ADISA Career Center

Agenda

*As of 10/6/15

Monday, October 12

7:30 am-12:00 pm ADISA Foundation Golf Outing
11:30 am-12:45 pm Women in the Industry Initiative (Program and Lunch)
 
Women Mean Business – How Women Can Maximize their Business Opportunities
and Create Strong Networks to Increase Value
A discussion about how women can create networks and business opportunities, including leveraging their experiences and skills to create value.  An interactive session invites audience participation and Q&A.  
  Moderator:  Deborah Froling, Arent Fox
Speakers will include: Mindi McClure, Freedom Capital; Jan Ryan, Axxcess Capital; Barbara Halper, FactRight; Catherine Bowman, The Bowman Law Group 
  Mont Royal 1
1:00-1:55 pm (1) What is the Critical Path to Building a Sponsor: From Capital, Offering Structure, Team Members and Establishing Distribution Channels, What are the Steps to Success?
 
(2) Due Diligence -- Analysis of Alternative Investment Offerings: How to Determine the Legitimacy of Projections and the Probability of Return of Capital (3) RIAs: Building Your Brand and Managing a Dynamic and Diversified Practice (4) Fundamentals of DPPs
 
Come hear seasoned industry professionals discuss the various considerations in setting up a new sponsor, including how to determine an investment strategy, select a capitalization structure and offering vehicle, determine the timing of offerings, select a managing broker-dealer and due diligence firm, and create and develop your branding and marketing strategy, etc. Topics of discussion will also include:
• What offering types and structures are having success in today’s market?
• What typical ‘flaws’ seem to keep offerings from being successful?
• What legal and operational hurdles or restrictions are then when distributing in the RIA channel?
• Do you need a managing broker-dealer or can a sponsor be as effective marketing on their own?
• Which wholesale structures works best (internal vs. external; single-sponsor vs. multi-sponsor marketing teams, open architecture, etc.)? 
• How do you manage the sales process to be effective and efficient?
• What is the role of national accounts in the distribution process and does a sponsor need a national accounts team? 
• How do you utilize a website and email to build your brand?
• How do you design marketing materials and what legal limitations are there?
• What is the role of the sponsor in marketing an offering?
• What are the costs to market a typical offering?
• How long does it take to build a presence and establish an effective distribution channel?
 
This session is intended to be a hands-on review and discussion of projections. Attendees are encouraged to bring their laptops to participate in the analysis and discussion.  Attendees will hear an in-depth discussion and learn about the following key areas from our panel of due diligence analysts and sponsors: 
• Analysis and review of a DPP and the probability of  attaining the projected returns;
• Discussion of various REIT asset classes - and how to determine which ones may be best suited for your clients’ portfolios;
• Projecting returns among different blind pool sponsors; and
• Key steps to address and reduce portfolio risk in an ever-changing economic and regulatory environment.
 
What are some of the key challenges to building your brand and managing a dynamic and diversified practice? In this informative session, hear expert speakers discuss marketing strategies to showcase your firm. Learn about tips and techniques to help transform marketing and branding for prospects, clients and centers of influence. Learn best practices to help integrate public relations and social media to provide meaningful traction in brand awareness, strengthen client relationships and increase your access to centers of influence for referrals to help drive leads. Panelists will discuss how to manage demands on your time and resources to streamline your practice. What are some of the most important marketing, branding and prospecting considerations for a smaller RIA vs. a larger one? Participants will learn about impactful tools that can help to manage and expand your brand outreach to clients and prospects, and ultimately drive sales.
 
This session will identify detailed aspects of the DPP structure. We will examine typical varieties of offering structures and the corresponding related potential benefits and risks associated with investments in DPPs. Examples of topics covered will be the investment process of sales, suitability and required disclosures. Panelists will identify how certain rules and regulations apply to the various types of offerings and why due diligence is an absolute critical part of the process to identify potential risks. DPPs cover a wide variety of industry sectors, including, but not limited to, real estate, energy, equipment and commercial debt. Because they have a low correlation to traditional asset classes, they can provide excellent diversification to a portfolio heavy in stocks when positioned correctly. Generally speaking, DPPs are traditionally illiquid and difficult to value; thus, considered a risky proposition, but they absolutely have their place in an investment portfolio. This session will also address the legal, tax and regulatory issues surrounding DPP offerings. This is a not-to-be-missed session with some of the best minds in the industry!
 

