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Event Details

WHERE BUSINESSES GROW AND DEALS ARE MADE. 

Designed for all industry professionals who sponsor, analyze, market, distribute or sell alternative investments.
 
Several educational sessions will be available, many of which qualify for Continuing Education credit.
 
Attendees will also have the opportunity to meet face-to-face with nearly 1,000 leading industry professionals and visit with nearly 80 event exhibitors.

  • New Alternative Products
  • Different and New product introduction in general, best ways to get to know them
  • Life Settlement
  • Interval Funds
  • Private Equity
  • Energy and Tax Driven Products
  • Energy
  • Conservation
  • Other such as AUM/Deferred Sales Trust
  • BDCs and REITs
  • Where are they now?
  • Examination of REIT stock and recent developments
  • 1031 products
  • Where are we today and how to try to avoid past issues
  • Suitability and risks for any investor, particular investors, and especially seniors
  • DOL Update
  • Legal perspective from an ERISA attorney
  • Practical compliance
  • Navigating BIC exemption
  • Marketing and Sales of Alts
  • Dos and don’ts discussion with sponsors from panel of DD officer, third party DD, MBD
  • Sponsor feedback for broker dealers, Reps, RIAs related to selling agreements, due diligence, etc.
  • Suitability how does it differ between private and public offerings
  • Trends in offering documents and disclosures
  • Tension between confidentiality regarding sponsor information and disclosure in the sales process
  • Trends related to risk disclosures in offering documents
  • Updates on Reg A and Crowdfunding
  • Current status
  • Crystal ball perspective
  • Advisor and BD focus
  • BD and Advisor oversight related to compliance
  • Practical aspects of education related to product, sponsor, and clients

Event Schedule

*last updated 3/10/2020

 

  • Monday, September 26
    3:30 AM - 9:00 AM
    ADISA Foundation Golf Outing

    REVERE GOLF CLUB

    All proceeds go to the ADISA Foundation, which assists with scholarships and special projects to grow the study of the alternative and direct investment space.

    8:00 AM - 10:00 AM
    Women's Leadership Forum Luncheon

    MONT-ROYAL 2

    Join women in the industry for an informative program and lunch featuring Linda Gray award-winning actress, accomplished director and former United Nations Goodwill Ambassador. The luncheon is designed to facilitate purposeful networking opportunities, where women can communicate information, best practices and prior experience.

    The purpose of ADISA’s Women’s Leadership Forum is to connect women in the alternative and direct investment industry; strengthen their professional networks; and enhance the personal and professional growth of women within the industry.

    10:05 AM - 10:40 AM
    Legislative & Regulatory Committee Meeting

    NOLITA 2

    The Legislative & Regulatory Committee conducts ADISA's efforts to influence regulation and legislation, particularly statements, responses, alerts and advice on any legislative and regulatory programming.

    10:45 AM - 11:20 AM
    (0) Fundamentals of DPP

    NOLITA 2

    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: Greg Mausz, Preferred Apartment Communities

    Participants: Bill Winn, Starboard Realty Advisors; Frank Muller, Provasi Capital Partners; Todd Silver, Archon Capital

    Conference Planning Committee Meeting

    MONT-ROYAL 1

    The Conference Planning Committee oversees the program and planning for ADISA's Annual Conference, Due Diligence Forum and Spring Conference. They work to develop a compelling theme and agenda, and work to recruit and assign speakers and activities.

    Education Committee Meeting

    MONT-ROYAL 1

    The role of the Education Committee is to establish, monitor and improve ADISA's overall educational initiatives.

    Membership & Marketing Committee Meeting

    NOLITA 1

    The Membership & Marketing Committee is responsible for recommending membership pricing/categories, and provides advice and assistance with marketing planning. New ideas and projects not naturally belonging to another committee are also vetted here first.

    Publications & Standards Committee Meeting

    NOLITA 1

    The Publications & Standards Committee is responsible for ADISA's publications, best practices, white papers, web knowledge center, etc.

    11:25 AM - 12:20 PM
    (1) Energy vs. Conservation Real Estate: What Are the Tax Rules?

    NOLITA 1

    This session will present a foundational discussion of the income and estate tax rules and financial planning considerations that apply to non-traded energy drilling, income products and conservation-oriented real estate real estate programs. As these tax preferred products have appealed to tax-minded financial advisors and their clients, this is a session advisors, reps and their sales support personnel will want to attend. As the tax consequences of these products also weigh very heavily upon client appeal and suitability issues, this session will also be a helpful one to compliance and due diligence personnel.

    Moderator: Justin Reich, APX Energy

    Participants: Jack Hollander, Atlas Energy; Tim Pollock, Morris Manning & Martin

    (2) Legal Perspectives on New ERISA Rules

    MONT-ROYAL 1

    Ms. Wagner, one of the nation’s legal experts on ERISA issues, will outline the new DOL fiduciary rule initiative and discuss its relevance to and likely impact on your business.  Mr. Reif, an experienced litigator, will talk about how the Department's chosen enforcement mechanism - private litigation - may play out for firms that serve or take on and advise IRAs and other account subject to the revised rule and new BIC exemption.  Come and learn what you need to know and what you can and should be doing to prepare.

