April 1-2, 2015
The Venetian, Las Vegas, NV
The symposium provides advisors with a forum to hear and share ideas on the new realities of retirement, issues they face with clients and the latest strategies offering top-level solutions to address client goals. The conference promises to make advisors feel energized with new ideas and enthusiasm to build their practices.





Keynote Speakers


Rick Adkins, CFP, ChFC, MBA

Rick Adkins is the president/CEO of The Arkansas Financial Group which he founded in 1982. He served as chair of the Certified Financial Planner Board of Standards’ Board of Governors in 2003. Adkins received a BS degree in management from Harding University and an MBA from the University of Mississippi.

Mike Baney

Mike is the district director for the Northeast District of Allianz Life Financial Services. Mike’s experience is in marketing mutual funds, managed accounts, retirement plans and annuities to financial advisors. Holds
a BA in finance from the New York Institute of Technology and holds the Certified Investment Management Analyst designation.

Frank Barbera

Frank Barbera, CMT is the executive vice president at Sierra Investment Management and co-portfolio manager of the Sierra Core Retirement Fund and the Sierra Strategic Income Fund. Barbera is known for developing a wide range of technical market indicators along with trend-following techniques which were profiled in the widely popular 2006 book, Master Traders: Strategies for Superior Returns from Today’s Top Traders. He has spoken to and written widely for both professional and public audiences.

Darwin Bayston

Darwin Bayston is president and CEO of the Life Insurance Settlement Association (LISA). His charge is to extend the outreach of the Association to all participants of the life settlement industry from consumers to capital providers, including producers, brokers, providers and service providers who are part of the life settlement market.

Kristofor Behn, CFP

Kristofor Behn is an entrepreneur and self-proclaimed businessman. Applying fundamental merger and acquisition strategies common in large corporations, Behn pioneered an acquisition strategy in the financial planning and investment advisory space beginning in 2000, long before other advisors considered it a viable strategy for business growth. Behn has spent the better part of the last two decades developing and refining all aspects of his financial planning and investment advisory business and has worked to perfect his practice acquisition strategy.

Tricia Blazier

Tricia Blazier, JD, is the personal health and financial planning director at Allsup. She applies her expertise with healthcare and personal finance to help employers and individuals navigate complex government programs. She oversees the Allsup Medicare Advisor® and Allsup Benefits Coordination services, with a focus on coordinating public and private healthcare benefits.

Norman Boone

Norman Boone, MBA, CFP is the founder and president of Mosaic Financial Partners in San Francisco. Boone got his degrees from Stanford (BA) and Harvard (MBA). He has served on the national board of the FPA and more recently as the president of the San Francisco Estate Planning Council. He also serves as the co-chair of the board of trustees of Saybrook University.

J. Ralph Broadwater, MD, CFP®, AIF®

Dr. Broadwater graduated from Southern Methodist University, magna cum laude, and was elected to Phi Beta Kappa. He attended medical school at the University of Arkansas for Medical Sciences, and completed his surgical residency at UAMS. He completed a two-year Fellowship in surgical oncology at the M.D. Anderson Cancer Center in Houston, Texas, and returned to Arkansas in 1986 where he is Chief of Surgical Oncology at the University of Arkansas for Medical Sciences.

Chip Castille

Chip Castille, managing director, is BlackRock’s chief retirement strategist heading the Global Retirement Strategy Group. He is responsible for managing global retirement opportunities across geographies and products, including the ongoing evolution of their LifePath and CoRI product suites. Prior to his current role, he was head of BlackRock’s US Retirement Group, which included the US & Canada Defined Contribution Group.

Bill Chetney

Bill Chetney is CEO of Global Retirement Partners, LLC. Previously, Chetney was president of LPL Financial Retirement Partners, a division created by the firm following its 2010 acquisition of National Retirement Partners. In this role, he was responsible for leading the firm’s retirement business and providing tools, services and technology solutions to 5,000 participating advisors with 25,000 plans.

Carrie Cook

Carrie Cook oversees the matching of quality real estate borrowers with investor capital on collateralized trust deed investments. She has led the Ignite team to fund more than $220 million in loans since 2011. Cook has ten years’ experience in commercial lending and holds a Nevada Mortgage Broker license.

Roy Diliberto, CFP

Roy Diliberto, CFP is Chairman of RTD Financial Advisors, Inc. He has served as national President of The Financial Planning Association and has authored Financial Planning – The Next Step: A Practical Approach to Merging Your Clients Money With Their Lives. He also writes a bi-monthly column on Financial Life Planning for Financial Advisor Magazine.

