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 6
    2:00 PM - 3:00 PM
    (1) Practical Considerations for RIA and Alts Investments
    • No commission vs. a true no-load
    • How to determine value for billing purposes
    • Justifying a fee for illiquid assets
    • Hybrid vs. Affiliated:
      • Broker-dealer oversight requirements
      • Matching RIA and broker-dealer approved platforms
      • How does the broker-dealer make money?
    • What is the best fee structure for illiquid, non-traded products?

    Moderator: Craig Covington, Discipline Advisors
    Presenters: Drew Dornbusch, LaSalle Investment Management; Jean Merriman, The Strategic Financial Alliance; David Johan, Altruist Advisors

    (2) BDC Investment Structure

    BDCs provide meaningful structure for a variety of different strategies providing income and capital preservation.

    • Investment strategies that fit the BDC structure
    • Investor profiles that fit the BDC structure
    • Improvements to the BDC structure implemented over the past few years
    • Pipeline of new registrations
    • Differences between BDCs and other non-traded funds

    Presenter: Joey Roth, Prospect Capital

    (3) Robotics: Automation in Finance

    Learn about how automation is being used and impacting the financial industry. How automation has increased quality and sped up many areas in the industry.

    Facilitator: Brian Jones, Envision Financial Systems

    Presenters: Ryan Gardner, UMB Bank; Chris Shaw, SS&C Technologies; Ramprasad Sandilya, Broadridge

    3:10 PM - 4:15 PM
    (4) Preferred Stock Offerings: Understanding the Evolution of this Dynamic Alternative Solution and How it Creates Value for Investors

    Key takeaways from the session:

    1. In-depth analysis of the preferred structure and how it benefits investors

    2. Best practices from an adviser and broker-dealer perspective for due diligence

    3. Diversification in an investor's portfolio

    4. Why would investors want to own preferred stock?

    5. What are the potetial pitfalls of preferred stock?

    6. How does the underlying real estate affect the preferred stock?

    (5) TBA
    (6) Risk Management Post Reg BI -- Vetting the Risks, Rewards and Costs of Alternatives

    Broker-dealers are required to go beyond a sponsor's claims made in the offering materials when vetting products such as REITs, BDCs, interval funds and oil/gas products. This is especially try after Reg BI, which now requires more in-depth knowledge about a product's risks, rewards and costs. This session will explore important product and sponsor level vetting and due diligence focal points that can help BDs better discharge their duty of "diligence, care and skill" under Reg BI. This session will also be of interest to RIAs, family offices and other constituents that raise money in alternative investments about how they can effectively vet different alternative products from a standpoint of risks and costs.

    4:30 PM - 5:00 PM
    Conference Kick-Off
    5:00 PM - 6:00 PM
    General Session I: Industry & Sector Update
    6:00 PM - 7:00 PM
    Cocktail Reception & Exhibition
  • Tuesday, April 7
    1:00 AM - 11:50 AM
    (11) Publicly Registered in Private Placement World

    Wider audience for the investment, advertising advantages and increased transparency create an important business development opportunity. Ease and reduced cost of registration, and less regulatory review hurdles, has led many alternative investment sponsors to register private placements instead of public registrations. Therefore, public registrations are now somewhat unique. The great advantages for advisors who sell public registered investments include a wider audience of non-accredited investors to sell to, and more required transparency from companies that are typically well-funded. In some cases, advisors and investors enjoy greater ease of doing business, including DTC-eligibility with the ability for the investment to show in the brokerage account 'above the line' just like traditional exchange-traded stocks and bonds. We will explore the process, structures, ease of doing business, challenges and rewards. 

    Participants: Mark Petersen, MBD Solutions; Merriah Harking, GWG Holdings; Nishil Mehta, Preferred Apartment Communities; Neil Menard, Stepstone Conversus; Josh Hoffman, Bluerock Real Estate

    8:00 AM - 9:00 AM
    Breakfast & Exhibition
    9:00 AM - 9:50 AM
    General Session II: Legislative & Regulatory Update
    10:00 AM - 10:50 AM
    (7) A Wolf in Sheep's Clothing or No Big Deal? Regulation Best Interest Coming Soon

    It's almost here. Highly anticipated Regulation Best Interest goes into effect June 30, 2020. Are you ready? Come listen to industry participants discuss the last push to effectiveness of Regulation BI, tricks of the trade for you and your associated persons to become compliant and answers to your most pressing questions.

