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Event Details

Designed for all industry professionals who sponsor, analyze, market, distribute or recommend alternative investments, ADISA's Spring Conference will feature key industry experts, educational panels and topical presentations.
 
  • Attend to receive timely regulatory updates, valuable compliance information, and to learn the latest on different investment products, programs and more
  • Continuing education credits will be available
  • Conference attendance is balanced, representing all sponsors, service providers and funding sources
  • Ample networking time will be available

Event Schedule

*last updated 3/10/2020

 

  • Monday, April 3
    7:45 AM - 8:50 AM
    Women's Leadership Forum Luncheon

    IMPERIAL 5

    Empower & Inspire: A Panel Discussion Exploring the Personal and Professional Lives of Women in the Industry

    Panelists: Alisha Edmund, Lightstone Group; Heidi Wheatley, Preferred Apartment Communities; Bonnie Shekarabi, Engage-BD; Lee IredellJennifer Fitzgerald, ADISA
    9:00 AM - 9:50 AM
    (1) Introduction to 1031s

    CELESTIN GH

    Utilize section 1031 exchanges to help clients defer their taxes. This session will review the primary guidelines your clients must follow to complete a successful 1031 exchange. This session is a must for BDs, advisors, and representatives who are looking to grow their business through the implementation of 1031 exchange investing.

    Moderator: Louis Rogers, Capital Square 1031
    Presenters: Braxton Allen, Inland Securities Corporation; Andy Wang, Passco Companies
    (2) Introduction to Preferred Stock Options

    CELESTIN F

    As a hybrid investment between common stock and corporate bonds, preferred stock offerings present attractive features for investors and can be issued as traded or non-traded stock. We will explore the investor considerations, advantages and risks. We will also delve into the basic structure, private and/or public possibilities and will impart an understanding of this important category and its implications for advisors and investors.  

    Moderator: Todd Snyder, Snyder Kearney
    Presenters: Lenny Silverstein, Preferred Apartment Communities; Josh Hoffman, Bluerock Real Estate
    (3) Emerging Market Opportunities for Alternative Retail Investment Structures

    CELESTIN BC

    The panel will focus on the market opportunities and challenges in offering retail alternative investment structures – Nontraded REITS, BDCs, and Interval Funds. The moderator and panelists plan to discuss structure and pricing trends, regulatory considerations, distribution practices, and investment strategy optimization.

    • The state of the nontraded REIT and BDC market
    • Liquidity and pricing transparency options with alternative structures
    • Pricing and share class considerations and trends given the current business and regulatory landscape
    • Profitably managing alternative business structures
    • Best practices in intermediary distribution and distributor platform placement

     

    Moderator: Larry Petrone, DST Systems
    Participants: Zachary Klehr, FS Investments; Mark Petersen, MBD Solutions
    Education Committee Meeting

    CELESTIN A

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

    Chair: Greg Mausz, Preferred Apartment Communities
    10:00 AM - 10:50 AM
    (4) Between Theory & Operations: A Practical Discussion of the Formation and Operation of Interval Funds

    CELESTIN GH

    The proliferation of interval funds suggests a growing and innovative structure. Interval funds offer liquidity similar to mutual funds, but provide the fund advisor with the opportunity to employ strategies once limited to hedge funds, commodity pools, private funds, and other alternative investment funds. This session is a deeper dive into the structure of interval funds with an emphasis of how these products operate on a day-to-day basis, including:

    • What are the structural differences and advantages and disadvantages of an interval fund over a non-traded REIT, BDC, or other DPP?
    • How varied are the investment strategies and targeted assets of interval funds?  What are the investment limitations, and how do these compare with those of a non-traded REIT, BDC, or other DPP? 
    • What are the various fees charged by interval funds to investors, both at the point of sale and on an on-going basis?  How do they compare with other investment products?
    • Does the mandatory liquidity offered by interval funds make investment management more difficult than for investment products whose share repurchase or redemption programs are discretionary?
    • How significant is the regulatory and compliance oversight of interval funds?  How burdensome is it relative to other investment products?
    • How should financial advisors use interval funds in an investor’s portfolio and what should a financial advisor look for in the offering document?
    This panel offers practical insights from leading interval fund sponsors about these exciting new investment products.
     

     

    Participants: Randy Anderson, Griffin Capital Corporation; Chuck Davis, DST Systems; Kevin Finkel, Resource Real Estate
    (5) An Introduction to Energy Products: Benefits, Risks & Marketing

    CELESTIN F

    In this session, we will introduce you to the various types of non-traded energy investments in terms of their investment strategies, features, income tax benefits, economic return characteristics, and risks. Among the energy products discussed will include tax preferred drilling partnerships, mineral and royalty acquisition programs, and programs that cater to like-kind exchange participants.In this session, we will discuss the economic features and risks of programs that focus upon the funding of renewable energy products. We will also discuss strategies for identifying potential investors for non-traded energy products.