Marilyn Dimitroff

Marilyn Dimitroff, a Principal of Planning Alternatives in Bloomfield Hills, MI. is a national leader in the financial planning profession. A current Trustee on the Foundation for Financial Planning Board, she has chaired CFP Board and the Ethics Task Force that developed the updated Standards of Professional Conduct. She has a BA and MA in mathematics.

Bill Dwyer

Bill Dwyer serves as the chief executive officer of Realty Capital Securities, LLC (“RCS”). Prior to joining RCS in September 2014, Dwyer served as president of LPL Financial Independent Advisor Services, where he was responsible for setting strategic direction for the management, satisfaction, retention and recruitment of the firm’s independent advisors. During his over 20 years at LPL Financial, Dwyer managed numerous business units.

Paul Frank

Paul Frank, Lead Portfolio Manager of the Stadion Tactical Growth Fund, joined the firm in 2013. Prior to Stadion, Paul founded Aviemore Asset Management, LLC in 1993 and served as its president until 2013. In 2004, Frank established the ETF Market Opportunity Fund, now know was the Stadion Tactical Growth Fund.

Michael Freedman

Michael Freedman, President of GWG, joined the company in September 2014 and was appointed president in November. For over a decade, he has been the life settlement industry’s chief advocate for laws promoting life settlements as a way for seniors to fund their retirement and long-term care needs. Freedman was a driving force behind the development of life settlement laws in 42 states and more than 60 different pieces of legislation, including several federal laws.

David Goad, ChFC

David Goad is a leading industry authority on mergers and acquisitions. In the past 21 years he has advised over 1,400 financial service firms with a value of more than $43 billion. Goad is the author of Succession Planning Strategies for the Financial Planner published twice by the Financial Planning Association. He was the founder and past CEO of Portland-based FPtransitions and is currently the president of Succession Planning Consultants, Inc., a leading consulting firm to advisors.

Bruce Guarino, CFP, CLU

Bruce Guarino currently serves as the west coast regional vice president for Nationwide’s Defined Contribution Investment Only team. In addition Guarino speaks on behalf of Nationwide Financial at numerous financial conferences and seminars across the nation. Guarino’s previous positions with Nationwide Financial include West Coast Region Vice President, Institutional Consulting and Managing General Agent, PPGA, Western U.S.

David Haviland

David Haviland is the portfolio manager for the BCM Strategies. Haviland chairs the BCM investment committee and serves on the BFP Investment and Allocation Committees. Haviland, a managing partner of the firm, has worked in the financial services business since 1986 and is a graduate of The University of Vermont.

Dorothy Hinchcliff

Dorothy Hinchcliff is managing editor of Financial Advisor magazine and editor of its website, fa-mag.com, and FA green, fa-mag.com/green. She has been instrumental in expanding the magazine’s website and launched FA green, which focuses on sustainable investing and advisors who provide advice on the topic. Hinchcliff has been a financial journalist for more than 20 years.

David Kahal

David is responsible for accelerating the growth of life insurance products in the company’s retail and third-party distribution channels and developing distribution methods to new market segments.

Robert Kaplan

Robert Kaplan is National Retirement Consultant for Voya. In this role, he leverages over 30 years of experience in plain design, administration, sales and consulting, to conduct webcast and live training for Voya personnel as well as members of the TPA and financial professional community.

Anne Kritzmire

Anne Kritzmire oversees strategic marketing and support, financial advisor and investor education, industry relations and comprehensive data services for Nuveen Investments’ entire family of closed-end funds and exchange-traded commodity products. She leads an integrated program of advisor and investor support communications activities, advertising, educational initiatives, analyst relations and sales support across multiple investment categories.

Robert Laura

As a leading retirement activist, Robert Laura combines his social work skills and retirement income expertise to help people plan for every aspect of retirement. He maintains multiple roles including President of SYNERGOS Financial Group, founder of RetirementProject.org, creator of Retirement Wellness Report and DividendPaycheck.org, as well as serving as a syndicated columnist for both Forbes.com and Financial Advisor Magazine.

Linda Lubitz Boone CFP®

With over 30 years experience in financial services, Linda provides Personal Financial Planning and Investment Management for individuals and Pension Plan trustees on a fee for service basis. She specializes in working with clients who are undergoing life transitions such as death of a spouse, planning a post professional life, divorce, sudden inheritance or change of job.

Christian Magoon

Christian Magoon is chief executive of YieldShares, an ETF Sponsor focused on income strategies. The YieldShares High Income ETF (YYY) is listed on the NYSE ARCA platform. He has been referred to as an ‘ETF Pioneer’ for his role in the growth of the ETF marketplace. Magoon is a Wall Street Journal expert panelist and noted investment author.

