Learn about new regulatory and legislative developments that will affect broker-dealers, investment advisers and sponsors and managers of alternative investment products from the leadership of our legislative & regulatory committee.

Speakers: Catherine Bowman, The Bowman Law Firm; Deborah Froling, Kutak Rock; John Grady, ADISA

In this one-hour session, we'll hear from industry leaders about alternative investment products with compelling tax features. Among the products to be discussed will include real estate and energy programs with IRC 721/1031 planning options, oil/gas drilling programs with IDCs and depletion allowances, and qualified opportunity fund programs. The discussion will address program structures as well as common features and benefits, underwriting, income tax consequences, and due diligence considerations.

Moderator: Bryan Mick, Mick Law
Participants: Dave Laga, DFPG Investments; Mark Kosanke, Concorde Investment Services; Scott Escujuri, Legacy Wealth Managment

During this session, learn the different ways RIA firms are currently performing their due diligence for alternative products and asset sponsor. Discussions shall include the models and methods used, including the various tool and third-party firms and reports that are available to RIA firms. Also learn how RIA firms coordinate with asset sponsors, broker-dealers and other RIA firms when it comes to due diligence.

Moderator: Rizwan Ibrahim, Accretive Wealth
Panelists: Rajeev Kotyan, Innovative Advisory Group; Sylvia Kwan, Ellevest; Larry Peery, Magnolia Private Wealth

This session is designed to explain the role of third-party due diligence within the alts product screening and approval/rejection process. Includes discussion on how third parties are using Reg BI and other analytics and resources to help their clients manage risk when evaluating various types of alternative investment products and structures.

Moderator: Joanna Venetch, Hana Solutions
Speakers: Catherine Bowman, The Bowman Law Firm; Jake Heidkamp, FactRight; Brad Updike, Mick Law; Derek Hayes, Buttonwood Due Diligence

In this 75-minute session, broker-dealers and investment advisors will learn about how artificial intelligence ("AI") works with the securities and finance sector in terms of functionality and we'll discuss what FINRA and SEC registered firms need to consider when incorporating AI into their systems and processes. On that point, we'll discuss how some firms are already approaching AI implementation, as well as its benefits from an operational efficiency perspective. We'll also discuss the legal nuances surrounding AI, as well as things BDs and RIAs should be thinking about prior to their implementation of AI within their operations and systems.

Speakers: Aaron Pollak, VENTURE.co Holdings; John Palmer, DataDasher

This will be a trending product discussion -- structure, fees, asset management, investor rights and transparency, liquidity considerations, and due diligence.

Moderator: Jake Heidkamp, FactRight
Participants: Jon Trump, Avantax Investment Services; Ryan Murphy, Capital Group; Joey Roth, Eagle Point Credit Management

This session will include two 30-minute lectures from experts in both oil and gas and commercial real estate about current market developments affecting these asset classes. Discussions will include the Trump Administration's reset plan and its effects, the latest on the credit markets involving these assets, and how the developments are shaping the current investing environment.

Participants: DJ Van Keuren, Family Office Real Estate Institute; Dan Steffens, Energy Prospectus Group

This session is intended to cover many important facets of alts marketing compliance including a discussion regarding the proper use of Reg D and the FINRA Rule 2210 content standards. Marketing on alts on websites will also be included with this discussion.

Moderator: Brad Updike, Mick Law
Participants: John Grady, ADISA; Thomas Voekler, Williams Mullen

Go beyond the pitch deck and step into the minds of the gatekeepers. In this dynamic panel discussion, top due diligence officers from leading financial firms pull back the curtain on how investment decisions really get made. From navigating global macroeconomic uncertainty to identifying red flags and hidden gems, our panelists will share what keeps them up at night -- and what gets them excited. Learn insights about their investment committee processes, firm-wide challenges, and the traits they look for in top-tier managers. Expect unfiltered opinions on favorite (and least favorite) investment ideas, plus answers to the question: What would they do differently if they were calling the shots? Whether you're raising capital or allocating it, this is your chance to learn what really moves the needle. 

Moderator: Greg Mausz, Skyway Capital Markets
Speakers: Carol Jones, Arkadios Capital; Craig Merkt, Realta Equities; Dave Laga, DFPG Investments; Doug Blake, Kingswood