AGENDA

*Draft as of 10/1/2019

Monday, October 14

12:00-1:45 pm

Mont-Royal 1

Looking Forward: Building a Solid Foundation for Your Career Now and in the Future

Moderator: Deborah Froling, Kutak Rock
Panelists: Janice Olson; Kimsey Bailey, CNL Securities; Sara Borazan, North Capital Private Securities

2:00-3:00 pm

Nolita 1

This session will provide great insight into the inner workings of some top financial adviser offices who are active in the alternative investment space. What really goes on “behind the curtain” at the adviser level for alternative investments. Among some of the topics we plan to discuss:

  • Adviser level due diligence and compliance sensitivities;
  • Practical challenges of working with AI products within a larger advice platform, whether BD or RIA;
  • How may pending positive operational and regulatory changes impact your overall practice? What are the top three ways for a sponsor to make sure you never use their products?
This expert panel will help other advisers, sponsors and service providers better understand why some AI programs can look great on the whiteboard, or even make it through the due diligence process, but just don't get used by some smart adviser offices.
 

Coordinator: Kirk Montgomery, Montgomery Law
Presenters: Robin Edgar, Edgar Financial Group; Rick Chess, Crescent Securities

Nolita 2

When it comes to real estate alternatives, conventional segments such as multifamily, retail, office, storage, industrial and mix-use immediately come to mind. Interestingly, and despite the presence of opportune market fundamentals associated with oil/gas today, investments in mineral rights such as royalties and working interests often go unappreciated. Despite this observation, however, mineral rights are well positioned from a market perspective and can provide opportunities for income, growth, and diversification when properly vetted and planned. In a number of cases, these investments can also provide an array of attractive income tax planning benefits that make them efficient from a total return perspective (i.e., including depletion allowances, IDCs, and 1031 like kind exchange, and qualified opportunity zone program opportunities). This session will explore the various program features, economic performance considerations, risks, and analytics relating to oil and gas mineral rights as a true real estate investment alternative.

Session Coordinator: Brad Updike, Mick | Law
Moderator: Brad Updike, Mick | Law
Presenters: Rhett Gist, Montego Energy Partners; Matthew Iak, U.S. Energy Development Corporation; Brandon Burger, Resource Royalty

Mont-Royal 2

In this session we will present a number of DST case studies of commonly found industry sponsor and program attributes to a panel of DDO all-stars. They will have to pick only one program/sponsor for their platform and defend why they made that choice. The case studies will include factors such as newer sponsors with above average prior track record outside the broker-dealer channel, and sponsors more experienced with the program type and broker-dealer channel, but perhaps with less than stellar track record. See how the DDOs weight these and other factors in their decision making process.

Session Coordinator: Paula Miterko, Miterko & Associates
Facilitator: Paula Miterko, Miterko & Associates
Presenters: Dave Laga, DFPG Investments; Rick Murphy, Berthel Fisher; Rajeev Kotyan, Innovative Advisory Group

3:10-4:15 pm

Nolita 1

Join us for a discussion on the evolution of the broker-dealer over the last few years as we talk about the different pressures that the IBD faces along with the adaptations that the IBD made in the past in response to pressures. We will then look at what pressures face the IBD today and what potential adaptations that we might see as we try to predict the future.

Session Coordinator: Peter Magnuson, Ladenburg Thalmann
Moderator: Peter Magnuson, Ladenburg Thalmann
Presenters: Bill Robbins, WealthForge; Mark Kosanke, Concorde Investment Services

Nolita 2

This session will focus on providing important updates on how technology is changing the way that we do business. Attendees will hear from leading blockchain firms about how that technology is impacting the sale and tracking of alternative investments, as well as from experts who will talk about the impact of technology (including blockchain), on Reg A and crowdfunding offerings. The session will conclude with a discussion of where technology is taking the alternative industry.

Session Coordinator: John Grady, Practus
Facilitator: John Grady, Practus
Presenters: Rhys James, Kaplan Voekler Cunningham & Frank; Scotte Carter, Monolith Global Partners; Tobin McComas, Openfinance; Alfred Ritter, CIM Group; Ned Montenecourt, Phoenix American Financial Services

Mont-Royal 2

Some broker-dealers and RIAs outsource some of their alternative due diligence review to third-party vendors, including law firms and consulting firms. This panel will focus on issues affecting broker-dealers and sponsors as they navigate the due diligence process, with a focus on accountability and accuracy.