    Moderator: John Grady, DLA Piper

    Presenters: Marcia Wagner, Wagner Law Group; Brandon Reif, Winget Spadafora & Schwartzberg

    (3) How to Raise Your First $20 Million -- Dos and Don'ts for New Sponsors

    NOLITA 2

    Many advisors and entrepreneurs are not only interested in selling financial product 'off the shelf.'This session is aimed to serve as a primer for advisors, broker-dealers, sponsors and entrepreneurs when faced with an initial capital raise in the private, or public,  capital markets. Hear from a third party due diligence provider, securities counsel,  financial product distributor, and a managing broker-dealer as to what you may need to be successful.  The session will cover issues to consider when structuring an alternative investment, as well as providing guidance on the common mistakes that new issuers often make. Topics will also include marketing strategies, branding, effective communication, as well as best practices for implementing strategies to accommodate growth. 

    Moderator: Mark Atchity, JCC Advisors

    Participant: Zia Sabir, Mick | Law; Woody Soemantoro, MDS Securities; Tom Voekler, Kaplan Voekler Cunningham & Frank

     
     
    (4) Academic Session: The Impact of Real Estate Getting Its Own Sector

    NOLITA 3

    Hear the latest applied research on important issues for our industry from the nation's business schools. John Clark from the University of Missouri will present on "Holding Real Estate in Your 401(k)."

    Moderator: Randy Anderson, Griffin Capital Corporation

    Presenters: John Clark, University of Missouri; David Funk, Roosevelt University

    12:30 PM - 1:15 PM
    Welcome & Awards Ceremony

    BELMONT 4, 8

    1:15 PM - 2:00 PM
    General Session I: The Capitol Steps

    BELMONT 4, 8

    More than 30 years ago, the Capitol Steps began as a group of Senate staffers who set out to satirize the very people and places that employed them. In the years that followed, many of the Steps ignored the conventional wisdom ("Don't quit your day job!"), and although not all of the current members of the Steps are former Capitol Hill staffers, taken together the performers have worked in a total of eighteen Congressional offices and represent 62 years of collective House and Senate staff experience.

    2:00 PM - 3:00 PM
    Cocktail Reception

    EXHIBIT HALL

  • Tuesday, September 27
    3:30 AM - 4:30 AM
    Breakfast

    EXHIBIT HALL

    4:30 AM - 5:15 AM
    (5) Interval Funds -- No, They Are Not Your Father's Mutual Funds

    MONT-ROYAL 1

    Is this the next evolution in alternatives moving toward more liquid investment options or just another phase? Who performs the due diligence -- mutual funds or alts? What are the advantages and risks associated with this often discussed, but not always understood, asset class?

    Moderator: Chris Shaw, DST Systems

    Participants: Randy Anderson, Griffin Capital Corporation; Russ Nesevich, Resource Real Estate; Ramin Kamfar, Bluerock Real Estate; Allison Blais, DFPG Investments

    (6) Trends in Offering Document Disclosures: How is the Bar for Industry Standards Being Raised or Lowered?

    NOLITA 1

    Sponsors and their securities attorneys want to maximize flexibility to better enable them to run their business and react to changing market conditions. BDs want sponsors to have flexibility in underlying operations, while still having some investment guidelines or more defined characteristics that give them a basis to assess the program and its associated material risks, and if the addition of that product to their selling list is adding diversity. Investors and registered reps need sufficient disclosures to adequately understand the potential investment and its material risks. Is our industry trying to minimize potential liability by maximizing permitted investments? Are the material risks associated with the intended activity getting lost in more superficial descriptions of all potential risks? Is this at the expense of clarity for investors? Is the real marketing story of these business opportunities getting lost in the legalese?

    Moderator: Paula Miterko, Miterko & Associates

    Participants: Michael Miller, Sigma Financial; Deborah Froling, Kutak Rock; Trevor Gordon, Sandlapper Securities

    7:10 AM - 8:00 AM
    (10) How to Get to Yes! Overcoming Objections in Obtaining Selling Agreements

    NOLITA 1

    Come join us for a vibrant discussion of:

    • How diversified does your Approved Product List need to be…really;

    • What are the best ways to compare product sponsors;

    • How to best educate financial advisors; and

    • How to least confuse clients.

    Moderator: Dana Woodbury, Buttonwood Financial Services

    Participants: Bart Malcom, Triloma; Brandon Balkman, Mountain Dell Consulting; Dave Laga, DFPG Investments

     

    (11) Private Equity Comes to Main Street

    NOLITA 2

    Private equity has long been the domain of institutional investors and wealthy individuals. No longer. Private equity is now available to individual investors through financial advisors. Are you offering this asset class to your clients, or will they need to choose someone else? Come to this session to learn the hows and whys of private equity and the benefits to your clients. Private equity: your source for growth in a non-growth environment.

    Moderator: Nancy Wilson, Partnership Marketing Company

    Participant: Brian Buehler, Triton Pacific; Brian Weisenberger, GPB Capital; Rob Hoffman, FS Investments; Craig Merkt, Calton & Associates

    (12) The Forecast for REIT Offerings: How Are REITs Adapting to Regulatory Change?

    NOLITA 3

    How are REITs adapting to regulatory change? Regulatory pressures on non-traded REITs have triggered structural changes. Panelists will address some of the more recent trends in structure changes, as well as where they see the structure of these products going in the future.

