Featuring Special Speaker

Dr. Rebecca Heiss

Rebecca knows fear. As an evolutionary biologist and stress expert, Dr. Rebecca Heiss is dedicated to helping us become self-aware and overcome our instinctual limitations – the ancient, often subconscious fears that hold us back from our optimal performance and our happiest lives. Her research has been designated “transformative” by the National Science Foundation and it is waking up audiences around the world.

As an author of the newly acclaimed book Instinct, founder and CEO of the leadership 360- review mobile application, icueity, and highly sought-after professional speaker, Rebecca has found her calling in helping others recognize the power of biological applications in their lives. A former educator, Dr. Heiss spent much of her earlier career in the classroom at both the high school and college levels and was recruited to be a founding member of an innovative charter school with a focus on entrepreneurial thinking and impact-based learning. Today she shares her work from stages around the world as a full-time speaker and facilitator of her Fearless Accelerator program and Year of Happy – an experience that delivers programming and physical subscription boxes with challenges and community to move otherwise successful people from a state of languishing in “meh” to finally finding HAPPY.

Rebecca’s “fearless” message inspires hope and actionable insights to train our brains to work for us, rather than against us in times of uncertainty. With surprising humor and palpable energy, no matter if Dr. Heiss is delivering virtually or on stage, she wins over her audiences with interactive, inspiring, and timely takeaways.

Rebecca lives in South Carolina with her spoiled rotten dogs named Guinness & Murphy and every day tries to live her life motto: “spread happy.” 

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 debt. 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!

Moderator: Greg Mausz, Skyway Capital Markets
Participant: Scott Smith, Flatirons Asset Management; Jan Ryan, JCC Capital Markets

Join our esteemed panelists as we discuss the growing evolution and transactions of DSTs that are going full-cycle with the option of a 721/UPREIT. We will discuss topics ranging from a properly structured 721 exchange, tax protection agreements, suitability in light of Reg BI, REIT due diligence, history of 721, benefits and risks, tax reporting, and more.

Facilitator: Joe Nugent, 1031 Effective Planning
Presenters: Warren Thomas, ExchangeRight Real Estate; Eric Paul, Four Springs TEN31 Exchange; Jeff Hertz, Cantor Fitzgerald

An exploration of the types of liquidity available to investors from various programs and vehicles, including non-traded REITs, interval funds and BDCs. Impact of liquidity needs on portfolio management will be a focus, as will limits on such liquidity.

Moderator: John Grady, ABR Dynamic Funds
Participant: Fred Baerenz, AOG Wealth; Dave Laga, DFPG Investments; Mike Underhill, Capital Innovations; Dominic Vaccaro, Burlington Capital

Impact and ESG/SRI oriented investing is increasingly in the news and on the minds of investors. Yet there remains a lack of clarity around exactly what these investment opportunities are, what ROI and risks could be involved, sourcing and vetting impact vehicles, and how to implement and integrate these strategies in larger investment portfolios. Hear from asset managers and RIAs in a collaborative discussion around what practical implementation on impact, ESG/SRI strategies has looked like in their own practices and real world examples of both successes and lessons learned. Topics to be explored include:

• How to talk to clients about these types of opportunities
• How the "smart money" is integrating impact/ESG into portfolios
• What kind of education do advisors need to get comfortable with embracing impact and ESG
• Key due diligence considerations
• Discuss specific examples of actionable funds

Moderator: Elizabeth Burdette, SignatureFD
Participants: Paulina Stannard, CI Private Wealth; Toussaint Bailey, Uplifting Capital; Mike Underhill, Capital Innovations

Sustained inflation, rising interest rates and a looming bear market: where should advisors and investors turn for income, growth and reduced volatility during correction, recession and then recovery?

Moderator: Fred Baerenz, AOG Wealth Management
Participants: Thayer Gallison, Cottonwood Residential; Chris Spence, Mewbourne Oil Company; Zach Forman, Apollo

Have you or your firm ever been a respondent in an arbitration involving alternative products? If you have, you understand the challenges and the complexities in defending these claims. In our session, we will focus on how firms, reps and advisors can influence the outcome of the arbitration by creating a defensible alternative product transaction. What are the do's and don'ts with respect to investing client funds in alternatives and how the "wrong" documentation sinks the case rather than support it. We will also talk about how the insurance market is responding to the influx of alternative product claims and the necessity to read the fine print in your insurance policy to see if there is coverage for alternative product claims and what the limit is. Don't miss this important session if alternative product claims keep you up at night.

