ADISA Career Center

Full agenda

As of 3/10/14

Track 1 Registered Representative
Track 2 Broker-Dealer
Track 3 RIA
Track 4 Sponsor
Track 5 Legislative & Regulatory
Track 6 REIT
Track 7 BDC
Track 8 1031
Track 9 Energy
Track 10 Alternatives & Structures
Track 11 DPP
Track 12 Special Projects

Sunday, March 16

1:00-1:50 pm Advisors' Tool Chest Part I: "Commercial Real Estate: A Practical Guide, from Cap Rates to Portfolio Structures" How to Evaluate and Select Sponsors Who Will Succeed: "A Broker-Dealer's Guide to Finding the Right Alternative Investment Sponsor" Non-Traded Investments Products 101 for RIAs: "An Educational Discussion about the Various Alternative Investment Classes Available" Strategies to Compete with your Sponsor Peers
  This session will provide basic training information abotu real estate investing, including: basic terminology, common evaluation methods, tax considerations, and what to look for when considering a real estate program as an investment in client portfolios. This session should provide basic knowledge along with practical steps and rules to invest wisely and protect a client's investment portfolio. The panelists will include a discussion of real-world experiences for investing in real estate today. The alternative investment industry can be lucrative, but a high percentage of new sponsors are not successful. They bring the right product to the market at the right time, and have the stamina to stay the course. This panel will cover the steps and elements to help identify sponsors most likely to succeed. Learn about the various alternative investment classes and how they can be utilized in your practice. Hear the panelists discuss various types of alternative investment offerings, including REITs, BDCs, LLCs, LPs and GPs. Learn about the different types of structures utilized with alternative investments. The panelists will also discuss the various types of programs and sectors to consider when building diversified investment portfolios. The alternative product marketplace has become far more challenging in recent years. There are more products than ever before, competing for attention at both the broker-dealer and advisor level. Effective sales and marketing strategies are needed to gain a competitve advantage. This session will explore solutions and provide current best practices of the most successful product sponsors to enable you to compete with sponsor peers
  Moderator: Paul Dunn, BlueRock Capital Markets
Panelists: Scott Crowe, Resource Real Estate; Larry Sullivan, Passco; Bill Winn, ValueRock Equity Realty Partners
Moderator: Jan Ryan, Ryan & Associates
Panelists: Rosemarie Leong, Sandlapper Securities; Chari Aweidah, FactRight; Dana Woodbury, Buttonwood Investment Services
Moderator: Dustin Zachmeyer, Griffin Capital
Panelists: Craig Gougis, South Coast Wealth Management; Robert Antonio, Antonio Financial Group; Brad Blazar, Waypoint Residential
Introduction: Brett Evans, Evans & Kob
Presenter: Paul Karasik, The Wholesaler Institute
2:00-2:50 pm Advisors' Tool Chest Part II: "Equipment Leasing, Oil & Gas & BDCs" Managing Broker-Dealer or Dealer Manager vs. Selling Manager: "The Allocation of Responsibility"
RIA Due Diligence and Compliance: "A Due Diligence and Compliance Workshop Designed to Cover Regulatory Requirements"
How to Exceed Expectations: "The Role of the Product Sponsor in the Education, Training and Communication Process"
  This panel of experts will discuss various non-real estate alternative investment products. The discussion will focus on how these offerings are typically structured, basic terminology, tax considerations and how to use non-real estate related products to diversify an investor's portfolio. This session will review the legal requirements, contract provisions and the allocation of responsibility related to managing broker-dealers or dealer managers and selling dealers or selling group members. The panelists will include a discussion about indemnification provisions, security and insurance. This panel of leading experts in the areas of due diligence and compliance will discuss regulatory requirements for RIAs. Hear about recent changes in due diligence and compliance, and learn how they may impact your business and practice. The panel will also discuss the nuances of due diligence and how to manage and document the process. Learn what is new regarding regulatory requirements and what it all means for your firm's compliance and due diligence policies and procedures in the future. This session will explore the sponsor's role in providing the financial advisors with education, training and tools to be successful. What training and tools can or should a sponsor use to help educate financial advisors about their products. What support should a sponsor provide to broker-dealers and RIAs? How should a sponsor provide support and communicate about open and closed offerings?
  Moderator: Todd Snyder, Snyder Kearney
Panelists: Michael Snyder, MDS Energy; Robert Grunewald, ARC/BDCA; Eric Retzlaff, Atel Energy
Moderator: Barbara Halper, FactRight
Panelists: Kevin Bradburn, Orchard Securities; Kathy Jacobson, Aon Risk Services; Brandon Reif, Winget Spadafora & Schwartzberg; Michael Ning, Arque Capital
Moderator: Kirk Michie, Triton Pacific Securities
Panelists: Craig Porter Rollins, LJCooper Wealth Advisors; Fred Baerenz, AOG Wealth Management; Brett Evans, Evans & Kob
Moderator: Kenny Bolton, Gemini Real Estate
Panelists: Kim Levy, Concorde Investment Services; Brian Fritz, Inland Securities Corporation; Eugene Berg, LPL Financial

