ADISA Career Center

Schedule-at-a-Glance


Track 1 Registered Rep
Track 2 Broker-Dealer Education
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 Investment Products 101 for RIAs: "An Educational Discussion about the Various Alternative Investment Classes Available"
Strategies to Compete with your Sponsor Peers
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"
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"
4:00-4:50 pm Advisor Peer Panel: "Best Ideas for Moving Your Practice to New Levels" Broker-Dealer Field Examinations: "Leanr What FINRA is Looking for in the Current Regulatory Environment" Marketing Tools and Technology for RIAs Sponsor Due Diligence: "From the Beginning to the Ongoing Steps in the Process"
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
6:30-8:00 pm Cocktail Reception

Monday, March 17

7:30-8:30 am Breakfast
8:30-9:30 am General Session II -- The Current Regulatory Environment: "How Can the Non-Listed Industry Get Congress, the States, FINRA and the SEC to Provide Consistent Direction and Regulation?"
9:40-10:30 am General Session III -- "Insights from Behavioral Finance: Investor Decisions and Relevance to Our Marketplace"
10:40-11:30 am The Impact of Behavioral Finance 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?"
11:40 am-12:30 pm From a Non-Traded REIT to 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"
12:30-2:00 pm Lunch
1:15-2:00 pm Committee Meetings
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"
3:00-3:50 pm Best Practices of DPP 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"
4:00-4:50 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"
5:10-6:00 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 Marketing within Compliant Boundaries for Sponsors
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?"

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 Sub: How are Broker-Dealers Embracing the Opportunity?" Sponsor Best Practices  
11:00 am-12:00 pm General Session V: "General Solicitation Impact -- Updates and Experiences on the New Advertising Rules"
12:10-1:00 pm General Session VI: Stanger Report