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Event Details

 

ADISA's Alternative Investments Research & Due Diligence Forum is designed for industry professionals who are employed with a Broker-Dealer, RIA, Family Office, Due Diligence Firm, or select others, that offer alternative investments in their business.

  • Network with more than 200 industry professionals
  • Learn about today's issues and business opportunities
  • Discover advanced due diligence techniques, processes, tools and resources
 


WHO WILL ATTEND?

  • Broker-Dealers
  • Registered Investment Advisors (RIAs)
  • Family Offices
  • Due Diligence Professionals
  • Compliance Officers
  • Sponsors
  • Affiliates

Event Schedule

*Draft, as of 7/10/19

 

  • Thursday, July 18
    7:45 AM - 8:30 AM
    Breakfast & Exhibition
    8:30 AM - 8:45 AM
    Welcome & Introduction
    8:50 AM - 10:10 AM
    Opening Keynote Speaker Andrew Busch
    Andrew Busch, noted market analyst for government and Wall Street, and popular political/economic author does a deep dive on current research and conditions to help managers connect their work to the bigger picture of the global economy, politics and technology.
    10:15 AM - 10:45 AM
    Break & Exhibition
    10:45 AM - 11:45 AM
    Opportunity Zone Report

    White House speaker Ja'Ron Smith will report on the progress, likely path and pitfalls, and general success of Opportunity Zones from the Administration perspective.

    Moderator: Larry Sullivan, Passco Companies
    Speaker:Ja'Ron Smith, Special Assistant to the President, White House Office of Legislative Affairs
    11:50 AM - 12:40 PM
    Alternative Investments Sector Report
    Views and data from around the Alternative Investments world: 1031s, Energy, REITs, BDCs, Private Placements, Private Equity, ADISA Research

    Presenters: Sherri Cooke, AI Insight; Mike Andrews, DST Systems; Taylor Garrett, Mountain Dell Consulting; Matthew Iak, U.S. Energy Development Corporation; Brian Buehler, Triton Pacific Securities
    12:40 PM - 2:10 PM
    Lunch & Exhibition
    2:10 PM - 3:20 PM
    Getting Due Diligence Done: Perspectives on the How-To
    Multiple perspectives on best methods of due diligence: Broker-Dealers, RIAs and Third-Parties

    Moderator: John Grady, DLA Piper
    Participants: Andrew Barnum, Cetera Financial Group; Catherine Bowman, The Bowman Law Firm; Jean Merriman, The Strategic Financial Alliance; Brad Updike, Mick | Law
    3:25 PM - 3:55 PM
    Break & Exhibition
    4:00 PM - 4:55 PM
    Real Estate Meets Behavioral Finance: What Industry Professionals Need to Know
    Latest trends on behavioral research which affects seller and buyer behavior on real estate purchasing and management.

    Presenter: Michael Seiler, PhD, College of William & Mary
    5:00 PM - 6:30 PM
    Welcome Reception & Exhibition
  • Friday, July 19
    7:30 AM - 8:30 AM
    Breakfast & Exhibition
    8:00 AM - 8:45 AM
    BD/RIA Program (open to all) on PPM/Advertising Issues
    Hosted by ADISA's BDAC
    FINRA has initiated a program relating to information included in a private placement memorandum. FINRA has taken the position that if the initial pages of an offering memorandum have different paper and/or pictures that this information is advertisement and is not actually part of the private placement memorandum and should be viewed as a “wrapper” notwithstanding the fact that it is bound within the private placement memorandum. This seems contrary to the basic provision that FINRA does not have control over information provided in an offering memorandum if a broker/dealer was not constructing the offering memorandum. The panel will discuss FINRA’s approach, what constitutes “a different format” and how to comply within these requirements.

    Speaker: Amy Sochard, Senior Director, Advertising Regulation, FINRA.
    8:50 AM - 9:50 AM
    Legislative & Regulatory Updates
    The latest issues from the government and regulators likely to affect our industry.