 
3:00-3:50 pm Advisors' Tool Chest Part III: "Advisor Resources for Ongiong Due Diligence -- Deciphering Prospectuses, 10Ks, 10Qs, etc." Broker-Dealer Due Diligence: "Requirements Under Current Regulatory Standards"
Operational Support for RIAs: "Products, Providers and Custodians that Support Alternative Investments"
New Sponsor Challenges: "How to Recognize and Breakdown Barriers to Entry"
  What is investment reporting and what do advisors and potential advisors need to look for with regard to investment reporting when considering a sponsor/issuer? Where can advisors go for continuous due diligence on various offerings and what considerations do these sources make in evaluating the offerings they cover? What should registered representatives be looking for in fulfilling their diligence requirements, ongoing? What are the current requirements for due diligence on existing and start-up issuers, operators, transfer agents, appraisers, products, dealer managers, and how does that apply to approving investor transactions? Specific areas will include the scope of due diligence on complex issuers, site visits, stress testing, documentation, qualification of staff and use of third party reports. Partnering is essential in today's ever-evolving world. Learn how partnering with vendors and third party providers for operational support can be important to your practice. Do you know what third party providers are available adn what they can provide to your firm? Which partners are essential to your practice and which ones are not? Learn how to find the right partner for your practice and for your clients. Hidden challenges and barriers can slow and even stop a sponsor. Recognizing the issues and establishing a strategy to meet the challenges and barriers is primary to a sponsor's future success. This session will explore challenges such as relationship building, selling group formation, distribution, marketing, due diligence and otehr common areas where sponsors encounter difficulty in building depth in their channel distribution, branding and product positioning.
  Moderator: Todd Snyder, Snyder Kearney
Panelists: Martin Dozier, Alston & Bird; Larry Lyons, Kalos Financial; R.P. Bonham, Cole Capital Corporation
Moderator: Michael Miller, Sigma Financial
Panelists: Cory Neumiller, Capital Financial Services; Brandon Reif, Winget, Spadafora & Schwartzberg; Howard Davis, Sandlapper Securities
Moderator: Rajeev Kotyan, NUA Advisors
Panelists: Sean Gultig, Equity Advisors Solutions; Kelly Rodriques, Pensco Trust Company; Brad Blazar, Waypoint Residential
Moderator: Michaeljohn Kudlik, Financial Services Group
Panelists: Michelle Galeski, Rep Driven Results; Brad Watt, Behringer; Michael Ponticello, SQN Capital Corporation
4:00-4:50 pm Advisor Peer Panel: "Best Ideas for Moving Your Practice to New Levels" Broker-Dealer Field Examinations: "Learn What FINRA is Looking for in the Current Regulatory Environment" Essential Tools and Best Practices for RIAs: Communication, Marketing & Technology Sponsor Due Diligence: "From the Beginning to the Ongoing Steps in the Process"
  This pannel session of top producing financial advisors will provide insight and education -- these pros will address how they manage the future needs of their practice and their clients through innovation, goal-setting, marketing strategies, technology and education. Panelists will discuss what, why and how it works in their practice. This panel discussion will cover current issues in field examinations: real examples and discussions about what regulators may be looking for related to alternative investments. Learn how to become better prepared for field examinations in today's environment. Learn about the latest tools and best practices for communication, marketing and technology for your advisory practice. Learn how to enhance service and ease hassles of managing your practice.  Learn the ins and outs of tools and techniques designed specifically for advisors.  Learn how to find the right provider when considering the various services available.  Hear experts in the industry discuss how they use technology to analyze and measure performance and how they communicate results to their clients. This session will delve into the entire due diligence process, including identifying for sponsors what due diligence firms want to see. What type of due diligence can be provided to a registered rep or financial advisor and what must be provided to the broker-dealer and RIA? Panelists will also explore the third-party due diligence analyst process, including what to expect and how to organize and prepare for your third party review. Additionally, panelists will identify different methods of due diligence delivery and which delivery systems work well and why.
  Moderator: Paul Dunn, BlueRock Capital Markets
Panelists: Scott Sheehan, 1031 Investment Services; Tim Tremblay, Tremblay Financial Services
Moderator: Kevin Hull, Robert A. Stanger & Co.
Panelists: David Greene, FINRA District 2; Charles Huang, Griffin Capital Corporation
Moderator: Jill Swartz, Spotlight Marketing Communications
Panelists: Peter M. Eickelberg, KeatsConnelly & Associates; Dean Koci, Koci Consulting
Moderator: Brett Evans, Evans & Kob
Panelists: Chari Aweidah, FactRight; Matt Malone, Snyder Kearney; Bryan Mick, Mick & Associates
5:00-5:30 pm Conference Kick-Off
5:30-6:30 pm General Session I: "The Challenges of 2014 and Beyond from the Broker-Dealer Perspective
  Moderator: Mark Kosanke, Concorde Investment Services
Panelists: Adam Antonaides, First Allied; Brett Harrison, Cetera Advisors; Wes King, Centaurus Financial; John Johnson, National Planning Corporation
6:30-7:30 pm Cocktail Reception