Moderator: Alyson Harter, LeClairRyan

Participants: Jim Hynes, Rockspring Capital; Rick Chess, Chess Law Firm; Louis Rogers, Capital Square Realty Advisors

Moderator: Dana Woodbury, Buttonwood Investment Services

Participants: Matthew Iak, U.S. Energy Development Corporation; Dustin Zachmeyer, Griffin Capital Corporation; Thayer Gallison, AIG Advisor Group

Moderator: Maksim Netrebov, Maks Financial Services

Participants: Rajeev Kotyan, Innovative Advisory Group; Fred Baerenz, AOG Wealth Management; Robert Antonio, Antonio Financial Group
 

Moderator: Brandon Balkman, Orchard Securities

Participants: Greg Mausz, Preferred Apartment Communities; Matt Leszyk, SQN Capital Management; Michael Roman, Megatel Capital Investment

  Nolita 2 Nolita 1 Mont-Royal 2 Nolita 3
2:00-2:55 pm (5) BD/RIA/RR/IAR Bootcamp Part 1 -- Before You Start: Resolving Operational & Regulatory Compliance Issues (6) Emerging Structures: Registered Investment Companies, Interval Funds, Closed-End Funds and MLPs (7) Best Practices of DPPs (8) Portfolio Theory: What Does it Mean to Build a Diversified Alternative Investment Portfolio?
 
When it comes to alternative investments, it only takes one mistake or a simple oversight to give state regulators, SRO auditors, and arbitration attorneys the ammunition they need to win significant fines from you and your firm. Before taking on the additional career and regulatory risk inherent in the usage of alternative investments in your business, make sure your internal procedures are defensible.  This session will cover critical operational and regulatory compliance issues that must be resolved before the first alternative investment is approved.
 
Registered investment companies, interval funds, closed-end funds and master limited partnerships (“MLPs”) are increasingly emerging as popular investment vehicles for investors. Join us for a discussion on these and other evolving product structures. The panel will begin the discussion with an overview of the legal and regulatory landscape related to these products, followed by a conversation regarding the opportunities they present to sponsors and investment managers to bring distinctive vehicles to the market.  The panelists will also discuss the risks and benefits which should be considered, as well as the strategies and best practices in the development of these programs in order to align with today’s marketplace.
This session will identify best practices with respect to working in the arena of Regulation D Private Placement Offerings. The panelists will provide an outline of the key fundamental elements that should be considered and evaluated when reviewing and prior to working with a private placement offering. Industry experts will share their best ideas for what really works when it comes to implementing DPPs into one's practice.  Collectively, industry participants including issuers, sponsors, broker-dealers, registered representatives, investment advisors, attorneys and third-party analysts can participate and play key roles by providing essential input on how to conduct proper due diligence and evaluate investment offerings due to the unique nuances in each program.  Because they have a low correlation to traditional asset classes, DPPs can provide excellent diversification to a portfolio heavy in stocks when positioned correctly. The key is learning from the best - and the panelists are here to answer your questions for one day only!
 
This session will be an interactive panel discussion on best practices for implementing a diversified alternative investment strategy into a client's portfolio. A diverse panel of broker-dealer and RIA due diligence officers and financial advisors will outline their process for identifying alternative sectors best suited for different economic times. The panel will then present their best practices for using different alternative investments to build a portfolio that will weather predicted trends, as well as complement each other and balance out risk and return; all while keeping the client's risk tolerance and investment objective in the forefront. A sample portfolio will be modeled.
 
 

Presenter: Darren Whissen, Atomi Financial Group

Moderator: Kathy Lawrence, Kaplan Voekler Cunningham & Frank

Participants: John Grady, RCS Capital Corporation; Randy Anderson, PhD, Griffin Capital Corporation; Scott Smith, FactRight

Moderator: Melissa Sanders, Sanders Consulting

Participants: Matt Sharp, Hamilton Point Investments; Tim Toole, NorthStar Securities; Bill Winn, Starboard Realty Advisors

Moderator: Mark Jewell, National Planning Holdings

Participants: Frank Muller, Provasi Capital Partners; Daniel Wildermuth, Kalos Financial; Richard Rodriguez, TADA Wealth Advisors
 

  Nolita 1 Mont-Royal 2 Nolita 2 Nolita 3
3:00-3:55 pm

(9) BD/RIA/RR/IAR 
Bootcamp Part II -- Investor Suitability and Transaction Compliance

(10) Adding Value with Investment Administration (11) Marketing Non-Traded Energy Update: Best Practices & Pitfalls (12) Fundamentals of a 1031 Exchange
 
Building from Boot Camp Part I, this session will take a deep dive into investor suitability and transaction compliance. If you are a broker-dealer, registered representative, RIA and/or an IAR, this session is designed to provide details and information on nuances in determining investor suitability and transaction compliance. Attendees will also hear a review of a recent situation where a broker-dealer was fined even though investors lost no money. The review and discussion will provide insight into key areas that regulators are looking at. The session concludes with an overview of two documents that can help defend against audits and arbitrations:  1) alternative investment transaction checklist; and 2) alternative investment purchase authorization and disclosure form.
 