Daniel B. Moisand, CFP

Dubbed a “Future Star” in 2002 by Financial Advisor, Dan Moisand has been featured as one of the country’s top practitioners in most financial planning publications. He is the only two-time winner of the Journal of Financial Planning‘s Call for Papers competition and has been a retirement columnist for Financial Advisor since 2010.

Wade D. Pfau, Ph.D., CFA

Wade D. Pfau, Ph.D., CFA, is a professor of retirement income in the Ph.D. program for financial and retirement planning at The American College in Bryn Mawr, PA. He also serves as the director of retirement research for inStream Solutions and McLean Asset Management.

Andrew Rudd

Andrew Rudd is founding CEO of Advisor Software. He is an expert in quantitative investment analysis and was a professor of finance and operations research at Cornell University. He was also a co-founder and former chairman and CEO of Barra, Inc., where he served as CEO from 1984 to 1999.

Daniel Satchkov

Prior to founding RiXtrema, Daniel Satchkov worked as an associate director of risk research at FactSet, where he was responsible for researching and developing software products in the areas of risk measurement and risk reporting. He speaks at numerous financial conferences and has published articles dealing with risk management issues in a number of journals and whitepapers as well as an E-Book.

Hannah Shaw Grove

Hannah Shaw Grove is the author of Inside the Family Office: Managing the Fortunes of the Exceptionally Wealthy and The Family Office: Advising the Financial Elite. She consults to families with significant wealth and their closet advisors.

Evan Simonoff

Evan Simonoff is editorial director of Financial Advisor and Private Wealth magazines and is a founding partner of Charter Financial Publishing Network (CFPN). He has spent more than 20 years as an editor and reporter covering the financial services industry. Simonoff is a widely recognized expert on personal finance and investments.

Greg Sullivan

Greg Sullivan, CEO and co-founder of Sullivan, Bruyette, Speros & Blayney, has over 30 years experience in investment management and personal financial planning. Sullivan has been recognized by Barron’s Top 100 Independent Financial Advisors report and by Washingtonian magazine as a 2014 Top Money Advisor.

Robert M. Vandy

Robert M. Vandy, CLU, ChFC, LUTCF, CLTC is vice president of marketing for New York & National Long Term Care Brokers (NYLTCB), a nationally recognized long-term care, retirement, estate and business planning firm located in Clifton Park, NY.

Vandy has over 24 years of experience in insurance and financial services, having served as an agent/advisor and in field, brokerage and home office marketing support and management capacities.

Joseph Votava, Jr.

Joseph Votava, Jr. serves as chief executive officer for Seneca Advisors LLC. With over 30 years of experience, he provides comprehensive financial planning services with a focus on taxes, investments, employee benefits and estate planning, Until February 2010, he was a partner serving corporate executives and closely held businesses at Nixon Peabody LLP, a law firm with local, national, and international clients.

Dr. Katy Votava

Dr. Katy Votava, founder of GOODCARE.com, is a Medicare expert who consults with financial advisors and their clients throughout the United States. As a nurse practitioner and healthcare economist Votava has a broad view of healthcare in retirement and what the real impact is on consumers. She provides up-to-the-minute information that advisors can apply immediately in practice.

Waldean Wall

Waldean Wall is the vice president of advanced markets for Allianz Life Insurance Company of North America. He has more than 30 years of experience speaking at conventions and top producer meetings around the country and helps financial professionals and their clients with their financial, estate, and retirement-planning goals. Previously, Wall was a tax consultant, leaders-level advisor with New England Financial, and an advanced markets trainer.

Mark Williams

Mark Williams is the chief of sales officer for Brokers International, a national insurance marketing organization. Williams is responsible for recruiting financial professionals to one of over 20 insurance companies Brokers International represents. Williams also oversees marketing, producer programs and distribution of life insurance and annuity products offered to the thousands of agents that work with Brokers International.

Steve Williams

Focusing on the Western Division, Steve Williams is responsible for developing and implementing sales strategies, coordinating marketing and sales efforts, and increasing the number of selling agreements with retail broker-dealers. Additionally, Williams is charged with deepening and broadening RCS’ relationships with RIA’s. Williams brings more than 18 years of experience to Realty Capital Securities.

Daniel Young, CLU, ChFC.

Daniel Young is the president of Magna Life Settlements and General Counsel of the parent company, Vida Capital, Inc., and has been with the Firm since 2010. Previously, Young was president & CEO of NY Life Securities and Eagle Strategies. Young graduated from Stanford University with Honors and Distinction and from the University of Chicago Law School with Honors.

Michael Zmistowski

Michael Zmistowski is president of Financial Planning Advisors, LLC specializing in retirement income management. As a securities principal with the Financial Industry Regulatory Authority, licensed insurance representative and associate of registered investment advisory firms, for over 28 years Zmistowski has been designing and implementing financial plans for his clients.