Monday, March 17

7:30-8:30 am Breakfast
8:30-9:30 am General Session II -- "Legal and Regulatory Developments: What's New from Congress, the States, FINRA and the SEC?"
  Moderator: John Grady, National Fund Advisors
  Panelists: Michael McTiernan,  former SEC staff member; tbd, FINRA; Faith Anderson, Washington State Securities Division
9:40-10:30 am General Session III -- "Insights from Behavioral Finance:  Investor Decisions and Relevance to our Marketplace"
  Keynote Speaker: Ulrike Malmendier Ph.D., Professor of Finance and Economics, University of California, Berkeley
10:40-11:30 am The Impact of Behavior Economics on Investor Decision-Making BDC: "To Include or Not to Include in an Investor's Portfolio?" 1031 Basics: "A Brief Summary of the Current Taxes and Rates that May be Deferred Through a Section 1031" Energy Focused MLPs and BDCs: "Is a Trend Moving Toward the Non-Traded Side of These Product Structures?"
  This session will explore why investors make irrational decisions and how emotions and thought patterns can affect and impact their investment decisions. This session will review the nuts and bolts of BDCs as an alternative investment opportunity, including compliance, finance, disclosure and tax, and the regulatory considerations behind every BDC. What are the nuances of this alternative investment? Learn what the key differences in BDC products are that focus on direct origination, buying into syndicated deals and purchasing debt in the secondary market. Learn how to use BDC products in an investment portfolio and how to diversify exposure and mitigate risk. This session will dover the technical requirements of Section 1031, including the indemnification of replacement property (and how it relates to Delaware Statutory Trusts and Tenant-in-Common programs, particularly where there are more than one property in the program) and the designation of a qualified intermediary. The panelists will discuss how debt is treated with respect to the relinquished and replacement properties? Learn what is taxable boot? Hear a discussion on drops and swaps and swaps and drops: do they really work? Attendees will learn why MLPs and BDCs are popoular investment products on the public side and how this has translated into a potential trend on the private side with respect to certain sponsors that have come out with non-traded BDC- and MLP-like products. This session will also focus upon the similarities and differences in product features and risks relating to the public and non-traded version of these two energy-focused products in terms of portfolio investment focus and equity market correlation, investor distributions, tax treatment, investor rights, liquidity and investment risks.
  Speaker: Ulrike Malmendier, University of California, Berkeley Moderator: Todd Van Pelt, Cambridge Investments
Panelists: Robert Hoffman, Franklin Square Capital Partners; Dugan Fife, Hines Securities; Derek O'Leary, ICON Investments
Moderator: Tom Voekler, Kaplan Voekler Cunningham & Frank
Panelists: Daniel Cullen, Bryan Cave; Bill Exeter, Exeter 1031 Exchange
Moderator: Bryan Mick, Mick & Associates
Panelists: Fred Stoleru, Atlas Growth Partners; Chris Reese, Franklin Square; Clay Womack, Adageo Energy
11:40 am-12:30 pm From a Non-Traded REIT to a Listing on an Exchange: "What Are the Essential Steps to Formation and Moving Through the Process with Success?" BDC Strategies: Evaluating Different Investment Theses Fundamentals of DPP Energy Program Risk Management: "What Can Go Wrong and How to Manage Risk"