A financial planner’s investment relationship with a client – and the potential financial liability - can seem to be forever; why not make it profitable? Learn how to share the responsibility with sponsors, broker-dealers, registered representatives, registered investment advisors, financial advisors and other impacted parties. What are the rules, regulations and responsibilities impacting your choices? How do you obtain needed information from sponsors, transfer agents and investment administrators? 
 
• Power of follow-up – How quarterly reporting can reveal investment appetite
• Power of information – Properly delivered, timely information can drive additional investment
• Power of routine – Ease selection, training, and oversight of administrative personnel 
• Power of technology – Ease access to information and control cost 
This multi-faceted session will explore the opportunities, best practices, and common mistakes associated with the marketing of non-traded energy products to retail clients. This session will begin with a general overview of the non-traded energy product landscape and will examine: (i) where certain energy products may be suitable for certain investor clients, and (ii) how an advisor might go about the task of sourcing and evaluating potential leads for such products. The panelists on this session will also address common mistakes that are made in relation to the promotion and marketing of such products in sales presentations and in written marketing materials. Following the educational discussions, the session panelists will present an entertaining yet educational dramatization of an oil and gas sales presentation in an effort to highlight common sources of investor confusion and common sales presentation mistakes. This session will appeal to registered representatives and financial advisors that actively sell non-traded energy products or are considering adding such products to their offered services, as well as financial services firm personnel who are required to regulate product sales practices.
 
This session will be a basic foundational overview for those who have not participated in the 1031 exchange market and would like to add it to their business. As a basic education and training session, the attendees will hear from a panel of experienced exchange professionals and learn about the various elements of this growing marketplace. In addition to the areas to be covered listed below, attendees will have the opportunity to hear the panelists discuss the details of an exchange in a case study.
• What is a 1031 exchange and why do you do it?
• Debt or no debt
• Step up basis, leverage & depreciation
• Single property vs. portfolio DSTs
 
 

Presenter: Darren Whissen, Atomi Financial Group

 

Moderator: Rick Chess, Chess Law Firm

Participants: Mark Lancaster, Great Lakes Fund Solutions; Aubrey Morrow, Independent Financial Group; Doug Schriner, FA Risk Management; Jacob Mohs, FR Risk Management
 

Moderator: Brad Updike, Mick Law

Participants: Woody Soemantoro, MDS Energy Development; Connie Marie Love, John Henry Oil Corporation; Fred Baerenz, AOG Wealth Management

 

Moderator: Warren Thomas, ExchangeRight

Participants: Michael O'Toole, AEI Capital Corporation; Adriana Olsen, Passco Companies; Trevor Gordon, Sandlapper Securities
 

  Nolita 1 Nolita 2 Mont-Royal 2 Nolita 3
4:30-5:15 pm
Conference Kick-Off and Awards
  Belmont 4, 8
5:15-6:00 pm General Session I: Mark Spitz
  Mark Spitz is a living sports legend, most remembered by his astonishing win of seven gold medals at the 1972 Olympic Games in Munich, Germany. Between 1965 and 1972, he won a total of 11 Olympic medals, and set 33 world records. In the 80s Mark was one of the largest residential real estate developers in Southern California and was involved with an 8-figure apartment development in Hawaii during this time as well. As the real estate market started slowing down, he shifted his focus to the stock market. He became a stock broker and now concentrates in private equity.
  Belmont 4, 8
6:00-7:00 pm Cocktail Reception
  Exhibit Hall 
 


Tuesday, October 13

7:30-8:30 am Breakfast and Exhibitor Deep Dives
  Exhibit Hall
8:30-9:15 am General Session II: Alts Market Update
  An informative, fast-paced presentation on the latest developments and future trends occuring in your favorite alternative investment product. Whether you favor energy, real estate, REITs, BDCs or private equity, this is vital information you need to know.
 

Moderator: Rick Murphy, Berthel Fisher

Panelists: Ken Johnson, Florida Atlantic University; Craig Porter-Rollins, LJCooper Wealth Advisors; Kevin Gannon, Robert A. Stanger & Co.; Fred Stoleru, Atlas Resources