    Moderator: Tyler Green, The Bowman Law Firm

    Participants: Peter Magnuson, Securities America; Allan Swaringen, JLL Income Property Trust; John Norris, Dividend Capital Securities

    (9) DOL Update Practical Compliance

    MONT-ROYAL 1

    This session will be an in-depth discussion of the responsibilities required to meet the new world of DOL compliance. This includes technology that may assist broker-dealers and RIAs to streamline their various policies, from monitoring the activities to meet the Best Interest Contract Exemption to documenting recommendations. Panelists will address these issues. 

    Moderator: Cory Neumiller, Capital Financial Services

    Participants: Jennifer Simon, AI Insight; Neil Greene, Newbridge Securities; Michael Miller, Sigma Financial

    8:10 AM - 9:00 AM
    (13) CEO Showdown Part I: Broker-Dealer Exec Asks Sponsors the Tough Questions

    BELMONT 4, 8

    Semi-General Session

    In this first of two sessions, sponsor executives will be asked about the challenges facing the broker-dealer community. Why are broker-dealers left holding the bag in an arbitration if an offering fails? What are sponsors doing to help broker-dealers in light of the current regulatory environment: senior investors, concentration limits and other suitability requirements? What about the increased compliance costs that will result from the fiduciary standard created by the DOL?

    Facilitator: Ryan Smith, DFPG Investments

    Presenters: Mitchell Sabshon, Inland Real Estate Investment Corporation; Bill Shopoff, Shopoff Realty Investments; Larry Sullivan, Passco Companies

    (14) Overview and Analysis of Alternative '40 Act Funds

    MONT-ROYAL 1

    In this panel, we will discuss the key differences between registered non-traded closed-end 1940 Act products and interval funds, as well as BDCs. The key questions to be addressed during this panel include:

    1. What opportunities and limitations do non-traded closed-end 1940 Act products pose for a sponsor considering it as a product type?

    2. What advantages does a non-traded closed-end 1940 Act product have over an interval fund and BDC?

    3. What are the thoughts of the broker-dealer/financial advisor community to non-traded closed-end 1940 Act products?

    4. What are the due diligence obligations and compliance concerns for non-traded closed-end 1940 Act products? Are there any differences in these areas as compared to interval funds or BDC products?

    5. How should broker-dealers treat a non-traded closed-end 1940 Act product? Specifically, are these products similar to mutual funds in regard to due diligence and compliance matters?

    6. How can financial advisors use non-traded closed-end 1940 Act products in an investor's portfolio?

    7. What regulatory matters should financial sponsors and broker-dealers understand when offering non-traded closed-end 1940 Act products?

    Moderator: Bart Malcom, Triloma

    Participants: Matt Malone, FS Investments; Deborah Froling, Kutak Rock; Fred Baerenz, AOG Wealth Management

    (15) 1031 Suitability and Sales Strategies

    NOLITA 1

    This session is geared toward helping representatives, broker-dealers and advisors know what general suitability, compliance and due diligence considerations they need to take into account with 1031 offerings and investors. When is a 1031 exchange appropriate? What are red flags to be aware of that may indicate that a 1031 exchange is not in the best interest of an investor? This session will attempt to highlight different strategies that can be employed by representatives, broker-dealers and advisors to potentially expand their 1031 business in a compliant manor.

    Participants: Mark Kosanke, Concorde Investment Services; Nati Kiferbaum, Inland Private Capital Corporation; Warren Thomas, ExchangeRight Real Estate

    9:00 AM - 10:00 AM
    Lunch

    EXHIBIT HALL

    10:00 AM - 10:50 AM
    (16) CEO Showdown Part II: A Sponsor's Turn to Challenge Broker-Dealer Leadership

    BELMONT 4, 8

    Semi-General Session

    How will broker-dealer executives respond to the counter punch? In Part II, it's the sponsor's turn to challenge a panel of broker-dealers. Can commission loads be reduced to improve product economics? Why does it take so long to get offerings through the due diligence queue and onto the broker-dealer platform? Should 15-02 really be a roadblock to sales? These sessions are designed to help improve the understanding between sponsors and their distribution network, but will they cause fireworks instead?

    Facilitator: Kevin Shields, Griffin Capital Corporation

    Presenters: Rick Murphy, Berthel Fisher; Jason Kavanaugh, Concorde Investment Services; Daniel Wildermuth, Kalos Financial

    (17) Innovative New Products: Learn What Is "Out Of The Box" For Alternatives

    NOLITA 2

    What's new and what is on the horizon? New structures, new products, new asset classes. What makes them special? What are the risks and rewards and how do you evaluate products that are the first of their kind with no baseline or benchmarks?

    Moderator: Jan Ryan, JCC Advisors

    Participants: Matt Leiter, GK Development; Leonard Silverstein, Preferred Apartment Communities; Steve Kantor, S2K Financial

    (18) Regulation A+: Distribution Issues and Avenues

    NOLITA 3

    Just over a year into Regulation A+, what is the state of the market? Come for an update on the last year of activity in Reguation A+, stay for a discussion from our broker-dealer and market participant panelists of their experiences with Regulation A+ and their views on where Regulation A+ offerings are headed. Regulation A+ offers the opportunity to have a public, SEC-reviewed product in the alternative space, without the difficulties and expense of '34 Act and state registration. Hear how broker-dealers active in Regulation A+ are approaching marketing, and what they have learned over the first year of this avenue. What are the preliminary regulatory challenges in this space -- SEC, FINRA? What about DOL? Are secondary markets developing? Join us to explore issues in distribution in the world of an unregistered, unrestricted security.