Moderator: Lilian Morvay, Independent Broker Dealer Consortium
Participants: Jonathan Sterling, Saretsky Hart Michaels + Gould; Bryon Romine, Kessler Collins

Get the most current numbers and trends, newly synchronized for smoother presentation of essential updates for our major sector -- providing overview and featured drill downs: 1031s, REITs, Opportunity Zones, Energy, BDCs, Reg As, Interval Funds and new sales and channel data.

Moderator: John Harrison, ADISA
Presenters: Mike Kell, iCapital; Taylor Garrett, Mountain Dell Consulting; Kevin Gannon, Robert A. Stanger & Co.; Matthew Iak, U.S. Energy Development Corporation

8:00-8:30 am
Membership Committee Meeting
Special Section in Exhibit Hall

8:30-9:00 am
Impact & ESG Committee Meeting
Special Section in Exhibit Hall

Points of view from FINRA, NASAA and the SEC.

Moderators: Thomas Rosenfield, JD, CAE, HillStaffer; John Grady, ABR Dynamic Funds
Speakers: Joe Price, FINRA; Andrew Hartnett, NASAA 

Join sponsor CEOs and top executives as they discuss the current market environment. The challenges of delivering great products, buying competition, how interest rates and cap rates are affecting underwriting, economic forecast for asset classes, new product ideas, etc. Hear from the "boots on the ground" that deliver products to you.

Moderator: Drew Jackson, Concorde Investment Services
Participants: Mike Ezzell, Inland Securities Corporation; Jay Frank, Cantor Fitzgerald; Brian Mitts, NexPoint; Tom Jancke, Passco Companies

ADISA explores the newest entrants to our space. In investigative style, we unpacked some of the investment products as they vie for attention -- this session will feature several new entrants into the space: wine, manufactured housing, vacation homes, and beacon bonds. Be part of the critique as we find out more on how the new products stack up as investment opportunities.

Investigator: Dustin Zachmeyer, Bluerock
Presenters: Joe Fraiman, Overmoon; Elle Seybold, VINT; Bill Boscow, Manufactured Housing Properties; Michael Freedman, Beacon Bonds

In today's tumultuous and uncertain economy, is real estate still a viable alternative to offset volatility? Real estate has historically been considered an inflation hedge with lower volatility due to its less liquid nature. With inflation spiking, interest rates rising, the value of homes in question, changes in migration patterns, domestic and global economic challenges, and political partisanship, is real estate really still a strong balance against other asset classes? This panel will discuss real estate investments focusing on intrinsic strengths and weaknesses, the short and long term outlook, and what to look for to increase the probability of positive returns and to mitigate volatility. Additionally, the session will cover the dynamics of REITs relative to other structures.

Moderator: Tom Voekler, KVCF
Participants: Erik Hayden, Urban Catalyst; David Becker, Time Equities; Daniel Oschin, Shopoff Realty Investments

Discussion of the process of underwriting from someone who does it. How does the interest rate affect the cash flow? What is the engineering process, etc.? A real in depth look and getting from purchase price cap to clients' cash flow. Understand all of the pieces.

Moderator: Mike Underhill, Capital Innovations
Presenters: Dominic Vaccaro, Burlington Capital; Alan Clifton, Passco Companies; Whitson Huffman, Capital Square

Join us for a deep dive discussion on the evolution of alternative investments and explore how they fit into an investor's portfolio now. Through the years, they've shifted from traditional fixed income to an equity alternative.

As we have witnessed the conversation in the industry from transactional business to fee-based business, alternatives have transitioned as well. Learn more about the opportunities for alternative investments to round out your investors' fee-based portfolios.

The audience too is expanding as new technology platforms and processes make transacting AI more fluid. We will discuss the various technology platforms and how you can move away from old school check and app to electronic processing with limited paperwork.

The goal in implementing new AI products isn't to just grow that piece of the pie, it's a solution to make the whole pie bigger!

Presenters: Eric Graber, Preferred Capital Securities; Matt Fries, Cetera Financial Group; Joseph Ujobai, Alternative Investment Exchange (AIX); Rizwan Ibrahim, Accretive Wealth

Offering approaches: 506b vs 506c. Learn the ins and outs of each offering type, particularly within our current regulatory environment. This interactive session will cover considerations for these kinds of offers, practical guidance for complying with the complexities of this area of the industry, and more.

