FA Retirement 2014

2014 Sponsors



Allianz Life Insurance Company of North America, one of FORTUNE’s 100 Best Companies to Work For in 2013, has been keeping its promises since 1896. Today, it carries on that tradition, helping Americans achieve their retirement income and protection goals with a variety of annuities and life insurance products. As a leading provider of fixed index annuities, Allianz Life is part of Allianz SE, a global leader in the financial services industry with 142,000 employees worldwide. More than 78 million customers rely on Allianz knowledge, global reach, and capital strength to help them make the most of financial opportunities.


Barrett Asset Management

Founded in 1937, Barrett Asset Management is an independent investment advisory firm focused on the growth and preservation of capital for individual and institutional clients. They have ongoing relationships that date back to the 1930s, helping multiple generations meet their family’s investment objectives. Additionally, they manage endowment and foundation assets working cooperatively with their boards to adhere to their guidelines and investment objectives.

Their approach is to work closely with our clients and their tax and legal advisors to assure that the management of their investments is coordinated with their total financial plan. It is their belief that individual clients want personalized, customized solutions to meet their financial objectives. They also want experienced investment professionals working as a team to understand how their situation and risk tolerance may change and to proactively adjust portfolios accordingly. www.barrettasset.com

Billion Dollar Mentoring

Billion Dollar Mentoring is a refreshingly unique Field Marketing Organization comprised of active producing financial professionals who are motivated by your success. As your strategic partner, they help you succeed through goal-setting, action-planning and personalized mentoring. Countless producers have elevated their business success by using our proven marketing strategies, practice management techniques, advanced markets team and back office support. After you see how Billion Dollar Mentoring runs business, they hope you will choose to join them and be a part of something very special; an elite group of planners helping planners. Call 1-877-736-7492 or visit us at www.billiondollarmentoring.com

Chestnut Exploration

Chestnut Exploration Companies feature an integrated business model; our companies enjoy the decided industry advantage of first-hand knowledge, in-house assessment, and experienced oversight of energy development projects.

Our companies include Chestnut Exploration and Production, an independent oil and natural gas company, Chestnut Exploration, an energy and natural resource company that acts as the general partner for our Production Funds, Chestnut Exploration Partners, a FINRA-registered broker dealer, and Chestnut Well Service, a well workover and completion company operating in southwest Louisiana.

Cole Capital

Cole Capital is the private capital business of American Realty Capital Properties (ARCP). As an industry leading non-listed REIT sponsor, Cole Capital creates innovative net lease real estate products that serve individual investors and financial professionals.

Built on 35 years of experience and real estate acquisitions of over $14 billion, Cole Capital's net lease strategy seeks to collect rent from industry-leading corporations and provide a stream of income to investors through real estate investment trusts (REITs). www.colecapital.com

College for Financial Planning

The College for Financial Planning is the leading institution focused on meeting the education needs of financial services professionals. Founded in 1972, the College created the prestigious Certified Financial Planner™ (CFP®) certification and has trained over 135,000 professionals. Flexible instructor-led/Web-delivered classes featuring eBooks and interactive quizzes bring the classroom to your home or office. Graduates of the College are consistently ranked as the best financial advisers in the nation. Designations awarded include the AAMS®, AWMA®, CRPC®, CRPS®, CMFC®, and RP®. The College is also home to 3 Graduate degree programs. Customized training materials are available to corporate clients.

Crawford Park

Crawford Park Financial provides opportunities for individuals to participate in real estate investments, and for borrowers to obtain financing in straight -forward, honest transactions. With more than 25 years of real estate investment experience, Crawford Park manages all aspects of the property investment cycle: purchase, renovation, management and ultimate sale of the asset.

Crawford Park provides passive investors with ownership opportunities in professionally managed real estate not available to most investors. Investors enjoy monthly income and cash flow sheltered from high income taxes due to depreciation expenditures. Gains from principal pay down and property appreciation are tax deferred until the sale of the property.


Discovery Data offers the only single view of the financial services industry with access to all broker-dealer (BD) and registered investment adviser (RIA) firms, over 640,000 BD and RIA reps, 2,400 trust companies and 1.7 million insurance agents via a state-of-the-art online system, and includes comprehensive firm and professional profiles encompassing hundreds of fields of data, sophisticated search capabilities, and business intelligence to follow industry trends and mine key data. Additional services include a comprehensive data hygiene program, extensive data feeds for integration with any CRM or data warehouse, data-driven market insight and strategic guidance. www.discoveryco.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

Folio Institutional

With over $3 billion in assets under management, Fifth Street Management LLC is a leading alternative asset manager and the SEC-registered investment adviser of two publicly-traded business development companies, Fifth Street Finance Corp. (NASDAQ:FSC) and Fifth Street Senior Floating Rate Corp. (NASDAQ:FSFR). With a track record of more than 15 years and offices across the country, Fifth Street's nationally recognized platform provides custom-tailored financing solutions up to $500 million to small and mid-sized companies, primarily in connection with investments by private equity sponsors. For more information, please visit www.fifthstreetfinance.com/financial-advisor.