    Moderator: Rhys James, Kaplan Voekler Cunningham & Frank

    Participants: Taylor Garrett, Mountain Dell Consulting; Mark Atchity, JCC Advisors; Rob Kaplan, HC Government Realty Trust; Howard Hill, Foliofn Investments

    11:00 AM - 11:50 AM
    (19) Benefits and Risks of the DST Structure in General and Among Asset Types

    NOLITA 1

    This session covers the unique benefits and drawbacks of the Delaware Statutory Trust, and how it interacts and is used with various asset classes. What are the benefits, issues and considerations for using a DST structure with various asset types (e.g. net leased vs. student housing vs. senior care)?

    Moderator: Tom Jahncke, Passco Companies

    Participants: Bryan Mick, Mick | Law; Tim Witt, Concorde Investment Services; Mike O'Toole, AEI Capital Corporation

    (20) Debate: The Case for Energy and Conservation Real Estate: What Are the Benefits and Where are the Landmines?

    NOLITA 2

    Retail energy products in drilling and royalties saw a flurry of capital raising activity from 2011-2014 as the price of oil hovered at a level of $90-100 per barrel for many years. However, when oil prices plummeted in 2015, the demand for conservation-oriented real estate programs increased dramatically in the broker-dealer community, with tax planning money shifting to conservation products. Despite this pattern, both products have distinctive tax consequences and suitability profiles that broker-dealers need to know and appreciate so they can decipher whether or not the products make sense for their platforms. This session will present a spirited point/counterpoint educational discussion of the benefits, risks and challenges of non-traded energy programs and conservation-oriented real estate programs from the points of view of the sponsors and risk management professionals.

    Moderator: Alyson Harter, LeClairRyan

    Participants: Alan Solon, EcoVest; Matt Iak, U.S. Energy Development Corporation; Brad Updike, Mick | Law; Tom Hille, JRL Financial

    (21) DOL Update: Navigating the BIC Exemption

    NOLITA 3

    This session will tackle the requirements needed for broker-dealers who earn variable commissions in connection with non-discretion investment advice. With the many facets of BICE, the focus will be on disclosure and "reasonable compensation." We will engage sponsors, broker-dealers and others to take a synergistic approach down the DOL path.

    Moderator: Craig Porter Rollins, LJCooper Wealth Advisors

    Participants: Craig Covington, Triad Advisors; Josh Rubinger, The Lightstone Group; Michael Miller, Sigma Financial

    (22) Sponsor Reality in Unregistered Generally Advertised Products

    MONT-ROYAL 1

    Four years after the JOBS Act, three years into 506(c) and one year from implementation of Regulation A+, how is the revolution in non-registered generally advertised products affecting sponsors and their products? Hear a discussion of how active sponsors in this evolving space take advantage of the opportunities and meet the challenges in these still developing avenues of distribution. We will discuss fundamentals and foundational considerations in planning a public unregistered offering, what product types are best suited for each of these channels, and in what circumstances “crowdfunding” offers a viable strategy.  For sponsors, there are many advantages to general solicitation, but also various elements to consider in designing your product and offering. This panel will consider selection of a generally advertised product, marketing/disclosure and the SEC, FINRA issues sponsors should be aware of in tapping the BD channel, and other salient points.

    Moderator: Tom Voekler, Kaplan Voekler Cunningham & Frank

    Participants: Matt Leiter, GK Development; Dan Shaeffer, Cottonwood Residential; Arthur Weissman, WealthForge; Elliot Newman, Directpos

    11:50 AM - 12:10 PM
    Break

    EXHIBIT HALL

    12:10 PM - 1:10 PM
    (23) The Great Due Diligence Third Party Debate (Part Deux)

    BELMONT 4, 8

    Semi-General Session

    {Sequel to prior Due Diligence Great Debate}

    Don't miss the most important debate of the fall. What leading third-party due diligence analysts square off and debate the tough questions like what makes a good due diligence report, how should broker-dealers use reports, whta type of products today will produce the most arbitrations in the future, and are we better off today than we were four years ago?

    Moderator: Chip Cunnigham, Kaplan Voekler Cunningham & Frank

    Presenters: Bryan Mick, Mick | Law; Paula Miterko, Miterko & Associates; Todd Snyder, Snyder Kearney; Catherine Bowman, The Bowman Law Firm; Scott Smith, FactRight; Dana Woodbury, Buttonwood Investment Services

    (24) I Was Told There Would Be No Math! Education and Marketing of Complex Products

    NOLITA 1

    Sponsors, due diligence officers and financial advisors will be enlightened to:

    • Know how to structure marketing literature in a way to attract BDs and RIAs;

    • Reveal those due diligence questions that are show stoppers vs. show openers; and

    • Discuss the role a financial advisor may play in the review and approval of a new product.  

    Moderator: Suneet Singal, First Capital Real Estate Investments

    Participants: Dustin Zachmeyer, Griffin Capital Corporation; Cory Neumiller, Capital Financial Services; Derek Peterson, Terra Capital Partners

    (25) 1031/DST Update and Ask the Experts

    NOLITA 2

    After the concise 1031 Activity Update (Mountain Dell report), this session will be almost entirely Q&A, allowing for significant audience participation and feedback to cover any questions ranging in topics from 1031s to DSTs to tax considerations.