Subject to change

April 1, 2015

7:00 am - 5:00 pm


7:00 am - 8:00 am

Breakfast in Exhibit Hall

8:00 am - 8:10 am

Opening Remarks and Chairperson Welcome

David SmithFinancial Advisor and Private Wealth Magazine
Mike Baney, Allianz Life Financial Services

8:10 am - 9:00 am

Future of Retirement

Accepted for CFP Board CE Credit
Nobody knows exactly how it will play out, but the front edge of the 76-million Baby Boomer generation is entering retirement. Some experts think society is headed for a train wreck, and evidence shows many boomers want or need to keep working. In this session, three practitioners will examine the issues involved in this demographic tidal wave and what it means for advisors and their clients.


Evan Simonoff, Financial Advisor and Private Wealth Magazines


Mike Baney, Allianz
Marilyn Dimitroff, Creative Planning
Robert Kaplan, Voya
Bill Chetney, Global Retirement Partners

9:05 am - 9:55am


Equity-Income Investing for Retirement

Accepted for CFP Board CE Credit
Clients entering what could be a retirement lasting three decades or more require a combination of income and capital appreciation. In this session, several institutional investors will discuss their strategies for providing investors with growth and income portfolios built to last.


Robert Laura, SYNERGOS Financial Group


Christian Magoon, YieldShares
Anne Kritzmire, Nuveen


Long-Term Care and Other Health Care Issues

Accepted for CFP Board CE Credit
As the prospects for increased longevity have risen in the last decade, the costs have climbed even higher. In this session, Dr. Katy Votava, a leading health care expert, will discuss a variety of issues surrounding health care in retirement, including long-term care insurance, assisted living and other options.


Dr. Katy Votava, Goodcare.com

10:00 am - 10:30 am

Morning Network Break in Exhibit Hall

10:35 am - 11:25 am


Tax-Efficient Retirement Withdrawal Strategies

Accepted for CFP Board CE Credit
When clients enter retirement, the need to protect their life savings takes on an even greater degree of importance. In this session, two experts will discuss ways to minimize the tax bite on retirement withdrawals, and potentially control a client's tax bracket so as to maximize the value of their assets.


Joseph Votava, Seneca Financial Advisors


Waldean Wall, Allianz Life
David Kahal, AXA


Low-Volatility Investing For Retirement

Accepted for CFP Board CE Credit
One of the major lessons of the last decade is how damaging a bear market can be to people just beginning retirement. So-called sequential risk — retiring in a year like 2001 or 2008 — can permanently impair a client's capital and put them in a hole from which it can become impossible to escape. The upshot is that many investment companies and advisors have created low volatility portfolios so that clients' assets suffer minimal damage in the event of a bear market and survive to play another day.


Robert Laura, SYNERGOS Financial Group


Frank Barbera, Sierra Investment
David Haviland, Beaumont
Paul Frank, Stadion Money

11:30 am - 12:20 pm


Advisor Strategies for Retirement Income

Accepted for CFP Board CE Credit
The low interest-rate environment pervasive during the financial crisis now looks like a global phenomenon that could last for years. For financial advisors seeking to help clients generate retirement income they can live on while preserving capital, the challenge is daunting. In this session, several leading financial advisors will share their ideas and best practices for surmounting this challenge.


Norm Boone, Mosaic Financial Planning


Marilyn Dimiroff, Planning Alternatives
Greg Sullivan, Sullivan, Bruyette, Speros & Blayney


New Trends and Development In Variable And Fixed Annuities


Michael Zmistowski, Financial Planning Advisors LLC


Wade Pfau, The American College
Mark Williams, Brokers International

12:25 pm - 1:35 pm

Luncheon Address

Nick Murray
I ❤ Volatility

Sponsored by

Introducer: Bill Dwyer, Realty Capital Securities

1:40 pm - 2:30 pm

Dessert Break in Exhibit Hall

2:35 pm - 3:25 pm


Life Settlements: Discover Your Client's Unknown Asset

Accepted for CFP Board CE Credit
Representatives of the Life Insurance Settlement Association and leading firms in the industry will provide an overview of life settlements as an alternative to lapse or surrender of a life insurance policy when it's no longer needed or affordable. The life settlement option is frequently overlooked by advisors and their clients. Further, not understanding the life settlement option is oftentimes cited as the primary reason more advisors don't discuss this alternative. This session will explain how life settlements provides meaningful opportunities for advisors to better serve their clients and ensure that senior policyholders are informed about all the options available as alternatives to policy lapse or surrender.