  Belmont 4, 8
9:25-10:15 am (13) Real Estate Asset Classes Today and Where They Are Going Tomorrow: Industrial, Office, Retail, Lodging and Multifamily   (14) What Does
15-02 Mean to You?
(15) BDC Due Diligence: How to Evaluate (16) 1031 Exchanges: What You Need to Know About Client Suitability and Tax Analysis
  This session will be a discussion about what is happening with respect to various asset types in commercial real estate: industrial, office, retail, lodging and multifamily. The panelists will discuss the uniqueness of the various asset types and their performance in the current economic environment. In addition, the panelists will discuss current valuation issues and highlights of the future for the product type with respect to securities offerings. The audience will also hear the panelists review cap rates and how they impact value, current pricing, issues related to product types, and capital markets issues related to financing of commercial real estate projects. Recently, NASD Rule 2340 and FINRA Rule 2310 were amended to promote greater transparency for shareholders of DPP and unlisted REIT securities. These rule changes concern customer account statements related to per share values for these types of alternative investments. Join this comprehensive industry discussion about the potential impact of NTM 15-02 and its bearing on alternative investments and your business. Hear how industry participants view the amendment’s potential to stimulate change and how it may impact business. Hear the panelists discuss best practices and compliance with regard to the new requirements.
As a greater number of BDCs enter the marketplace, proper due diligence becomes even more important. Join this session to hear how broker-dealers, RIAs, and third-party due diligence providers approach BDC due diligence. This session will examine key methods and measures used to evaluate the benefits and risks of BDC offerings. The panelists will explore key differentiators of BDC investment strategies and discuss fundamental due diligence techniques for review of performance measurements, managers, and portfolio composition.
 
This is an advanced session which will focus on specific 1031 sales techniques and unique strategies including:  
• How to combine and identify multiple properties
• Utilize a drop & swap 
• Midnight mortgages
• Step up basis & how to track it
• Overview of 1033 exchanges
 
During this session attendees will also hear the panelists discuss other advanced elements of an exchange, including: 
• Combining deals (Excel file)
• Identifying with a qualified intermediary
• Multiple properties
• 200% rule
• 1033 time tables
 
 

Moderator: Daniel Oschin, Shopoff Realty Investments

Participants: Peter Scola, Cantor Fitzgerald; Corey Maple, Lodging Opportunity Fund, REIT; Todd Silver, Archon Capital Management

Moderator: Jay Steigerwald, W.P. Carey

Participants: Mike Shustek, MVP Realty Advisors; Michael Miller, Sigma Financial; Brandon Reif, Winget Spadafora & Schwartzberg; Bill Shopoff, Shopoff Realty Investments

Moderator: Matt Malone, Franklin Square Capital Partners

Participants: Todd Snyder, SK Research; Todd Van Pelt, Cambridge Investment Research; Kristopher Studebaker, NFP Advisor Securities

 

Presenters: Tim Snodgrass, Axxcess Capital; Mark Kosanke, Concorde Investment Services

 

  Nolita 2 Nolita 1 Mont-Royal 2 Nolita 3
10:15-10:40 am Break and Exhibitor Deep Dives
  Exhibit Hall
10:40-11:30 am (17) Global Investing in Today's Economic Climate (18) The Interplay Between Non-Traded REIT Valuations and Liquidity Events (19) Financial Planning with Energy Products: IRAs, Estate Planning, and Missed Income Tax Planning Opportunities (20) What Financial Advisors Need to Know about Life Settlements: Market Overview
 
With today’s ever-changing world, it has become important to understand the challenges of global investing and global investments. This session will include a broad-based discussion on investments made in foreign countries by U.S. citizens, as well as foreign investments made within the U.S. What are the unique challenges for broker-dealers, RIAs, financial advisors and sponsors when considering these types of investments? What structures work best for global investing? Are there certain structures, environments and regions which should be avoided? Are there special regulations which must be adhered to and complied with? Learn how your business should approach both investing overseas and foreign investors who wish to invest in the U.S. Hear experts discuss practical approaches, as well as real-world experiences with global investing. This panel will also discuss practical considerations for including global investments in retail client portfolios.
This session is a review of what investors should expect from a non-traded REIT when it executes a liquidity event.  The panel will discuss how the values from the original offering price through completion of the offering may impact the liquidity event or the final trading price.  Attendees will also hear the panelists discuss changing market trends that include, increased holding periods and client expectations.
 
This session is designed to discuss “comprehensively” how various non-traded energy products work in respect to IRAs and qualified retirement plans, how such energy products may affect a client’s estate planning objectives, and what income tax planning opportunities are presented and sometimes neglected in respect to such investments.  While this session is designed to cater to registered representatives, financial advisors, and family offices that manage investor capital and assets, the session will also appeal to individuals that must consider the suitability implications of such investments (i.e., DDOs and firm compliance personnel).  Among the taxation and financial planning topics to be discussed include:  (i) IDCs and other E & P related deductions; (ii) UBTI implications of non-traded energy investments for IRAs and qualified money; (iii) annual fees, filings, and compliance requirements that apply to investors that use IRAs and qualified money to invest in non-traded energy products; (iv) estate planning valuation discounts associated with non-traded energy investments; (v) what non-traded energy investments generate active, passive and portfolio income and deductions; and (vi) what issues are often overlooked by advisors  in the suitability and tax planning process in relation to such investments.
The secondary market for life insurance is experiencing growth. A considerable aspect of the growth in life settlements is due to our aging population and the basic need to meet post-retirement financial requirements. During this session, attendees will learn about life settlements, and how this non-correlated asset class can be used to repurpose a client’s unwanted, unneeded or unaffordable assets. Hear how transacting a life settlement can help assist in diversifying alternative investment portfolios.  Because life settlements fall within a highly regulated marketplace, attendees will learn about the aspects of regulation impacting policy owners and investors, as well as unique consumer protection features. Attendees will also hear a discussion about why a growing number of states are encouraging the disclosure of a life settlement option as a matter of public policy.
 

