or joining an RIA
11:40 am  to  12:30 pm

RIAs have increased freedon and control but they need to make sure they understand how to deal with compliance, technology, custody, and legal including applicable state and federal rules.

Speakers:
Kyle Hiatt. EVP Business Development. Orion Adviser Tech.
Matt Matrisian. SVP, Chief Channel Officer. AssetMark.
Christopher Winn. CEO. Advisor Assist.
Chuck Failla. Principal. Sovereign Financial Group.
Coffee/ Lunch Break
12:30 pm  to  12:45 pm
“Fee Based Everything”: A deep dive on the various investment and insurance options optimized for RIAs
12:45 pm  to  1:35 pm

RIAs are not tied to any broker dealer which means the advice is truly objective, no proprietary products.  What is offered is service!

Speakers:
Mike Flinn. National Sales Manager, Advisor Trust Services. BOK Financial.
David Lau. CEO. DPL Financial Partners.
Matt Ohme. SVP, Channel Head. Allianz Life.
Andrew Rosenberger, CFA. Vice President, Senior Portfolio Manager,. Brinker Capital.
Chuck Failla. Principal. Sovereign Financial Group.
RIA Tech: Essential Tools for Building Your Advisor Tech
1:35 pm  to  2:25 pm

WIth so many options, it is nearly impossible to get started selecting your tech. Which technology offerings are really worth the investment? What tools will be fundamental to running your business? How do all these tools work together? 

Speakers:
Adam Boyer. SVP, Digital investment Advice. Emotomy.
James McClenahen. Senior Manager, Product & Development,. SS&C Salentica.
Mike McDaniel. CoFounder & CIO. Riskalyze.
Connor Sung. Manager, Practice Management. eMoney Advisor.
Nicole Casperson. Fintech Reporter. InvestmentNews.
Break
2:25 pm  to  2:30 pm

Track 1: Established RIAs

Track 1: Established RIAs
Track 1: Panel: Cashing out: Succession planning, transfer ownership, P/E investment
2:30 pm  to  3:20 pm

At the latest count, more than 100,000 RIAs are looking to retire in the near future.  Our panel will discuss the variety of ways RIAs can cash out.

Speakers:
Kay Lynn Mayhue. President. Merit Financial.
Bob Oros. CEO. Hightower.
Steve Young. President & Co-Founder. HGGC.
Jeff Benjamin. Senior Columnist. InvestmentNews.

Track 2: New or Breakaway RIAs

Track 2: New or Breakaway RIAs
Track 2: Panel: Working ON Your Business - Identify Gaps in your People, Practice, Process.
2:30 pm  to  3:20 pm

Best practices for RIAs who, as small businesses, need to identify the gaps in people, practices and process.

Speakers:
George Acheampong. Founder & Managing Partner. Capitalwize.
Duncan MacPherson. CEO. Pareto Systems.
Penny Phillips. co-Founder and President. Journey Strategic Wealth.
Jackie Wilke. VP, Advisor Consultant. First Trust.
Chuck Failla. Principal. Sovereign Financial Group.
When, why and how to successfully use TAMPs
3:20 pm  to  4:10 pm

Approximately 25% of advisers are now turning to TAMPs for portfolio accounting and reporting to allow them more time for client advice.

Speakers:
Erich Holland. SVP, Head of Distribution and Engagement. SEI.
Tom McCarthy. SVP National Sales Strategy Leader. AssetMark.
Andrew Stavaridis. Executive Managing Director. Envestnet.
Nicole Casperson. Fintech Reporter. InvestmentNews.
Day One Wrap Up
4:10 pm  to  4:15 pm