Darwin Bayston, CFA, President and CEO, Life Insurance Settlement Association


Michael Freedman, President GWG Life
Daniel Young, Vice President of Portfolio Management, Vida Capital


Retirement Planning From the Inside Out

Based on his book that Nick Murray describes as “the one genuine ‘book of the year’ for advisors,” Roy Diliberto will walk you through the discovery process he and his partners use to help clients address issues and reconcile conflicts they may have sought to avoid. Using integrity and empathy, this process helps clients make the truly important decisions in their lives and find meaning in retirement. In doing so, it enables advisors to increase client acquisition and retention.


Roy Dilberto, CFP, RTD Financial Advisors, Inc.

3:30 pm - 4:20 pm


A New World-Retirement Planning for Physicians

Accepted for CFP Board CE Credit
Over the past three decades, the practice of medicine has been increasingly constrained by a series of laws, most recently the Affordable Care Act. This session looks at the macro and behavioral trends of physicians that have a direct impact on their decision to retire and strategies to help them achieve a successful retirement. We will present processes and systems you should consider if you wish to serve this important niche market.


Dan Jamieson, Financial Advisor Magazine


Rick Adkins, The Arkansas Group
Ralph Broadwater, MD, The Arkansas Financial Group


Generating Income Using Alternatives in a Low Interest Rate Environment

Accepted for CFP Board CE Credit
For many clients, alternative investments may be a good choice to generate income from sources that are less correlated with traditional bonds and dividend-paying investments. What alternatives and for which clients are they appropriate? Our panelists provide answers.


Kristofor Behn, Fieldstone Financial


Carrie Cook, Ignite Funding, LLC
Steve Williams, Realty Capital Securities

4:25 pm - 5:15 pm

Asset Allocation And The Cost Of Retirement Income Today And Tomorrow

Accepted for CFP Board CE Credit
In this session, two retirement experts, one from a global asset manager and the other a leading academic, will first explain the methodologies they have developed to calculate the cost of retirement income. Then they will discuss the pro’s and con’s of including different asset classes in retirement portfolios and detail the assumptions behind their projections and the risks advisors can expect from different strategies.


Evan Simonoff, Financial Advisor and Private Wealth Magazines


Chip Castille, BlackRock
Wade Pfau, CFA, The American College

5:15 pm - 6:15 pm

Cocktail Reception with Exhibitors

Sponsored by

April 2, 2015

7:00 am - 8:00 am

Breakfast in Exhibit Hall

8:00 am - 8:10 am

Opening Remarks and Chairperson Recap

David SmithFinancial Advisor and Private Wealth Magazine
Mike Baney, Allianz Life Financial Services

8:10 am - 9:00 am

The Problems With Target-Date Funds And What Advisors Can Do About It

Accepted for CFP Board CE Credit
Whether advisors recommend them or not, target-date funds are capturing a growing share of the 401(k) market. In this session, a leading consultant and money manager, Rob Arnott, will identify the flaws inherent in these funds and discuss how advisors can mitigate some of the problems they are likely to confront.


Rob Arnott, Research Affiliates

9:05 am - 9:55am


Changes In The Qualified Plan Marketplace

Accepted for CFP Board CE Credit
Qualified plans remain the primary savings vehicle for most Americans. As the population ages, government policy is expanding its oversight and calling for fiduciary rules to be expanded, even to small rollovers. In this session, a leading expert will explain to advisors how they can expect the playing to change in the years ahead.


Robert Kaplan, Voya


Why Clients Fail in Retirement

Accepted for CFP Board CE Credit
A look at some of the most common ways that clients with sufficient financial resources when they enter retirement still end up failing financially.


Evan Simonoff, Financial Advisor and Private Wealth Magazines


Greg Sullivan, The Harris
Dan Moisand, Moisand, Fitzgerald, Tamayo

10:00 am - 10:50 am


Where To Retire

Accepted for CFP Board CE Credit
One of the biggest decisions clients face in retirement is where to retire. Many want second homes. But there are many factors to consider. This session will examine some of the most salient issues, including cost, availability of medical services, family proximity and the option of retiring overseas.


Dorothy Hinchcliff, Financial Advisor and Private Wealth Magazines


Linda Boone, Lubitz Financial


A Look At LTC Insurance And Longevity Annuities

As Americans' life expectancies increase, insurers are developing a new range of products to address changing needs. In this session, several experts will examine these vehicles in detail and their role in different clients' asset protection plans.


Michael Zmistowski, Financial Planning Advisors LLC


Bob Vandy, National Long Term Care Brokers

10:55 am - 11:25 am

Morning Network Break in Exhibit Hall

11:30 am - 12:20 pm


Software and Risk In Retirement

Throughout the entire pre- and post-retirement process, financial advisors rely on software to enable clients to implement their retirement plans. The assumptions embedded in these programs are critical in the ultimate outcome of whether or not clients achieve their goals or not. In this session, two leading software developers will discuss the merits of various assumptions and whether they help or hurt clients and advisors in the retirement planning process.