Moderator: Shimshon Plotkin, Plotkin Financial Advisors

Participants: Andrew Winer, ARC Global Trust II; David Steinbach, Hines Global REIT II; Rajeev Kotyan, Innovative Advisory Group
 

Moderator: Dan Breen, Pacific Partnership Group/Signal Securities

Participants: Nancy Wilson, Partnership Marketing Co./Financial West Group; Rosemarie Thurston, Alston & Bird; Patrick T. Craig, Marshall & Stevens; Bill Miller, Cole Capital

 

Moderator: Brad Updike, Mick Law

Participants: Jack Hollander, Atlas Resources; Robert Bories, Gulf South Holding; Matthew Iak, U.S. Energy Development Corporation

 

Moderator: Brent Barton, Emerson Equity

Participants: Michael Freedman, GWG Holdings; Darwin Bayston, Life Insurance Settlement Association (LISA); David Wood, Moloney Securities
 

  Mont-Royal 2 Nolita 1 Nolita 2 Nolita 3
11:40 am-12:30 pm (21) FrackNation: A Discussion About the Industry and the Media from the Man Behind the Film (22) Cyber-Security, Privacy and Handling Client Data (23) Regulation A+: The Evolving Business Models of Issuers and Financial Professionals in Today's Regulatory Environment (24) It's All about the Distributions -- What You Need to Know about Non-Traded REIT Distribution Composition and Suitability
 

Phelim McAleer is a leading journalist, producer and director of documentary films. Come hear McAleer discuss his documentary related to our industry, “FrackNation.” McAleer will talk about how misinformation, inaccuracies and misrepresentations impassioned him to deliver the truth about fracking in the energy industry. The New York Times called the film “meticulously researched ... provocative.” You will also hear McAleer discuss his experiences raising capital via crowdfunding for FrackNation and other projects. Learn how crowdfunding worked and if it is the wave of the future for similar projects.

If you think that cybersecurity, privacy and handling customer data is the IT department’s problem, think again. “It’s not my job” or “I’m not a techie” is going to fall on deaf ears. Regulators are beating the drum about these responsibilities being at least shared. Ask yourself, when enforcement actions come, who is going to get tagged – the non-registered IT guy or the registered person? Even among registered people, compliance and management have definite exposure, but registered reps, especially independent registered reps with their own devices/infrastructure, will see enforcement or internal discipline for lax compliance. As with certain other areas of enforcement, a lack of complaints or harm will not stop the onslaught where gaps in systems, procedures and actual practice exist. Come to this panel to learn about current issues in cybersecurity and handling client data, from broader global and industry concerns down to practical steps that you can incorporate into your life to improve your business and personal security. The JOBS Act, and in particular Reg A+, brought dramatic changes in securities rules and methods for distributing alternative investments. While interest abounds in using Reg A+, many issuers and financials professionals are still confused as to how to incorporate Reg A+ into their current operations. The panelists’ discussion will include: 1) regulatory considerations for broker-dealers and RIAs; 2) who the target investors are for such offerings; 3) when to use Reg A+ vs. another exemption; 4) how to integrate Reg A+ with other product offerings; and 5) how to leverage Reg A+ in order to maximize the growth of your business. This panel will explore these and other questions, as well as discuss the potential for the development of secondary markets. 
Whether or not an investment in a non-traded REIT meets its overall investment objectives is largely dependent upon the ability of the REIT’s operating activities to support, generate and sustain an attractive and sustainable stream of distributions. Hear the panelists discuss how distributions are a function of both pre-acquisition and post-acquisition dynamics that the sponsor or advisor controls. This session will evaluate the current spectrum of non-traded REIT distribution levels during and after the time the shares are offered to the public. Hear the panelists discuss the various drivers which impact distribution levels. Learn how to evaluate the sustainability of those distribution rates (including FFO/AFFO/MFFO), and the impact of potential over distributions during a non-traded REIT’s offering period. Attendees will also learn why advisors and investors alike lean toward rewarding non-traded REITs that deliver attractive and sustainable distributions, or offer growth oriented distributions after the offering period terminates. Attend this session to gain a better understanding of the variables that can determine whether a non-traded REIT is poised for success, or if it will underperform expectations.   
 