  This session will take an in-depth review of the process by which a non-traded REIT lists on an exchange. The process of transformation doesn’t start after the initial capital has been raised and end once the bell rings. Decisions start with the initial draft of the offering and continue throughout the formation of the portfolio.  Each step can significantly impact the approach to listing. This session will look at these essential factors and discuss the process and what dependencies are associated with a successful listing. This panel will examine how to analyze the different strategies used by BDCs for portfolio construction.  Learn how to determine which BDC methodology and strategy is right for your investor’s portfolio?  What are the various methodologies employed by BDCs to generate yield for investors?  Is the regulatory market for BDCs shifting?  How is the BDC industry affected by a changing economic climate?  Will the Business Development Company model continue experiencing growth?
This session is one of two Required Core courses for REISA’s DPP Designation. 
The panelists will identify and discuss aspects of the typical offering structures and the corresponding related benefits and potential risks associated with investments in DPPs. The panel session will also cover the investment process, including sales, suitability and required disclosures. Panelists will identify how certain rules and regulations apply to the various types of offerings and how due diligence can be critical in the process to identify potential risks. DPPs cover a wide variety of industry sectors, including real estate, energy, equipment and commercial debt; and they also have a low correlation with other securities and consequently can provide further portfolio diversification. DPP offerings are sold as restricted securities, and they can be risky investments, difficult to value, and illiquid. This session will address the legal, tax and regulatory issues surrounding DPP offerings.
This panel session will present a discussion of the material risks that are associated with oil and gas programs, including environmental considerations, drilling risks, sponsor financial risks, market pricing risks for oil and gas, and investor expectations.  This session will also provide guidance on how broker dealers and financial advisors can manage these risks.
  Moderator: Daniel Oschin, The Shopoff Group
Panelists: Kevin Gannon, Robert A. Stanger & Co.; Kevin Shields, Griffin Capital; John Grady, National Fund Advisors
Moderator: Martin Dozier, Alston & Bird
Panelists: Sean Connor, ICON Investments; Seth Taube, Sierra Income Corporation; Mike Gaviser, KKR & Co.
Moderator: Greg Mausz, Preferred Apartment Communities
Panelists: Mitch Morrison, Financial West Group; Richard Zimmerman, Hartman Investments; Amy Gunter, ProEquities, Inc.
Moderator: Brad Updike, Mick & Associates
Panelists: Matt Malone, Snyder Kearney; Travis Hicks, Independent Financial Group; Matt Iak, U.S. Energy Development Corporation
12:30-2:00 pm Lunch
12:30-1:15 pm Ethics & Standards Committee Meeting
12:30-1:15 pm Legislative & Regulatory Committee Meeting
1:15-2:00 pm Marketing & Membership Committee Meeting
1:15-2:00 pm Conference Planning Committee Meeting
2:00-2:50 pm FINRA 12-14 Has Gone to the SEC BDC Due Diligence -- Important Metrics to Understand Delaware Statutory Trusts and Tenant-in-Common Transactions Equipment Leasing: "State of the Industry and Current Trends"
 
