Why Go

Designed for all industry professionals who sponsor, analyze, market, distribute or recommend alternative investments, ADISA's Annual Conference & Trade Show 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

Covid Safety Information

We continue to monitor the COVID-19 pandemic and the federal, state, and local guidelines. While there is always a risk of COVID-19 in attending any events, the overall COVID situation in Nevada has been improving (https://www.nytimes.com/interactive/2021/us/nevada-covid-cases.html ). The city is fully open and hotels are hosting large events again. Guidance may change prior to the meeting, but Nevada still remains under a state mask mandate. This is for the benefit of all attendees regardless of vaccination or negative COVID test status – although we do, of course, encourage vaccination and/or testing.

 

  • We ask that all attendees wear their masks whenever possible, except while drinking and eating, unless the attendee is not able to due to a medical condition. Please do not enter meeting rooms or the exhibit hall without your mask.
  • While we expect that most attendees will bring their own masks, we will have additional masks and hand sanitizer available for use.
  • Attendee seating will be arranged to increase social distancing where possible.
  • ADISA staff will continue to work with the hotel on available terrace areas.
  • Food service will be presented with increased safety protocol.
  • The Wynn's HVAC system has upgraded filtration and uses maximum outside air and two sets of filters. Furthermore, The Wynn has received the Sharecare VERIFIED™ designation with Forbes Travel Guide, recognizing the resort's compliance with expert-validated best practices that minimize the risk and impact of COVID-19.

Hotel & Travel

Hotel & Travel

All ADISA Annual Conference & Trade Show events will take place at:

The Wynn Las Vegas
3131 S. Las Vegas Blvd.
Las Vegas, NV 89109

  • Sponsors & Affiliates: ADISA's group rate deadline has passed. Contact The Wynn directly for room availability (702-770-7000).


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.


Agenda

As of 9/20/2021
  • Monday, October 4
    12:00 PM - 1:30 PM
    Women's Initiative Luncheon

    With Special Guest Anastasia Amoroso 

    Managing Director, Chief Investment Strategist
    iCapital Network


    Anastasia Amoroso is a Managing Director and the Chief Investment Strategist at iCapital Network. In this role, she is responsible for providing insight on private market investing opportunities for advisors and their high-net-worth clients. Previously, Anastasia was an Executive Director and the Head of Cross-Asset Thematic Strategy for J.P. Morgan Private Bank, where she identified and invested in emerging technologies and disruptive trends such as artificial intelligence, decarbonization, and gene therapy. She also developed global tactical ideas and implemented institutional-level implementation across asset classes for clients. Anastasia regularly appears on CNBC and Bloomberg TV and is often quoted in the financial press. Prior to this, Anastasia served as a Global Market Strategist on the J.P. Morgan Funds Global Market Insights Strategy team. She also managed global tactical multi-asset portfolios and performed investment due diligence at Merrill Lynch, as well as provided consultative financial advisory services to high-net-worth families and businesses. Earlier in her career, Anastasia held several financial analysis, research, and strategic business planning positions with both private and public sector organizations. She graduated summa cum laude from the University of New Mexico and is a CFA charterholder.

    1:45 PM - 2:50 PM
    (1) Fundamentals of Alternative Investments

    This session brings a noted cast of industry veterans to identify aspects of alternative investments and pass on their knowledge. We will examine typical varieties of offering structures and the corresponding related potential benefits and risks associated with investments in alts. 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. Alternative investments cover a wide variety of industry sectors, including but not limited to real estate, energy, equipment and commercial dept. This session will also address some of the legal, tax and regulatory issues surrounding alt offerings with some of the best minds in the industry!

    Session Coordinator: Greg Mausz, Preferred Capital Securities

    Moderator: Greg Mausz, Preferred Capital Securities
    Participants: Bill Leitner, Leitbox Storage Portfolio Partners; Kevin Greene, Spring Hills Holdings; Brian Nelson, Versity Investments

    (2) ESG and Impact Investing: What Is It?

    As financial advisors and fiduciaries, you serve a greater good -- the financial well-being of your clients. You are tasked with anticipating global opportunity and navigating change while striving to exceed your clients' expectations. It is a tremendous responsibility with exceptional rewards. Advisors can be found among a family's most trusted relationships, participating in critical decisions and providing guidance on complex issues.

    The price of impact investing has the potential to affect the financial services industry in profound and permanent ways. For advisors equipped with the proper tools to engage and deliver results, it equals tremendous opportunities for their business with existing clients and the next generation. In this session, you will learn about the basics of impact investing that can serve as a foundation for taking your business to the next level with your clients. 

    Session coordinator: Gloria Nelund, TriLinc Global

    Facilitator: David Johan, Doceo Wealth
    Presenter: Jeff Shafer, CommonGood Capital

    (3) FinTech as an Investment

    The ever-changing world of technology presents simultaneous opportunities and hurdles. Hear what current technologies are available, what is on the horizon, and what the IBD/RIA community is looking to invest in to help create greater efficiencies and value-adds for their clients and businesses.

    Session Coordinator: Sherri Cooke, iCapital Network

    Participants: Andrew Barnum, iCapital Network; Angie Fisher, CIM Group; Craig Covington, DAI Securities; Bill Robbins, WealthForge

    3:00 PM - 4:00 PM
    (4) Digital Assets -- What Broker-Dealers Need to Know for Compliance

    The emergence of cryptocurrencies and decentralized finance is regulatory discussed in the media, and within our industry. In a time when investors are constantly asking how and when to invest in this new asset class, this panel will seek to go a mile wide and an inch deep on how to navigate the world of digital assets. Whether you are a sponsor structuring products, a broker-dealer conducting due diligence, or an advisor trying to give guidance to investors, there will be something for everyone. Come and join the discussion.

