riaactivate.com
Open in
urlscan Pro
141.193.213.21
Public Scan
URL:
https://riaactivate.com/
Submission: On July 25 via automatic, source certstream-suspicious — Scanned from DE
Submission: On July 25 via automatic, source certstream-suspicious — Scanned from DE
Form analysis 1 forms found in the DOM
POST
<form method="post">
<div class="input-group mb-3 flex-column">
<label class="mb-2" for="enquirySub">Enquiry</label>
<select class="form-select w-100" name="enquirySub" required="">
<option selected="" disabled="">Choose...</option>
<option value="enquiry_option_1"> General Enquiries </option>
<option value="enquiry_option_2"> Speaking Opportunities </option>
</select>
</div>
<div class="input-group mb-3 flex-column">
<label for="fullNameInput" class="form-label mb-2">Name</label>
<input type="text" class="form-control w-100" name="fullNameInput" required="">
</div>
<div class="input-group mb-3 flex-column">
<label for="exampleInputEmail1" class="form-label mb-2">Email</label>
<input type="email" class="form-control w-100" name="exampleInputEmail1" aria-describedby="emailHelp" required="">
<div id="emailHelp" class="form-text">We'll never share your email with anyone else. </div>
</div>
<div class="input-group mb-3 flex-column">
<label for="phoneNumber" class="form-label mb-2">Phone</label>
<input type="tel" class="form-control w-100" name="phoneNumber">
</div>
<div class="input-group mb-3 flex-column">
<label for="messageInq">Message</label>
<textarea name="messageInq" id="messageInq" style="min-height:200px; padding:1rem;"></textarea>
</div>
<div class="recaptcha-wrapper">
<div class="g-recaptcha d-none" data-sitekey="6LcFgEghAAAAAJYJgL7pgMgRGovoCDyWV9NOdpFz">
</div>
</div>
<div class="captcha-info">
<p>This site is protected by reCAPTCHA and the <span><a href="https://policies.google.com/privacy" target="_blank">Google Privacy
Policy</a></span> and <span><a href="https://policies.google.com/terms" target="_blank">Terms of Service</a></span> apply.</p>
</div>
<div class="input-group">
<button type="submit" class="btn btn-primary cta-primary ms-auto" name="get_in_touch_form_submit">Send Message</button>
</div>
<input type="hidden" id="g-recaptcha-response" name="g-recaptcha-response"
value="03AFcWeA4l0R4jnZuzwFKoNyCRka9jqf1NIi8GmE07yTU6qgbgFBNcagLhDJUGy41E3kXvAfx0jiFe49I0kj93v3sikkKeejw9Xrkr0AA8Ec2T6Tzz6fnVe9vYv8PYX2njHX7HIxLNdniAK-hD0e1IZuAG7NP3rur30X5h9F2tjRrsV83b2klYuLo82PJmRPjnxLNXUxEJ9fgehBAtrU7UqeNdxhOGwUjqtvUIzyM1hfuF-mbSaO0PO-RzM-fma1ph2k_97Q32X1Yo-zV9U0mAouSWvj5zHXeasuW3GBsPhra6G1IqQ47tlfZl76eWtOWpwxPB0RcSvO8tO8n8KAw959lmbGyJ7cVSkjeHR7IGsJWFybPsA_zUUV6XIKYp8oQQ3dMNye9jdum1GAR4LzEbt0RQRZnNaQQjy8g8WiXYsh4MgC3vOvuH7XW8s2Ec-GtvEYj2tkeXO3-10-DA_GsL1ppYCmbutHaEohEiVXiJFDs1Z_711CNozSaNx7d902y62Z3IuCOYItH_9mB2YETYcNCmRQeH8zF4qLV_I20C-VQSptb0qAWN8yJH6O0OSPu0X2cMjJlhXqYNFEa9QH0xpwA297ORBx6oKy3GFFgl_K5LJ23apfOfHHdI1kL2s1u6Aev2qaBCNsAG7NgzOVspB7z0VH6oQ7tBFhsiQDjGDfTtKQQ9e2ZMm75jTmG46spa7kblXdZhUKTVqUa0gXT-WXJ9eh-htcm1f-acScECylO-TG8BUOd0NvwSUnEg-gzXy4HayjQt5U9-g5thaBSq_-spU_nVx94XO0DE--erccV6v-vsVUbd5S_ztSNs3wt6DxBmfQwd4FMtL0guAJVdK7ccXR-QYWTKXJxgCiUgjxtzd5KIUoKsTmyiedtU-vMhaZRftM8ZOtjLqnswmWn2XvvIUDU_65RjC1LNXcq5lx086PxckGSEnFTEw6Je9xyMXQehU7N8Ih7VQb5ttP11leCHPPkXcHmaa51dpUqDT_lujUBUYa_d4daTlNVS4hXcQbpeOF5i2hL9Dc3omQOEor8XOplKDPnF6Ca0WEUmYyjxPYAgMjAAEpGjx_A0xmYzxx89m6MZ8_0a2s_wTIF45B_5mOfn5yPSXRLB3MStkZ995In-CrgBrJg-RRaFrtCxA8c_tP438Ucr5PlWNe3RNI-0MrPeNPm7IUXt539G1kP_p0nMBvvcpG_CffFBCbJS63VZ17iqJftCOMDpqEbKsh7nUw3ZX0ju_OiBK1-0KmsFF39yStUD6P_6cNWJ64L4_p2OintTJjj3vkOgw1EtLgZUabqKs8PB_xgoEURDo1PjX7THHZcsT87eZr21lcz1meWVxQs9nocc_PrcptL6fP_Ri1ZMYtDwsCymWB4usae-oH8loWhiIjjZjoWnvXrePPy6GIBEypnpY6THDZDZ3ym0VaANM19cpOkLqoewcrEwTIUk7mE3zn7pTnKfp5d4u5SvrwUhTyy2nM_lWrUDt5Mr8jv8hoPoA4hw9lOWUuVvvVIc-zm9LKWIO17OGoihAvXwkyNkosIDJnKgWQdLldQwzU9dZ1Ja1NYcl7OdoELVZGtNgfpBnGvIAe3rWHlYvPZmosDkByBid-ya7AiYBJF0_sXp_uQEhCf4kNgbSrvqSMBtEPzHvA6rGNzOw0hOzNOHHPqx-XqPpAvN8MuIkjc0u6pznD03vpXjTFWOdU0LxUI2VPIj3xED5qRdnNzXly7_-DWxZywALnZec-UCyKz-xHxpCslHFn48IXt5UNKpcnMeBXDPorfRQoq3DBGx_Xfzmd7JCOaIF8MHpdACww3D49O5hMbx5hDJTuHljrsjq80_X9tlgn_Mrb_ry36yiOxcTRx1QnEWTk9L05b-VOrjOBRIxGLia6Rmgr-IFohw9ZhI6ufvY8o">
<input type="hidden" name="action" value="validate_captcha">
<script src="https://www.google.com/recaptcha/api.js?render=6LeJYkspAAAAACH57U8XEnMZ6JdCY4Ixb3HWvs8B">
</script>
<script>
grecaptcha.ready(function() {
grecaptcha.execute('6LeJYkspAAAAACH57U8XEnMZ6JdCY4Ixb3HWvs8B', {
action: 'submit'
}).then(function(token) {
document.getElementById('g-recaptcha-response').value = token;
});
});
</script>
</form>Text Content
Skip to content
* 2024 Event Details
* 2024 Agenda
* 2024 Speakers
* 2024 Sponsors
Get In Touch
Become a sponsor Register Interest
* 2024 Event Details
* 2024 Agenda
* 2024 Speakers
* 2024 Sponsors
Get In Touch
* Become A Sponsor
* Register Interest
* Facebook
* LinkedIn
* Twitter/ X
*
April 16, 2024 | Conrad New York Downtown
STRATEGIES FOR GROWTH, INNOVATION AND BEST PRACTICE MANAGEMENT
FUTUREPROOFING YOUR RIA, PRACTICAL GUIDANCE FOR ACCELERATING GROWTH
#RIAActivate
Advisors attend for just $99
Register Interest Become a Sponsor
30+ SPEAKERS
300+ ATTENDEES
8 Hours CONTENT
3 Hours NETWORKING WORKSHOPS
SPEAKERS 30+
ATTENDEES 300+
CONTENT 8 Hours
NETWORKING WORKSHOPS 3 Hours
ANNOUNCEMENTS
ANNOUNCING 2024 KEYNOTE SPEAKER
From arriving in the US with just $200 to selling his business for $750m to
Goldman Sachs, Joe Duran built his business United Capital to manage over $25
billion in assets. Join Joe as he shares how to take your practice to the next
level.
