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7:30 - 8:15 AM Registration and Breakfast in Exhibit Hall with Sponsors
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8:15 – 8:30 AM Welcome Address
Jamie Green, Editorial Director, Investment Advisor
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8:30-9:30 AM KEYNOTE
Which Crisis to Solve?
With his unparalleled command of the industry, the CEO of Pershing Advisor Solutions explores how the Wall Street crisis recasts the business challenges for advisors, describes the scope of the main impediment to firms’ future profitability—finding good people—and suggests how advisors should best react to both crises.
Mark Tibergien, CEO, Pershing Advisor Solutions, Columnist, Investment Advisor
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9:30-10:30 AM KEYNOTE
The Challenges of Growth—Findings of the 2008 Study
The 2008 Financial Performance Study of Advisory Firms revealed rapid growth among the 743 surveyed firms last year in terms of clients and AUM, but plans for continued growth hinge on finding new talent and forming realistic succession plans. Speaking now as head of Moss Adams’s own wealth management firm, Rebecca relates how market-dominating firms got that way, and suggests how you can emulate those firms.
Rebecca Pomering, CEO, Moss Adams Wealth Advisors LLC
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10:30-11:00 AM Coffee Break in Exhibit Hall with Sponsors
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11:00 AM -12:00 PM Value and Performance
What are the keys to improving financial performance? The 2008 Moss Adams's Study found that better performing firms tend to price their services higher, but advisors should remember that building value in a practice doesn’t necessarily correlate with providing higher current income to the owner.
Dan Inveen, Senior Research Manager, Moss Adams LLP
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12:00-12:30 PM Luncheon in Exhibit Hall with Sponsors |
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12:30-1:30 PM LUNCHEON ADDRESS
Regulation After the Crisis—and Under the New Administration
A former SEC Commissioner explores how regulation of the industry in general and advisors in particular may change following the financial crisis and the election of a new President.
Roel Campos, partner at the Washington law firm of Cooley Godward Kronish, former Commissioner, U.S. Securities and Exchange Commission
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1:30-2:30 PM Laws of Attraction
Using his knowledge of Moss Adams’s data, and his first-hand experience at Fusion Advisor Network, Philip lays out the process of how to find the best partners and how to structure firm partnerships to meet all parties’ needs and expectations.
Philip Palaveev, President, Fusion Advisor Network
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2:30-4:00 PM Now and Then: How to Get Compliant Now and in the Post-Crisis New World Order
The veteran chief counsel of the SEC’s Office of Compliance Inspections and Examinations relates what the OCIE is looking for now in its inspections of RIAs, while the leading securities attorney for RIAs and B/Ds suggests how to read between the SEC’s lines to stay compliant in the future.
John Walsh, Chief Counsel, Office of Compliance Inspections and Examinations, U.S. Securities and Exchange Commission
Thomas D. Giachetti, Chair of the Securities Practice, Stark & Stark
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4:00-4:30 PM Networking Break in Exhibit Hall with Sponsors
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4:30-5:30 PM Growing Your Practice During Tough Times
Historically, unstable markets like the current one offer unprecedented growth opportunities for independent advisory firms. Angie will discuss how to position your firm to grow in down markets, and the pitfalls to avoid.
Angela Herbers, President, Financial Advisor Resource, Inc., Columnist and Blogger, Investment Advisor
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5:30-7:00 PM Cocktail Reception in Exhibit Hall with Sponsors |