    Session coordinator: Taylor Garrett, Orchard Securities

    Moderator: Kevin Bradburn, Orchard Securities
    Participants: Jacob Heidkamp, FactRight; Andrew Balthazor, Holland & Knight; Sam Seaman, Deloitte Tax

    (5) Aligning Legacy and Investing -- The Role of Tax-Advantaged and Impact Investments

    How can financial advisors help clients define and align their legacy and investment goals? Gain insight and practical tips to guide affluent clients in identifying their philanthropic and legacy vision with their investment strategy by incorporating impact investments and tax-advantaged products. Hear from a leading philanthropic strategist and a wealth advisor during a conversational session designed to foster an understanding of defining worth beyond dollars.

    Session coordinator: Heidi Wheatley, Keystone National Properties

    Moderator: Mike Packman, Keystone National Properties
    Participants: J. Colin Sturgis, Signature FD; Elizabeth Burdette, Signature FD

    (6) Interval Funds and the Retail Investor

    Interval funds offer the ability to invest in unique strategies to help meet portfolio goals. We will review the current situation with interval funds and explore several feature you may not know about: low minimums in comparison to other private investments, offering timing parameters, tax reporting, and 40 Act Fund regulation. Learn the entire story of interval funds from storied experts in the field.

    Session coordinator: Michael Underhill, Capital Innovations

    Moderator: Michael Underhill, Capital Innovations
    Participants: Terrence Davis, Greenberg Traurig; Randy Anderson, Griffin Capital Company

    4:15 PM - 5:00 PM
    Conference Kick-Off
    5:00 PM - 6:00 PM
    General Session I: Industry Update

    Session coordinator: John Harrison, ADISA

    Presenters: Kevin Gannon, Robert A. Stanger & Co.; Taylor Garrett, Mountain Dell Consulting; Mike Kell, iCapital Network; Mike Andrews, SS&C Technologies

    6:00 PM - 7:00 PM
    Opening Cocktail Reception & Exhibition
  • Tuesday, October 5
    8:00 AM - 9:00 AM
    Breakfast & Exhibition
    9:00 AM - 9:50 AM
    General Session II: Legislative & Regulatory Update (Part I)

    Our plate of legislative & regulatory action has never been so full. Reports on the latest happenings are featured in "The Tonight Show" format with serial guests to cover the latest in budget negotiations, tax issues (1031 and step-up basis, etc.), what’s the story on alts provisions in IRAs (§138312), and how the media will report it all.  

    Participants: Thomas Rosenfield, JD, HillStaffer; Owen Caine, HillStaffer; Larry Sullivan, Passco Companies; Catherine Bowman, The Bowman Law Firm; John Harrison, ADISA

    9:50 AM - 10:15 AM
    General Session III: Legislative & Regulatory Update (Part II)
    10:15 AM - 10:45 AM
    Break & Exhibition
    10:45 AM - 11:35 AM
    (7) Why Advisors Should Care About Impact Investing

    Hear from professionals on the front lines of impact investing on why incorporating meaningful investment options around ESG/SRI and other impact-related areas into your offerings is no longer a "nice to have," but increasingly a "must have." To remain relevant and competitive in a quickly changing demographic landscape of high-net worth investors, advisors should be well-versed in how clients can seek both financial and societal returns on their investments. Sharna Goldseker, Founder and Vice President of 21/64; Elizabeth Burdette, Director of Client Engagement for Signature FD; and Jeff Shafer, Co-Founder and CEO of CommonGood Capital, will share their insights on why providing a platform for clients to both "do well" and "do good" is a differentiator in the marketplace.

    Session coordinator: Elizabeth Burdette, Signature FD

    Presenters: Elizabeth Burdette, Signature FD; Jeff Shafer, CommonGood Capital; Eric Rice, BlackRock

    (8) Due Diligence: Capital Stack Manipulation Throughout Investment Lifecycle?

    Recent deals that have gone south have created market pain and uncertainty about alternative investments for broker-dealers and RIAs. Without alts, BDs/RIAs lose some of their advantages. What can be done to understand better the investments being offered, and how can the sponsors share accountability?

    • Review key due diligence drivers that indicate what type of investment is being purchased: senior, mezz, pref, equity
    • Where do your investors sit within the capital stack?
    • Can the investors be moved within the capital stack?
    • What are the appropriate yield expectations relative to capital stack position, and how to use historical market yields as a check and balance?
    • QT monitoring: should we require attestations of capital stack position and debt ratios?
    • Where do we go from here: some proactive solutions experts believe could help solve the situation?

    Session coordinator: Ray Davis, Red Oak Capital Holdings

    Moderator: Nick Duren, Crescent Securities
    Participants: Bryan Mick, Mick | Law; Ray Davis, Red Oak Capital Holdings; Richard de Silva, Lateral Investment Management; Myra Nicholson, International Assets Advisory

    (9) Real Estate Market View from Top Portfolio Managers

    The panelists for this session will be representatives from well-known real estate investment companies that have been in the market pre-pandemic and current. We will discuss what market trends may have been impacted by the COVID pandemic, and specifically, what long term trends may have been accelerated. We will then move to how they were able to proactively and/or reactively position their portfolios for the greatest success through and beyond the COVID period.

    Session coordinator: Derek Peterson, MCI Megatel Capital Investments

    Moderator: Derek Peterson, MCI Megatel Capital Investments
    Participants: Steve Case, Bourne Financial Group; Michael Schwartz, SmartStop; Paul Barausky, Sealy Investment Securities

    11:45 AM - 12:35 PM
    (10) Caution: Don’t Step In It

    This panel will discuss pitfalls that most industry participants don’t know can be problems because “everyone is doing it.” The discussion will cover various issues from improper advertising, contemplation enforcement actions, sales without disclosure, and what happens when you have a wayward Fannie.