View Speakers
View Speakers
2024 LEADING EXPERTS
Discover inspiration from a selection of industry pioneers. Explore their
journeys, gain valuable insights, and ignite your own path to success.
see all speakers
JOE DURAN
CEO
JAMES SETH THOMPSON
Senior Vice President and Head of Diverse Markets Strategy
LIZ NESVOLD
Chair, Emigrant Partners & Vice Chair
KAY LYNN MAYHUE
President
2024 EVENT DETAILS
* ABOUT THIS EVENT
* WHY ATTEND
* WHAT YOU WILL LEARN
* CONTINUING EDUCATION
* THE VENUE
* TRAVEL PLANS
STRATEGIES FOR GROWTH, INNOVATION, AND BEST PRACTICE MANAGEMENT
The InvestmentNews RIA Summit will return as RIA Activate in New York on April
16th, 2024. Set against a backdrop of an ever-changing business landscape, the
event is the key networking and troubleshooting platform for RIA business
owners, practice managers, operations leaders, and other senior advisors to come
together. Learn how to develop best practice management, and engage with
strategies that will help futureproof your firms, optimize client services,
bolster bottom lines and accelerate business growth.
1. Explore strategies for identifying and attracting the best and brightest
NextGen talent for your firms.
2. Uncover the key factors around practice acquisition, how to value your
business, and what approaches to take when looking to explore potential
acquisition and expansion.
3. Engage with the opportunities that innovations and technologies such as AI
can offer your practice.
4. Hear from fast-growing RIAs about how to enhance efficiencies, transform
your operations, and scale up your business.
5. Identify the emerging products, services, and revenue streams that can
elevate your practice, strengthen client engagement, and ensure long-term
growth.
HIRING AND RETAINING TALENT
Learn strategies and practical takeaways to help you better attract and
incentivise new talent into your firm, while safeguarding the long-term future
of your practice
MERGERS AND ACQUISITIONS
Hear updates on the opportunities for acquisition and learn how your firms can
increase their profitability and value
OPERATIONAL EFFICIENCY
Discover inspiring use cases from your peers and other industry experts
regarding the resources and tools that can help you maximise your operational
transformations, scale your firm, and enable a greater work-life balance.
FIDUCIARY CARE
Deep-dive into the implications fiduciary care has on your business model, and
how in turn this affects your practice and how you serve your clients.
AI AND OTHER DISRUPTIVE TECHNOLOGIES
Explore the tangible benefits and opportunities that AI is affording the RIA
space, and understand how you can successfully implement it in your practice.
Previous Next
Denoted sessions have been accepted by the CFP Board for CE Credits, and the
Investments & Wealth Institute. See the agenda for further details.
CFP Board
Denoted sessions have been accepted by the CFP Board for CE Credit, and can be
reported for CFP® certification and renewall.
Investments & Wealth Institute
Denoted sessions have been accepted by the Investments & Wealth Institute for CE
Credit, and can be reported for CIMA®, CWPA®, RMA® & CIMC certification and
renewal.
CONRAD NEW YORK DOWNTOWN
Conrad New York Downtown is in the heart of Lower Manhattan, in walking distance
of several public transportation options. You’ll find subways at Fulton Street
and The Oculus, and the ferry is directly across the street from the hotel.
* 102 North End Ave, New York, NY 10282, United States
* +1-212-945-0100
* Visit Website
HOTEL
CONRAD NEW YORK DOWNTOWN
Room rate: $449 – Deluxe King Suite
Check in: April 15, 2024
Check out: April 17, 2024
To reserve a room please email us with “RIACNY Room Booking” as the email
subject.