    Moderator: John Grady, DLA Piper
    Panelists: Jim Wrona, Vice President & Associate General Counsel, FINRA; Dale Brown, Financial Services Institute; Emily Westerberg Russell, Senior Special Counsel in the SEC’s Division of Trading and Markets, Office of Chief Counsel
    9:55 AM - 10:45 AM
    Ethics Discussion: Affiliated Transactions
    Join us for a discussion on the current ethical dilemmas facing our industry today. We will have an open discussion and participation from all is encouraged. In particular we will be focusing on conflicts of interest and discussing practical solutions and potential future methods to better the alternative investment space for all investors.

    Participants: Paula Miterko, Miterko & Associates; Peter Magnuson, Ladenburg Thalmann; and others
    10:45 AM - 11:10 AM
    Break & Exhibition
    11:15 AM - 12:05 PM
    Fireside Chat
    ADISA President Greg Mausz will speak with heads of other major industry associations, exploring new trends and ideas shaping the investment industry as a whole -- what's coming down the pike for all professionals in the space.

    Moderator: Greg Mausz, ADISA President, Preferred Capital Securities
    Speakers: Lisa Bleier, SIFMA; Michael Pieciak, Vermont Department of Regulations, Current NASAA President; Jennifer Songer, SEC, Division of Investment Management; Jennifer Porter, SEC, Division of Investment Management
    12:05 PM - 12:15 PM
    Closing Remarks

Education Tracks

  • Compliance/Supervision
  • Operations & Technology
  • Marketing
  • Investment Advisory Services
  • Emerging Products
  • Private Programs
  • Public Programs
  • RIA/Hybrid
  • Legislative & Regulatory

Special Guests

Andrew-Busch-headshot

Andrew Busch

Andrew B. Busch is the former 1st Chief Market Intelligence Officer for the U.S. government. At the CFTC, he was charged with improving and enhancing the government’s understanding of the markets. Andy provided briefings to White House, US House and US Senate staffers on a wide range of issues including: extreme market volatility, China’s influence on the global commodity markets and the impact of Fintech & virtual currencies on market dynamics.
 
Mr. Busch created and directed a new research group, Market Intelligence Branch (MIB), for the agency. As CMIO, his job was to provide objective research on the financial markets to the CFTC, SEC, US Treasury and Federal Reserve. Energy, agriculture, interest rates and technology (Bitcoin, blockchain, AI) were some of the areas of research covered by the team.

Attending Companies

  • Associate Firms (Broker-Dealers, RIAs, Family Offices)

Accretive Wealth Management
Advisory Group Equity Services, Ltd.
Altruist Advisor
American Portfolios Financial Services, Inc.
Arete Wealth Management
Arkadios Capital
AXA Advisors LLC
Bay Capital Advisors, LLC
Beacon Hill Investment Advisory
Benchmark Investments, Inc.
Berthel Fisher & Company Financial Services Inc
Cambridge Investment Research Inc
Cetera Financial Group
Claraphi Advisory Network, LLC
Clarity Finance
Coastal Equities, Inc.
Concorde Asset Management, LLC
Concorde Investment Services LLC
Crescent Securities Group Inc
Cuso Financial Services
Da Vinci Global Consulting, LLC
Dempsey Lord Smith, LLC
Discipline Advisors, Inc.
eagle rock wealth management
Equifinancial LLC
FNEX
Hickory Capital, LLC
IDB Capital
IHT Wealth Management
International Assets Advisory, LLC
Invicta Capital Advisors
Kalos Capital, Inc.
Kingsley Family Office
Ladenburg Thalmann & Co. INC.
LifeMark Securities Corp
Lionchase Holdings
MSF Capital Advisors LLC
NexTrend Securities, Inc
Ni Advisors, Inc.
Park Ave Capital Management Intl.
PARK CITY CAPITAL INC
Purshe Kaplan Sterling Investments
RD Heritage Group
Reshape Wealth
Richfield Orion International
SCF Securities Inc
Seidman Investment Portfolios
Sequence Financial Specialists, LLC
Sigma Financial Corporation
Simons Financial Network
Spire Investment Partners LLC
Synergy Wealth Mgmt
The Strategic Financial Alliance, Inc.
TKC Wealth Management, LLC
United Planners Financial Services of America
VIA Folio