    Session coordinator: Darryl Steinhause, DLA Piper

    (11) Navigating Challenges of Post-Covid: Workouts, Asset Management, and How to Recognize a Zombie Asset

    Understanding when and why workouts happen, and the types of economic factors at play, can help you better navigate this changing climate. Leaders who have worked through these processes and challenges throughout a number of real estate cycles will discuss:

    - The causes of defaults and workouts, how to recognize a zombie asset within a portfolio

    - Which types of borrowers and circumstances are most likely to face the situations

    - The pros and cons of a workout scenario

    - Blind spots due diligence may miss, and advice for borrowers facing upcoming maturities or potential distress situations

    - When is the right time for an asset manager to cut bait and take a loss at the asset level, and how can that action be accretive to portfolio performance?

    Session coordinator: Nick Duren, Crescent Securities

    Moderator: Rob Kaplan, Kaplan Voekler Cunningham & Frank
    Participants: Gary Bechtel, Red Oak Capital Holdings; Richard de Silva, Lateral Investment Management; Rob Woomer, Peachtree Hotel Group; Bill Shopoff, Shopoff Realty Investments

    (12) Going Beyond "Common" for REITs

    Evolution in REIT equity markets has expanded opportunities beyond traditional common stock issuance. In this panel, we will explore the rise of preferred equity offerings and the advantages and disadvantages they pose for REITs and investors alike. Where do these vehicles fit relative to a REIT's overall capital strategy? How are they proceeds being used? How much is too much? What are the "red flags" investors should look out for?

    Session coordinator: Jacob Heidkamp, FactRight

    Moderator: Jacob Heidkamp, FactRight
    Participants: Dustin Zachmeyer, Bluerock Real Estate; Carly Hoeler, Ashford Securities; Greg Mausz, Preferred Capital Securities

    12:35 PM - 1:45 PM
    Lunch & Exhibition
    1:45 PM - 2:35 PM
    (13) What to Do When Real Estate Goes Wrong

    Those of us that have lived through a real estate bubble have learned valuable lessons that help shape the deals created today. Hear from real estate professionals on strategies for safeguarding past and current deals and how to handle real estate when things don't go as planned. Our panel will share how they plan for the down side of real estate cycles: decreasing rents, rising interest rates, increasing vacancies, and how to find value in all parts of the cycle.

    Session coordinator: Denise Kramer, Inland Securities Corporation

    Moderator: Ray Sun, Dempsey Lord
    Participants: Michael Ezzell, Inland Securities Corporation; Andy Wang, Passco Companies

    (14) RIA Advisory Council

    Join the RIA Advisory Council (RIAs and Duals only) for peer discussion of obstacles that impact RIAs looking to allocate to alternative investments. Some of the topics we will cover are:

    - Technology
    - Compliance
    - Operations
    - Plus an added due diligence presentation from Travis Hicks

    Session coordinator: Craig Covington, DAI Securities

    Presenters: Rajeev Kotyan, Innovative Advisory Group; Craig Covington, DAI Securities

    (15) Investment Themes and Options in the Impact Space

    Let's get practical about impact investing. Come learn about a couple impact theme frameworks you can use to discuss with your clients. Also hear from three different experts in their respective fields share the need and opportunity for investment and impact in affordable and workforce housing, sustainable infrastructure in the U.S., and small to medium sized businesses across the globe. Clients are increasingly looking to do well by doing good and, as advisors, you can play an important role in helping them do that.

    Session coordinator: Jeff Shafer, CommonGood Capital

    Participants: Jeff Shafer, CommonGood Capital; Russ Ginise, Alliant Strategic Investment; Michael Underhill, Capital Innovations; Gloria Nelund, TriLinc Global

    2:45 PM - 3:35 PM
    (16) Navigating Tax-Advantaged Product: Opportunities and Landmines

    This session will cover the income tax benefits and return characteristics of tax advantaged products such as DSTs, energy/1031, QOZs, solar/renewables, and other products. In addition to discussing the structure and benefits, we'll also discuss what can go wrong in these products and how to manage the risks through good evaluation and due diligence practices.

    Session coordinator: Brad Updike, Mick | Law

    Moderator: Brad Updike, Mick | Law
    Participants: Tom Voekler, Kaplan Voekler Cunningham & Frank; Jack Hollander, APX Energy; Jay Frank, Cantor Fitzgerald

    (17) Cannabis: Investigating the Investment

    Cannabis (with the exception of hemp containing no more than 0.3% THC by dry weight) is illegal under U.S. federal law, but despite the challenge, the industry was one of the fastest growing sectors in 2020, employing between 350,000-400,000 full-time workers. Of the 29 states with operational cannabis programs during the onset of the COVID-19 pandemic, all but one deemed cannabis an "essential" business, paving the way for record sales. With record sales comes the potential for states to collect billions in tax revenue to help fund their budgets, so additional state legalization is expected. While federal legalization may be years away, potential reform at the federal level could pave the way for increased investor participation. Given the elevated regulation and illegal status at the federal level, how can investors gain access to this area of the market? In this session, will will investigate the risks and opportunities within the cannabis space.