Folio Institutional

Folio Institutional is a division of FOLIOfn Investments, Inc., a self-clearing broker-dealer and a direct member of The Depository Trust & Clearing Corporation ("DTCC") since 2001. With access to innovative, patented online brokerage and investing solutions, advisors can maintain diversified portfolios of securities, retain hands-on control over investments, manage tax liabilities, efficiently rebalance portfolios, produce reports, promote compliance, and take many other actions for the clients' benefit. Folio Institutional provides custody and brokerage services for billions of dollars of investor assets, and services to hundreds of registered investment advisors. www.folioinstitutional.com


Generation Mortgage Company is a fully accredited, full-service home equity conversion mortgage lender and servicer, offering a complete range of FHA-insured HECM products, including their proprietary product, Generation Plus®, a jumbo loan for higher-valued homes. They have developed their patent-pending nu62sm website (www.nu62.com) and software to visually demonstrate the value of home equity utilization and to help homeowners plan strategies for optimal use of home equity to live better in retirement. www.generationmortgage.com

GL Capital Partners

GL Capital Partners is a global asset management firm with offices in the U.S. and Asia. GLCP provides investment solutions to advisors, institutions, and individual investors. The firm has launched multiple liquid alternative offerings designed to provide investors access to highly differentiated strategies and asset classes. The global perspective and risk management philosophies embraced by the portfolio management and research teams combine to produce solutions that we believe distinctly enhance the risk and return characteristics of investment portfolios.


GWG Holdings, Inc. through its subsidiaries, purchases life insurance policies sold in the secondary marketplace and currently owns $705 million in policy benefits. Check out GWG’s panel presentation to learn more about the secondary market of life insurance. GWG may also interest financial advisors with its current offering of Renewable Secured Debentures, which are publicly registered, non-traded corporate debt, currently offered at interest rates between 4.25%-9.00% with terms of 6 months to 7 years. For a prospectus or more information, visit www.gwglife.com.

Huntington Funds

Huntington Asset Advisors (HAA) is the advisor to Huntington Funds. HAA is a wholly-owned subsidiary of The Huntington National Bank, which is a subsidiary of Huntington Bancshares Incorporated, a $59 billion regional bank holding company headquartered in Columbus, Ohio. At Huntington Funds, they focus on four key investor needs: strategic income, protection against impending inflation, managing volatility and capital appreciation. Their teams of experienced investment professionals shape their investment decisions through a continual analysis of general U.S. and international economic trends, forecast of interest rates, and review of the stock and bond markets. Huntington Funds is dedicated to the following:
• Top Down Investment Process
• Macro Driven Philosophy
• Tactical Money Manager
• Option Overlay with no use of Leverage

IRA Services Trust Co

IRA Services Trust Company offers financial advisors a unique platform to truly diversify their clients' retirement portfolios by allowing a wide range of alternative investments. A fully regulated trust company, we have been providing unmatched retirement program services in the alternatives industry for over 30 years with the highest level of customer service and the most competitive fees. Holding nearly 40,000 accounts with over $4 billion in assets under custody, our clients have the security of working with a market leader. Learn how we can add value as your self-directed IRA custodian! Visit www.IRAServices.com or call 1-800-248-8447.

Jefferson National

Jefferson National is a leading innovator, singularly focused on serving RIAs and fee-based advisors with new solutions for wealth accumulation that manage challenging market dynamics, ongoing volatility and rising taxes. Named the “Gold Standard” for launching the next-generation tax-advantaged account, Jefferson National’s Monument Advisor is the first no-load flat-fee variable annuity with the industry’s largest selection of nearly 400 funds. Jefferson National has topped $2 Billion in AUM with advisors “Who Don’t Do Annuities” and helped consumers save over $60 million in insurance fees. Winner of more than 30 industry awards, including DMA 2010 “Financial Services Company of the Year. www.jeffnat.com

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

Litman Gregory

Morgan Creek Capital Management is a SEC-registered investment adviser. The Firm provides investment management services to institutions and wealthy families and has global reach with offices in: Asia, Europe, NY and Chapel Hill, NC (Headquarters). Morgan Creek maintains an extensive network of managers and opportunistic exposures across traditional equities, fixed income, hedge funds, private equity, real estate and venture capital.