What are the major differences between is implemented the non-traded REIT industry suggestions and what FINRA submitted? What are the short-term are long-term implications? What new products or pricing structures will succeed when increased pricing transparency?
 
In the last year we have witnessed record levels of capital raising, an increased number of liquidity events, wire house and super-regionals entering the space and projections that sales in the years ahead will continue increase. This panel of experts will explore what impact FINRA 12-14 will have on this momentum.  The panel will discuss what factors will either propel or derail the current momentum.  Learn what offering and pricing structures will be the winners in the new landscape.  Hear the panel discuss differences between what the industry proposed and what FINRA submitted to the SEC.  Do you want to know what the impact will be on valuation and statement pricing changes as currently proposed and what the timeline looks like? Do you want to know what new product types will potentially open up new channels of distribution?  Are there solutions for advisory Platforms that really work? Learn which new product structures or share classes, daily NAV REITs, Interval Funds, have the best chance of success.
This session will examine key metrics and measures used to evaluate the performance of BDCs.  The panelists will explore key differentiators of BDC investment strategies. Panelists will also discuss fundamental due diligence techniques for review of performance measurements.
This panel of industry professionals will discuss DSTs and TICs.  
DSTs: Learn the basic elements of DSTs and what limitations exist in a DST? The panelists will discuss various kinds of leases are typically utilize.  Hear a discussion on third party triple net leases, third party double net leases, triple net master leases and modified master leases.  As master leases become more complex to accommodate management intensive asset classes, how far is too far with a master lease structure for 1031 compliance? Learn if a DST can convert to a limited liability company and then spring back to a DST.  The panelists will cover issues related to financing master lease transaction.
TICs: As the industry moves forward are TICs making a comeback? What do the new TIC programs look like?  Hear about lender issues related to TIC programs in the current financial markets.
Asset Classes: How do the various asset classes including retail, multi-family, office and hospitality work in the DST and TIC structures?  What are the primary areas of concern related to each asset class within a DST or TIC structure?
What are the differences between DSTs and TICs? Learn what the risks and benefits are to each structure.
Real assets such as equipment offer the opportunity for income and further diversification within an investment portfolio.  Attend this session to hear from experts who will cover the state of the industry, current trends and various ways that investors may participate.  The panel will also address due diligence related issues that must be considered when reviewing equipment leasing alternative investment opportunities and how these products can be utilized for portfolio diversification. 
  Moderator: Tim Toole, NorthStar Realty Securities
Panelists: Rosemarie Thurston, Alston & Bird; Martel Day, NLR Advisory Services; Pat Miller, SC Distributors; Scott Crowe, Resource Real Estate
Moderator: Matt Malone, Snyder Kearney
Panelists: Jeff Tonkel, Sierra Income Corporation; Robert Hoffman, Franklin Square Capital Holdings; Michael Gaviser, KKR & Co.
Moderator: Darryl Steinhause, DLA Piper
Panelists: Steve Meier, Seyfarth Shaw LLP; Keith Lampi, Inland Real Estate Investment Corporation; Brad Watt, Behringer; Mike O'Toole, AEI Capital Corporation
Moderator: Paula Miterko, Miterko & Associates
Panelists: Derek O'Leary, ICON Investments; Jeremiah Silkowski, SQN Capital Corporation; Eric Retzlaff, ATEL Energy
3:00-3:50 pm Best Practices of DPPs What We Have Learned about Non-Traded REITs: "A Financial Advisor's and Broker-Dealer's View of the REIT World" Growth Solutions: "Strategies and Asset Classes Well-Positioned for Capital Appreciation" Underwriting Economics of Oil & Gas Projects: "How to Assess the Upside and Potential Risks"
 