    Session coordinator: Chris Reece, Arcview Capital

    Moderator: Chris Reece, Arcview Capital
    Participants: Kyle Shenfeld, Rainbow Realty Group; Martin Dozier, Alston & Bird; Howard Goodwin, MD, Intrinsic Capital Partners

    (18) Due Diligence on Established vs. Emerging Managers

    This session will focus on learning which factors drive manager selection in the due diligence process of established vs. emerging managers. Instead of just emphasizing quantitative analysis, the participants will discuss the relative importance of other factors like qualitative assessment and operational factors. Many practitioners agree that due diligence is a much more complex process that cannot be encapsulated in just quantitative analysis of past performance. While quantitative tools are helpful, returns and manager skill are more nuanced and unique than can be explained through even sophisticated empirical analysis. The goal of this session is to discuss these nuances and unique factors.

    Session coordinator: Bart Malcom, MBD Solutions

    Moderator: Bart Malcom, MBD Solutions
    Participants: Daniel Wolfe, Snyder Kearney; Joe Burns, iCapital Network; Aric Wenzl, Mick | Law

    3:35 PM - 4:00 PM
    Break & Exhibition
    4:00 PM - 4:50 PM
    (19) Operations with Technology: Best Practices for Individuals

    Working from home presents data security challenges (pre- and post-COVID). And it's YOUR job to protect data! In this session, you will see individual RR/IAR best practices in cybersecurity, cloud data storage, email encryption and sub doc preparation/submissions. Just because a wholesaler tells you to email sub docs while he is traveling, doesn't mean you should do it. And what about these cool new companies that want your client's private data?

    Session coordinator: Mike Huisman, UMB Bank, Institutional Banking

    Moderator: Michael Huisman, UMB Bank, Institutional Banking
    Participants: Ned Montenecourt, Phoenix American Financial Services; Karen Templeton, Forrest Wealth Strategies

    (20) QOZs and The Impact of Impact Investing

    Qualified Opportunity Zones (QOZs) were created as part of the Tax Cuts and Jobs Act in 2017. QOZs are designed to serve as an economic development tool in which they create jobs and contribute to growth in distressed communities around the country. By providing attractive tax benefits to investors who invest in Opportunity Zone Funds, these investments are used to revitalize local communities and spur economic growth. This panel will address the QOZs and their impact, and what we predict for the future of Opportunity Zones, including how QOZs made a positive impact on the communities, how their impact is being tracked, and the true long-term benefits of QOZs.

    However, QOZs have faced some criticisms in that they aren't making the positive impact that they were designed to do, and some politicians have openly talked about getting rid of the Opportunity Zone program altogether.

    This panel will address the QOZs and their impact, and what we predict for the future of Opportunity Zones, including but not limited to:

    - Since its creation, how have the QOZs made a positive impact on the communities?
    - How are QOZs tracking their impact?
    - What do you think are truly the long-term benefits of QOZs?

    Session coordinator: Angela Hwang, Urban Catalyst

    Moderator: Jimmy Atkinson, OpportunityDb
    Participants: Daniel Oschin, Shopoff Realty Investments; Erik Hayden, Urban Catalyst; Stewart Loewenstein, Parsonex Capital Partners

    (21) The Public vs. Private Offering Dilemma

    While public offerings provide investors with the benefit of public filings, they also impose strict requirements on investment offerings that may limit investment opportunities and increase operating costs, which many dilute the returns they are able to generate. On this panel, we will explore the advantages and disadvantages of public and private offerings, and why sponsors and investors may choose one over the other. How do private offerings sponsors provide transparency to investors? How have regulatory requirements for private placements evolved to provide greater protection and opportunities for investors?

    Session coordinator: Scott Street, Griffin Capital Company

    Moderator: Catherine Bowman, The Bowman Law Firm
    Participants: Howard Hirsch, Morris Manning & Martin; Dave Laga, DFPG Investments; Corey Maple, Legendary Capital

    5:00 PM - 6:00 PM
    General Session IV: Expert Economic Forecaster Marci Rossell

    MARCI ROSSELL
    Expert Economic Forecaster, Former CNBC Chief Economist and Co-Host of SQUAWK BOX


    Marci Rossell is a world-renowned economist and financial expert who electrifies audiences nationwide, speaking candidly on the nexus of economics, politics, culture, and the media.

    She honed her animated style serving as the popular, lively Chief Economist for CNBC, where she became a household name and a must-watch source of financial news. The former co-host of the well-known “pre-market” morning news and talk show Squawk Box, Rossell is revered for taking complex economic issues, often dull in the button-down business press, and making them relevant to people's lives, families, and careers.

    Exclusively represented by Leading Authorities speakers bureau, she discusses America’s current and future role in the global economy, factors responsible for recessions, how Washington influences Wall Street and the markets, and the specific forecast for the U.S. economy over the course of the next 18-24 months. She is also well-versed in the stock market, investor behavior, consumer confidence, and what accountable capitalism looks like this year and beyond. With a knack for making complex topics more digestible, Rossell’s authentic, high-energy talks deliver a stimulating and often optimistic economic outlook, providing an insider’s perspective on key factors of economic disruption. Her creative, thought-provoking commentary will ring in the audience members' ears well after she leaves the stage.

    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. Her success in the private sector led to her economic commentary being revered and ultimately her appointments on nationally syndicated talk shows. Before moving to Wall Street, she was an expert witness for Deloitte & Touche in court cases involving economic issues. Marci began her career as an economist with the Federal Reserve Bank of Dallas.

    Marci earned a Ph.D. in Economics from Southern Methodist University, where she was named one of the Young Alumni of the Year in 2002. 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 PM - 7:00 PM
    Cocktail Reception & Exhibition

    Sponsored by:

  • Wednesday, October 6
    7:30 AM - 9:00 AM
    Breakfast & Exhibition
    9:00 AM - 10:00 AM
    General Session V: Joel Zeff


    Joel Zeff creates energy. He is a dynamic speaker, improvisational humorist and author. His interactive performances invite members of the audience to participate in hilarious improvisational exercises that illustrate Joel's central message: That organizations and individuals should CELEBRATE every day successes to increase collaboration, productivity, passion and innovation.

