July 13-14, 2015
Sheraton Denver Downtown

WORLD’S LARGEST ALTERNATIVES
EVENT FOR FINANCIAL ADVISORS

This even brings together financial advisors, RIAs, independent and wirehouse reps, private bankers, wealth advisors, trust officers and family office executives to learn about and discuss various categories of alternative investments, including REITs, Hedge Funds, Specialty ETFs and Mutual Funds, Private Equity, Managed Futures, Options, Commodities, Derivatives and Structured Products, Life Settlements and Premium Finance.

 

Keynote Speakers

Speakers

John Cadigan

John Cadigan directs the wholesale distribution of an array of specialized investment programs. Over his 25+ year career, he has assembled effective wholesale distribution teams for traditional and alternative investment products and educated financial advisors through various speaking and media engagements.

Jason Cross, PhD

Jason Cross joined Whitebox in 2001. As the global head of equity strategies, Cross oversees the development and execution of alternative equity strategies at the firm. During his time at Whitebox, Cross has spent more than a decade developing sophisticated quantitative models and fundamental investment processes to support the firm’s equity investment efforts.

Derek Devens

Derek Devens is a member of the investment committee and co-manages the Kinetics Alternative Income and the Kinetics Multi-Disciplinary mutual fund. Previously, Derek held roles at Goldman Sachs and Fischer Francis Trees & Watts. He received a BS from Princeton University and an MBA from New York University.

Patrick Galley

Patrick Galley joined RiverNorth in 2004 and serves as Chief Investment Officer and Portfolio Manager. Galley heads the firm’s investment team and oversees all portfolio management activities at RiverNorth. Galley also serves as the president and chairman of RiverNorth Funds. Prior to joining RiverNorth, Galley was vice president at Bank of America in the Global Investment Bank’s Portfolio Management group.

William H. Miller

William H. Miller, chief investment officer of Brinker Capital, chairs the company’s investment committee and sets the investment philosophy and process for Brinker Capital. He is responsible for asset allocation, manager selection and review and alternative investments for Brinker Capital. He holds a B.A. in economics from Trinity College.

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.

Matthew Scanlan

Matthew Scanlan is chief executive officer of RS Investments and serves as president and trustee of the RS Investment Trust and RS Variable Products Trust. He joined RS Investments in 2012 and has more than 30 years of experience in the investment management industry. Scanlan previously served as president and CEO of Renaissance Institutional Management, and managed Barclays Global Investors’ institutional business.

Michael Winchell

Michael Winchell is CIO and managing member of Larkin Point Investment Advisors LLC.

Winchell served Mariner Investment Group as portfolio manager from 2008 to 2012. From 1999 through 2007, Winchell served as COO of Bear Wagner Specialists. From 1989 through 1999, Winchell was chief risk officer of Bear Stearns & Co., and a member of the Bear Stearns’ Board of Directors.

Agenda
Subject to change

July 13, 2015

7:00 am - 5:00 pm

Registration


7:30 am - 8:00 am

Breakfast with Exhibitors


8:00 am - 8:10 am

Chairperson Welcome

Speaker TBD, Realty Capital Securities LLC


8:10 am - 9:00 am

TBD


9:05 am - 9:55 am

SESSION A

Impact Investing

Impact investments are blazing hot among the wealthiest of the wealthy. Explore how these investments can be designed for high alpha and low beta approaches, as well as how they can be structured for more mainstream investors.


SESSION B

'40 Act Funds Explained

A growing number of '40 Act mutual funds are employing alternative investing strategies. Are these funds "alternative lite" or do they offer a full-bodied alternative experience? Are they worth the cost? Which strategies best lend themselves to a mutual fund approach?


10:00 am - 10:30 am

Morning Networking Break with Exhibitors


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.


SESSION B

Managed Futures beyond Trend Followers

The term "managed futures" has become synonymous with systematic trend following strategies, which gained a lot of attention in 2008. However, the managed futures category encompasses many other strategies that are uncorrelated with equity markets as well as other alternative categories.


11:30 am - 12:20 pm

SESSION A

The Many Paths to Real Assets Investing

As growth in emerging markets is producing what some view as secular, long-term global demand for real assets, the question facing advisors are examining how to gain exposure to an uncorrelated asset class. This session will explore a variety of ways to invest in real assets that include investing in securities, futures and long-short strategies.


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 risking down markets, and reducing overall volatility.


12:20 pm - 1:30 pm

Lunch Keynoter


1:35 pm - 2:05 pm

Dessert Break with Exhibitors


2:10 pm - 3:00 pm

SESSION A

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.


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.


3:05 pm - 3:55 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.


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.


4:00 pm - 4:35 pm

Afternoon Networking Break with Exhibitors


4:40 pm - 5:30 pm

SESSION A

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.


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.