This session is one of two Required Core courses for REISA’s DPP Designation. 
The session will review and discuss best practices with respect to Regulation D Private Placement Offerings and provide an outline of the key fundamental elements that should be considered and evaluated when contemplating and or reviewing a private placement offering. 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 raise the standards by which these products are measured and how they can provide transparency to the investing public.
As the non-traded REIT and limited partnership space has evolved and the state and federal regulatory environment has changed, this panel of front line professionals will discuss lessons learned and how the evolution of the industry has changed their view on this product today and how to be smarter in the future. Every asset class has a cycle - Learn what asset classes are currently in their “acquisition” stage and prime to deliver alpha to portfolios driven by future demand. In this session we will discuss specific real assets that offer capital appreciation potential without correlation to equity market volatility. Attend this session if you are looking to fill the growth gap in your product allocation and align client portfolios with key market trends. Attendees will learn how to underwrite the return potential of a drilling and income program in terms of IRR, ROI, and timing of the return of capital. This session will also present discussion on the components of economic modeling within private energy programs, the importance of adjusting the models appropriately to account for the offering load and sponsor compensation, and how offering costs and sponsor compensation can affect the investor return.
  Moderator: Dana Woodbury, Buttonwood Investment Servcies
Panelists: Kirk Michie, Triton Pacific Securities; Peter Magnuson, Securities America; Rick Chess, Birtcher Anderson Chess
Moderator: Nancy Wilson, Partnership Marketing
Panelists: Howard Davis, Sandlapper Securities; Cory Neumiller, Capital FInancial Services
Moderator: Derek Peterson, Walton International
Panelists: H. Michael Schwartz, Strategic Storage Holdings; David Kelsey, Hamilton Point Investments; Bill Lehew, Hines Securities
Moderator: Brad Updike, Mick & Associates 
Panelists: Steve Burr, BCS Energy Services; Justin Reich, APX Energy; Randy Kenworthy, Coachman Energy
3:50-4:10 pm Break
4:10-5:00 pm Section 1031 Products for Financial Advisors Foreign Investment in Domestic Securities: "A Basic Guide to Understanding the Rules" Income Solutions Beyond Commercial Real Estate: "Diversify Across and Within Various Asset Sectors" Alternative Investment Offering Structures Overview: "Cliff's Notes Review of REIT vs. BDC vs. Reg D vs. Closed End Funds"
 
This session will cover client suitability and how to determine if a client is suitable for a Section 1031 exchange. Learn what taxes are applicable to the sale of the relinquished property, capital gains taxes as well as other assessments. Learn how to determine if the offering load overrides the benefit from the tax saving and how to do the calculations.
FINRA considerations: FINRA has designated Section 1031 products as complex products.  What due diligence requirements must be met in order to comply with FINRA regulations?
Replacement Property Options: What is the right replacement property for your client?  Should the client buy a single tenant property or is a DST or TIC property appropriate?   What is the appropriate risk level for your client?
 