    (8) Benefits of Private Offerings for Accredited Investors

    Our industry is ever-changing and with change, we must work together to bring the best in class offerings, provide strong support and education to advisors, and instill confidence with the firms in which we work. Raising capital is not the only measure of our success. Our performance is the key. Today there are many options to preparing products for distribution and more paths to navigate in working with RIAs and broker-dealers.

    Facilitator: Michelle Galenski, Shopoff Realty Investments

    Presenters: Tim Witt, Concorde Investment Services; David Sengstock, Mick | Law; Karlton Kleis, Arete Wealth Management

    (9) Development Offerings -- Growth Generators

    Learn about how development offerings can provide a unique opportunity for investors by positioning a piece of their portfolio in a growth investment. We'll examine opportunities in real estate with respect to developing a few different asset classes, product structure and how they can benefit investors from a growth income and tax perspective.

    Moderator: Michelle Moore, Waypoint Real Estate Investments

    Participant: Bill Shopoff, Shopoff Realty Investments 

    11:00 AM - 11:50 AM
    (10) Leg/Reg Concerns for Fee-Based Advisors Who Use Alts
    (12) Cybersecurity: Concerns and Next Steps

    A chance to listen to some of the concerns and steps taken to protect your most valuable assets -- YOUR DATA. Hear how technology firms are continually staying one step ahead of cyber attacks to protects the software and the industry data. 

    Moderator: John Castagnozzi, Broadridge

    Participants: Ned Montenecourt, Phoenix American Financial Services

    12:00 PM - 1:45 PM
    Lunch & Exhibition
    1:45 PM - 2:35 PM
    General Session III: Investment Behaviors

    Dr. Michael Seiler, J.E. Zollinger Professor of Real Estate & Finance, William & Mary School of Business

    2:45 PM - 3:35 PM
    (13) Tax-Advantaged Private Equity Strategies: Investor's Appetite for Income

    Learn about various private equity strategies which will provide a detailed understanding of the current landscape and how to analyze opportunities. Discussion of the investor's appetite for income with respect to alternative investments.

    Participant: Grant Mathey, Mick | Law

    (14) How '40 Act Alternatives are Paving the Way for Retail Investors

    The new-wave of '40 Act Alternative Investments have promised greater transparency, higher liquidity profiles, lower fees, lower minimums, wider investment mandates and greater share-class flexibility, among other benefits. This panel of '40 Act sponsors and broker-dealers discuss if the industry is delivering on these promises and examine areas for continued improvement. The panel will also debate what investment strategies and asset classes are ideal for a '40 Act structure when compared to purely open-ended and non-traded structures. Looking to the future, panelists will offer their opinions on how these funds are positioned to navigate a potential economic recession in the future.

    (15) Single-Family Rental Sector Now Available to Retail Investors

    The total value of the U.S. housing market was approximately $3.6 trillion as of December 2019 according to Zillow, which makes it equal in value to the U.S. equity markets. However, in spite of the scale of the U.S. housing market, this sector has not historically been a component of most individual investment portfolios. The primary reason for this is that individual investors have had little access to the institutional scale necessary to execute investments in the single-family housing market. In recent years, that has changed. Single-family rental home investment opportunities now exist as a compelling investment opportunity for retail investors who wish to allocate into the single larget asset class in the world.

    As an asset class, the single-family rental housing market can offer portfolio diversification (relative to conventional equity and fixed-income securities), competitive income, and potentially high total returns ... all of which may be impactful on the overall performace of an investor's portfolio.

    Participants: Nolan Rivers, Raymond James Investment Banking Group; Brian Mitts, NexPoint

    3:35 PM - 4:00 PM
    Break & Exhibition
    4:00 PM - 4:50 PM
    (16) Qualified Opportunity Zone Investing -- What Should Be Considered in the Context of Portfolio Construction?

    With all the interest in QOZ investing, what really are the impacts on portfolio construction and portfolio management for clients and investors. This experienced panel will discuss the nuances of considering portfolio strategies for incorporating investments in Qualified Opportunity Zones and the challenges and benefits of the investment decisions.

