FA Alts 2014
Alts 2014
2014 Speaker Presentations
Click the session name to download the presentation slides
July 31, 2014

10:35 am – 11:25 am SESSION A
Improving Asset Allocation With Alternatives

Carefully selected alternative investments can provide alpha and act as hedges, and can be useful in smoothing returns. Learn what to look for in alternative investments and how they can be used to enhance asset allocation models.

MODERATOR: Mike Kane, Hedgeable

1. Ed Steffelin, Walton
2. Sandra Testani, AllianceBernstein
3. Mark Plummer, Chestnut Exploration, Inc

Accepted for 1 CFP® Board CE Credit and CIMA designations
11:30 am – 12:20 pm SESSION B
Tail Risk Management:
Using Tactical Strategies To Capture Trends

Markets since the financial crisis have been characterized by numerous anomalies, including bouts of unprecedented volatility. In this session, managers will outline strategies with the ability to perform well in normal markets while dramatically limiting risk in down markets and reducing overall volatility.

MODERATOR: Tom Balcom, 1650 Wealth Management

1. Isaac Braley, BTS
2. Daniel Satchkov, Rixtrema
3. Ricardo Cortez, Broadmark Asset Management  

Accepted for 1 CFP® Board CE Credit and CIMA designations
2:10 pm – 3:00 pm

Limiting Downside Risk
With Alternative Options-Based Strategies

The extraordinary volatility that the financial markets experienced in 2008 and 2009 prompted clients to reassess their risk tolerance levels. It also caused many advisors to explore new ways to control risk. This session examines how advisors can employ options and other derivatives to limit the downside risk to a client’s portfolio.

MODERATOR: Eric Cott, Options Industry Council

1. Joe Mazzola, TD Ameritrade Institutional
2. John Gambla, First Trust
3. Ron Altman, Aston/Anchor Capital
4. Michael Winchell, Larkin Point

Accepted for 1 CFP® Board CE Credit and CIMA designations

2:10 pm – 3:00 pm SESSION B
Liquid Alternatives:
Generating Alpha With ETFs,
ETNs and Hedge Fund Mutual Funds

While many advisors utilize traditional alternative investments to generate greater returns, “liquid alternatives” in the form of ETFs, ETNs, and hedge fund mutual funds can provide similar alpha with more liquidity. This panel will address how “liquid alternatives” can diversify client assets and improve risk-adjusted returns.

MODERATOR: William Kelley, CAIA


1. Michael Weil, Realty Capital Securities LLC
2. Shree Kargutkar, Sprott
3. Andrew Matthes, Teton

Accepted for 1 CFP® Board CE Credit and CIMA designations

3:40 pm – 4:30 pm SESSION A
Understanding Real Estate Alternatives

Real estate markets have been improving. Our panel will provide an overview of asset class pros and cons and debate underlying fundamentals that can assist in determining which programs and sponsors are appropriately suited for various clients. These will include trends and potential in rental growth, absorption, tenancy, TIs and LCs, organic growth vs. value creation, intrinsic vs. market force driven stability, and more.

MODERATOR: Michael Zmistowski, Financial Planning Association of Florida

1. Jeff Johnson, Dividend Capital
2. Kevin White, American Realty Capital Properties
3. Fuller O'Connor, EJF Capital LLC

Accepted for 1 CFP® Board CE Credit and CIMA designations
3:40 pm – 4:30 pm SESSION B
Diverse Strategies To Generate Income
With low interest rates likely to prevail for the foreseeable future, advisors need to investigate ways for clients to earn income from their investments in an environment of financial repression. This session will examine a variety of investment vehicles that are available and explore their pros and cons.
MODERATOR: Jeremy Held, Alps                

1. Dan Thibeault, GL Capital Partners
2. Rick Weed, F-Squared Investments
3. Bryn Torkelson, Matisse

Accepted for 1 CFP® Board CE Credit and CIMA designations

4:35 pm – 5:25 pm

Trend-Following Strategies

Trend following is a risk-management strategy that, when used correctly, is quite effective in producing alpha. Its focus is on protecting a portfolio from strong declines, reducing the correlation with a traditional buy-and-hold style. Learn more about different approaches from our panelists.