Key factors for consideration of third-party due diligence services to be addressed include:

  • The Due Diligence Report: facts vs. advice vs. opinion?
  • The Engagement Process: who chooses whom?
  • Fees and compensation arrangements: who pays and how?
  • Conflicts of interest: what are the conflicts and how are they mitigated?
  • Accuracy: what factors affect accuracy of due diligence reports?

Session Coordinator: Todd Snyder, Snyder Kearney
Moderator: Todd Snyder, Snyder Kearney
Participants: Michael Miller, Sigma Financial; Dana Woodbury, Buttonwood Financial Services; Matt Malone, FS Investments

4:30-5:00 pm

5:00-6:00 pm

Belmont 4, 8

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, Interval Funds and new sales and channel data.

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

6:00-7:00 pm

Tuesday, October 15

8:00-9:00 am

9:00-9:45 am

Belmont 4, 8

Latest news from national and state capitals on issues affecting our industry. FINRA, NASAA and other regulators will present.

Moderator: Thomas Rosenfield, ADISA Government Relations, HillStaffer
Participant: Joe Price, FINRA; Lisa Hopkins, NASAA President-Elect; TBA, SEC

9:45-10:25 am

Belmont 4, 8

With the advent of 2016’s Tax Reform, much has changed in the investment space. ADISA’s leadership will discuss recent happenings and their importance to our space in a fireside chat format with Dan Kowalski at the U.S. Department of the Treasury.

Moderator: Larry Sullivan, ADISA President-Elect, Passco Companies
Panelists: Daniel Kowalski, Counselor to the Secretary, U.S. Department of the Treasury; Darryl Steinhause, ADISA Legal Counsel, DLA Piper

10:25-10:45 am

10:45-11:35 am

Nolita 1

This session will explore the ease of doing business for the registered rep, advisor, investor and the broker dealer when investing in non-traded preferred stock offerings. We will also delve into the use of technology throughout the trade order process. Moreover, we will probe into the important valuation metrics and considerations that make these covered securities so appealing. Come and discover for yourself why non-traded preferred stock offerings may be the greatest product innovation of the last decade.

Session Coordinator: Craig Merkt, Calton & Associates
Reporter: Craig Merkt, Calton & Associates
Participants: Greg Mausz, Preferred Capital Securities; Josh Hoffman, Bluerock; Peter Magnuson, Ladenburg Thalmann

Mont-Royal 2

This session is aimed to introduce and/or enhance financial advisor knowledge on the highly competitive private equity business. Session includes introduction to private equity, structure, funding cycles, deal sourcing and underwriting, portfolio management, negotiated exit strategies and where/when an advisor should allocate funds.               

Session coordinator: Brian Buehler, Triton Pacific Securities
Facilitator: Jean Merriman, The Strategic Financial Alliance
Presenters: Brian Buehler, Triton Pacific Securities; Grant Mathey, Mick | Law

Nolita 2

It’s not about the free trip. It’s about learning the business, the people and the assets. How do you make the most out of your time? How do you get past the fluff to the real material you need to make an informed decision? Our panel of experts will help you crack the code on how to get the information you need.

Session Coordinator: Jan Ryan, JCC Advisors
Moderator: Jan Ryan, JCC Advisors
Participants: Paula Miterko, Miterko & Associates; Tim Witt, Concorde Investment Services; Vali Nasr, Claraphi Advisory Network

11:45 am-12:35 pm

Nolita 1

Please join moderator Daniel Oschin of Shopoff Realty Investments, along with panelists (listed below), as they discuss answers to these and other elemental questions surrounding the world of alternative investments from the perspective of sponsors and financial advisory professionals alike.
 
During this session, you can expect to learn:
 

  • Why alt investments are structured as they are;
  • How financial advisory professionals find these investments;
  • How sponsors and financial advisory professionals communicate throughout the due diligence process and beyond

Session Coordinator: Kate Stephany, FactRight
Moderator: Daniel Oschin, Shopoff Realty Investments
Presenters: Derek Peterson, Genesis Capital; Brian Buehler, Triton Pacific Securities; Faraz Sattar, Accretive Wealth Management

Nolita 2

One of the most often misunderstood and under-utilized strategies to make yourself and your products stand out in an increasingly complex landscape is the effective use of marketing and technology.