    Since 1997, Joel has inspired audiences from Wells Fargo to Samsung to KPMG and even the IRS. Yes, the IRS. Joel is a masterful public speaker and a nationally renowned motivator, lifelong humorist and improvisational actor.

    His career is a search for fun and passion. He quickly realized the importance of both at his first jobs delivering the hometown newspaper and cleaning up trash at a suburban movie theater.

    He started his professional career as a newspaper journalist and public relations executive. In 1994, Joel went out on his own as corporate communications specialist. He helped clients with their employee communications, media relations, strategy and customer marketing. Throughout the consulting process, Joel realized his clients – many of them high-level technology and telecommunications firms – needed more than marketing and public relations strategy. Many of his clients’ employees were starving for fun, passion and new perspective on finding success.

    At the time, Joel was having fun on the weekends as a comedian. Through friends, he discovered improvisational comedy. One of his clients (a large technology company) knew Joel performed comedy on the weekend. The client asked him to play some improvisational games before dinner for a group of high level executives. He brought a fellow comedian and a corporate speaking career was born.

    He connects to his audience with humor that has them laughing so uncontrollably that their mascara runs, their cheeks hurt, and their bellies ache. And he doesn't do it alone. Volunteers from the audience join him on stage and play an integral role in an improvisation game in front of hundreds or thousands of people—something the audience members have never done. He expects nothing less than their success. He expects the volunteers to focus and work together as a team; communicate effectively; positively support each other; and take responsibility.

     

     

    10:10 AM - 11:00 AM
    (22) What RRs/IARs Need to Know About Alts Marketing Materials

    This might be a little scary -- apologies in advance: plan your arbitration and enforcement trial exhibits now! That colorful marketing materials that is necessarily thinner on disclosure and more "salesy" than the offering document will be made to be an issue. In this session, we will try to give individual RR/IARs some thinking points in the realm of alternative investment marketing materials. Applicable rules, pitfalls, approvals, filing requirements. What you should expect from your sponsor partners. Home cooked marketing materials and how that can be used to further your practice -- or blow it up. And, finally, since chainsaw juggling is on the internet, it must be compliant if I do the same thing, right?

    Session coordinator: Kevin Hull, Robert A. Stanger & Co.

    Moderator: Kevin Hull, Robert A. Stanger & Co.
    Participants: Damon Elder, Spotlight Marketing Communications; Cameron Hellewell, Orchard Securities; Myra Nicholson, International Assets Advisory

    (23) Credit Market Views from Top Portfolio Managers

    The panelists for this session will be representatives from well-known credit managers who will share their views on the current state of credit markets and where they are finding opportunities. The panel will look across multiple spectrums of the credit market, including public and private, originated and secondary, and domestic and international.

    Session coordinator: Scott Street, Griffin Capital Company

    Moderator: Jacob Heidkamp, FactRight
    Participants: Randy Anderson, Griffin Capital Company; Glenn Duffy, Steele Creek Investment Management; Louis Greco, CION Investments

    (24) Listed vs. Non-Listed Alternatives

    Alternative investments continue to evolve, providing investors with an expanding opportunity set of investments, vehicles and structures. The change in the landscape and opportunity set requires investors be aware of the benefits and drawbacks of the various structures. Matt Harris and Michael Underhill will discuss the positives and negatives of listed and non-listed alternative investments.

    Session coordinator: Matt Harris, Aperture Research Partners

    Presenters: Matt Harris, Aperture Research Partners; Michael Underhill, Capital Innovations

    11:10 AM - 12:00 PM
    (25) Business Development: Substantive Relationships & Suitability

    Let's take a close look at the issues involving meeting clients online or through advertising. Online is the likely place because who runs newspaper ads anymore? New clients are wanted, but in the world of alts with rules on general solicitation, individual RR/IARs need to know what a 'substantive relationship' is and make sure they have one before they start recommending product. This session will go over recent enforcement actions, as well as define what a substantive relationship is and how to get one, suitability issues and why it's a good idea to write up a record in your file for Reg BI.

    Session coordinator: Karen Templeton, Forrest Wealth Strategies

    (26) Portfolio Management: Active vs. Passive Strategies

    This panel will analyze the pros and cons of being an active manager, evaluating strategies for rotating the portfolio between sectors, geographic markets, etc. versus being a passive manager with long-term convictions and riding the wave through market cycles. We will also discuss how the investment structure may impact a portfolio manager's ability to be a successful active manager. We will then move to how the managers represented have been able to proactively and/or reactively position their portfolios for the greatest success through and beyond the COVID period.

    Session coordinator: Dustin Zachmeyer, Bluerock Real Estate

    Moderator: Catherine Bowman, The Bowman Law Firm
    Participants: Dustin Zachmeyer, Bluerock Real Estate; Randy Anderson, Griffin Capital Company; John Kneisley, Prospect Capital Management

    (27) Broker-Dealer Advisory Council

    Join the BDAC for peer discussion of regulation obstacles broker-dealers face in approving and allowing reps to solicit alternative investments.