    Moderator: Brad Updike, Mick Law
    Participants: Woody Soemantoro, MDS Energy; Brock Hensarling, Resource Royalty; Matthew Mills, Renewable Energy Alternatives
    (6) 1031: DST Due Diligence

    CELESTIN BC

    Where are we in the market and how does it affect the following?:

    • Underwriting of real estate
    • Financing
    • Asset classes
    • Asset management
    • Sponsor Considerations
    • Exit Strategies
    • Cash Flow
    • Growth Expectations

     

    Moderator: John Harvey, Cornerstone Exchange Services
    Participants: Nati Kiferbaum, Inland Private Capital Corporation; Warren Thomas, ExchangeRight Real Estate; Jacob Heidkamp, FactRight
    Publications & Standards Committee Meeting

    CELESTIN A

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

    Chair: Peter Magnuson, Securities America
    11:00 AM - 11:50 AM
    (7) Running the Gauntlet: Interval Funds and the Due Diligence Process

    CELESTIN GH

    Interval funds are becoming one of the more popular alternative investment products offered by sponsors. Central to the growing popularity of these unique products has been their acceptance by due diligence firms, a critical component in the offering process. This session discusses due diligence practices specific to interval funds including:

    • From a due diligence perspective, are these funds evaluated like open-end mutual funds, or like non-traded REITs and closed-end funds?
    • What aspects of an interval fund are most attractive to due diligence firms relative to other investment products?  How significant are the increased disclosure and additional limitations on conflicts of interest and leverage? How different is the due diligence process for an interval fund sponsor compared to that for a non-traded REIT, BDC, or DPP?  What aspects are unique to interval funds?
    • What are best practices for sponsors for the due diligence process??  How can a sponsor effectively communicate the strength of its interval fund offering to due diligence officers?
    • Where does an interval fund fit within a typical investor’s portfolio, and within a fund sponsor’s platform?
    • What are red flags and potential “show stoppers” from a due diligence perspective that sponsors considering an interval fund should be aware of?
    Join this session to hear from industry experts to understand the due diligence process for interval funds and what the considerations are in evaluating an interval fund as a potential investment.
     

     

    Moderator: Matt Malone, FS Investments
    Participants: John Kearney, Snyder Kearney; Adam Lotterman, Bluerock Real Estate; Howard Hirsch, Griffin Capital Corporation
    (8) BDC Panel: BDC Trends and Peak-Through Market Timing?

    CELESTIN F

    Business Development Companies (BDCs) and Private Equity offerings provide investors the opportunity to diversify their portfolios with equity and debt investments. In today’s market, there are now a number of quality offerings to choose from, that have differentiated investment strategies, portfolio construction, and management styles. Join this session to hear from industry experts, understand the benefits BDCs and PE provide vs. other investments, and learn about the various strategies currently being deployed.
     

    Moderator: Jonathan Talcott, Nelson Mullins
    Participants: Brian Buehler, Triton Pacific Capital Partners; Derek Peterson, Terra Capital Partners; Derek O'Leary, Owl Rock Capital
    (9) Fundamentals of DPP

    CELESTIN A

    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 with some of the best minds in the industry!
     

    Moderator: Greg Mausz, Preferred Apartment Communities
    Participants: Tom Voekler, Kaplan Voekler Cunningham & Frank; Holly Greer, CNL Financial; Bill Winn, Starboard Realty Advisors
    Legislative & Regulatory Committee Meeting

    CELESTIN BC

    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.

    Chair: Catherine Bowman, The Bowman Law Firm
    12:00 PM - 12:50 PM
    (10) REITs: Reg A+

    CELESTIN F

    This session will identify detailed aspects of offering REITs via Regulation A+. We will examine typical structures and varieties of offerings that can be conducted via Regulation A+. Panelists will discuss their experiences and efforts in the space and issues that they have encountered in this exciting new method of offering securities that is well-adapted for small real estate firms and REITs. As offerings under Regulation A+ are a recent addition to the REIT marketplace, panelists will also discuss the extent to which the market for REIT securities issued under Regulation A+ is taking shape and evolving. Panelists will include issuers, broker-dealers and attorneys.

    Moderator: Evan Hudson, Duval & Stachenfeld
    Participants: Jesse Stein, Commencement Capital; Robert Kaplan, Homewood Capital Advisors; Rhys James, Kaplan Voekler Cunningham & Frank
    (11) Best Practices of DPP

    CELESTIN A

    This session will identify best practices with respect to working in the arena of Direct Participation Programs (DPPs). 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 DPP. 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.

    Moderator: Greg Mausz, Preferred Apartment Communities
    Participant: Todd Snyder, Snyder Kearney; Aaron Fleming, Owl Rock Capital; Deborah Froling, Kutak Rock
    (12) How to Engage Family Offices

    CELESTIN GH

    Family offices continue to show an increased interest in the direct investment products that are sponsored by ADISA member issuers. At the same time, RIAs and other financial planning professionals are also looking to non-traditional products to diversify their clients’ portfolios.  This session will explore a variety of ways that both broker-dealers and alternative investment sponsors can expand their sales channel to reach a broader audience.

    Faciliator: Tony Grego, ADISA
    Presenter: Howard Cooper, Cooper Family Office
    Conference Planning Committee Meeting

    CELESTIN BC

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

    Chair: Tom Voekler, Kaplan Voekler Cunningham & Frank
    1:00 PM - 1:20 PM
    Spring Conference Kick-Off

    ELITE B

    1:25 PM - 2:30 PM
    General Session I: Washington & Financial Services -- What's to Come?