    Presenters: Matthew Leiter, Trilogy Real Estate Group; Shafron Hawkins, Opportunity Funds Association; Mick Manning, Pacific Oak Capital Markets Group; Mark Petersen, MBD Solutions

    (17) Account On-Boarding

    Listen to the leaders in account on-boarding as the process has gone from concept to prototype and now production. The successes/challenges with the adoption of a paperless application in the industry. Now that this live, what have we learned since implementation and where do we see this process in two to three years? 

    Moderator: Angie Fischer, CIM Group

    Participants: Bill Robbins, WealthForge; Brad West, Alternative Investment Exchange

    (18) Hot Topics (1031)
    5:00 PM - 6:00 PM
    Directions in Alternatives: Bob Rice

    The alt industry's top thought-leader previews the emerging "world war" that will determine the future of the investment management industry: the fight for the $45 trillion of assets controlled by individuals in the 90-99th percentile of wealth. Which products and services will determine the outcome? And how can you be on the winning side?

    Bob is the country’s most recognized expert on mainstreaming alternatives. His provocative, high-energy presentations show why, in today’s environment, non-traditional investments are essential components of individual portfolios … and how the entire financial industry is changing to deliver them. His insights arise from 30 years’ experience as a lawyer, banker, and consultant for elite institutional investors, asset managers, and financial advisors.

    Bob is the pioneer educator in our field: his foundational book The Alternative Answer became a Wall Street Journal bestseller, and his Bloomberg and Fox TV spots, “Bob’s Buzzword,” have explained the lexicon to millions of viewers.

    He is a Director of Nasdaq Private Markets; a senior consultant to Wilshire Associates and Neuberger Berman; and serves on the board of the Value Line Funds’ investment advisor and the editorial committee of The Institute of Wealth and Investments.

    Bob’s firm, Tangent Capital, advises private equity, hedge, and real asset managers and institutional investors. RicePartners.com hosts Bob’s recent award-winning articles, presentations, events calendar, and a library of his TV Buzzwords.

    6:15 PM - 7:15 PM
    Cocktail Reception & Exhibition
  • Wednesday, April 8
    7:30 AM - 9:00 AM
    Breakfast & Exhibition
    9:00 AM - 10:00 AM
    General Session IV: Sales Performance
    10:10 AM - 11:00 AM
    (22) RIA Roundtable: Challenges for RIAs in the Alts Space
    (23) Broker-Dealer Roundtable
    (24) Sponsor Roundtable: Sponsor Perspective on Knowing the Audience

Education Tracks

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

Attending Companies

  • Associate Firms

Accretive Wealth Management
Advisory Group Equity Services, Ltd.
Aegis Capital Corp.
Altruist Capital
American Trust Investment Services
Ausdal Financial Partners, Inc.
Avantax Investment Services, Inc.
Berthel Fisher & Company Financial Services Inc
Brookstone Capital Management
Cabin Securities
Calton & Associates Inc
Cambridge Investment Research
Chen Planning Consultants, Inc.
Coastal Equities, Inc.
Colorado Financial Service Corporation
Concorde Asset Management, LLC
Concorde Investment Services
Corcapa 1031 Advisors
Crescent Securities Group Inc
Da Vinci Global Consulting, LLC
Dempsey Lord Smith, LLC
DFPG Investments, Inc.
Discipline Advisors, Inc.
Dorado Peak Capital
Emerson Equity LLC
Finance CAPE
Financial Fitness Wealth Management
FIT Strategic Advisors LLC
FourStar Wealth Advisors, LLC
Global Value Add Inc.
Great Point Capital
Hickory Capital, LLC
IHT Wealth Management
Independent Financial Services Professional
Innovative Advisory Group, LLC
International Assets Advisory, LLC
J.W. Cole Financial Inc
Kalos Financial, Inc
Ladenburg Thalmann & Co. INC.
Legacy Wealth
Lionchase North America
Lovell Wealth Management
Mirae Asset Wealth Management
MIT Associates, LLC
Moloney Securities Asset Management LLC
Moregain Capital Group
MSF Capital Advisors LLC
Ni Advisors, Inc.
Park Ave Capital Management Intl.
Pinnacle Financial Wealth Management
Purshe Kaplan Sterling Investments
R.W. Bowlin Investment Solutions
Sigma Financial Corporation
Sourcenet Investment Services LLC
Spire Investment Partners LLC
Strategic Wealth Planning
Sunrise Financial Partners
SW Financial
Synergistic Fincl Ctr
Synergy Wealth Management
The Strategic Financial Alliance, Inc.
Thornhill Securities, Inc.
TKC Wealth Management, LLC
Valeo Groupe
Vestech Securities
Whitehall-Parker Securities, Inc.
Wychick Investment Advisors Inc