    Presenter: Taylor Garrett, Mountain Dell Consulting

    Moderator: Mark Kosanke, Concorde Investment Services

    Participants: Louis Rogers, Capital Square 1031; Stephen Decker, IPX1031; Dan Cullen, Baker & McKenzie

    1:15 PM - 2:15 PM
    General Session III: Game Show -- Urban Myths About Alternatives

    BELMONT 4, 8

    Are you smarter than a sponsor?  This session will examine many of the areas where “urban myths” dominate over reality and uncover issues that everyone in the industry should be familiar with. The interactive format will allow the different industry groups to compete and determine whether they are in fact smarter than a sponsor.

    Facilitators: Darryl Steinhause, DLA Piper; Adriana Olsen, Passco Companies; Cameron Hellewell, Orchard Securities

    2:15 PM - 3:30 PM
    Cocktail Reception

    EXHIBIT HALL

    4:30 PM - 5:15 PM
    (7) Smart Marketing and Sales of Alternatives: What Every Financial Advisor Needs to Know

    NOLITA 2

    • What is your firm’s practices for ensuring suitability? Does it differ between public and private offerings?

    • For those offers with no income or net standards, do you have set guidelines for what a default income and net worth standard would be?  What other factors do you consider important in making a suitability determination?

    • How do you explain the usage of alternative investments in a client’s portfolio? Have most clients accepted the use of alternative investments as an integral part of their investing portfolio?

    • Does the education and acceptance of alternative investments differ between generations? Are there any special considerations when marketing an investment to a retiree?

    • What items do you look for when reviewing a public or private offering document? What one piece of advice would you give sponsors to improve the reception of their offerings at your firm?

    Moderator: Jason Vanclef, Vanclef Financial Group

    Participants: Dave Laga, DFPG Investments; Fred Baerenz, AOG Wealth Management; Joe Miller, Independent Financial Group; Emily Messerschmitt, The Fig Group

    (8) What is the Status of BDCs Today and What is the Forecast for Tomorrow?

    NOLITA 3

    For the last few years, various regulatory pressures on non-traded BDCs have triggered structural changes in those products. Will BDCs ever obtain regulatory approval to sell multiple share classes? Will fees continue to be pushed down? Panelists will address some of the more recent trends in structure changes as well as where they see changes coming in the future.

    Moderator: John Grady, DLA Piper

    Participants: Rob Hoffman, FS Investments; Derek O'Leary, Owl Rock Capital Partners; Peter Magnuson, Securities America

    5:20 PM - 6:40 PM
    General Session II: Legislative & Regulatory Change: Creating an Effective Industry Response

    BELMONT 4, 8

    Speakers from across the industry spectrum will discuss how the industry has been impacted by new and even threatened legislative and regulatory developments. They will speak to ways in which industry members can respond to meet these far reaching challenges. Come and listen to an informed discussion of ways that Industry members - sponsors, distributors, broker-dealers and financial advisors - can develop a positive agenda for the new reality facing the industry. 

    Moderator: John Grady, DLA Piper

    Participants: Tom Rosenfield, Government Relations Consultant; Todd Snyder, Snyder Kearney; Damon Elder, Spotlight Marketing Communications

    6:40 PM - 7:10 PM
    Break

    EXHIBIT HALL

  • Wednesday, September 28
    3:30 AM - 4:30 AM
    Breakfast

    EXHIBIT HALL

    4:30 AM - 5:30 AM
    General Session IV: Bob Rice

    BELMONT 4, 8

    bob-rice-l (2)

    With over 30 years in the industry as an investment manager, lawyer, principal, and banker, Bob may be the country’s best known alternatives expert. He is the bestselling author of “The Alternative Answer” and “Three Moves Ahead,” appears regularly in TV and print media, and conducts educational events for thousands of FAs and investors each year.

    After starting his career at the U.S. Justice Department, Bob was a financial products partner at the premiere Wall Street law firm, Milbank, Tweed. He then launched a technology startup that became the publicly traded Viewpoint, of which he served as CEO. He returned to Wall Street in 2004, founding broker dealer Tangent Capital and later the consulting firm Rice Partners, both of which serve alternative managers and investors.


    5:40 AM - 6:30 AM
    (26) Broker-Dealer Advisory Council

    MONT-ROYAL 1

    Participative program for BD/RIAs only: Cory Neumiller facilitates further drill down and discussion by Bob Rice on how ways the financial advice community can communicate the value of alternatives and how to best deal with the robo/passive/ETF threat.

    Facilitator: Cory Neumiller, Capital Financial Services

    Presenter: Bob Rice, Rice Partner

    (27) Smart Marketing and Sales of Alternatives: What Every Sponsor Needs to Know

    NOLITA 2

    • When structuring a potential offering, when do you involve members of your wholesaling team in the offering process? How valuable is their input in designing a potential offering?

    • How valuable has the due diligence process been in understanding what aspects of an offering are appealing to broker-dealers?  

    • When marketing and educating the broker-dealers about your offering, what aspects seem most attractive to them? How would you recommend other sponsors effectively communicate the strengths of their offerings?

    • How significantly does the process differ in structuring an offering, depending on whether it is public or private? Do you think a private offering is necessarily “riskier” than a public one?

    • What one piece of advice would you give potential sponsors considering an entry into this space?  