Join us for a candid discussion with a panel familiar with a spectrum of products ready to provide tips and tools you can use to generate leads, personalize your marketing initiatives, deliver relevant content and optimize your digital user experience to increase the impact of your efforts and grow your business.

Session Coordinator: Rebecca Cleary, Spotlight Marketing Communications
Presenters: Kevin Hull, Robert A. Stanger & Co.; Damon Elder, Spotlight Marketing Communications; Paul Cullen, Preferred Apartment Communities; Kara Howard, MBD Solutions

Mont-Royal 2

Join us as we examine some of the newest concepts to employ for portfolio construction. What new products might have an impact on future portfolio allocations? We will look at newer aspects of Opportunity Zone investing as we transition to what is the next new opportunity as well as examine liquidity needs and options being developed for meeting those.

Session Coordinator: Mark Petersen, MBD Solutions
Moderator: Mark Petersen, MBD Solutions
Participants: Merriah Harkins, GWG Holdings; Chris Milner, Cantor Fitzgerald; Matthew Iak, U.S. Energy Development Corporation

12:35-1:45 pm

1:45-2:35 pm

Nolita 1

When evaluating a replacement property, investors often dedicate a significant amount of their time to assessing the superficial attributes of the property and its location and fail to thoroughly observe the wide array of other factors that can affect the performance of their investment. In this session, industry experts will share their insights into these other factors including topics such a fees & expenses, master lease structure, financial projections, leverage utilization, capital budgets and reserves.

Session Coordinator: Scott Street, Griffin Capital Company
Moderator: Alan Lincoln, Mick | Law
Participants: Rahul Sehgal, Inland Private Capital Corporation; Eric Kaplan, Griffin Capital Company; Brian Nelson, NP Private Capital

Mont-Royal 2

The non-traded REIT market has undergone significant evolution in recent years – major changes to structures, large “institutional” sponsors entering the market, a proliferation of share classes and fee compression. Regardless, there still are many questions whether these products are able to meet the goals of investors – sustainable high levels of current income, potential for growth, and principal protection. Join this diverse panel of experts for perspectives across the industry – product sponsors, advisory firms and due diligence analysts.

Session Coordinator: Matthew Malone, FS Investments
Moderator: Matthew Malone, FS Investments
Participants: Todd Snyder, Snyder Kearney; Jason Kavanaugh, Concorde Investment Services; Michael Ezzell, Inland Real Estate Investment Corporation

Nolita 2

With all of the recent regulatory changes and proposals affecting the securities industry, there are many constituencies which are influencing the impact of these changes. We will have a roundtable discussion about the specific recent efforts of influence and the potential impacts.

Session Coordinator: Catherine Bowman, The Bowman Law Firm
Presenters: John Grady, Practus; Larry Sullivan, Passco Companies; Thomas Rosenfield, HillStaffer

2:45-3:35 pm

Mont-Royal 2

Interval funds have been growing in popularity and the underlying strategies within them continue to expand. BDCs remain active including institutional managers coming into the non-traded space as they embrace the opportunity. Participate in this session to learn more about the varying strategies, opportunities and considerations in today’s credit markets.

Session Coordinator: Mike Kell, AI Insight
Moderator: Mike Kell, AI Insight
Participants: Chris Reece, FS Investments; Aaron Rosen, Pinhook Capital; Joseph Roth, Prospect Capital Management

Nolita 1

Who’s buying and who’s selling? What does the mergers and acquisition climate look like for both IBDs and RIAs? What will drive M&A activity in the near term? How will it impact how clients are taken care of?

Session Coordinator: John Grady, Practus 
Moderator: John Grady, Practus
Participants: Kevin Gannon, Robert A. Stanger & Co.; Deborah Froling, Kutak Rock; Peter Blum, Ladenburg Thalmann

Nolita 2

Cybersecurity affects everyone in all aspects of business and life. What do you need to know to make sure your firm is in compliance? We will hear from FINRA about the resources they have available, the risks to be avoided, and what has been found in exams, a service provider which assists broker-dealers in building out their cybersecurity programs and broker-dealers which have built out their cybersecurity programs.

Session Coordinator: Catherine Bowman, The Bowman Law Firm
Moderator: Catherine Bowman, The Bowman Law Firm
Participants: Mickey McGuire, Acorn Tech Services; David Kelley, FINRA; Larry Lyons, Kalos Financial

3:35-4:00 pm

4:00-4:50 pm

Nolita 1

Learn how IARs can work within independent Registered Investment Advisors who provide a plethora of services, including portfolio and investment management that includes non-publicly traded assets. The discussions will be centered around use of marketing, sales, service, operations and use of technology, and what an IAR should want and expect from their firm to build their business and maintain their long-term relationships with their clients.