  • Affiliate Firms

Advertising Regulatory Consulting, LLC
AI Insight
*Baker Tilly Capital
*Bowman Law Firm LLC
Clarity Finance
*CNB Custody
Cobalt Capital Inc
*DLA Piper
Envision Financial Systems
*Equity Advisor Solutions
Factright, LLC
*Great Lakes Fund Solutions, Inc.
*Kaplan Voekler Cunningham & Frank PLC
MBD Solutions
Mick Law PC, LLO
*Miterko & Associates
Naylor & Warner CPAs
Orchard Securities - MBD
Practus Law
Purshe Kaplan Sterling Investments
Robert A. Stanger
Robert A. Stanger & Co., Inc.
*SC Distributors, LLC
*Securities Transfer Corporation
Singer Wealth Advisors
Skyway Capital Markets, LLC
Spotlight Marketing Communications
*STRATA Trust Company
Triton Pacific Securities, LLC
UMB Bank, Institutional Banking
VENTURE.co Holdings, Inc

  • Sponsor Firms

*American Capital Group
Black Creek Group
*Bluerock Capital Markets
*Bluerock Real Estate
*Bourne Financial Group, LLC.
Cantor Fitzgerald
*Capital Square 1031
*Carter Funds, LLC
*Carter Multifamily
CIM Group
CNL Securities Corp.
Core Pacific Advisors, LLC
*ExchangeRight Real Estate
*Flatiron Asset Management, LLC
Four Springs Capital Trust
FS Investments
GK Real Estate
*GK Real Estate
*Go Store It Partners, LLC
*Green Rock, LLC
*Griffin Capital Company, LLC.
*GWG Holdings, Inc.
*Hamilton Point Investments LLC
*Hines Securities
*Inland Private Capital Corporation
*Inland Real Estate Investment Corporation
*Legendary Capital
*MCI Megatel Capital Investment
MDS Energy/National Brokerage Atlantic, Inc.
*Montego Minerals
*Moody National Companies
*NB Private Capital
*Nelson Partners
Pacific Oak Capital Markets Group
*Passco Companies LLC
*Peachtree Hotel Group
*Preferred Capital Securities
Resolute Capital Partners
*Sandy Bay Partners
*Sealy & Company
Shopoff Realty Investments
*Sovereign Partners
*Spring Hills Holdings, LLC
*Starboard Realty Advisors LLC
*The Dedelow Financial Group, LLC
*Time Equities Inc
*Trilogy Real Estate Group
*Triton Pacific Securities
*United Group
*US Energy Development Corporation
*Waypoint Real Estate Investments
*Webb Creek Management Group, LLC
*Wildermuth Securities, LLC

*indicates exhibiting firms

COVID-19 Statement

COVID-19 Statement

March 10, 2020

As you know, ADISA’s conferences are important events for the livelihood of the non-traded alternative investment space. Our 2020 Spring Conference (Orlando, April 6-8) is rapidly approaching, with registration ahead of pace compared to recent years, and our exhibit hall is nearly sold out. In short, we are planning for another successful event.

The health and safety of our members and attendees is our top priority, and we are monitoring the COVID-19 (coronavirus) situation and guidelines set by the U.S. Centers for Disease Control and Prevention and the World Health Organization. We are working closely with the Rosen Shingle Creek resort to ensure that all appropriate measures are being taken to safeguard the well-being of our attendees, including the aggressive use of disinfectant cleaning procedures throughout the hotel, including the exhibit hall and meeting rooms, and the addition of more hand sanitizing dispensers readily available to all attendees.

Again, at this point, we anticipate another great event for our industry and look forward to welcoming our attendees!

For more information on what you can do to safeguard yourself, please visit:



Media Partners

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Exhibitor Info.