5:30 pm - 7:00 pm

Cocktail Reception

Sponsored by

July 14, 2015

7:30 am - 8:00 am

Breakfast with Exhibitors

David Smith Opening Remarks and Introduction


8:00 am - 8:10 am

Chairperson Recap


8:15 am - 9:15 am

Breakfast Keynoter

Larry Kudlow


9:20 am - 10:10 am

SESSION A

Beyond Liquidity: Evaluating Traditional Hedge Funds with '40 Act Alternatives

Hedge funds structured in a mutual fund format offer investors transparency and liquidity. But there are situations when other features and attributes, including illiquidity, work to the client's advantage. This session will take an agnostic approach to examining the costs and benefits of both vehicles.


SESSION B

Business Development Companies

2012 was a year of extraordinary growth for BDCs, which can earn lucrative returns by providing loans to small to mid-sized companies. BDC's 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.


10:15 am - 11:05 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.


SESSION B

Absolute Return Funds

Absolute return funds encompass a wide variety of low-volatility styles, from risk arbitrage to global macro to currencies and equity-rotation strategies. In this panel, leading managers will discuss how they try to achieve solid returns that are not correlated to major market indexes.


11:05 am - 11:40 am

Break With Exhibitors


11:40 am - 12:30 pm

SESSION A

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? Panelists also discuss investment minimums, fees and liquidity issues associated with alternatives, as well as the solutions, including feeders, intermediaries and platforms. Come learn what makes the most sense for you and your clients.


SESSION B

MLPs, a Compelling Asset Class

Master limited partnerships provide a crucial service that's always in demand - the distribution of energy resource. 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.


12:30 pm - 2:00 pm

Lunch Keynoter

Marcus Luttrell


2:05 pm - 2:55 pm

SESSION A

An Alts Approach to Income Investing

An alts approach to income investing where a few alternative investment strategies and asset classes could be highlighted to produce meaningful income.


SESSION B

How Independent Advisors Can Access Alternative Investments

A detailed look at the problems, like investment minimums, fees and liquidity issues, associated with alternatives, and the solutions, including feeders, intermediaries, and platforms. In this session, we will discuss the pros and cons of choosing between various custodians - why more solutions mean more choices and how to find the one that works best for your clients.


2:55 pm

Conference Ends


Platinum Sponsor

Sponsors and Exhibitors

Aequitas Capital

Aequitas Capital is a diversified financial services company that creates alternative investments including private equity, private credit and specialty finance. The firm leverages its robust network of industry experts to invest in under-served sectors that drive the overall economy with an emphasis on education, healthcare and financial services. Aequitas helps its portfolio companies and strategic partners reach their goals by providing management expertise, technology infrastructure and a network of support services.

www.aequitascapital.com

ALPS

ALPS Portfolio Solutions is an asset manager based in Denver, CO with $16 billion in assets under management. They offer innovative portfolio solutions that help financial advisors and institutional investors build better portfolios. They specialize in satellite and alternative asset classes focusing on private equity, MLPs, commodities, alternative income, global real estate, sectors and emerging markets. Their exposure to these asset classes are achieved primarily through ETFs and open-end funds so that they can provide access that is registered, liquid and fully transparent.

They strive to deliver portfolio solutions that allow investors to diversify their core holdings, obtain exposure to attractive investment themes and ultimately build better portfolios.

For additional information about ALPS products, please visit – www.alpsfunds.com

American Beacon

Are a series of low-cost, style-pure mutual funds. The Funds employ a “manager of managers” strategy and partners with who we consider to be the “best of the best” sub-advisors offering a variety of international and domestic equity and fixed-income solutions. As of September 30, 2014 American Beacon Advisors managed over $55 billion in assets. www.americanbeaconfunds.com

Balter Liquid Alternatives

Balter Liquid Alternatives (BLA) is a subsidiary of Balter Capital Management, a boutique firm focused on hedge fund research and investing. BLA was formed to create and manage daily liquidity alternative mutual funds. Balter Capital Management oversees approximately $1.2 Billion in hedge fund and alternative mutual fund assets. BLA constructs liquid investment products utilizing existing hedge fund managers.

Brinker Capital, Inc.

Since 1987, Brinker Capital has innovated based on creative ideas generated from actively listening to the needs of financial advisors and investors. Their highly strategic, disciplined investment process is the key to making their ideas successful and helping to achieve better outcomes for advisors and their clients.

CAIA Association

The Chartered Alternative Investment Analyst (CAIA) Association is the world leader in alternative investment education. CAIA programs include the CAIA Charter® and the Fundamentals of Alternative Investments Certificate Program®. For more information, please visit CAIA.org.

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.

www.cffpinfo.com/enc.html

Crystal Capital Partners

With over 20 years of hedge fund experience, Crystal Capital Partners helps advisors seamlessly integrate hedge fund portfolios into their business. Our comprehensive services allows you to attract more assets by providing clients customized hedge fund portfolios tailored to meet their unique investment objectives.

With only $250,000; no per-fund minimums, your clients can access over 70 institutional-quality hedge funds and build portfolios with the same exposures as the world’s largest institutions. Other services include analytical tools, hedge fund due diligence, consolidated reporting, independent service providers, advisor support and more. All services can be private labeled, and are at no cost to you. www.crystalfunds.com

Dividend Capital

Divdend Capital is an innovative real estate investment management firm with expertise in all aspects of the public and private real estate sectors – as investors, operators and financiers. Dividend Capital offers a wide variety of real estate options for individual and institutional investors. www.dividendcapital.com

ETF.com

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.
www.etf.com

Franklin Square

Franklin Square is a leading manager of alternative income funds designed to enhance investors’ portfolios. The firm’s funds offer “endowment-style” investment strategies that help construct diversified portfolios and manage risk. The firm manages five funds, each sub-advisoed by GSO/Blackstone. Learn more at franklinsquare.com.