    Moderator: Kirk Montgomery, CNL Securities

    Participant: Steve Kantor, S2K Financial; Daniel Oschin, Shopoff Realty Investments; Derek Peterson, Terra Capital Partners; Jason Plucinak, GWG Holdings

    (28) Expand Distribution by Using New Legislation and Innovations in Self-Directed IRAs

    NOLITA 1

    New legislation and technological innovations in self-directed IRAs are making it easier and more affordable for retail investors to invest in alternatives using retirement dollars. This session will show sponsors how these two factors are creating an unprecedented opportunity to increase AUM.

    Presenters: James Jones, IRA Services Trust; Jason DeBono, NuView IRA; John Berlau, Competitive Enterprise Institute; Rajeev Kotyan, Innovative Advisory Group

    6:30 AM - 7:00 AM
    Break

    EXHIBIT HALL

    7:00 AM - 8:00 AM
    General Session V: Market and Economic Updates

    BELMONT 4, 8

    The big picture: What does the world macroeconomic outlook look like for 2016 and 2017, and how can alternative investments play a key role for institutional and retail investors?

    Moderator: Emily Messerschmitt, The Fig Group

    Speakers: Mark Earley, Hines Securities; Daniel Wildermuth, Kalos Financial; Malone Mitchell, Redhawk

    8:00 AM - 9:00 AM
    General Session VI: Keynote Speaker Joe Torre

    BELMONT 4, 8

    A conversation with Joe Torre: hear first-hand how world champion Joe Torre rose from player to executive, and how his style of team leadership sparked the talent in others to achieve greatness.

Special Guests

Attending Companies

  • Associate Firms

1st Global Capital Corp
1st Trade
Advanced Wealth Planning
Aegis Capital Corp
Affinity Real Capital
Aleph Capital
Alpha Architect
Alpha Cubed Investments
Alta Investment Group
American Investors Co
Ameriprise Financial Services, Inc.
Anchor Financial Group
Andorra Investment Management
AOG Wealth Management
Archer Investment Advisors
Arete Wealth Management
Arque Capital Ltd.
Ashland Pacific
Atomi Financial Group
AXA Advisors LLC
BANDER Investments
Bank Fund Equities, Inc.
Berthel Fisher & Company Financial Services Inc
Bridge Valley Financial Services
Cabot Lodge Securities, LLC
Calton & Associates Inc
Cambria Capital
Cambridge Investment Research Inc
Capital Financial Services, Inc.
Capital Management Analytics
Capstone Financial Consultants LLC
Capstone Wealth Planning
Catalyst Wealth Management
Centaurus Financial, Inc.
Center Street Securities
Cetera Financial Group
Chen Planning Consultants, Inc.
Claraphi Advisory Network, LLC
Clear Stream Advisors
Coastal Equities, Inc.
Colorado Financial Service Corporation
Concorde Investment Services
Conover Securities Corp
Corcapa 1031 Advisors
Cornerstone Exchange Services
Cornerstone Family Office, Inc.
Cornerstone Real Estate Investment Services
Cornerstone Retirement & Insurance Services
CORPORATE INVESTMENTS GROUP, INC
Courtlandt Financial Group, Inc.
Creative Wealth Advisors, LLC.
Crescent Securities Group Inc
Da Vinci Global Consulting, LLC
Deans Consulting
Derby and Derby
Desert Rose Capital Management, Inc.
Design Moves LLC
DFPG Investments, Inc.
Diversified Financial
DLS Capital Partners
Dwyer Financial
Elmcore Securities LLC
Emerson Equity LLC
ETF Management Consultants
Financial Architects, Inc.
First Financial Equity Corp.
First Guardian Group
FISN, a division of Landolt Securities
Fortitude Investment Group LLC.
Freedom Investors Corp
Freedom T&F Inc.
FRONTIER FINANCIAL PARTNERS, LLC
Frontier Wealth Strategies
FSC Securities Corporation
G2J2 INVESTMENT MANAGEMENT
Girgis Financial
Global Asset Advisors
Gradient Securities LLC
Grand Canyon Financial Advisors
Gryphon Private Wealth Management
H&S Wealth Management
Harbor Light Securities, LLC
Hartfield Financial & Insurance Services, Inc.
Haynes Financial Group
Heritage Capital Advisors Inc
Heritiage Advisors
Highlander Wealth Services, LLC
Horev and Associates
IAMC
IBN Financial Services, Inc.
IMS Securities Inc
Independent Financial Services Professional
Infinity Financial Services
Innovative Advisory Group, LLC
Investment Advisor Associates Inc
Irvine Advisors
ISC Group
James Fox Securities Inc
JL Capital Management
JRL Capital Advisors
JRW Investments
JRW Investments Inc
Kalos Financial, Inc
Kay Properties and Investments, LLC
Keystone Capital Corporation
KF Financial Services
Kuhn Wealth Management
Ladenburg Thalmann & Co. Inc.
Lamont Financial Services
Larson Financial
Legacy Wealth Management
Life Strategies Advisors
LightPath Capital, Inc.
LJCooper Capital Management LLC
Lopez Wealth Management Group
Lucia Securities, LLC
M.A. Hill Brokers
Maks Financial Services LLC
Manchester Financial
Martin Tax & Financial Services
Massey Financial Group
MBR Capital Management, Inc.
McDermott Investment Services, LLC
Metlife Securities Inc.
Miller Buckfire & Co., LLC
Ministry Partners Securities
Moloney Securities & Co., Inc.
Money Concepts Capital Corp.
MTrust
Multiple Financial
National Planning Holdings, Inc.
National Securities Corporation
Nevarez Wealth Management
Newbridge Securities Corporation
Newport Advisors, LLC
Newport Coast
Newport Wealth Advisors Inc
NMS Capital Securities, LLC
NPB Financial Group, LLC
Oak Tree Securities Inc
Oakwood Advisory Group
Orange Capital Management
Orchard Securities - CTT
Pariter Wealth Management Group
Park Ave Capital Management Intl.
Parker Wealth Management
Parsonex Securities, Inc.
Paulson Investment Company LLC.
Pearson Capital Management
Platinum Wealth Group
Plotkin Financial Advisors, LLC
PlusPoint Advisors
Polley Financial
PrimeX
PrimEx Prime
Princeton Asset Management
ProEquities, Inc.
Protected Investors of America Inc
PwC
Quake Capital
R.W. Bowlin Investment Solutions
Raintree Financial Solutions
RCM Investments
RD Heritage Group
Regal Financial Group
Regal Investment Advisors
Regal Securities, Inc.
Retirement Income Designs, Inc.
Retirement Solutions, Inc
Rice Partners
Richfield Orion International
Russell & Company
SANDLAPPER Securities, LLC
SCF Securities Inc
Securities America, Inc.
Sequence Financial Specialists, LLC
Sharif Family Offices
Sigma Financial Corporation
Silber Bennett Financial, Inc.
Solomon Financial Services
Sound Investments
Sourcenet Investment Services LLC
South Coast Wealth Management
Sterling Advisory Services, LLC
Steven Yeh & Associates
Strategic Asset Management Group
Strategic Wealth Planning
T.R. Winston & Company LLC
TAG Group, Inc
Tax Savings Professionals
TCFG Wealth Management, LLC
The Enterpise Securities Company
The Fig Group, LLC
The Strategic Financial Alliance, Inc.
Thomas J. Wolf, CFP
Titan Securities
TKC Wealth Management, LLC
TKG Financial
Triad Advisors, Inc.
Trustmont Financial Group, Inc.
Tweed Financial Services Inc
United Planners Financial Services of America
Valdes & Moreno, Inc.
Vanclef Financial Group
Venovate Marketplace Inc.
Ventura Coast Wealth Management
Vestech Securities
VFG Securities Inc
VisionWise Capital
Wall Street Financial Group Inc
Wall Street Strategies
WealthGurus(R)
Wealthmaster Group
Weiss Family Office
WestPark Capital, Inc
WFA Wealth Managers
Whitehall-Parker Securities, Inc.
Widener & Asher Asset Management
ZACKSINVEST