    ELITE B

     

    DUE TO MINOR MEDICAL REASONS, SEN. ISAKSON WILL NOT BE ABLE TO SPEAK AT ADISA'S SPRING CONFERENCE. HIS DEPUTY CHIEF OF STAFF, EDWARD TATE, WILL REPLACE HIM.

    Edward Tate is Deputy Chief of Staff and General Counsel for United States Senator Johnny Isakson. He previously managed Senator Isakson’s 2010 campaign for senate. 

    Prior to managing Senator Isakson’s campaign, Tate served Georgia Governor Sonny Perdue and the State of Georgia as Deputy Executive Counsel and Deputy Chief Operating Officer.

    Before joining Governor Perdue’s office, Tate was an associate in the Corporate Practice Group of King & Spalding LLP, an international law firm headquartered in Atlanta, Georgia. Tate was previously employed as an analyst with Barclays Capital in New York and as a legislative assistant to then U.S. Congressman Johnny Isakson in Washington.

    Tate serves on the Board of Directors of the T. R. Miller Mill Company, Inc., and is a former board member of the Georgia Regional Transportation Authority (GRTA).

    Tate is a graduate of Harvard College and the University of Virginia School of Law.
    2:30 PM - 3:30 PM
    Cocktail Reception and Exhibition

    EXHIBIT HALL (ELITE A)

  • Tuesday, April 4
    4:00 AM - 5:00 AM
    Breakfast and Exhibition

    EXHIBIT HALL (ELITE A)

    5:00 AM - 5:50 AM
    General Session II: Marci Rossell, Ph.D., Former Chief Economist, CNBC

    ELITE B

     

    CURRENT TRENDS IN THE FINANCIAL INDUSTRY
    Marci Rossell electrifies audiences nationwide, speaking on the nexus of economics, politics, culture and the media. Her animated style was honed when she served as the popular, lively Chief Economist for CNBC in the months immediately following September 11th. She takes complex economic issues, often dull in the button-down business press, and makes them relevant to people's lives, families and careers. 

    Prior to her career in broadcast journalism, Marci served as Corporate Economist and Investment Spokesperson for OppenheimerFunds, one of the nation's largest mutual fund companies. Before moving to Wall Street, she was an expert witness for Deloitte and Touche in court cases involving economic issues. Marci began her career as an economist with the Federal Reserve Bank of Dallas. 

    Marci earned a PhD in Economics from Southern Methodist University.  She brings a world of experience-from Main Street to Wall Street-when discussing the U.S. economy, international events and movements in capital markets.
    6:00 AM - 6:50 AM
    General Session III: Legislative & Regulatory Update Part I

    ELITE B

    What You Need to Know:  Regulatory updates including FINRA, NASAA, and other important issues

    Facilitators: Catherine Bowman, The Bowman Law Firm; John Grady, ADISA President, DLA Piper
    Speakers: Anya Coverman, NASAA; Joe Price, FINRA 
    7:00 AM - 7:50 AM
    (13) New Products and Share Classes 101

    CELESTIN GH

    Regardless of DOL fiduciary rule outcome, sensitivity to compensation from sales loads and share classes is likely here to stay. An “alphabet soup” of share classes is available to investors—from A shares to T shares—and Morningstar® has tracked as many as 3,800 new share classes waiting to debut. Although each share class is designed to mitigate conflicts between an advisor’s compensation and fiduciary responsibility, share class structures are far from streamlined.  Learn how to decipher the “alphabet soup,” and get insights on the industry’s emerging trend of providing better transparency to investors through lower-cost shares and simplified fee structures.

    Facilitator: Mike Bendix, DFPG Investments
    Presenter: Randy Anderson, Griffin Capital Corporation
    (14) Alpha Academy 101: A Private Equity Education

    CELESTIN F

    This session is aimed to introduce and/or enhance financial advisor knowledge on highly competitive private equity business. The session includes an introduction to private equity, structure, funding cycles, deal sourcing and underwriting, portfolio management, and negotiated exit strategies.

    Facilitator: Vali Nasr, Claraphi Advisory Network
    Presenter: Craig Faggen, Triton Pacific Capital Partners
    (15) Status on Conservation Easements

    CELESTIN A

    Hear the latest updates on conservation oriented real estate programs and the new disclosure requirements that have been imposed upon investors and material advisors under IRS Notice 2017-10. This session will also offer some assessments of these syndicated products objectively to help broker-dealers and advisors formulate honest evaluations on their features and risks.   

    Moderator: Bryan Mick, Mick Law
    Participant: Randy Bampfield, Bampfield & Associates; IRS Representative; Jack Sawyer, Alston & Bird
    (16) Robotechnology

    CELESTIN BC

    Learn about the latest and greatest in Fintech and Regtech so that you can grow your business safely. 