Session Coordinator: Rajeev Kotyan, Innovative Advisory Group
Moderator: Rajeev Kotyan, Innovative Advisory Group
Participant: Burton Brown, Atomi Financial Group; JP Dahdah, Vantage IRAs

Nolita 2

The significance of social media is increasing tremendously, making an online presence invaluable when done well. The panelists will discuss the importance of creating meaningful and timely content in order to become a valuable source of information while adhering to industry rules and regulations. The discussion will outline strategies to build your brand’s presence, how to gain more online followers and ultimately how that may result in more business and deeper client relationships.

Session Coordinator: Sydney Morgan, Capital Square 1031
Moderator: Tanya Muro, NB Private Capital
Participants: Eric Paul, Four Springs Capital Trust; Colin Cosgrove, Inland Real Estate Investment Corporation; Tara Kassal, Waypoint Residential

Mont-Royal 2

There’s much more to a deal than just early stage cash flow projections, assumptions, and PPM pro-formas. Moderated by a third-party due diligence specialist, this session features a detailed discussion on the importance of ongoing underwriting. Learn why communication from sponsors can be critical in helping a BD or RIA understand where we are in the investment stage or lifecycle, how the investment is performing, and what key barometers to look for going forward. Come join this lively and insightful forum to help gain a better understanding of the building blocks needed to ensure accurate accountability of asset monitoring from sponsor, broker-dealer and RIA viewpoints.

Session Coordinator: Janet Cook, NB Private Capital
Moderator: Catherine Bowman, The Bowman Law Firm
Participants: Bart Malcom, MBD Solutions; Vali Nasr, Claraphi Advisory Network; Dave Laga, DFPG Investments

5:00-6:00 pm

Belmont 4, 8

"Teamwork is Everything"

NFL Football and Real Estate Legend Roger Staubach on teams, strategy, and success.

  • Founded The Staubach Company in 1977; Sold to JLL for $600+ Million in 2008
  • Two-Time Super Bowl Champion
  • Super Bowl MVP
  • Pro Football Hall of Fame Inductee
  • Heisman Trophy Winner


Keynote address provided courtesy of:

6:15-7:15 pm

Wednesday, October 16

7:30-9:00 am

9:00-10:00 am

Belmont 4, 8

Best-in-class CEO panel from the alternatives industry. Discussions will include recent trends, economic effects, and future directions.

Session Coordinator: Greg Mausz, Preferred Capital Securities
Moderator: ADISA President Greg Mausz, Preferred Capital Securities
Participants: Jason Kavanaugh, Concorde Investment Services; Michael Schwartz, SmartStop Asset Management; Lisa Robinson, Carter Multifamily; Louis Rogers, Capital Square 1031; Mike Bendix, DFPG Investments; Corey Maple, Legendary Capital

10:10-11:00 am

Mont-Royal 2

Join us for a conversation with an advisor who has dropped his FINRA affiliation and now practices solely as an Investment Advisor Representative. We will talk about the factors that lead to the decision, the preparations made for the transition, the impact on the profitability of the firm, the warning signs that a broker-dealer should be aware of, and what the broker-dealer could have done to keep the advisor or delay his departure. Questions will be taken from the floor.

Session Coordinator: Kurt Tesh

Nolita 1

Our popular gathering of RIA principals and key management personnel is designed to be the RIA voice within ADISA. This free exchange of ideas is often lively, as participants brainstorm possible solutions to problems that are unique to RIAs and their Investment Advisor Representatives.
 
Topics include:
Practice Management – Technology
Practice Management – Custody
Practice Management – Due Diligence beyond third-party DD
and more!
 

Session Coordinator: Rajeev Kotyan, Innovative Wealth Advisors
Facilitators: Rajeev Kotyan, Innovative Wealth Advisors; Paula Miterko, Miterko & Associates
Speaker: Al Haworth, Waypoint Residential

Nolita 2

Hot topics from the Sponsor perspective

Session Coordinator: Greg Mausz, Preferred Capital Securities
Moderator: Greg Mausz, Preferred Capital Securities
Participants: Brian Buehler, Triton Pacific Securities