  • Affiliate Firms

1st Commercial Realty Group Inc
AI Insight
Alston & Bird LLP
Aon Risk Services
Axxcess Ccapital
Baker & McKenzie LLP
BofI Advisor
Buttonwood Investment Services LLC
C5 Solutions
CfPA
CFX Secondary Markets
CliftonLarsonAllen
Community National Bank
Competitive Enterprise Institute
Computershare
Directpost, Inc.
Discovery Data
DLA Piper
DST Systems Inc
Duval & Stachenfeld LLP
Elevation Energy & Communication
Emerson Equity LLC - MBD
Estate Planning Team
Evolv Capital
Factright, LLC
Financial Media Group
First Capital Real Estate Investments
FischTank
Great Lakes Fund Solutions, Inc.
IILEADERS
Institutional Real Estate Inc
Integro Insurance Brokers
IPA - Investment Program Association
IRA Services Trust
JCC Advisors, LLC
JL Sullivan, LLC
Kaplan Voekler Cunningham & Frank PLC
Kutak Rock LLP
Laser App Software
LeClairRyan
Madison Realty Companies
Mainstar Trust
Marrs Group
Maxwell Financial Services LLC
MGL Consulting
Mick Law PC, LLO
Miterko & Associates
Morris Manning & Martin LLP
Nelson Mullins
net lease capital
NuView IRA
Orchard Securities - MBD
Partnership Marketing Company
PENSCO Trust Company
Phillips Edison
Phoenix American Financial Services, Inc.
Preferred Partnership Services
Real Assets Adviser - Institutional Real Estate Inc.
Resource Royalty, LLC
Risley Associates
Robert A. Stanger & Co., Inc.
Roosevelt University
S&P Global Market Intelligence
S2K Financial
Seyfarth Shaw LLP
Skyway Capital Markets
Snyder Kearney, LLC
Spotlight Marketing Communications
StillPoint Capital
Sullivan & Worcester LLP
The Bowman Law Firm LLC
The DI Wire
University of Missouri
Wagner Law Grouo
WealthForge
Winget, Spadafora & Schwartzberg, LLP