* 102 North End Ave, New York, NY 10282, United States
* +1-888-370-1936
* Visit Website
PARKING
HOTEL PARKING
The hotel offers valet parking for $80 per night; oversized vehicles are $95 per
night. The parking facilities are secured and covered. There are no in/out
privileges. Electric vehicle charging is available at a nearby parking garage.
* 102 North End Ave, New York, NY 10282, United States
* +1-212-945-0100
* Visit Website
Previous Next
2024 AGENDA
Gain practical ideas, the latest strategic developments, new tools and valuable
connections with your peer
Apr 16, 2024
Tuesday
TIME (EST)
TOPIC
SPOTLIGHT
* 8:00 am
REGISTRATION AND BREAKFAST
* 8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
* Chuck Failla
Founder + CEO
Sovereign Financial Group
* 8:55 am
OPENING KEYNOTE: TAKING YOUR PRACTICE TO THE NEXT LEVEL
* Joe Duran
CEO
Rise Growth Partners
* 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
* James Burton – Moderator
Global Managing Editor
InvestmentNews
* Kate Kammes
Principal and Chief Talent Officer
JMG Financial Group
* Ali Criss-Kemp
CEO & Owner
Financial Insights
* Lauren Oschman
Partner & Chief Executive Officer
Vestia
* Shannon Spotswood
President
RFG Advisory
* 10:10 am
NETWORKING COFFEE BREAK
* 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
* Suzanne Siracuse – Moderator
CEO & Founder
Suzanne Siracuse Consulting Services
* Matt Matrisian
Head of Client Growth
AssetMark
* Kay Lynn Mayhue
President
Merit
* Liz Nesvold
Chair, Emigrant Partners & Vice Chair
Emigrant Bank
* Bryan Staff
Managing Partner
Merchant
* 11:15 am
FIRESIDE CHAT: HOW AI & AUTOMATION CAN WORK FOR YOU, NOT AGAINST YOU
* Hiren B. Patel – Moderator
Executive Director and Head of Advisor Solutions
55ip
* Andrew Altfest
President
Altfest Personal Wealth Management
* Gabe Rissman
Co-Founder and President
YourStake
* 11:45 am
RIA SPEED NETWORKING
* 12:00 pm
NETWORKING LUNCH
* 1:00 pm
Panel Discussion
1 CE Credit
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
* Chuck Failla – Moderator
Founder + CEO
Sovereign Financial Group
* Blaine Aikin
Founder
Fiduciary Insights LLC.
* James Lee
President
Lee Investment Management
* Liz Miller
Founder and President
Summit Place Financial Advisors, LLC
* Knut A. Rostad
Co-Founder and President
Institute for the Fiduciary Standard
* 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
* Steve Miksta – Moderator
Founder & CEO / CTO
Oppty Unlimited
* Jason Miller
Partner & Chief Operating Officer
Crewe Advisors
* Nina O’Neal
Partner and Investment Advisor
AIM Advisors
* Eric Stephenson
Chief Operating Officer
Align Impact
* 2:30 pm
NETWORKING COFFEE BREAK
* 3:00 pm
Panel Discussion
1 CE Credit*
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
* Nina O’Neal – Moderator
Partner and Investment Advisor
AIM Advisors
* Sharon Hayut
Senior Managing Director
Magnus
* Thomas H. Ruggie
Founder & CEO
Destiny Family Office, Destiny Wealth Partners, Destiny Alternative
Investment Fund, and Ruggie Wealth Management
* Debra Brennan Tagg
President
BFS Advisory Group
* Matt Ohme
VP, RIA Distribution
Jackson National Life Distributors LLC
* 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
* Chuck Failla – Moderator
Founder + CEO
Sovereign Financial Group
* Ka’Neda N. Bullock
President and Founder
Master Plan Investment Group
* Christian C. Nwasike
Principal & Managing Partner
Practice Management Consultants LLC
* James Seth Thompson
Senior Vice President and Head of Diverse Markets Strategy
Bernstein Private Wealth Management
* 4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
* Chuck Failla
Founder + CEO
Sovereign Financial Group
* 4:30 pm
INTERACTIVE THINK TANKS
* 5:10 pm
NETWORKING DRINKS RECEPTION
8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
Speaker
CHUCK FAILLA
Founder + CEO at Sovereign Financial Group
Back to Agenda
8:55 am
OPENING KEYNOTE: TAKING YOUR PRACTICE TO THE NEXT LEVEL
Scaling any business, irrespective of its size or sector, is challenging.