Facilitator: Brad Updike, Mick Law; Alyson Harter, LeClairRyan

Presenter: Phelim McAleer, journalist, film producer and director

Participants: Kevin Hull, Robert A. Stanger & Co.; Kamal Jafarnia, W.P. Carey; Tom Embrogno, Docupace Technologies

 

Moderator: Robert Kaplan Jr., Kaplan Voekler Cunningham & Frank

Participants: Matt Leiter, GK Development; David Dobkin, Alternative Securities Markets Group; Brian Balbirnie, Issuers Direct; Rich Backus, BB&T Capital Markets

 

Moderator: Rick Vitale, Hartman Income REIT

Participants: Todd Snyder, SK Research; Bryan Mick, Mick Law; Kevin Gannon, Robert A. Stanger & Co.

  Nolita 3 Nolita 1 Mont-Royal 2 Nolita 2
12:30-2:00 pm
Lunch and Exhibitor Deep Dives
  Exhibit Hall 
12:30-1:15 pm
Publications & Standards Committee Meeting
  Nolita 3
12:30-1:15 pm Legislative & Regulatory Commitee Meeting
  Nolita 2
12:30-1:15 pm Education Committee Meeting
  Nolita 1
1:15-2:00 pm Membership & Marketing Committee Meeting
  Mont-Royal 2
1:15-2:00 pm Conference Planning Committee Meeting
  Nolita 1
2:00-2:50 pm (25) Best Applied Research on Alternative Investment Topics

(26) Valuation Methodologies and Alternative Commission Structures for DPPs and Non-Traded REITs

(27) Infrastructure and Equipment Financing in the Post-Credit Crisis World (28) Today's BDCs: Understanding the Benefits and Various Strategies of Leading Business Development Companies
 
Come hear the latest research on two important issue for our industry: 1) real estate market updates, and 2) ground-breaking research on aspects of like-kind exchanges (1031s). Top professors from business schools have compiled and made clear surprising results on these topics which are important to your business -- presented in a session kept moving and relevant by industry leaders.  
 
This session will incorporate a discussion and comparison of the two different valuation methodologies for DPPs and non-traded REITs: net investment and appraisal. Learn how the two valuation methodologies differ and why they may be utilized in certain investment situations. In addition, the panel will discuss alternative commission structures, including trailing commissions and other changes in offering structures that could be forthcoming as a result of new reporting requirements. Learn if the panelists see significant changes to future offering structures forthcoming.     
The credit crisis is over but the credit markets have not fully rebounded. Attend this session to learn about the latest product innovations in infrastructure and equipment financing that are helping to stimulate economic growth. Interact with this panel of seasoned specialists as they discuss the innovations and opportunities that have emerged to fill this space. Hard asset investments can be secured by accounts receivable, inventory, machinery, equipment and/or real estate and more. Learn how these types of products can help diversify your clients’ portfolios. This session will also explore and the panelists will discuss the benefits that these types of investments can provide when they are part of your clients’ investment portfolios. Attendees will also learn about the various stages of the investments, including what to expect during liquidation. 
Business Development Companies (BDCs) offer investors the opportunity to diversify their portfolios with debt investments for stable and attractive income. In today’s alternative investment market, there are a number of BDCs which you can choose from when considering an investment opportunity for your clients.  Hear the panelists discuss differentiated investment strategies, portfolio construction, and management styles found in today’s BDCs.  Join this session to hear from a panel of industry experts, and gain an understanding of the benefits BDCs provide versus other types of offering structures, and learn about the various investment approaches currently being deployed.
 
 

Facilitator: Randy Anderson, PhD, Griffin Capital Corporation

Presenters: Ken Johnson, PhD, Florida Atlantic University; Milena Petrova, PhD, Syracuse University

 

Moderator: Catherine Bowman, The Bowman Law Firm

Participants: Dustin Zachmeyer, Griffin Capital Corporation; Patrick T. Craig, Marshall & Stevens; Martin Dozier, Alston & Bird

 

Moderator: Carmine Cozelino, SQN Securities

Participants: Charles Albert, Advisory Group Equity Services; Brian Buehler, Triton Pacific; Kurt Tesh, Kalos Financial
 

Moderator: Derek Peterson, Terra Capital Partners

Participants: Brian Mitts, Highland  Capital Management; Matt Malone, Franklin Square Capital Partners; John Grady, RCS Capital Corporation

 

  Nolita 3 Nolita 2 Mont-Royal 2 Nolita 1
3:00-3:50 pm (29) How to Use Technology to Market Your Firm, Product and/or Services (30) 1031 Advanced Discussion: Asset Classes, Taxes & Exit Strategies (31) Can We Be Frenemies? The Impact of "Crowdfunding" on the Industry and Other Aspects of the JOBS Act (32) Energy: The Big Picture
 