    Topics to cover are:

    - Advertising/soliciting alternatives
    - Educating reps on product and client suitability
    - Educating reps on the importance of due diligence for each product they solicit
    - Operations -- and electronic submission
    - Regulatory updates and how broker-dealers are implementing policies and procedures for new regulations

    Session coordinator: Ann Moore, International Assets Advisory

Education Tracks

  • Portfolio Management/Products
    Dustin Zachmeyer, Bluerock

Sessions: 9, 12, 21, 23, 26

  • Tax Treatment (1031 Like-Kind Exchanges, Opportunity Zones)
    Heidi Wheatley, Keystone National Properties
    Denise Kramer, Inland Real Estate Investment Corporation

Sessions: 5, 13, 16, 17, 20

  • ESG & Impact Investing
    Taylor Garrett, Orchard Securities
    Jeff Shafer, CommonGood Capital

Sessions: 2, 4, 7, 15

  • Practice Management & Technology
    Karen Templeton, Forrest Wealth Strategies

Sessions: 19, 22, 25

 

  • Fundamentals & Leading-Edge Discussions
    Kara Howard, SC Distributors
    Michael Underhill, Capital Innovations

Sessions: 1, 3, 6, 18, 24

  • Hot Topics
    Ann Moore, International Assets Advisory

Sessions: 8, 10, 11, 17

  • RIA Session
    Rajeev Kotyan, Innovative Advisory Group
    Craig Covington, DAI Securities
  • Broker-Dealer Session
    Ann Moore, International Assets Advisory
    Brandon Balkman, Orchard Securities

As of 9/1/2021

Attending Companies

Please note: There are several "companies" who are attempting to sell ADISA 2021 Annual Conference & Trade Show attendee lists, as well as past ADISA Conference attendee lists. These companies are strictly scams; ADISA only permits Diamond & Platinum exhibitors access to the full attendee lists.

Affiliate Firms

3122 Consulting
Abell Law
ABR Dynamic Funds
Alliance 160 LLC
Alston & Bird
*Alternative Investment Exchange (AIX)
Baker & McKenzie

*Baker Donelson

*Baker Tilly

BlackRock

Buttonwood Due Diligence

*CAIS

Capital Midwest Firm

Chicago Title NCS California

*Clir Capital

*CNB Custody

Cobalt Capital Inc

CommonGood Capital

Concierge for Advisors

*Cox Capital Partners

Deloitte & Touche

*DLA Piper

Ducett Consulting

*e2comply

ELITE ISI

*Entrust Gorup

*Equity Advisor Solutions

*Equity Trust Company

FactRight

George H. David Law Group

Gladstone Companies

*Goldstar Trust Company

*Great Lakes Fund Solutions

Holland & Knight

iCapital Network

InvestX

*IPIPELINE

JCC Advisors

*JTC USA Holdings

Jeff Kinney

*Kaplan Voekler Cunningham & Frank PLC

Laganza Capital

Lonsdale Investment Technology

MacDonald Family of Companies

Madison Capital Group

*MBD Solutions

*MGL Consulting

*Mick Law PC, LLO

Miterko & Associates

Morris Manning & Martin

Nelson Law Partners

*NuView Trust

*Opal Group

*OpportunityDb

Orchard Securities - MBD

*Patrick Capital Markets

*Phoenix American Financial Services

*Preferred Capital Securities

Rainbow Realty Group

Ray Simmons Corp.

*Real Assets Adviser

RealSource Brokerage Services

Robert A. Stanger & Co., Inc.

S2K

*Securities Transfer Corporation

Sequence Financial Specialists

Sirota Law Firm

Skyway Capital Markets

Snyder Kearney

Spotlight Marketing Communications

*SS&C Technologies

*STRATA Trust Company

*Strategic Capital Fund Management

Stroock & Stroock & Lavan LLP

*The Bowman Law Firm LLC

The DI Wire

Tioga Capital

*TNDDA

*UMB Bank, Institutional Banking

VENTURE.co Holdings, Inc

*WealthForge

 

 

 

Associate Firms

1031 Financial

1776 Wealth LLC

Abundance Wealth Planning LLC

Accretive Wealth Management

ACG Wealth

Advisor Group

Advisory Group Equity Services, Ltd.

Affinity Investment Advisors

Affinity Real Capital

Alameda Financial Group

Alan B Lancz & Associates

Alexander Capital

Alliance Global Partners

Alpha Investing

Alta Financial Group

Alta Investment Group

Alternative Investment Inc.

American Portfolios Financial Services, Inc.

American Trust Investment Services, Inc.

Anchor Financial Group

Angel Rock Advisors

AOG Wealth Management

Apollon Wealth Management, LLC

Arete Wealth Management

Arkadios Capital

ARRIVATO LLC

ASG CAPCO CORP

Aspen Capital Management

Aspireon Wealth Advisors

Asset Strategy Advisors, LLC

Atomi Financial Group

Aurora Securities

Ausdal Financial Partners, Inc.

Bangerter Financial Services

Beacon Hill Investment Advisory

Belpointe Asset Management

Benchmark Investments, Inc.

Berthel Fisher & Company Financial Services Inc

Bourbon Financial

Bren Ventures

Brookstone Capital Management

Cabin Securities

Cabot Lodge Securities

Calton & Associates Inc

Cambridge Investment Research

Capital Growth, Inc.

CapStack Partners

Capulent LLC

Carmandalian Financial Group, LLC

Catalyst Wealth Management

CDP Financial Group

Center Street Securities, Inc.

Cetera Financial Group

Claraphi

Clear Direction Investments LLC

Clear Stream Advisors

Coastal Equities, Inc.

Colorado Financial Services  Corporation

Concorde Asset Management, LLC

Concorde Investment Services, LLC

Corcapa 1031 Advisors

Cornerstone Real Estate Investment Services

Crescent Securities Group Inc

Crosspoint Financial, LLC

Crown Capital Securities LP

CUBED Systems

Cuso Financial Services

D.H. Hill Securities

Da Vinci Global Consulting, LLC

DAI Securities, Inc

Dempsey Lord Smith, LLC

DFPG Investments, Inc.