Norm Boone, Mosaic Financial Planning


Andrew Rudd, Advisor Software
Daniel Satchkov, RiXtrema


Social Security Decisions

Accepted for CFP Board CE Credit
One of the biggest financial decisions sixty-something clients make is when to start drawing Social Security. For many clients, it may make sense to wait until full retirement or beyond, but individual circumstances and Social Security regulations may mean it's better for some to file earlier. Our experts will explain the key considerations in advising your clients on this important topic.


Dan Moisand, Moisand, Fitzgerald, Tamayo


Bruce Guarino, Nationwide
Tricia Blazier, Allsup
Waldean Wall, Allianz

12:30 pm - 2:00 pm

Luncheon Address

Billy Beane, Oakland A's General Manager and Subject of Moneyball
Introducer: Jeff Gardner, Nationwide

Sponsored by

2:00 pm - 2:50 pm

The Secret To Unlocking $5 Trillion In Untapped Investment Assets

2:50 pm

Conference Adjourns

Platinum Sponsor

Sponsors and Exhibitors

Allsup Inc

Allsup is a nationwide provider of Social Security disability, veterans disability appeal, exchange plan and Medicare services. Licensed and certified professionals assist with navigating the complexities of health insurance benefits. Services include the Allsup Medicare Advisor® and Allsup Benefits Coordination. Contact (888)220-9678 or go to FinancialAdvisor.Allsup.com


“AXA” is a brand name of AXA Equitable Financial Services, LLC and its family of companies, including AXA Equitable Life Insurance Company (NY, NY), MONY Life Insurance Company of America (AZ stock company, administrative office: NY, NY), AXA Advisors, LLC, and AXA Distributors, LLC. In business since 1859, AXA Equitable Life Insurance Company is a leading financial protection company and one of the nation’s premier providers of life insurance, annuity, and financial products and services distributed to individuals and business owners through its retail distribution channel, AXA Advisors, LLC (member FINRA, SIPC) and to the financial services market through its wholesale distribution channel, AXA Distributors, LLC.

AXA S.A. is a Paris-headquartered holding company for a group of international insurance and financial services companies, including AXA Equitable Financial Services, LLC companies. AXA S.A. is a worldwide leader in financial protection strategies and wealth management with 102 million clients in 56 countries as of December 31, 2013.

The obligations of AXA Equitable Life Insurance Company and MONY Life Insurance Company of America are backed solely by their claims-paying ability.  Find AXA on Facebook, Twitter and LinkedIn.  For more information, visit www.axa.com.

Beaumont Capital Management

Beaumont Capital Management’s (BCM) growth strategies help investors participate in bull markets while seeking to protect against large bear market losses. BCM provides rules-based investment solutions to advisors, institutions and retirement plan providers. Clients can opt for purely quantitative strategies or portfolios that combine quantitative and fundamental approaches. All eligible BCM strategies are GIPS verified by an independent third party.


BenefitsLink daily e-newsletters provide the latest developments and analysis in plan compliance, administration, policy and design. Website includes active message boards, industry news and an extensive calendar of conferences and webcasts. Find – and fill – job openings on EmployeeBenefitsJobs.com

28,000 Employee Benefits Professionals rely on BenefitsLink to keep them up to date – do you? http://benefitslink.com

Brokers International

Brokers International offers a wide selection of fixed annuity options from some of the nation’s leading carriers, along with extensive life insurance and investment solutions though our affiliates Brokers Life and Brokers Financial. Plus, we provide personalized sales support and exclusive business development programs that can bring valuable solutions to your clients.

The College for Financial Planning

The leading institution focused on meeting the education needs of financial services professionals, the College for Financial Planning created the Certified Financial Planner™ (CFP®) certification and have professional designations in retirement planning, asset management, and alternative investments. Flexible instructor-led/web-delivered classes featured eBooks and interactive quizzes bring the classroom to you.



ETF.com (formerly IndexUniverse.com) is the leading independent authority on ETFs, indexes and index funds. It covers product and market developments related to index funds, ETFs, index derivatives, and the sophisticated in­vestment strategies that use these financial tools. The web site aims to provide the industry’s best news, columns, research and features about the dynamic field of index-based investing and trading. It also offers valuable tools and data to assess markets and investment products, and incisive commentary designed to help advisers cut through the clutter and find the right products for their clients.


With roots dating back to 1965, Fieldstone Financial is one of the oldest continuously operating Fee-Only financial planning and investment advisory firms in the United States.

Whether you’re looking for an objective opinion about your personal financial situation, are in need of a seasoned professional to participate in your foundation’s investment committee, or require something in between, their collaborative team approach enables them to select the right people to fulfill your investment needs.