Whether you are a sponsor, broker-dealer, registered representative, RIA or investment advisor representative, you need to know how to use the latest technology and tools to market your firm, product and services. Learn how to use these marketing solutions/tools efficiently, successfully and stay compliant with industry rules and regulations. Do you know how to utilize web analytics? Learn about website optimizers and SEO tools. Are you utilizing the right email service? Do you know how to use email marketing effectively?  Learn the proper ways to use email (content, email design, best practices, building call to actions, target audience, CANSpam and more), as well as what to look for in a service provider. Social media (Facebook, LinkedIn, Twitter) best practices will also be discussed.
This is an advanced session dedicated to discussing the exchange market cycle and how various asset classes perform within it. This panel of exchange professionals will cover advanced topics of exchanges, including: an update and  status discussion of full cycle programs, the market cycle, the use of 721 UPREITs, and the changing nature of commissions compared to associated risks. Have crowdfunding opportunities impacted broker-dealers and RIAs? Are sponsor distribution channels shifting away from traditional sources through broker-dealers and RIAs? Can crowdfunding offerings compete side-by-side with traditional distribution channels? There is a saying that one should keep their friends close and their enemies closer. Can broker-dealers, RIAs and crowdfunding be friends? Learn what may be next on the horizon for crowdfunding distribution.
In this session, attendees will learn valuable information pertaining to energy programs in the following areas:  
 
• How do oil and gas programs differ from other alternative investment programs?; 
• What are the key differences between drilling, royalty and lease position programs?; 
• How do the various types of programs differ from both a structure and tax benefit perspective?
 
Join this session to learn about the big picture features of the various types of energy offerings and hear the panel of experts discuss relevant distinctions in each program type.
 
 

Moderator: Mike Kell, AI Insight

Participants: Richard Friedrichs, Financial Media Group; Jon-Eric Urseth, FactRight; Maksim Netrebov, Maks Financial Services

 

Moderator: Joe Nugent, Effective 1031 Planning

Participants: Dan Schaeffer, Cottonwood Residential; Bill Winn, Starboard Realty Advisors; Rahul Sehgal, Inland Private Capital Corporation
 

Moderator: Darryl Steinhause, DLA Piper

Participants: Elliot Newman, Directpost; Jilliene Helman, Realty Mogul; Scott Purcell, Fund America; Arthur Weissman, WealthForge

 

 

Moderator: John Farmelo, Bradford Energy Capital

Participants: Randy Kenworthy, Coachman Energy; Wolf Hanschen, Resource Royalty; Robin French, NorthSummit Energy

  Nolita 3 Nolita 2 Nolita 1 Mont-Royal 2
3:50-4:10 pm Break and Exhibitor Deep Dives
  Exhibit Hall 
4:10-5:10 pm (33) Non-Traded Energy Update: What are the Threats, Risks and Opportunities Today? (34) The Future of  Non-Traded REITs (35) Who's on First? A Roundtable Discussion Between Sponsors, Broker-Dealers, Investment Advisors, RIAs and Registered Reps about the Recruitment, Selection and Training of Personnel at Each Level of the Sale of Alternative Investments (36) Lions, Tigers and Self-Directed IRAs -- Oh My!
 
This session is designed to discuss the status of the U.S. and world energy markets, where markets may be heading, the special risks that low oil prices present to non-traded retail energy programs, and the investment opportunities that lower markets can present for strategic acquirers of mineral interests, development rights, and production-related assets. The panelists on this session will discuss what activities due diligence officers and analysts are undertaking to better manage the risks of challenged energy markets for their advisor clients and constituents. The attendees will hear the panelists discuss what activities sponsors are undertaking to make their product and offerings work better during these challenging times. 
In the last year, non-traded REIT sales have retreated from historically high sales levels due to several factors, including concerns related to regulatory changes. The value of including non-traded REITs in a client’s portfolio has not changed. The attributes of including non-traded REITs have never complemented portfolio construction more than in today’s market. It has been said that change breeds uncertainty, but the non-traded REIT industry has proven historically over the past 20 years to be very resilient. Hear the panel of experts discuss current industry rational, including ideas and concepts which can move this industry forward with a robust future. Attendees will hear the panelists discuss what may impact the future performance levels of non-traded REITs. Learn why compliance, fiduciary responsibility, legal issues, suitability and operational matters may impact non-traded REITs in the future. Attendees will also hear the panelists discuss the impact of volatility in the equity markets and the specter of increasing interest rates. The panelists will discuss the future of non-traded REIT structures and offering theories, as well as the potential impact of implementing reporting requirements under 15-02.
The sale of a suitable alternative investment to a client is a home run for the team.  While there are various factors, such as product, technology and procedures that are important to get each run across home plate, it is the people on the team that actually run the bases and cross home plate. Come join a roundtable discussion about the recruitment, selection and training of personnel at each level of the sale of alternative investments. The group will discuss tough topics such as age, sex and ethnicity. If you have an opinion, you are welcome to bring it to the discussion.  
This session will discuss the compliance and regulatory updates regarding holding alternative investments (non-traded REITs, Reg. D and BDC offerings) within retirement accounts. We will discuss potential UBIT implications, new IRS reporting requirements, impact of 15-02 and the proposed "fiduciary" guidelines. Custodian solutions and industry best practices will also be covered.
Topics covered include:
 
