Agenda

*Draft, as of  7/10/19

Thursday, July 18

7:45-8:30 am

8:30-8:45 am

8:50-10:10 am

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.

Read Andrew Busch's bio here.

10:15-10:45 am

10:45-11:45 am

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

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

12:40-2:10 pm

2:10-3:20 pm

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

3:25-3:55 pm

4:00-4:55 pm

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

5:00-6:30 pm

Friday, July 19

7:30-8:30 am

8:00-8:45 am

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

8:50-9:50 am

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

9:55-10:45 am

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

10:45-11:10 am

11:15 am-12:05 pm

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

12:05-12:15 pm