MODERATOR: Jeff Sica, Sica Wealth Management

1. Laif Meidell, AdvisorShares
2. Alan Lordi, Aequitas Capital Management
3. Jim Welsh, Forward

Accepted for 1 CFP® Board CE Credit and CIMA designations
4:35 pm – 5:25 pm SESSION B
Evaluating Private Equity
And Venture Capital Opportunities

Opportunities in private equity and venture capital are always changing. Investment managers discuss how they evaluate these opportunities and describe how they assess risk and reward.

MODERATOR: Kelly Rodriques, Pensco

1. Mark Sunderhuse, RedRocks Capital
2. Michael Goering, Buttonwood
3. Kevin Albert, AMG FUNDS/Pantheon Ventures

Accepted for 1 CFP® Board CE Credit and CIMA designations

August 1, 2014
9:20 am – 10:10 am SESSION B
Business Development Companies

2013 was a year of extraordinary growth for BDCs, which can earn lucrative returns by providing loans to small to mid-sized companies. BDCs pay out 90% of their income and many provide very attractive yields for investors. However, not all BDCs are the same or offer the same quality of investments. Learn what to look for in evaluating these alternatives.

MODERATOR: Kirk Michie, Trition Pacific Securities

1. Dean Choski, Fifth Street Management LLC
2. Jeff Tonkel, Sierra Income Corporation
3. Brody Browe, Franklin Square

Accepted for 1 CFP® Board CE Credit and CIMA designations
10:50 am – 11:40 am SESSION A
Achieving Tax Efficiency With Alternatives

This panel will address how advisors can use tax efficient alternative strategies to generate high levels of tax-free income while maximizing after-tax return and remaining neutral to changes in interest rates. These strategies may also offer significant diversification benefits.

MODERATOR: Bill Humphrey, New Direction IRA

1. Katie Turner, Jackson
2. Kevin Sullivan, Jefferson National
3. Sameer Sethi, Sethi Petroleum

Accepted for 1 CFP® Board CE Credit and CIMA designations
11:45 am – 12:35 pm SESSION A
Building Hedge Fund Exposure through Funds of Funds and Multi-Strategies
Advisors can use multi-strategies and funds of funds with traditional asset classes to create more diversified portfolios with attractive risk-adjusted return profiles.  This panel will address core components of manager selection, risk management and portfolio construction.

MODERATOR: Tom Demery, Fox River Partners

1. Nathan Houser, Absolute Advisers
2. Ken Steben, Steben
3. David Wertentheil, Worth Venture Partners

Accepted for 1 CFP® Board CE Credit and CIMA designations
11:45 am – 12:35 pm SESSION B
MLPs, A Compelling Asset Class

Master limited partnerships provide a crucial service that's always in demand — the distribution of energy resources. Most are liquid securities that are easy to track and trade. In the last decade, these investments annually outpaced the S&P 500, and advisors who have put in the time to study them have been able to deliver income and low volatility to clients. This session will provide an overview of MLPs, how they work and how you can use them in client portfolios.

MODERATOR: Clay Womack, Adageo Energy

1. Daniel Herz, Atlas Growth Partners
2. Ed Russell, Tortoise
3. Kenny Feng, Alerian/Alps

Accepted for 1 CFP® Board CE Credit and CIMA designations
2:20 pm – 3:10 pm GENERAL SESSION
Accessing & Allocating Alternatives
You may know why you should use alternative investments in an asset-allocation model, but are unsure of how large of an allocation to make in the average client’s portfolio. Which strategies make the most sense to gain exposure yet remain simple so the client can understand the investment? ETFs? Mutual funds? Funds of Funds? Panelists also discuss investment minimums, fees and liquidity issues associated with alternatives, as well as the solutions, including feeders, intermediaries and platforms.  Come learn why more solutions mean more choices and how to find the one that makes most sense for  you and your clients.

MODERATOR: Keith Gregg, Aequitas Capital Partners     

1. Robert Worthington, Hatteras Funds
2. William Miller, Brinker Capital
3. Erik Rostvold, TriLinc Global  

Accepted for 1 CFP® Board CE Credit and CIMA designations

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