Discipline Advisors

Doceo Wealth

Dunn Financial, Inc

DWYER FINANCIAL, LLC

Emerson Equity LLC

Entoro Capital

Equifinancial LLC

Espinoza Private Wealth Management

Everest Management Corporation

Felix Danciu

Fiduciary Wealth Management, LLC.

Financial Architects, Inc.

First Financial Equity Corp.

Fortitude Investment Group LLC

Foundations Investment Advisors

Four Star Wealth Advisors

Frontier Wealth Strategies, LP

G2J2 Investment Management

G.A. Repple & Company

GCB Private Wealth

Global View Capital Management, LTD

Global Wealth Partners Inc

Golden State

Great Point Capital

GWD Capital Management

Harris Investment Advisors

Hartfield Financial & Insurance Services, Inc.

HBKS Wealth Advisors

Herr Capital Management, LLC

Hickory Capital, LLC

Highlander Wealth Services

Highpoint Planning Advisors

Horev and Associates

IBN Financial Services, Inc.

IDB Capital Corp

IHT Wealth Management LLC

Independent Financial Group

Infinity Financial Services

Innovative Advisory Group, LLC

Insight Investment Advisers

Institutional Securities Corporation

Integrity Brokerage LLC

International Assets Advisory, LLC

Investment Security Corporation

IPA 1031 Group

IREXA Financial Services / Wealth Strategies

IRL Financial LLC

Irvine Advisors

ISC Group

JASTAR

JRL Capital Advisors

JRL Capital Corporation

JRW Investments

Kalos Capital, Inc.

Karas Partners Inc.

Kay Properties and Investments

Kingsley Family Office

Kingsley Group

Knapp Financial Advisors

Kovar Wealth Management

Landolt Securities Inc.

Landolt Securities, Inc. / TKC Wealth Management LLC

LaSpaluto Financial Planners

Latus Group

Lazari Capital Management Inc.

Left Brain Wealth Management

LightPath Capital, Inc.

Lincoln Financial Advisors

Lionchase North America

Lovell Wealth Management

M Stevens Wealth Advisors

Madrona Financial

Martin Tax & Financial Services

MB Investments

McDermott Investment Services

Mehta Services Company

MHL Investments

Mirae Asset Wealth Management

MIT Associates, LLC

Moloney Securities Asset Management LLC

Money Concepts Capital Corp.

Moregain Capital Group

NAMCOA

National Securities Corporation

Newbridge Securities Corporation

Next Financial Group, Inc.

NextGen Private Wealth LLC

NexTrend Securities, Inc

Ni Advisors

Nobles & Richards

Nova Capital Solutions, LLC

Oak Tree Securities Inc

Patrick Capital Markets

Paul M. Wendee & Associates, LLC

Petra Capital Properties

Pinnacle Capital Group

Pinnacle Capital Securities, LLC

Plotkin Financial Advisors

PrimeX

Purshe Kaplan Sterling Investments

Quiver Financial

RCM Investments

RCX Capital Group

RD Heritage Group

Redmount Capital Partners, LLC

Regal Securities

Retirement Solutions, Inc.

Richfield Orion International

Ridgeline Asset Management, LLC

Rudwall Wealth Management

RUDWALL WEALTH MANAGEMENT LLC

San Marino Investment Services

Sandlapper Securities

Saxony Securities Inc

Seasons Investments

SECURITIES AMERICA, INC.

Sequent Real Estate + Wealth Management

Sigma Financial Corporation

SignatureFD

Silverhawk Asset Management, LLC

Simons Financial Network

Solomon Financial Services

Sourcenet Investment Services LLC

Southern CA Wealth Management Associates LLC

Southwestern Advisory Group

Stax Capital

Steven Yeh & Associates

Strategic Advantage Financial

Strategic Blueprint, LLC

Strategic Wealth Planning

SW Financial

Synergy Wealth Management

Tate Asset Management

TCFG Wealth Management

The Sherer Group LLC

The Strategic Financial Alliance, Inc.

Third Seven Capital

Thomas J. Wolf, CFP

Titan Securities

Trustmont Financial Group, Inc.

United Planners Financial Services of America

US CAPITAL GLOBAL

Valeo Group

Vanderbilt Financial Group

Vestech Securities

WE Alliance Wealth Advisors, Inc.

Wealth Progression Group

WealthForge Securities, LLC

WealthGurus®

Western International Securities, Inc.

Westmount Realty Advisors, LLC

Westmount Realty Capital, LLC

WestPark

West Peak Investments

Whitehall-Parker Securities, Inc.

Widener & Asher Asset Management

Wychick Investment Advisors Inc

Xnergy Financial

 

Sponsor Firms

Access Capital Group

AEI Capital Corporation

APX Energy

Arcview Capital

ARCTRUST

Ashford Securities

*Baker Donelson

*BDP Holdings

*Belpointe

*Bluerock Real Estate

*Bourne Financial Group, LLC.

Burlington Capital

*CAI Investments

*Capital Square 1031

Cadre

*Carter Funds, LLC

CIM Group

CNL Securities Corp.

*Core Pacific

*Cottonwood

*Croatan Investments

EcoVest Capital

*ExchangeRight Real Estate

Four Spring TEN31Xchange

FS Investments

*Great Oak Funding

*Green Rock

Greystone

*Griffin Capital Company

*GWG Holdings, Inc.