• When can UBIT or UDFI be applicable within a retirement account. 
• How can alternative investments be converted to a Roth IRA to maximize the tax benefit. 
• What impact will 15-02 have on IRA statements and reporting. 
• New IRS reporting requirements for custodians and what it means for advisors and their clients. 
• How the DOL's proposed fiduciary standards will impact the sale of alternatives within retirement accounts. 
 
 
Moderator: Justin Reich, APX Energy

Participants: Tom Hille, JRL Financial; Jacob Mohs, FR Risk Management; Ross Posner, Ridgewood Private Equity Partners

 

Moderator: Mark Earley, Hines Securities

Participants: Jay Steigerwald, W.P. Carey; Drew Dornbusch, NorthStar Asset Management Group; John Kearney, SK Research

Moderator: Deborah Froling, Arent Fox

Participants: Kimberlee Levy, Concorde Investment Services; Mike Bendix, DFPG Investments; Mindi McClure, Freedom Capital; Rahul Sehgal, Inland Private Capital Corporation
 

Moderator: Jason DeBono, NuView IRA

Participants: Klaus Siepmann, Gradient Securities; Eileen Lousteau, Pensco Trust Company; William McCance, Advisory Group Equity Services

  Nolita 3 Nolita 2 Nolita 1 Mont-Royal 2
5:15-6:15 pm
General Session III: Peter Ricchiuti
  Peter Ricchiuti is the business school professor you wish you had back in college. Teaching at Tulane University’s Freeman School of Business, his insight and humor have twice made him the school’s top professor. Peter started his career with the investment firm of Kidder Peabody and later managed more than $3 billion as the assistant treasurer for the state of Louisiana. In 1993, he founded Tulane’s highly acclaimed Burkenroad Reports student stock research program. Peter also hosts a popular weekly business show on National Public Radio in New Orleans titled Out to Lunch and recently published his first book Stocks Under Rocks.
  Belmont 4, 8
6:15-7:30 pm Cocktail Reception
  Exhibit Hall 
 

Wednesday, October 14

7:30-8:30 am
Breakfast and Exhibitor Deep Dives
8:30-9:30 am General Session IV: Legislative and Regulatory Update
  Industry experts and leading regulators and government officials discuss important issues, including the DOL Fiduciary Rules, the impact of 15-02, and latest legislative & regulatory developments.
 

Moderator: John Grady, RCS Capital Corporation
Participants: Ryan Smith, FINRA; Faith Anderson, Washington State Securities Division, Robin Traxler, Financial Services Institute

  Belmont 4, 8
9:40-10:30 am (37) Broker-Dealer Advisory Council (38) Marketing & Compliance for Sponsors: Staying in the Lines    
  This BDAC session will cover and discuss current issues in arbitration and what broker-dealers are seeing as the focus of recent FINRA reviews. There will be an open discussion on these relevant issues and other hot topic areas as well. Every sponsor wants to brand their company and product, but there are certain compliance boundaries and standards. What are the best practices for marketing and how do you stay compliant in today’s world with increasing regulatory oversight? This session will cover marketing and distribution techniques that will keep sponsors and their distribution channel compliant and help them conduct successful offerings.    
 

Moderator: 

Presenter: Kevin Hull, Robert A. Stanger & Co.

Moderator: Angela Ahlholm Strauss, NoMax Group

Participants: Mark Atchity, JCC Advisors; Damon Elder, Spotlight Marketing Communications; Russell Weigel, Russell C. Weigel, III, P.A.

 

 

 

  Nolita 2 Nolita 3    
10:30-11:00 am Break and Exhibitor Deep Dives
  Exhibit Hall 
11:00 am-12:00 pm General Session V: State of the Industry
Monsters That May be Under Your Bed
  Join us for an audience interactive session that debates and discusses with industry professionals those current industry issues that used to wake you up at night, but may soon prevent you from going to bed.
  Moderator: Darryl Steinhause, DLA Piper
Partcipants: Randy Anderson PhD, Griffin Capital Corporation; Mike Bendix, DFPG Investments; Tom Voekler, Kaplan Voekler Cunningham & Frank; Bryan Mick, Mick Law
  Belmont 4, 8
12:00-1:00 pm General Session VI: Keynote Speaker Karl Rove
  Belmont 4, 8