Exhibitor Schedule

Set-up Hours:

  • Sunday, April 5
    1:00-6:00 pm
  • Monday, April 6
    8:00 am-4:00 pm

Show hours:

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

Exhibitor move-out:

  • Wednesday, April 8
    9:00 am-1:00 pm

    *All exhibitor materials must be removed by 1:00 pm


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 13, 2020
  • Banner ad in event mobile app -- DUE Friday, March 20, 2020
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 20, 2020
  • Company profile included in the event mobile app -- DUE Friday, March 20, 2020
  • 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 13, 2020
  • Brief company profile included in the event mobile app -- DUE Friday, March 20, 2020
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 20, 2020
  • 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 profile included in the event mobile app -- DUE Friday, March 13, 2020
  • Logo displayed, linking to URL of choice, in event mobile app -- DUE Friday, March 20, 2020
  • Logo recognition by category on the ADISA website, printed program book, select pre-event eblasts, onsite signage and general PowerPoint
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:
  • 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

ADISA Contact Information

Jennifer Fitzgerald

Director of Marketing


Program book
Logo usage
Media questions

Tanisha Bibbs, CMP

Director of Event Planning


Problems with the hotel

Erin Balcerzak

Membership Services Coordinator


Conference registration
Booth assignments

FREEMAN – Exhibition Specialists


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

ADISA Foundation Service Project

ADISA Foundation Service Project

As you make your plans to attend ADISA’s 2020 Spring Conference, please consider arriving early so you can participate in this service activity, sponsored by the ADISA Foundation. Family members can participate; volunteers under 18 will need a parent or guardian in attendance.
Sunday, April 5, 1-4 pm
United Against Poverty Orlando (food pantry and employment assistance center)
150 W. Michigan St.
Orlando, FL 32806

Project Description
Volunteers will assist with the Member Share Grocery Program with cleaning, stocking, and organizing shelves. There's not much heavy lifting involved, but there is a lot of bending, squatting, standing, etc. Volunteers will also help with the Emergency Food Pantry by taking inventory and restocking items.
Maximum of 25 volunteers.
What to Wear
Wear comfortable, family friendly attire and closed toe shoes.
We will meet in the hotel lobby and depart at 12:30 pm. Destination is located 15-20 minutes from the Rosen Shingle Creek Resort. We will travel by Uber and a rented van. If you have a car, we may want to recruit you to drive as well.
United Against Poverty Orlando
150 W. Michigan St., Orlando, FL 32806
EIN: 11-3697936; a 501(c)(3) organization




Why is the ADISA Foundation Doing This?
The ADISA Foundation is more than just raising funds to give away for scholarships. The Foundation also provides ADISA members opportunities to unite for common causes, serve others, and network by interacting with fellow members outside of a work/conference environment.

The ADISA Foundation is a 501(c)(3) organization: EIN: 20-5624278.

Hotel & Travel


All Spring Conference events will take place at the Rosen Shingle Creek in Orlando:

9939 Universal Blvd.Orlando, FL 32819
The room rate is $235. 

ADISA will book hotel rooms for Broker-Dealers, RIAs, Family Offices & Registered Representatives/IARs.

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.



Legendary Capital


ExchangeRight Real Estate
Green Rock
Inland Real Estate Investment Corporation
Preferred Capital Securities
Sandy Bay Partners


Bourne Financial Group
Carter Multifamily
DLA Piper
Griffin Capital Company
GWG Holdings
Hamilton Point Investments
Kaplan Voekler Cunningham & Frank
MCI Megatel Capital Investment
Moody National Companies
Passco Companies
Spring Hills Holdings
Starboard Realty Advisors
Webb Creek Management


American Capital Group
Bluerock Real Estate
GK Real Estate
Go Store It
Peachtree Hotel Group
Red Oak Capital Group
SC Distributors
Sealy & Company
STRATA Trust Company


Baker Tilly
Capital Square 1031
CNB Custody
Equity Advisor Solutions
Flatiron Asset Management
Great Lakes Fund Solutions
Hines Securities
Montego Minerals
NB Private Capital
Nelson Partners
Real Assets Adviser
Securities Transfer Corporation
The Bowman Law Firm
Time Equities
Triton Pacific Securities
U.S. Energy Development Corporation
Waypoint Real Estate Investments

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