*Hamilton Point Investments LLC

Hartman

*Hines

*iCap Equity

*InCommercial

*Inland Private Capital Corporation

*Inland Real Estate Investment Corporation

*Inspired Healthcare Capital

INT Real Estate Advisors

InvestX Capital

JB Capital Management

*Juniper Square

KB Exchange Trust

Keystone National Properties

Lateral Investment Management

*Legendary Capital

Leitbox Storage Portfolio Partners

*Livingston Street Capital

MacKenzie Capital Management

*Manufactured Housing Properties

Marcus & Millichap

*MCI Megatel Capital Investments

MDS Energy Development

*Montego Minerals

*Moody National Companies

*NAI Legacy

*Nexpoint

*Pacific Oak

*Parsonex Capital Partners, LLC

*Passco Companies LLC

*Peachtree Hotel Group

Peak Capital Solutions

PREP Property Group

*Red Oak Capital Group

RREEF Property Trust

*RK Properties

*S.T.L. Resources, LLC

*Sandy Bay Partners

Sealy & Company

*Shopoff Realty Investments

*SmartStop Self Storage REIT

*Southwestern Asset Management

*Sovereign Partners

*Spring Hills Holdings

*Starboard Realty Advisors

*The True Life Companies

*Time Equities

*Trilogy Real Estate Group

*Triton Pacific Securities

Ultimus Fund Solutions

*Urban Catalyst

*US Energy Development Corporation

*Versity Investments

*Walton International Group

Waveland Energy

*Webb Creek Management Group, LLC

*Wildermuth Securities, LLC

 

As of 9/23/2021

*Denotes Exhibiting Company

Exhibitors

Diamond

Inland Investments Logo_Color-091817
Preferred-Cap-Securities-NEW-03.08.2021

 

Platinum

Green-Rock-jpgHamilton_Point_hi_res
Peachtree_Hotel_Group_jpegSTL_Resources-Inc-jpg-02.27.19-72
Webb Creek jpeg-SC-2021  

 

Gold




Bourne-Financial-Group (1)
CAI-Investments-NEW-09.25.19
Carter-Funds-03.09.2021-SC-2021
DLA_Piper_rgb

Hines Red Logo NEW 06.18.19 jpg


Livingston-St-Capital-LogoMCI LOGO-New-082917-jpeg
Moody-National-Companies (1)NexPoint Only Logo-Blue

SHOPOFF Logo 4C w-tag RGB


Spring-Hills-logo-08.05.2020
SS&C-Technologies-07.22.19Starboard - New Logo - 2.2018Versity-logo-stacked2-color-03.09.2021

 



Silver


e2comply

Griffin_Capital_NEW_091716




Parsonex-09.17.19
RK-Properties-NEW-08.15.18
STRATA_2c_dark-jpeg-09.03.19


U.S._Energy_NEW_LOGO_032717

 

Bronze

CNB logo HORIZ

CorePacificAdvisors_logo



Great_Lakes_logo_jpeg







Montego_Minerals_new_032217




Phoenix-American-Financial-Services-NEW-080818
RealAssets_Logo_LtBg_500px


Sovereign_Partners_092518
Bowman_72dpi

Time-Equities-NEW-091818
Triton_Pacific
UMBPrimLogoPMS-jpg-72

Wildermuth-Wealth-Logo  

 

Sponsored Items

Charging Station

SS&C-Technologies-07.22.19

Tuesday Cocktail Reception

Lanyards

Green-Rock-jpg

Mobile App

Pens

Orchard-Securities

Pocket Agenda

MBDSolutions_LOGO-jpg

Strategic Partners

RealAssets_Logo_LtBg_500px

Exhibitor Info.

Exhibitor Schedule

Set-Up Hours:

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

Show Hours:

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

Tear-Down Hours:

  • Wednesday, October 6
    9:00 am-12:00 pm

*All exhibitor materials must be removed by 12:00 pm.

Exhibitor Marketing

All exhibitors need to send a current logo to Jennifer Fitzgerald, ADISA's Director of Marketing.

Program Book and Mobile App Ads and Materials
  • All ads, logos and materials must be submitted no later than Friday, September 17, 2021.

 

Diamond exhibitors receive:
  • Full-page, 4-color ad in printed conference program
  • Logo displayed, linking to URL of choice, in event mobile app
  • Banner ad and landing page in event mobile app
Platinum exhibitors receive:
  • Half-page, 4-color ad in printed conference program
  • Brief company profile included in event mobile app
  • Logo displayed, linking to URL of choice, in event mobile app
Gold exhibitors receive:
  • Brief company profile included in event mobile app
  • Logo displayed, linking to URL of choice, in event mobile app
Silver exhibitors receive:
  • Logo displayed in event mobile app
Bronze exhibitors receive:
  • Listing in event mobile app

Printed ad specs (for Diamond & Platinum exhibitors only):

  • Full-page: 6"x9" vertical, 4-color
  • Half-page: 6"x4.5" horizontal, 4-color
  • Artwork must be in PDF format, 300 dpi or higher
  • Include all fonts and graphics embedded in the files
  • Ads smaller than the specified size will be centered on the page

Please email ads to Jennifer Fitzgerald, ADISA's Director of Marketing.

ADISA Contact Information

Jennifer Fitzgerald

Director of Marketing
317.663.4175, jfitzgerald@adisa.org

  • Media questions
  • Logo usage
  • Mobile app usage
  • Program book
Tanisha Bibbs, CMP, CEM

Director of Event Planning
317.663.4174, tbibbs@adisa.org

  • Problems with the hotel
  • Booth sales
  • General exhibitor questions 
Erin Balcerzak

Membership & Data Systems Manager
317.663.4180, ebalcerzak@adisa.org

  • Conference registration
  • Exhibitor booth assignments
  • Payments/invoicing
  • ADISA membership questions
FREEMAN – Exhibition Specialists

888.508.5054

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

Are you ready to join ADISA?

ADISA Membership

Increase your connections at the next ADISA event!

Enjoy fantastic networking opportunities while learning about the latest industry trends, marketing recommendations and current regulations. 

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