Because they offer no investment or insurance products and have no hidden agendas, each of the financial strategies they recommend is motivated solely by their interest in helping you achieve the financial goals you establish.

Folio Institutional

Folio Institutional provides custody and brokerage services to financial professionals and institutions nationwide, servicing billions of dollars in assets. Our patented online brokerage and investing solutions enable advisors to manage thousands of client accounts, implement diversified investment strategies, manage tax liabilities, and fully integrate billing, performance reporting, and other services.



GWG Holdings, Inc. (NASDAQ: GWGH) is a specialty finance company and leader in the life settlement market. GWG offers short term, high yield corporate debt through its publicly registered, non-traded, $1B investment offering L Bonds. GWG’s goal is to generate financial returns for GWG’s investors and shareholders while providing valuable financial solutions to seniors.


Ignite Funding

As a licensed mortgage broker, Ignite Funding connects commercial borrowers seeking reliable funding solutions and investors with excess capital to invest in Deeds of Trust. As a non-depository credit institution, their investors seek capital preservation in collateralized turn-key real estate, while earning a 10%-12% annualized return. Over $220 million funded since 2011.

Independent Financial Group, LLC (IFG)

Independent Financial Group, LLC (IFG) is an independent broker-dealer based in San Diego. Our promise: outstanding service and access to the tools that help advisors maintain their competitive edge.  It is the relationship with our representatives, employees & families that drive us not to be the biggest, but the best.

The Life Insurance Settlement Association

Established in 1994, the Life Insurance Settlement Association (LISA) is the oldest and largest trade organization serving the secondary market for life insurance. LISA educates consumers and financial advisors about options for unlocking the hidden value in life insurance policies. Over the Association’s 20 years, it has played a key role in developing legislation and regulations as the foundation for an open, transparent and competitive market for the transaction of life settlements. LISA’s mission is to advance the highest standards of practice and professional development for the industry, and to educate consumers and advisors about a life settlement as an alternative to lapse or surrender of a life insurance policy.

National Long-Term Care Brokers

National Long-Term Care Brokers (NLTCB) is an independent, nationally recognized insurance Brokerage General Agency (BGA) that specializes in Long-Term Care Insurance, Life Insurance, Disability Income Insurance and Fixed and Index Annuity consulting and sales.

They have received numerous national awards for their education, expertise and results in helping their affiliated agents and financial advisors as they assist their clients and prospects in planning for the future, protecting their assets and preserving their independence.


Nationwide is on your side.®

Nationwide® is a Fortune 100 mutual company with an 85-year history of strength and stability. We help advisors break down and simplify complex retirement challenges with powerful support, tools and strategies, and diverse solutions including annuities, mutual funds, life insurance and retirement plans. We’re committed to helping America retire successfully and to creating a brighter future for our members and communities. Learn more at nationwidefinancial.com


Nuveen Investments, founded in 1898, is a trusted leader in mutual funds, closed-end funds, and separately managed accounts. Committed to delivering excellence across every major asset class, it draws upon the focused expertise of seven independent affiliates that together manage more than $230 billion in assets as of December 31, 2014.

Realty Capital Securities

Realty Capital Securities, LLC (“RCS”), member FINRA/SIPC is a wholesale broker dealer focused exclusively on the distribution of non-traded investment programs. The products offeredon RCS’ platform target specific sectors with varying investment strategies.

As a leader in the non-traded investment program industry, RCS places a premium on offering the investment community unique exposure to diverse, complementary, and professionally managed investment opportunities to meet the objectives of suitable investors’ portfolio needs.

Realty Income

Realty Income is The Monthly Dividend Company®. Since our IPO in 1994, we have increased our dividend nearly 5% annually on a compounded basis and have increased the dividend 68 consecutive quarters. The monthly dividend is supported by over 4,200 freestanding commercial properties under long-term leases.


RiXtrema is a crash rating company for anyone managing money. Instead of crash testing cars, we offer tools to crash test investment portfolios and to mitigate risks.

Schooner Investment Group

Schooner Investment Group provides investment management services to institutions and financial intermediaries that are seeking to preserve and build capital with a focus on sustainable, risk reducing investment strategies.  The Firm manages mutual funds, with a focus on liquid alternative funds, separate accounts, and private investment funds.  Schooner advises the Schooner Fund (Tickers: SCNAX, SCNIX) a hedged-equity mutual fund.  The Fund was specifically designed for the general investing public; executing investment strategies that seek upside participation coupled with superior risk management. www.schoonerfunds.com

Sierra Mutual Funds

Founded in 1987, Sierra currently manages over $1.8 billion in separate accounts and the two Sierra mutual funds, designed to serve the needs of retirees and other conservative investors. Sierra uses a globally-diversified tactical style, with proven risk-mitigation disciplines, and has achieved exceptional results across market cycles.