With foreign investors looking more and more to invest in the U.S., it is important to know the rules regarding foreign investment in domestic securities. Come learn the basics regarding the application of federal and state securities laws to foreign investments, including the use of exemptions, integration issues related to simultaneous offerings to foreign and domestic investors and resales of securities by foreign investors. Looking beyond commercial real estate can provide investors with opportunities to diversify, as well as enhance their overall portfolio performance. Attend this session to hear from leading experts from various asset sectors, understand the trends in each of their respective industries and how to implement the potential within your firm or practice. How do you know if a REIT is Right, or if another structure is more appropriate for certain assets?  If you are looking for a good general understanding of the latest offering terms, attend this session to learn more about the various structures through which today’s alternative investments are being offered.  Industry experts will provide side by side comparisons of the features and benefits for each, and highlight the “need to know” list when considering or performing due diligence.
  Moderator: Mike Bendix, DFPG Investments
Panelists: Cameron Hellewell, Orchard Securities; Scott Sheehan, 1031 Investment Services; Joshua Ungerecht, ExchangeRight Real Estate
Moderator: Allyson Harter, Kaplan Voekler Cunningham & Frank
Panelist: Michael Ning, Arque Capital; Shim Plotkin, Plotkin Financial
Moderator: Tony Chereso, United Development Funding
Panelist: Mike Shustek, MVP REIT; Jim Carbone, RREEF; Albert Haworth, Preferred Apartment Communities; Jonathan Mehlman, ARC Hospitality REIT
Moderator: Rick Chess, Birtcher Anderson Chess
Panelists: Rob Kaplan, Kaplan Voekler Cunningham & Frank; Mark Petersen, Behringer; Derek Peterson, Walton International
5:10-6:10 pm The Academic Case for Alternative Investments: "How and Why Financial Advisors Diversify their Client's Portfolios" The Bad Actor's Provision and Crowd Funding: "How They Can Impact Broker-Dealers" Building your Brand and Growing your RIA Practice via Marketing, Public Relations and Social Media Strategies Marketing within Compliant Boundaries for Sponsors
  What is ‘Durable Income’ and how alternative investments such as REITs, Oil and Gas, Equipment Leasing and BDCs help to facilitate income needs in client portfolios?  What do financial advisors need to consider when selecting alternative investment opportunities? This session will describe practical ways for financial advisors to evaluate alternative investments against other traditional fixed income investments.  
This session will cover two new elements facing Broker Dealers today and how they can be proactive in this new operating environment.
 
Section 926 of The Dodd-Frank Act mandates that the SEC adopt bad actor rules and on September 23, 2013, the new rule went into effect.  The rule prevents issuers of privately offered securities, such as private funds, from relying on the private placement exemption under Rule 506 of Regulation D for certain “Disqualifying Events” by “Covered Persons.”
 
Crowd funding under the JOBS Act may stimulate opportunities for issuers and capital market participants. However, the lay of the land with crowd funding can be challenging.  Learn the potential impact on Broker Dealers. Hear the panelists discuss regulatory conditions which must be met and rules governing crowd funding.
 
In this informative and dynamic session, the speaker from a leading public relations and marketing firm that specializes in working with RIA firms, will showcase new tips and techniques to help transform your marketing in to prospects, clients and centers of influence.  Learn best practices from RIA firms and learn how “PR 3.0” – the integration of marketing, public relations and social media marketing can provide powerful gains in brand awareness, strengthening client and center of influence referrals and help drive leads.” This session will be a review of the correct approaches to marketing and compliance at the Sponsor level. Every Sponsor recognizes the importance of marketing and compliance. But managing the two together is often a challenge. Do you know when to file with FINRA or the SEC and when not to? How does FINRA Rule 5123 apply to the Sponsor? This session will discuss Sponsor marketing and compliance requirements, as well as how to prepare an effective marketing campaign and stay compliant. What tools can a Sponsor use and what effective procedures should be in place in order to stay compliant?
  Moderator: Lee Iredell, Realty Capital Securities
Panelists: Sameer Jain, American Realty Capital; Larry Lyons, Kalos Capital; Jim Sprow, BlueVault Partners
Moderator: Steven Meier, Seyfarth Shaw LLP
Panelists: Kevin Bradburn, Orchard Securities; Kate Tupy, FactRight; Christina Nielson, Cornerstone Capital Advisors
Moderator: Marty Jensen, United Management Group
Panelist: Kevin Dinino, KCD Public Relations
Moderator: Cameron Hellewell, Orchard Securities
Panelists: Michael Miller, Sigma Financial; Kevin Hart, Lightstone Group; Todd William, Terra Capital
6:15-7:30 pm Cocktail Reception 