  • Affiliate Firms

AI Insight
Arete Capital Markets
*CAIA Association
DLA Piper
Factright, LLC
FINRA - Financial Industry Regulatory Authority, Inc.
Great Lakes Fund Solutions, Inc.
HillStaffer
InvestmentNews
IPA - Institute for Portfolio Alternatives
*Kaplan Voekler Cunningham & Frank PLC
MBD Solutions
Mick Law PC, LLO
Miterko & Associates
NuView IRA
Openfinance
Orchard Securities - MBD
*Phoenix American Financial Services, Inc.
Skyway Capital Markets, LLC
SS&C Technologies
The Bowman Law Firm LLC
The College of William & Mary, Mason School of Business
U.S. Securities and Exchange Commission
Vermont Department of Financial Regulation
WealthForge

  • Sponsor Firms

*Bluerock Capital Markets
*Bluerock Real Estate
*Bourne Financial Group, LLC.
*Capital Square 1031
*Carter Multifamily
*Cottonwood Residential
Destra Capital Investments
EcoVest Capital
EvrSource Capital
*ExchangeRight Real Estate
Four Springs Capital Trust
FS Investments
*Green Rock, LLC
Guggenheim Partners
*GWG Holdings, Inc.
*Hamilton Point Investments LLC
*Hines Securities
*Inland Private Capital Corporation
*Inland Real Estate Investment Corporation
Livingston Street Capital
*Lodging Fund REIT III
MCI Megatel Capital Investment
MDS Energy/National Brokerage Atlantic, Inc.
Moody National Companies
NB Private Capital
*Passco Companies LLC
Phoenix American Hospitality
*Preferred Apartment Communities Inc
Prospect Capital Management
RealBlocks
Resolute Capital Partners
Rockspring
*Sealy & Company
Shopoff Realty Investments
*SmartStop Asset Management, LLC
Sovereign Partners
*Spring Hills Holdings, LLC
*Starboard Realty Advisors LLC
Tri-Land Properties, Inc.
*Triton Pacific Securities
*US Energy Development Corporation
*Waypoint Residential
Webb Creek Management Group, LLC

*indicates exhibiting firms

Media Partners

  • CAIA_logo_transparent

About the CAIA Association

The Chartered Alternative Investment Analyst (CAIA) Association, founded in 2002, is the world leader in alternative investment education. The CAIA Association is best known for the CAIA Charter. Earning the CAIA Charter is the gateway to becoming a member of the CAIA Association, a network of over 10,000 investment leaders located in 90+ countries. CAIA also offers the Fundamentals of Alternative Investments Certificate Program®, an online course that provides an introduction to alternative investing. CAIA is considered a leading authority on industry trends and developments worldwide. For more information, please visit CAIA.org.

Contact Info

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

Hotel & Travel

Hotel & Travel

All AI Research & Due Diligence Forum events will be held at The Mayflower in Washington, D.C.

1127 Connecticut Avenue NW
Washington, D.C. 20036
202-347-3000

The deadline to receive the ADISA hotel room rate has passed. Contact The Mayflower directly for rates and availability: 202.347.3000

 

BEWARE of hotel reservation scams: There are several hotel reservation “pirates” who somehow get prior year meeting attendance lists and then approach past attendees to reserve their hotel rooms and in so doing either steal credit card information or broker a non-refundable reservation with extra junk fees. Please note that ADISA does not call or send out emails to individuals to solicit hotel reservations. You should use only the link provided in our reservation system to book your room. Please contact us with any questions.      

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