Moderator: Kimberlee Levy, Concorde Investment Services
Participants: Darryl Steinhause, DLA Piper; Geoffrey Flahardy, ExchangeRight Real Estate

The last 30 years has seen significant growth, innovation and adoption within impact/ESG. Asset managers, wealth advisors, and professional organizations are adapting and innovating to meet this long-term demand. The opportunities are real and now for advisors and their clients. Fireside chat with CAIA CEO and ADISA board member to discuss how the industry is evolving and maturing, how to become educated, and the unique role that alternative investments can play in meeting your clients' impact/ESG needs.

Participants: Bill Kelly, CAIA; Jeff Shafer, CommonGood Capital

Sponsored by:

12:40-1:10 pm
Legislative & Regulatory Committee Meeting
Nolita 1

12:40-1:10 pm
Marketing Committee Meeting
Nolita 2

1:10-1:40 pm
Education & Publications Committee Meeting
Nolita 1

Experts examine that between $30 to $68 trillion will change hands during the Great Wealth Transfer as Baby Boomers pass down their wealth to the next generations, with women set to inherit a significant portion. Research shows more than two-thirds of U.S. wealth will be held by women in 2030, and more than 50% of them are more likely to make investments with impact. Similarly, 86% of Millennials are interested in sustainable investing. Discover what's driving interest for bottom double line investing and the important role impact alternatives will play in meeting this growing demand. 

Moderator: Jeff Shafer, CommonGood Capital
Participants: Sylvia Kwan, Ellevest; Bret Norris, PhD, M Financial Group

The pandemic and its aftermath have dramatically impacted and accelerated other non-real estate investment strategies including private equity, sustainable infrastructure, energy and private debt. Many companies took advantage of brief opportunities triggered by disruption, while others focused more on innovation for the future. In this live panel discussion, our deal expert panelists will share:

• Insights on how the deal market has been impacted during and in the pandemic aftermath;
• How to build your network, find deals and maximize financial returns in 2022;
• The next HOT markets and beyond.

Moderator: David Sengstock, Mick Law
Presenters: Adriana Olsen, Passco Companies; John Freeborn, RK Properties; Louis Rogers, Capital Square

Learn from industry veterans structural elements that can impact program outcomes and risk profiles for clients. We will discuss underwriting tricks, gaming MFFO, transparency in costs, waterfall and incentives, looking at prior performance, reading financial statements and more. Cut to the chase and get an understanding of key things to look for, and look out for, in reviewing alts programs.

Participants: Bryan Mick, Mick Law; Jan Ryan, JCC Capital Markets; Paula Miterko, Miterko & Associates

Join industry experts as they present the new release of ADISA's 1031 DST Best Practices. Some of the common missteps and most complex issues that may impact your business will be addressed at this session. You will not want to miss it. Attendees will receive a hot-off-the-press version.

Participants: Mike Bendix, DFPG Investments; Taylor Garrett, Mountain Dell Consulting; Darryl Steinhause, DLA Piper; Angela Barbera, NexPoint

Cryptocurrencies were introduced with the intent to revolutionize financial infrastructure but also as an investment medium or store of value. As with every revolution, however, there are tradeoffs involved. At the current stage of development, there are many differences between the theoretical ideal of a decentralized system with cryptocurrencies and its practical implementation. And investor demand skyrocketed along with the value of many individual coins, making it imperative for advisors to know how their clients can access this asset. There have been some twists and turns of late -- the SEC has labeled many cryptocurrencies "securities," and there have been some high-profile blow ups, as well as declines in coin values.

Join the discussion of the pros and cons of cryptocurrencies, learning more about what they are and promise to be for users and investors alike, as well as the realities faced by advisors in trying to satisfy their clients' desires to participate in the crypto market.

Facilitator: John Grady, ABR Dynamic Funds
Presenter: Jason Wright, SkyBridge Capital; Tim Piccott, Innovative Wealth

We'll discuss how to navigate this sensitive hiring topic by preparing you to proceed with caution when hiring and provide you with tools for any sticky situations you may find yourself in.

Moderator: Rick Chess, Crescent Securities
Participants: Sam Cohen, Marshall Dennehey; Myra Nicholson, International Assets Advisory; Danielle Delongchamp, Concorde Investment Services

Industry experts will detail the various ways that both investors and sponsors can leverage QOZ opportunities to maximize after-tax returns and have a positive impact on the communities they invest in. The panel will also discuss recently proposed modifications to the QOZ legislation, the likelihood that such changes will ultimately pass and the impact that they will have on the space if they do.