    Moderator: Sam Katsin, Phoenix American Financial Services
    Participants: Tom Embrogno, Docupace; Mike Kell, AI Insight; Joan Dromey, ComputerShare; John Oldham, SwitchSafe
    8:00 AM - 10:50 AM
    (22) CRM Best Practices for Advisors

    CELESTIN A

    Using a CRM within a firm is now a central part of technology, and the heart of knowing your customer, their needs and their wants. Choosing a CRM is one aspect of the challenges, but maintaining your CRM with most accurate information about your customer is the other aspect. What are steps a firm should take in working with the vendors and what should be the expectations from the technology, in addition to how to best use your CRM to achieve some of the firm wide goals, both for compliance as well as making your customer happy.

    Facilitator: Rajeev Kotyan, Innovative Advisory Group
    Presenters: Evan Hudson, Duval & Stachenfeld; Brian McLaughlin, Redtail Technology
    (23) Peering into the Regulatory Crystal Ball

    CELESTIN BC

    We’ll put on our fortune-teller hats and prognosticate about what is or could be lurking around the corner in your future (related to securities regulation, at least). No crazy predictions about the DOL or product design regulation. Rather, we’ll look at trends on other regulatory fronts, including regulatory priorities and firm and branch office inspections. We will also seek answers from the dark swamps of enforcement and arbitration and discuss what types of practical voodoo might be useful in handling supervisory and compliance obligations on display at the fabulous ADISA conference.

    Moderator: Kevin Hull, Robert A. Stanger & Co.
    Participants: Derek Anderson, Winget Spadafora & Schwartzberg; Erin Vocke, FINRA
    8:00 AM - 8:50 AM
    (17) Opening & Closing the Door on Products

    CELESTIN F

    Products and product providers go through changes driven by market forces or by decisions made by the management team. This changes the goals and potentially the returns for the clients of the Broker-Dealer and RIAs. Should the professionals working with the client portfolio take a pause in promoting or allocating into this product or products of the product provider? What should be the lookout criteria that would trigger the reengagement or complete disengagement? Learn how folks are doing it today, and discuss what how the future of the industry should be.

    Moderator: Daniel Oschin, Shopoff Realty Investments
    Participants: Michael Miller, Sigma Financial; Clive Slovin, Strategic Financial Alliance; Neil Greene, Newbridge Securities
    (18) Energy Program Developments: Where We Have Been and Where We Are Going in 2017 & Beyond

    CELESTIN A

    This session is intended to provide attendees with a comprehensive understanding of where the non-traded energy sector has been in terms of the market challenges presented in 2015-2016, and how the more resilient of the sector’s sponsors worked to address the challenges. This session is intended to also educate attendees about where the better energy program investment opportunities are perceived to exist in 2017, and what sponsors are doing to capitalize on such opportunities for their investors. In this session, commentary will also be provided from the panel concerning sponsor and product evaluation practices that can be used by BDs, RIAs, and family offices to identify the sponsors that are more capable of executing successful operational plans going forward this year and into 2018.

    Facilitator: Justin Reich, APX Energy
    Presenters: Brad Updike, Mick Law; Mike Greer, Waveland Energy; Matt Iak, U.S. Energy Development Corporation
    (19) Cybersecurity Update

    ELITE B

    Is the cybersecurity situation getting better? Or is it getting worse? Join us for a discussion about the current state of exposures (hint: like regulation, cybersecurity issues are not going away). We will tackle topics from broader global and industry concerns down to practical steps that you can incorporate into your life to improve your business and personal security. Cybersecurity made both FINRA’s and the SEC’s Examination Priorities Letters again this year and 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 regulatory ears. And that is all before you consider the potential for damage or interruption of your business from an actual attack or compromise of your systems.

    Moderator: Kevin Hull, Robert A. Stanger & Co.
    Participant: Tom Embrogno, Docupace
    9:00 AM - 10:00 AM
    Lunch and Exhibition

    EXHIBIT HALL (ELITE A)

    10:00 AM - 10:50 AM
    (20) REITs: Private Placements

    CELESTIN GH

    This session will look at trends in the private placement market. We will examine typical structures and varieties of offerings, real estate and otherwise, that can be conducted via private placement. Panelists will discuss their experiences and efforts in the space and issues that they have recently encountered. Panelists will also discuss which issuers should consider these offerings as well as ways in which offerings for private placements of securities have changed over time. Panelists will include issuers, broker-dealers and attorneys.

    Moderator: Erik Booth, Mick Law
    Participants: Bill Shopoff, Shopoff Realty Investments; Larry Goff, Triloma; Corey Maple, Lodging Opportunity Fund
    (21) An In-Depth Look at Asset-Backed Lending Strategies and Corresponding Program Structures in Today's Market

    CELESTIN F

    Today’s investors in offerings focused on asset-backed lending and collateralized investment strategies have the opportunity to achieve non-correlated returns not tied to the stock, bond, real estate or commodities markets, enabling them to further diversify their investment portfolios. In such offerings, a specific asset or assets serve as the collateral for a loan – whether in the form of real estate, inventories, machinery, equipment or receivables. Traditionally banks and financial institutions provided these services to their corporate clients; however, there are numerous opportunities available for other non-bank lenders to step into this market to provide the capital that is fundamental to the expansion and growth of businesses and corporations. This panel session will include a discussion of various financing and program offering structures available to investors in today’s market, how the experts underwrite such transactions to manage risk and maximize portfolio returns, and the use of these investment options within client portfolios.