Tuesday, March 18

7:30-8:30 am Breakfast
8:30-9:30 am

General Session IV: "How Can the Non-Listed Industry Get Congress, the States, FINRA and the SEC to Provide Consistent Direction and Regulation?"

  Leading industry panelists will discuss evolving trends in product development. Learn what leading experts see on the horizon and what they believe are positive trends or are potential risks to avoid. 
  Panelists: Deborah Froling, Arent Fox; Cynthia Krus, Sutherland Asbill & Brennan; Fred Baerenz, AOG Wealth Management; Mark Kosanke, Concorde Investment Services
9:40-10:30 am Harnessing Technology for Your Practice: "A Financial Advisor's Practical Guide to Analyzing and Using the Latest Technology in the Industry" Broker-Dealer Advisory Council: "Capitalizing on the JOBS Act: How are Broker-Dealers Embracing the Opportunity?" Sponsor Best Practices  
  The goal of this session is to provide attendees with practical examples of useful technologies that can help to streamline their practice, simplify processes and communications, reach more prospects, and ultimately help to grow their business and practice.     This session will identify and discuss best practices for sponsors with a variety of alternative investment products. Learn from a diverse panel on how to balance the unique qualities of your organization with the best practices that are common with others. The expert panelist will cover best practices related to broker-dealer expectations, product distribution, product education, regulatory compliance, and sponsor operations.   
  Moderator: Michael Fugler, ASG Securities
Panelists: Colin Cosgrove, Cole Capital; Rod Lueck, Ops Plus; Delray Wannemacher, FSX/Interlinked
Moderator: Rob Kaplan, Kaplan Voekler Cunningham & Frank
Panelists: Michael Miller, Sigma Financial; Howard Davis, Sandlapper Securities; Don Waage, Capital Financial Services
Moderator: Dave Laga, DFPG Investments
Panelists:  Ernie Bergman, AI Insight; Keith Lampi, Inland Private Capital Corporation; Dustin Zachmeyer, Griffin Capital Corporation
 
10:30-11:00 am Break
11:00 am-12:00 pm General Session V: "General Solicitation Impact -- Updates and Experiences on the New Advertising Rules"
  Six months have passed since the rules took effect and there was a lot of speculation about how they would impact the industry. What has actually occurred? Has there been any impact on broker-dealers and advisors? How are sponsors adapting? How are the products being sold direct managing the process and are they successful? What specific provisions, such as the disqualification provisions, that have are causing concern? What changes are expecting going forward? How will your business be affected going forward? Get current feedback and perspective from key industry experts, including those currently offering products direct, managing subscriptions, and verifying accreditation.
  Moderator: Daniel Oschin, The Shopoff Group
Panelists: Darryl Steinhause, DLA Piper; Rick Murphy, Berthel Fisher; Tim Snodgrass, Axxcess Capital; Tony Olivo, Phoenix American Financial Services; Jilliene Helman, Realty Mogul; John Grady, Realty Capital Securities; Will Febbo, Merriman Capital
12:10-1:00 pm General Session VI: Stanger Report
  Speaker: Kevin Gannon, Robert A. Stanger & Co.