  • Sponsor Firms

1031 Xpress Inc
Active Allocator
AEI Capital Corporation
APX Energy, LLC
Archon Capital
Ascendant Capital
Ashford
Atlas
Axiom Asset Advisors
Bluerock Capital Markets LLC
Bourne Financial Group, LLC.
Bryan Energy Management LLC
Caliber Co
Cantor Fitzgerald
Capital Square 1031
Catalyst Energy Inc
CION Securities, LLC
CNL Securities Corp.
Cole Capital
Cornerstone Realty Advisors, LLC
Cottonwood Residential
Cunat Inc.
Dahn America360, LLC
District Investments, LLC
Dividend Capital
EcoVest Capital Inc.
Equity Velocity Funds
Everest Medical Core Properties
Everest Realty Management, LLC
ExchangeRight Real Estate
FS Investments
Gemini Fund Services
GK Development Inc
Griffin Capital Corporation
Gulf South Energy Inc
GWG Holdings, Inc.
Hamilton Point Investments LLC
Hamilton Zane
Hamilton Zanze & Company
Hart Natural Resources
Hartman Income REIT
Haven Realty Capital, LLC
HC Government Realty Trust, Inc.
Highland Capital Management
Hines Securities
IGF Partners, LLC
Inland Private Capital Corporation
Inland Real Estate Investment Corporation
Inspired Healthcare Capital
Integrity Advisor Solutions
Investor Management Services
JLL Income Property Trust
Kamradt and Associates
KBS Capital Markets Group LLC
Linchris Hotel Corp.
Lingerfelt Commonwealth
Lodging Opportunity Fund, REIT
Longfellow Energy, LP
MacKenzie Capital Management
MCI Megatel Capital Investment
MDS Energy
Moody National Companies
MVP Realty Advisors
NA
Net Lease Capital Advisors
NorthStar Securities, LLC
OFG Consulting LLC
Owl Rock Capital Partners
Palmer and Associates
Passco Companies LLC
Peachtree Hotel Group
Pomona Capital
Preferred Apartment Communities Inc
Provasi Capital Partners
Realop Investments
Redhawk
Redwood Capital Group, LLC
Republic Properties Corporation
Resource Real Estate Inc
Richmond Honan
RK Properties
Rockspring
RREEF America LLC
Rycal Investment Group
SANDLAPPER Capital Investments, LLC
SC Distributors, LLC
Sealy & Company
Shopoff Realty Investments, L.P.
Silver Portal Capital, LLC
SmartStop Asset Management, LLC
Sound Point Capital Management
SQN Capital Management, LLC
Steadfast Capital Markets Group
Stonehenge Advisers
Terra Capital Partners LLC
The Lightstone Group
Time Equities Inc
Triloma
Trion Properties
Triton Pacific Securities
US Energy Development Corporation
Waveland Energy
Waveland Energy Partners
Webb Creek Management Group, LLC
WestPark Capital
Woodbridge Wealth

*indicates exhibiting firms

Media Partners

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Exhibitor Info.

Exhibitor Schedule

Set-up Hours:

  • Sunday, September 25
    8:00 pm-11:00 pm
  • Monday, September 26
    8:00 am-4:00 pm

Show hours:

  • Monday, September 26
    6:00-8:00 pm
  • Tuesday, September 27
    7:30 am-7:30 pm
  • Wednesday, September 28
    7:30-11:00 am

Tear-down hours:

  • Wednesday, September 28
    11:00 am-5:00 pm

    *All exhibitor materials must be removed by 5:00 pm.

Marketing

long-arrow-alt-right All exhibitors need to send a current logo to Jennifer Fitzgerald, Director of Marketing.

Program Book and Mobile App Ads and Materials

Diamond exhibitors receive:
  • Full page, 4-color ad in printed conference program -- DUE Friday, September 2, 2016
  • Banner ad on event mobile app -- DUE Wednesday, September 14, 2016
  • Brief company profile included in the event mobile app -- DUE Wednesday, September 14, 2016
  • Recognition by category on the ADISA website, select pre-event eblasts, onsite signage and general PowerPoint
Platinum exhibitors receive:
  • Half page, 4-color ad in printed conference program -- DUE Friday, September 2, 2016
  • Brief company profile included in the event mobile app -- DUE Wednesday, September 14, 2016
  • Logo displayed, linking to URL of choice, in event mobile app - DUE Wednesday, September 14, 2016
  • Recognition by category on the ADISA website, select pre-event eblasts, onsite signage and general PowerPoint
Gold exhibitors receive:
  • Brief company profile included in the event mobile app -- DUE Wednesday, September 14, 2016
  • Recognition by category on the ADISA website, select pre-event eblasts, onsite signage and general PowerPoint
  • Logo displayed, linking to URL of choice, in event mobile app
Silver exhibitors receive:
  • Recognition by category on the ADISA website, select pre-event eblasts, onsite signage and general PowerPoint
  • Logo displayed in event mobile app
Bronze exhibitors receive:
  • Recognition by category on the ADISA website, select pre-event eblasts, onsite signage and general PowerPoint
  • Listing in event mobile app
Printed ad specs: (for Diamond and Platinum exhibitors only)
  • Full page: 6x9" vertical, 4-color
  • Half page: 6x4.5" horizontal, 4-color
  • Artwork must be in PDF format.
  • Must be 300 dpi or higher.
  • Include all fonts and graphics embedded in files.
  • Ads created in Microsoft Word, Publisher, PowerPoint or any other word processing program will not be accepted. These files must be exported to PDF.
  • Ads smaller than the specified size will be centered on the page.

ADISA Contact Information

Jennifer Fitzgerald

Director of Marketing

317.663.4175

Logo usage
Media inquiries

Tanisha Bibbs, CMP

Director of Event Planning

317.663.4174

Problems with the hotel

Erin Balcerzak

Membership Services Coordinator

317.663.4180

Conference registration
Payments
Booth assignments

Jennifer Fitzgerald

Director of Marketing

317.663.4175

Program book
Ads
Logo usage
Media questions

GES – Global Experience Specialists, Inc.

800.801.7648

GES will be onsite show to assist you in coordinating any last minute services, ordering additional products and answering any questions you may have.

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