    Moderator: Frank Tauches, American Portfolios Financial Services
    Participants: Bruce Batkin, Terra Capital Partners; Leesa Nichols, ATEL Securities Corporation; Michael Burwell, Redwood Mortgage Investors
    11:00 AM - 11:50 AM
    (24) State of the Industry on Reg A+ Offerings

    CELESTIN F

    Reg A+ -- more transparency than private placements? Lower cost than public offerings? Does Reg A+ provide the best of both worlds or a new set of complexities? Reg A+ has been around long enough now to evaluate the progress. This panel of experts will update attendees on the latest in Reg A+ statistics and trends, and examine Reg A+’s journey thus far.

    Moderator: Dana Woodbury, Buttonwood Investment Services
    Participants: Rhys James, Kaplan Voekler Cunningham & Frank; Matt Leiter, GK Development; Darryl Steinhause, DLA Piper
    (25) Where to Process and How to Hold Alts

    CELESTIN GH

    When an RIA decides that they want to work with alts in their client portfolio, they are left with looking for either a broker-dealer or a custodian who can hold it for them efficiently. This session will address the issues such as registration, valuations and consideration of the products itself that must be looked at by the RIA, including any operation efficiency that current broker-dealers and custodian offer RIAs and IARs.

    Moderator: Craig Porter Rollins, LJCooper Wealth Advisors
    Participants: Jason DeBono, NuView IRA; Bob Bourne, Bourne Financial Group; Melinda Leishman, MBD Solutions
    (26) 1031 Client Suitability and Arbitration Mitigation

    CELESTIN A

    Explore the various aspects of client suitability for 1031 like-kind exchanges and learn of tried and true methods to prepare for and succeed in arbitration. Extensive Q&A included.

    Moderator: Warren Thomas, ExchangeRight Real Estate
    Participants: Rick Chess, Chess Law Firm; Mark Kosanke, Concorde Investment Services; Derek Anderson, Winget Spadafora & Schwartzberg
    (27) State of the Market: An Update on the Progress of T-Shares

    CELESTIN BC

    There have been a number of structural changes to offerings and Broker-Dealer product platforms in response to FINRA 15-02. Join this session to hear from industry experts on how T-shares are faring now almost a year after 15-02 went into effect. Understand how the DOL fiduciary rule has also shaped the industries’ response to T-shares. Learn from Broker-Dealer peers how reps are adopting T-Shares and others that prefer to stay with the full “A” share commission model for compensation. Compare additional due diligence steps being performed by Broker-Dealers and third party analysts.

    Moderator: Derek Peterson, Terra Capital Partners
    Participants: Jacob Mohs, FactRight; Matt Malone, FS Investments; Kevin Shields, Griffin Capital Corporation; Peter Magnuson, Securities America
    11:50 AM - 12:10 PM
    Break and Exhibition

    EXHIBIT HALL (ELITE A)

    12:10 PM - 1:05 PM
    (28) Outlook for Alts

    CELESTIN F

    Alternative investments now play an integral part in a client’s asset allocation. The increased investor demand for alternatives has not only attracted the attention of several large institutional asset managers, but also the attention of the regulators. As a result, alternatives that are available to retail investors continue to evolve in terms of structure, strategy and sector. This session will identify and discuss the key contributors and trends of this ongoing evolution as well as the short- and long-term outlooks for alternatives.  

    Moderator: Dave Laga, DFPG Investments
    Presenter: Derek O'Leary, Owl Rock Capital Partners; LaMar McGhee, Strategic Financial Alliance; Catherine Bowman, The Bowman Law Firm
    (29) Private Equity Panel: Markets Have Peaked -- Should We Follow the Smart Money?

    CELESTIN GH

    This session is aimed to introduce various sponsors’ experiences, track records of private equity, structure and investment theses, and responses to current market events.
     

    Moderator: John Grady, ADISA President, DLA Piper
    Participants: Tom Scott, Triton Pacific Capital Partners; Cory Johnson, Pender Capital; Brian Weisenberger, Ascendant Capital 
    (30) REITs: The Future of Fees for Non-Traded REITs

    CELESTIN A

    In the past year, we have seen changes made to fee structures due to FINRA’s regulatory notice 15-02 and in preparation for the Department of Labor Fiduciary Rule. Change breeds uncertainty, and non-traded REIT sales have dipped from historic highs even though the value of including non-traded REITs in a client’s portfolio has not changed. Listen to a panel of experts discuss where the industry is headed based on changing fee structures and the need to adapt to the regulatory changes. Attendees will hear the panelists discuss how this may impact the performance of non-traded REITs. Learn why compliance, fiduciary responsibility, and legal issues may impact non-traded REITs and what direction the industry is heading in regards to fee structures. The panelists will discuss the future of non-traded REIT structures such as T shares, no load funds, and offer theories as well as the potential impact requirements with the pending DOL rule.