 

Horizon Kinetics

Founded in 1994, Horizon Kinetics LLC is an employee owned and operated investment boutique based in New York. They adhere to long-term independent, fundamental research which often takes contrarian views to capitalize on the short-term focus of the marketplace. They manage $9.2B in assets including $0.5B in liquid alternative strategies.

Iron Financial

IRON Financial, LLC is an independent asset management firm with deep expertise in delivering liquid alternatives with absolute returns to investors, combined with boutique-level service.

Founded in 1994, IRON Financial has successfully managed a series of liquid alternative and enhanced return strategies for financial intermediaries.

For more information about IRON Financial, visit www.ironfinancial.com.

Jackson

Jackson National Life Insurance Company® (Jackson®) is one of America’s leading providers of variable, fixed and fixed index annuities. Jackson started offering alternatives in 2005 — before the market meltdown and before alternative investing became news. Since then, we’ve become a leading distributor of alternative investments in the annuity market. For more information, visit www.myeliteaccess.com and www.jackson.com .

Larkin Point

Larkin Point Investment Advisors LLC is an asset management firm and investment adviser registered with the Securities and Exchange Commission. The Larkin Point Solution seeks to capture growth in bull markets, protect and preserve gains in down markets, and generate income in all markets in an attempt to cover the cost of protection and add to total return.

Larkin Point provides solutions for wealth managers and financial advisors. Larkin Point was founded by Michael Winchell, and is based in Rumson, NJ.  www.larkinpoint.com

LJM Partners

For over sixteen years, LJM Partners has managed and specialized in volatility strategies. Our liquid strategies provide alternative solutions to traditional investment portfolios. LJM strategies aim to diversify traditional equity portfolios, deliver low correlation to equity markets, and to target lower standard deviation returns to increase overall portfolio returns.

Milennium Trust Company

Millennium Trust Company is a leading financial services company offering niche alternative custody solutions. We serve as a complement to services offered by other custodians. Our innovative solutions include rollover solutions, alternative asset custody, private fund custody and advisor support services. www.mtrustcompany.com

Northern Lights Distributors

Northern Lights Distributors, LLC helps you navigate the distribution universe. They serve as an advocate for our clients’ products by collaborating with financial intermediatries and partners. This collaboration includes connecting advisers and intermediaries to the compelling, independent mutual funds in the Northern Lights Fund Trusts and Two Roads Shared Trust.

RiverNorth

RiverNorth is a Chicago-based investment management firm founded in 2000 that specializes in opportunistic investment strategies. RiverNorth focuses on strategies in niche markets where the potential to exploit inefficiencies is greatest. RiverNorth is the investment adviser to RiverNorth Funds and General Partner of multiple limited partnerships.

RiXtrema

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.

RS Investments

At RS Investments, we move our clients forward. Together, we pursue consistent returns that draw on the right mix of critical thinking, deep research, and quantitative analysis. We are domain experts, not generalists, and that knowledge helps us deliver better outcomes for our clients. We believe success is defined by more than investment returns. There is a destination beyond performance where credibility, trust, and relationships matter. Our goal is to provide the long-term returns our clients expect to help them see further, plan smarter, and move forward.

Founded in 1986, today RS Investments serves a global client base, including institutions, financial advisors, and individuals. RS is headquartered in San Francisco, California, with offices across the globe including Des Moines, Iowa; Villanova, Pennsylvania; London; and Hong Kong

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 server the needs of retirees and other conservative investors. Sierra uses a globally-diversified tactical style, with prove 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.

Whitebox Mutual Funds

Whitebox Advisors is a registered investment advisor to private investment funds as well as mutual funds. Seek asymmetric upside potential and limited risk, Whitebox maintains a long-term focus on capital appreciation over time. The firm is guided by 10 investment principles, the first of which is “The source of investment return is the efficient reduction of risk.

WHV Investments

WHV Investments is a multi-boutique asset manager with offices in San Francisco, Seattle, and Denver. They engage exceptional investment teams worldwide to create compelling investment strategies for their clients, focusing on a variety of equity and alternative credit asset classes.




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.

www.investors.com

FAQ

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 June 21, 2015. Cancellations received by June 21, 2015 will be subject to a $50 administrative fee. No cancellation refunds/requests will be accepted after June 21, 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 Monday, July 13?
Attendee registration opens at 7:00 a.m. on Monday. Sponsor registration will be open on Sunday, July 12th from 2:00-5:00pm.

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

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Registration

After June 15, Advisor registration will be $149 and Non-Advisor Registration will be $1195.

 

For inquiries on registration please contact:
Linda Dunn,

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

 

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.

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Speaking/Sponsorship Opportunities

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Press Inquiries

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