Morgan Creek was founded in July 2004 by Mark W. Yusko former Chief Investment Officer of the $1.5 billion University of North Carolina Endowment, along with other experienced professionals, including Mike Hennessy (former Investment Director of Duke University's Endowment).

Please visit our website for more information: www.morgancreekfunds.com



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 offered on 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. www.rcsecurities.com


At RS Investments, we’re domain experts, not generalists. We believe that marrying fundamental research and analytical tools helps us find opportunities that may have been overlooked by others. What this means is that our portfolio managers can focus on what they do best: pursuing significant and consistent performance. And our clients can focus on what matters most: achieving their goals. www.rsinvestments.com

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 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


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].

Social Security Solutions

Social Security Solutions, Inc. is the creator of the SSAnalyzer, an innovative software that revolutionizes Social Security planning. Created based on research published in the Journal of Financial Planning, the SSAnalyzer is preferred by more financial professionals because of its easy to use workflow, robust logic and the education the company provides to current users to ensure their success. The most published and frequently quoted in the media for their expertise, the company founders are the recognized experts and thought leaders in retirement planning. For more information, they can be found at www.SSAnalyzer.com.


Urban Financial of America, LLC (UFA) is a lender specializing in reverse mortgages, and ranks among the top reverse mortgage originators in the United States. They are a trusted resource, and are committed to matching customers with the right product--empowering them with the financial independence they've earned. UFA’s retail and wholesale divisions are licensed in most states and Puerto Rico. As a proud member of the National Reverse Mortgages Lenders Association (NRMLA), UFA adheres to the industry's highest ethical standards and pledges to serve its customers with integrity. www.ufareverse.com


WisdomTree launched its first ETFs in June of 2006, and is currently the industry's fifth largest ETF provider. WisdomTree sponsors 62 distinct ETFs that span asset classes and countries around the world. Categories include: U.S. and International Equity, Currency, Fixed Income and Alternatives. WisdomTree pioneered the concept of fundamentally weighted ETFs and active ETFs and is currently an industry leader in both categories. WisdomTree is the only publicly traded asset manager exclusively focused on the ETF industry.  WisdomTree is listed on the NASDAQ Global Market under the ticker: WETF. www.wisdomtree.com


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. www.yieldshares.com


Investor’s Business Daily

Investor’s Business Daily® & Investors.com was 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 IBD’s 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. IBD not only helps investors zero-in on emerging growth investments, but provides the buy and sell rules to properly execute trades to minimize risk and maximize profit potential. The focus on fundamental criteria and technical indicators makes IBD unique. IBD’s strategy has enabled countless financial advisors to better serve their clients and make their practices more successful. www.investors.com


Retirement PlanVision, part of Infinata's suite of wealth and financial provider services, is a unique solution enabling you to identify opportunities to displace competitors and improve the fees and performance of corporate retirement plans. Featuring an intuitive cloud-based user interface, Retirement PlanVision integrates and analyzes sponsor, fee, plan, fund and performance data from 1.5 million corporate plans in the United States to create actionable intelligence for business development executives. www.infinata.com/retirement.html




American Funds

Since 1931, American Funds, part of Capital Group, has helped investors pursue long-term investment success. Our consistent approach — in combination with The Capital SystemSM — has resulted in a consistent long-term track record.

Their investment process, The Capital System, combines individual accountability with teamwork. Each fund is divided into portions that are managed independently by investment professionals with diverse backgrounds, ages and investment approaches. An extensive global research effort is the backbone of our system. www.americanfunds.com

For more than 135 years, Prudential Financial, Inc. has helped individual and institutional customers grow and protect their wealth. Today we are one of the world’s largest financial services institutions, with operations in the United States, Asia, Europe, and Latin America.  We also have one of the most recognized and trusted brand symbols: The Rock®, an icon of strength, stability, expertise, and innovation. Principal businesses include the U.S. Retirement Solutions & Investment Management Division, providing retirement investment and income products and services to public, private, and not-for-profit organizations for defined contribution, defined benefit, and non-qualified entities.

T.Rowe Price

Founded in 1937, Baltimore-based T. Rowe Price is a global investment management organization with $647.2 billion in assets under management as of September 30, 2013. The organization provides a broad array of mutual funds, subadvisory services, and separate account management for individual and institutional investors, retirement plans, and financial intermediaries. The company also offers a variety of sophisticated investment planning and guidance tools. T. Rowe Price's disciplined, risk-aware investment approach focuses on diversification, style consistency, and fundamental research. For more information, visit troweprice.com, Twitter (twitter.com/troweprice), YouTube (youtube.com/trowepricegroup), LinkedIn (linkedin.com/company/t.-rowe-price), or Facebook (fb.com/troweprice).



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