    Moderator: Jacob Heidkamp, FactRight
    Participants: Michael Miller, Sigma Financial; Kevin Gannon, Robert A. Stanger & Co.; Kevin Hart, Lightstone Capital Markets
    (31) Due Diligence on Preferred Stock Offerings

    CELESTIN BC

    The newest in product innovation, are the preferred stock offerings the future of the non-traded REIT industry? Learn how to conduct due diligence on non-traded redeemable preferred stock programs which offer many differences to traditional non-traded REIT programs. Highlights of these programs include: no state allocation/income suitability restrictions, no blind pools, enhanced liquidity features, and brokerage account trading capability.
     

    Moderator: Jacob Mohs, FactRight
    Participants: Josh Hoffman, Bluerock Real Estate; Brannon McPherson, Evolv Capital Partners; Lenny Silverstein, Preferred Apartment Communities
    1:15 PM - 2:15 PM
    (33) Self-Directed IRAs: The Tug-of-War Between Custodians, Sponsors and BDs/RIAs

    CELESTIN A

    In an ever-changing regulatory environment, holding alternatives inside retirement accounts seems to be changing by the minute. Some clearing firms hold it all, some hold a little and some are willing to hold the assets, but the fees continue to go up. As a result, many firms have turned to third party custodians to fill the void. Unfortunately, this can be a cumbersome process for broker-dealers and RIAs to manage and can create headaches for sponsors and advisors/reps alike. Join us for an exciting panel that uncovers the tug of war between the parties involved and helps shed some light on best practices for sponsors, BDs/RIAs and reps/advisors to navigate holding alternatives within retirement accounts in the most simplified manner for all involved.

    Moderator: Jason DeBono, NuView IRA
    Participants: Craig Gould, Cabot Lodge; Ann Moore, International Assets Advisory; Corey Maple, Lodging Opportunity Fund
    (34) To BIC or Not to BIC

    CELESTIN BC

    While we may know the contents of BICE, there is a potential impact on both procedures a firm should follow and liability a firm may have to incur. This session will seek to have a discussion on these aspects of BICE and what firms are beginning to do, other than legal preparation, to get ready for BICE. Additionally the discussions will enable to provide guidance to those who are undecided, whether they want to BICE at all.

    Facilitator: Rajeev Kotyan, Innovative Wealth Advisors
    Participant: Steve Wilkes, Wagner Law Group
    2:15 PM - 3:30 PM
    Cocktail Reception and Exhibition

    EXHIBIT HALL (ELITE A)

  • Wednesday, April 5
    3:30 AM - 4:30 AM
    Breakfast and Exhibition

    EXHIBIT HALL (ELITE A)

    4:30 AM - 5:20 AM
    General Session IV: All-Star Session

    ELITE B

    Several CEOs from top firms will square off in an election-style debate format on current investment strategies in the alternative space.

    Moderator: Darryl Steinhause, DLA Piper
    Participants: Brett Moody, Moody National Companies; Kevin Shields, Griffin Capital Corporation; John Williams, Preferred Apartment Communities; Kevin Finkel, Resource Real Estate/Resource Apartment REIT III; Bill Miller, Cole Capital
    5:30 AM - 6:20 AM
    (35) Industry Update

    CELESTIN A

    Catch up on the latest important data from the industry and see what amounts are being raised, who's doing it, and predictions for 2017.  

    Facilitator: John Harrison, ADISA
    Speaker: Stacy Chitty, Blue Vault Partners
    Broker-Dealer Advisory Council

    CELESTIN BC

    Open to Broker-Dealers only
    ADISA's popular gathering of Broker-Dealers. This year's program features follow-up work on exam culture and ethics with relevant examples for your everyday business.

    Facilitator: Larry Lyons, Kalos Financial
    Speaker: Joe Price, FINRA
    6:30 AM - 7:20 AM
    (36) Alpha Academy 201: A Deep Dive into Where Smart Money Invests

    CELESTIN A

    This session is aimed to provide deeper knowledge of how private equity enhances portfolio performance. The session will include industry analysis, due diligence, deal structure & transaction negotiation, financial modeling and buyouts.

    Facilitator: Peter Magnuson, Securities America
    Presenter: Tom Scott, Triton Pacific Capital Partners
    (37) 1031 Sales Strategy

    CELESTIN BC

    Hear from top producing 1031-focused reps and BDs regarding effective and appropriate strategies to market 1031 exchange offerings to clients and prospective clients. How can you grow your 1031 business and better reach the clients who need this particular service? This session will provide an open Q&A format to encourage broad audience participation.

    Moderator: Michael O'Shea, Four Springs Capital
    Participants: Mark Kosanke, Concorde Investment Services; Adriana Olsen, Passco Companies; Mike O'Toole, AEI Capital Corporation
    7:30 AM - 8:30 AM
    General Session V: Legislative & Regulatory Update Part II

    ELITE B

    Major Changes in the Works! — Tax Reform and DOL Fiduciary Rule

    Moderator: Catherine Bowman, The Bowman Law Firm
    Panelists: John Grady, ADISA President, DLA Piper; Larry Sullivan, Passco Companies; Tom Rosenfield, Hillstaffer

Education Tracks

  • 1031 Like-Kind Exchanges
  • Entry-level and a sales and sponsor focus

  • Energy Strategies
  • Marketing & Technology
  • Cybersecurity
    Best practices for advisors
    Robo-technology