The twin goals of Sierra’s core strategy are (1) to average 8% or better over a market cycle (2) while at the same time limiting downside risk to 4%-5%.

Fact Sheets on the Sierra mutual funds can be viewed at www.SierraMutualFunds.com. For further information on the funds or separate managed accounts, call Whitney Barbarics at 1-855-556-1295 or email [email protected].

Stadion Money Management

Established in 1993, Stadion Money Management is an independent firm headquartered near Athens, Georgia. Stadion is a money manager offering a suite of retirement and mutual fund products with a defensive bias. As of 12/31/2014, Stadion managed approximately $5.1 billion. Visit Stadion Money Management at www.stadionmoney.com

United Planners

United Planners is a hybrid firm (RIA and BD) uniquely structured as a Limited Partnership.  Advisors enjoy association with this stellar organization and rave about the culture, flexibility and true independence they experience from day one. High payouts, profit sharing, technology, service, marketing support and sophistication in the Retirement Plan space are among the most favored features.

Vida Capital

Vida Capital is a vertically integrated asset manager providing longevity-contingent investment solutions since 2009. Vida specializes in the structuring, servicing, financing and management of life settlement funds, asset-backed securities and customized portfolios. The Firm has many differentiating characteristics including vertical integration with Magna Life Settlements, and an experienced management team.

Voya Investment Management

Voya Investment Management (Voya IM) is a leading active asset management firm. As of September 30, 2014, Voya IM manages approximately $213 billion* for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results.

YieldShares LLC

YieldShares LLC is an ETF Sponsor focused on investment income. Founded by ETF veteran Christian Magoon, the firm seeks to expand access to income focused investment strategies available inside an ETF.


Media Partner

Investor’s Business Daily

Founded in 1984 by investor and entrepreneur William J. O’Neil, Investor’s Business Daily (IBD®) provides individual and professional investors essential market-timing analysis, top performing lists and proprietary ratings to help them identify true market leaders. The information is delivered through their leading-edge investing products and innovative investor education programs. IBD created the world’s first stock database in the 1960’s to compare and rate stocks based on performance criteria to find emerging leadership. Today IBD tracks data on over 8,000 publicly traded companies and is used by over 600 institutional investors worldwide.



What is the dress code for the conference?
The attire for the conference is business casual. No shorts or t-shirts.

What is the cancellation policy?
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing by February 23, 2015. Cancellations received by February 23, 2015 will be subject to a $50 administrative fee. No cancellation refunds/requests will be accepted afterFebruary 23, 2015. In the event the conference is cancelled, Charter Financial Publishing Network (CFPN) assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. CFPN reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.

What time does registration open on Wednesday April 1, 2015?
Attendee registration opens at 7:00 a.m. Sponsor registration will be open on Tuesday, March 31st from 3:00 p.m. to 6:00 p.m.

Can I register on-site on the day of the conference?
Yes, however we encourage you to register beforehand.

How will continuing education hours be credited?
Forms will be available at registration, all attendees are to self-report the program for credit.



For inquiries on registration please contact:
Linda Dunn,

(732) 450-8866
ext. 36
[email protected]


* If you are a client facing advisor or due diligence officer at a wealth management or securities brokerage firm, private bank or family office, you may qualify for our discounted registration fee of $99, compliments of Financial Advisor/Private Wealth and our Conference sponsors.

Important Information For All Conference Registrants (attendees, sponsors and speakers):
It has come to our attention that a company called Exhibition Housing Services has been systematically contacting our sponsors, speakers and attendees in an attempt to mislead them into believing that our Conference room block (and discounted rates) are no longer available. This company then tries to secure a credit card number, claiming they can book rooms for our registrants at other nearby hotels. This is a fraud. Please disregard any communications from Exhibition Housing Services, or other similar entities, and contact Linda Dunn, conference coordinator at Financial Advisor magazine with any questions or concerns.

Conference Cancellation Policy
If you are unable to attend, you may replace your registration with a substitute delegate at no extra cost. Should you completely cancel, notification must be submitted in writing at least 45 days prior to the event. No cancellation refunds/requests will be accepted within 45 days of the event.

In the event the conference is cancelled, the producer assumes no liability for non-refundable transportation costs, hotel accommodations or any additional costs incurred by registrants. The Conference producer reserves the right to alter the agenda without notice including the substitution or cancellation of speakers and/or topics.

Details of the Conference provided on this website and in other materials is for your general information and use only. It is subject to change without notice.


Speaking/Sponsorship Opportunities


Press Inquiries