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Oct

06

Oct

07

Welcome from the RIA Summit co-Chairs
11:00 am  to  11:10 am
Fireside Chat: What is Driving RIA Growth
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.  How long will this growth last?

Speakers:
Noreen Beaman. President. Orion Advisor Solutions.
Eric Clarke. CEO. Orion Advisor Services.
Chuck Failla. Principal. Sovereign Financial Group.

Track 1: Established RIAs | Sponsored by Envestnet

Track 1: Established RIAs | Sponsored by Envestnet
Track 1: Improving the Cost, Efficiency, and Integration of Custody
11:40 am  to  12:30 pm

Size and scale matters in order to provide the widest breadth of services at the lowest cost.

Speakers:
David Canter. EVP, RIA Segment. Fidelity Institutional.
Bernie Clark. Head of Advisor Services, Managing Director. Charles Schwab.
Marc Cohen. Executive Vice President, Advisor Solutions. LPL Financial.
Ben Harrison. Managing Director and Co-Head of Wealth Solutions. BNY Mellon | Pershing.
Liz Skinner. Special Projects Editor. InvestmentNews.

Track 2: New or Breakaway RIAs

Track 2: New or Breakaway RIAs
Track 2: Getting Started with Custody and Other Services
11:40 am  to  12:30 pm

Today's custodians not only execute transactions and hold and clear client assets, but they also can provide a wide spectrum of product, customer management, technology and service support to RIAs.

Speakers:
Greg Bruce. Senior Vice President & Head of RIA & Custody Services. Raymond James RIA & Custody Services.
Steve Earner. Senior Vice President, RIA Affiliation. LPL Financial.
Steve Gardner. Managing Director, RIA Distribution & Engagement. SEI.
Matt Matrisian. SVP Chief Channel Officer. AssetMark Institutional.
Chuck Failla. Principal. Sovereign Financial Group.
Coffee/ Lunch Break
12:30 pm  to  12:45 pm

Track 1: Established RIAs | Sponsored by Envestnet

Track 1: Established RIAs | Sponsored by Envestnet
Track 1: Valuation of RIA for M&A, PE or Succession Planning
12:45 pm  to  1:35 pm
Speakers:
Saurabh Desai. Principal. Lovell Minnick Partners.
Kay Lynn Mayhue. President. Merit Financial.
Elizabeth Nesvold. Managing Director, Head of Asset & Wealth Management Investment Banking. Raymond James.
Jeff Benjamin. Senior Columnist. InvestmentNews.

Track 2: New or Breakaway RIAs

Track 2: New or Breakaway RIAs
Track 2: How to Avoid Common Mistakes When Building a Compliance Program
12:45 pm  to  1:35 pm

A practical toolkit for new advisors trying to navigate the many challenges of building a compliance program from scratch.

 

Speakers:
Richard Chen. Founder. Richard L. Chen PLLC.
Ann Keitner. Assistant Vice President, Senior Compliance Consultant. Advisor Assist.
Chris Stanley. Founding Principal. Beach Street Legal LLC.
Mark Schoeff. Senior Reporter. InvestmentNews.
Panel: Advisers on the Move: Latest Trends in Adviser Recruiting
1:35 pm  to  2:25 pm

More than 4,000 advisers and brokers switched firms during the first quarter, up 11% from the first quarter of 2020. Hear the latest trends in compensation levels, packages, ownership %, and diversity of pipeline.

Speakers:
Lazetta Rainey Braxton. co-CEO of and CEO. 2050 Wealth Partners and Lazetta & Associates..
Ryan Shanks. co-founder & CEO. FA Match.
DeLynn Zell, CFP. CEO & Founder,. Bridgeworth Wealth Management.
Devin McGinley. Senior Research and Data Analyst. InvestmentNews.
Break
2:25 pm  to  2:30 pm

Track 1: Established RIAs | Sponsored by Envestnet

Track 1: Established RIAs | Sponsored by Envestnet
Track 1: RIA Tech - Fitting New Products into Your Tech Stack
2:30 pm  to  3:20 pm

As younger generations begin demanding the newest technology and digital tools for investing, advisors will have to be smart about how they implement these changes. It is not enough to have each of the requisite pieces. Advisors need to have a clear vision of what they want their technology to achieve, and each piece needs to work in concert with the others - Portfolio management, financial planning software, customer relationship management (CRM), and alternative investment sourcing and execution

Speakers:
Ryan Alexis. Senior Director, Client Support. Black Diamond Wealth Platform.
Adam Boyer. Head of Business Development. Emotomy.
Kartik Srinivasan. Director | 3rd Party Integration. Charles Schwab.
Nicole Casperson. Fintech Reporter. InvestmentNews.

Track 2: New or Breakaway RIAs

Track 2: New or Breakaway RIAs
Track 2: What Technology to Consider When Starting Up
2:30 pm  to  3:20 pm

Join the discussion with a leading tech partner and some recent breakaway advisors to hear their stories – “must-haves”, “nice-to-haves”, “differentiator products”.

Speakers:
Ryan Donovan. SVP Business Development,. Orion Advisor Services,.
Jeff Benjamin. Senior Columnist. InvestmentNews.
Amir Monsefi. Co-Founder, CEO. Aire Advisors.
Day One Wrap Up
3:20 pm  to  3:30 pm