  • Private Equity & Business Development Companies
  • REITs
  • Trending in Alternatives
  • Intro to preferred stock offerings
    Due diligence on preferred stock offerings
    Intro to interval funds
    Due diligence on interval funds

  • DPP - Fundamentals and Best Practices
  • Sessions specifically for RIA and Broker-Dealers
  • To BIC or not to BIC
    Peering into the regulatory crystal ball
    Outlook for alternatives
    Where to process and how to hold alts
    When to open/close door on products
  • Miscellaneous
  • Conservation easements
    Self-directed IRAs
    T-shares 101
    Asset-backed lending
    Accounting trends
    Reg A offerings
    Legislative & regulatory update

Attending Companies

  • Associate Firms

ABARIS LLC
American Portfolios Financial Services, Inc.
Archer Investment Advisors
Arete Wealth Management
Ashland Pacific
Ausdal Financial Partners
BANDER Investments
Barnside Capital
Berthel Fisher & Company Financial Services Inc
Bose
Bose McKinney & Evans LLP
Bridge Valley Financial Services
BSG&L Financial Services, LLC
Cabin Securities
Cabot Lodge Securities, LLC
Calton & Associates Inc
Cambridge Investment Research Inc
Centaurus Financial, Inc.
Center Street Securities
Center Street Securities, Inc.
CFX Secondary Markets
Chen Planning Consultants, Inc.
Claraphi Advisory Network LLC
Clear Harbor Wealth Management
Coastal Equities, Inc.
Colorado Financial Service Corporation
Commonwealth Financial Network
Competitive Edge Wealth Management
Concord Financial
Concorde Investment Services
Concorde Investment Services LLC
Cooper Family Office
Corcapa 1031 Advisors
Cornerstone Exchange Services
Cornerstone Family Office, Inc.
Crescent Securities Group Inc
Da Vinci Global Consulting, LLC
Dempsey Lord Smith, LLC
Desert Rose Capital Management, Inc.
DFPG Investments, Inc.
Effective 1031 Planning
Financial Foundations, Inc.
FourStar Wealth Advisors, LLC
Fox Wealth Advisors
Freedom Investors Corp
Frontier Financial Partners
FSC Securities Corporation
G2J2 INVESTMENT MANAGEMENT
Gotham Investors
Great Point Capital
H. Katz Capital Group
IAMC
IBN Financial Services, Inc.
Independent Financial Group
Independent Financial Services Professional
Innovative Advisory Group, LLC
Interactive Wealth Advisors
International Assets Advisory, LLC
ISC Group
JRL Capital Corporation
JRW Investments, INC
Kalos Financial, Inc
Ladenburg Thalmann & Co. INC.
Legacy Wealth Management, LLC
Lighthouse Capital Group, LLC
LJCooper Capital Management LLC
Lowell & Company Inc
Maroon Capital Group
Massey Financial Group
Miller Buckfire & Co., LLC
National Planning Holdings Inc
NewBridge Retail Advisors
Newbridge Securities Corporation
Niagara International Capital Limited
NPB Financial Group LLC
Pariter Securities, LLC
Polley Financial
Regal Securities, Inc.
Retirement Income Designs, Inc.
Retirement Solutions, Inc
SANDLAPPER Securities
Securities America, Inc.
Sharman Family Office
Sigma Financial Corporation
Silverhawk Asset Management, LLC
Sourcenet Investment Services LLC
Strategic Advantage Financial
Strategic Wealth Planning
Tahoe Woods
The Strategic Financial Alliance, Inc.
Titan Securities
TKC Wealth Management, LLC
United Planners Financial Services of America
Venovate Marketplace Inc.
Wealthmaster Group
WestPark Capital, Inc.
Whitehall-Parker Securities, Inc.
Wisdom Financial
WMS Financial Planners Inc

  • Affiliate Firms

AI Insight
Alston & Bird LLP
Aon Risk Services
Baker & McKenzie LLP
Bampfield + Associates
Blue Vault Partners
Buttonwood Investment Services LLC
Chess Law Firm
Community National Bank
Computershare
Discovery Data
DLA Piper
Docupace
DST Systems Inc
Duval & Stachenfeld LLP
Engage - BD
Evolv Capital
Factright, LLC
Financial Media Group
FINRA - Financial Industry Regulatory Authority, Inc.
Great Lakes Fund Solutions, Inc.
HillStaffer
incorporate.com
Integro Insurance Brokers
IPA - Investment Program Association
JCC Advisors, LLC
Kaplan Voekler Cunningham & Frank PLC
Kutak Rock LLP
Laser App Software
Mainstar Trust
MBD Solutions
Mick Law PC, LLO
Miterko & Associates
Morris Manning & Martin LLP
NASAA
Nelson Mullins
NLR Advisory Services, LLC
NuView IRA
Opal Group
Orchard Securities - MBD
Paliotta & Associates
Patrick Capital Markets, LLC
Pender Capital
Phoenix American Financial Services, Inc.
Real Assets Adviser
Real Assets Adviser - Institutional Real Estate Inc.
Redtail Technology, Inc
RME360
Robert A. Stanger & Co., Inc.
S2K Financial
SC Distributors, LLC
Seyfarth Shaw LLP
Skyway Capital Markets, LLC
Snyder Kearney, LLC
Spotlight Marketing Communications
The Bowman Law Firm LLC
The DI Wire
Trust Company of America
VisionWise Capital
Wagner Law Group
WealthForge
Winget, Spadafora & Schwartzberg, LLP