Moderator: Michael Fitzpatrick, Baker Tilly
Participants: Kevin Shields, Griffin Capital Company; Jay Frank, Cantor Fitzgerald; Kyle Kadish, AGES Financial Services; Colin Cosgrove, Inland Securities Corporation

Join us as we dive into the U.S. energy market and how the global impact is changing supply and demand. We investigate important political ramifications advisors and broker-dealers should examine when comparing offerings and strategies within commodity markets. We will discuss the European and world markets and how renewable energy compliments fossil fuels in supplying energy to the world. Finally we will examine future drivers, including opportunities and risks when investing in the energy markets.

Moderator: Ann Moore, International Assets Advisory
Participants: Matt Iak, U.S. Energy Development Corporation; Jeff Slotterback, WhiteHawk Energy; Brad Updike, Mick Law

Do you know the difference between metrics, projections, IRRs and contract terms? Did you just make your entire PPM subject to the FINRA marketing rules? Did your press release just cause you to lose your securities exemption? Did your broker-dealer just cause you to lose your securities exemption? Do you want to avoid FINRA enforcement actions? If so, this panel will help you stay out of FINRA jail, and we'll cover these and other topics regarding FINRA's other marketing rules and requirements.

Participants: Darryl Steinhause, DLA Piper; Cameron Hellewell, Orchard Securities

"The Iron Man": Baltimore Orioles Legend and Hall of Famer

An inspirational speaker, Cal Ripken, Jr. is the personification of leadership, commitment, and excellence. From his own philanthropy with the Cal Ripken, Sr. Foundation, a nonprofit dedicated to building character and teaching critical life lessons to at-risk youth across the country, Ripken showcases how individuals can give back and create new opportunities for others. One of the most popular athletes of his generation with 21 seasons playing for the Baltimore Orioles, Cal Ripken, Jr.'s example inspires audience members of all ages to achieve their own brand of success.

Sponsored by:

8:00-8:30 am
Conference Planning Committee Meeting
Special Section in Exhibit Hall

8:30-9:00 am
Standards & Betterment Committee Meeting
Special Section in Exhibit Hall

Featuring Speaker Beth Ziesenis

Beth Ziesenis is an accomplished technology expert and professional speaker. With more than 12 years of speaking experience, she has spoken to more than 150,000 audience members on a wide range of topics related to apps that make people's lives easier. Her career has taken her to all 50 states and several other countries.

Beth Z has a master's degree in journalism and an undergraduate degree in psychology, making her uniquely qualified to speak on technology and its impact on human behavior. She is the author of seven books on technology and manages a blog and social media sites dedicated to the latest apps and tools. Each week she posts updates and distributes her newsletter to her 20k+ followers.

Before launching her speaking career, Beth served as a college instructor, a freelance writer and even a manager of a bed and breakfast. She has lived in 11 states plus overseas in Mali, West Africa, where she served as a Peace Corps volunteer and taught at the country's most prestigious college.

Be sure to bring your device (laptop, tablet and/or phone) so you can participate in this interactive session!

Join the BDAC for peer discussion of this summer's regulatory changes and issues arising at the end of the year, including product needs.

Moderator: Karlton Kleis, Arete Wealth Management
Special Guest: Valerie Mirko, Baker McKenzie

Join the RIA Council (RIAs and Duals only) for peer discussion on the SEC's new marketing rule and other topics relevant to the RIA space.

Participants: Rajeev Kotyan, Innovative Advisory Group; Rizwan Ibrahim, Accretive Wealth Management

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

Presenter: Andrew Hurvitz, Triton Pacific Securities

In this session, we will discuss the "how" and "why" of alts' place in client's portfolios. We will dive into best practices and requirements on both sides, as well as the ongoing management necessary for keeping good compliance. We will also discuss the understandings and expectations from both sides -- clients and advisors. We will have perspectives from a fund to funds aggregator to RIAs and reps.

Moderator: David Johan, Doceo Wealth
Participants: Stephen Blum, Strategic Wealth Planning; Elliott Orsillo, Season Investments

Bring your technology device (laptop, tablet, phone) and roll up your sleeves for personal technology practice with helpful supervision.

Leader: Beth Ziesenis