  • Sponsor Firms

AEI Capital Corporation
APX Energy, LLC
ATEL Capital Group
Atlas Energy Group, LLC
Blackstone
Bluerock Capital Markets LLC
Bourne Financial Group, LLC.
Broadstone Real Estate, LLC
BW Enterprises
Cantor Fitzgerald
Capital Square 1031
CNL Securities Corp.
Cole Capital
Commencement Capital
Core Pacific Advisors
Core Real Estate Capital LLC
Dahn America360, LLC
District Investments, LLC
Dividend Capital
EcoVest Capital Inc.
Eqis
Everest Realty Management, LLC
ExchangeRight Real Estate
ExchangeRight Real Estate, LLC
First Capital Real Estate Investments
Flat Rock Global, LLC
Four Springs Capital Trust
FS Investments
GK Development Inc
GPB Capital
Griffin Capital Corporation
GWG Holdings, Inc.
Hamilton Point Investments LLC
Hartman Income REIT
HC Government Realty Trust, Inc.
Highland Capital Management
Hines Securities
Information Management Network
Inland Private Capital Corporation
Inland Real Estate Investment Corporation
Inspired Healthcare Capital
John Henry Oil
KBS Capital Markets Group LLC
King Operating Corporation
Lennox Income & Opportunity Fund
Lodging Opportunity Fund
Lodging Opportunity Fund, REIT
Mainstreet
MDS Energy
Missouri Valley REIT
Montego Minerals
Moody National Companies
MVP Realty Advisors
Natural Resource Advisors LLC
Net Lease Capital Advisors
NorthStar Securities, LLC
O’Shares Investments
Owl Rock Capital Partners
Passco Companies LLC
Patrick Capital Markets, LLC
Peachtree Hotel Group
PECO Real Estate Partners
Phillips Edison & Company
Preferred Apartment Communities Inc
RCS Capital
RealtyShares
Redwood Mortgage
Resource Real Estate Inc
Resource Royalty, LLC
Rockspring
ROQ Solutions
RREEF America LLC
SANDLAPPER Capital Investments, LLC
Sealy & Company
Shopoff Realty Investments, L.P.
Sixty West, LLC
SmartStop Asset Management, LLC
SQN Capital Management, LLC
Starboard Realty Advisors LLC
Steadfast Capital Markets Group
Terra Capital Partners LLC
The Lightstone Group
Time Equities Inc
Triloma
Triton Pacific Securities
US Energy Development Corporation
Waveland Energy
Webb Creek Management Group, LLC

*indicates exhibiting firms

Media Partners

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  • The-DI-Wire-Logo3
  • lendit-logo-main-green3
  • IMN_jpeg7
  • RealAssets_Logo_LtBg_500px6

Exhibitor Info.

Exhibitor Schedule

Set-up Hours:

  • Sunday, April 2
    1:00-6:00 pm
  • Monday, April 3
    8:00 am-4:00 pm

Show hours:

  • Monday, April 3
    6:30-7:30 pm
  • Tuesday, April 4
    8:00 am-7:30 pm
  • Wednesday, April 5
    7:30-9:00 am

Exhibitor move-out:

  • Wednesday, April 5, 2017
    9:00 am-3:30 pm

    *Carriers MUST be checked in by 1:00 pm
    *All exhibitor materials must be removed by 3:30 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, March 10, 2017
  • Brief company description in the printed program book explaining your products or services – DUE Friday, March 10, 2017
  • Banner ad in event mobile app -- DUE Friday, March 17, 2017
  • Company profile included in the event mobile app -- DUE Friday, March 17, 2017
  • Logo recognition by category on the ADISA website, printed program book, select pre-event eblasts, onsite signage and general PowerPoint
Platinum exhibitors receive:
  • Half page, 4-color ad in printed conference program -- DUE Friday, March 10, 2017
  • Brief company description in the printed program book explaining your products or services – DUE Friday, March 10, 2017
  • Brief company profile included in the event mobile app -- DUE Friday, March 17, 2017
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 17, 2017
  • Logo recognition by category on the ADISA website, printed program book, select pre-event eblasts, onsite signage and general PowerPoint
Gold exhibitors receive:
  • Brief company description in the printed program book explaining your products or services – DUE Friday, March 10, 2017
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 17, 2017
  • Logo recognition by category on the ADISA website, printed program book, select pre-event eblasts, onsite signage and general PowerPoint
Silver exhibitors receive:
  • Brief company description in the printed program book explaining your products or services – DUE Friday, March 10, 2017
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 17, 2017
  • Logo recognition by category on the ADISA website, printed program book, select pre-event eblasts, onsite signage and general PowerPoint
Bronze exhibitors receive:
  • Brief company description in the printed program book explaining your products or services – DUE Friday, March 10, 2017
  • Logo recognition by category on the ADISA website, printed program book, 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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