Getting the fundamentals right might seem straightforward in theory, but what
about in practice? What other key factors need to be considered? Join
our keynote speaker, Joe Duran, as he outlines his own inspirational journey of
business growth and shares his unique insights into the essential strategies and
actions needed for taking your firm to the next level.
Speaker
JOE DURAN
CEO at Rise Growth Partners
Back to Agenda
9:35 am |
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
Finding and retaining talented and valued advisors is one of the bedrock
foundations for ensuring the growth of any RIA. However, with many firms facing
unprecedented challenges in the current hiring landscape, there’s never been a
greater time for RIA owners to deploy new strategies and reconfigure their
employment policies to find and nurture the next generation of advisors.
* Explore strategies for identifying and attracting the best and brightest
NextGen talent for your firms
* How to structure compensation plans and implement employee ownership &
buy-in
* Discover the benefits of synthetic or non-synthetic equity plans and how to
create concrete career paths to maintain and incentivise your staff
* How is remote and flexible working being evaluated and is it changing the way
you recruit and retain talent?
Moderator
JAMES BURTON
Global Managing Editor at InvestmentNews
Panelists
KATE KAMMES
Principal and Chief Talent Officer at JMG Financial Group
ALI CRISS-KEMP
CEO & Owner at Financial Insights
LAUREN OSCHMAN
Partner & Chief Executive Officer at Vestia
SHANNON SPOTSWOOD
President at RFG Advisory
Back to Agenda
10:35 am |
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
Activity within the M&A space for RIA firms is continuing, but what exactly does
this mean for independent and medium-sized firms? What opportunities is the
market presenting and what must your firm be doing to increase its profitability
and value?
* When is the optimal time to grow your practice?
* Understand the factors around practice acquisition and how to value a
business
* How to find the right firms to acquire – what expertise can they bring, other
than their books of business?
* What strategies can you implement when looking to explore potential
acquisition and expansion?
* Assessing the importance of succession planning within the scope of M&A, and
understanding the impact that long-term planning has on your firm’s value in
the marketplace
Moderator
SUZANNE SIRACUSE
CEO & Founder at Suzanne Siracuse Consulting Services
Panelists
MATT MATRISIAN
Head of Client Growth at AssetMark
KAY LYNN MAYHUE
President at Merit
LIZ NESVOLD
Chair, Emigrant Partners & Vice Chair at Emigrant Bank
BRYAN STAFF
Managing Partner at Merchant
Back to Agenda
11:15 am
FIRESIDE CHAT: HOW AI & AUTOMATION CAN WORK FOR YOU, NOT AGAINST YOU
Artificial Intelligence: Is it a trendy buzzword or a true game-changer? While
some envision it reshaping the RIA landscape, perhaps even posing a threat,
others dismiss it as hype.
This session will provide clarity on the impact – and opportunities – AI &
automation presents for your business growth.
* Discover use cases of successful AI implementations so far
* Explore how automation and data-driven analysis can identify trends, risks,
and opportunities in your client portfolios
* Understand AI & automation within the regulatory and compliance landscape
* What are the tangible benefits for advisors and clients? What are the
potential risks?
* Get up to speed on the ethical implications and safeguards that should be in
place
Moderator
HIREN B. PATEL
Executive Director and Head of Advisor Solutions at 55ip
Panelists
ANDREW ALTFEST
President at Altfest Personal Wealth Management
GABE RISSMAN
Co-Founder and President at YourStake
Back to Agenda
11:45 am
RIA SPEED NETWORKING
Expand your network, make new connections, and meet fellow wealth management
professionals in a structured networking session. An energizing opportunity to
reflect on the day’s themes in two short rounds of speed networking.
Back to Agenda
1:00 pm |
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
Gain points on this topic
1 CE Credit
Approved for Continuing Education Credit by the CFP Board and Investments &
Wealth Institute only. Can be reported for CIMA®, CPWA®, RMA® and CIMC
certification & renewal.
As an RIA, your fiduciary duty is essential when acting in the best interests of
your clients. However, complying with your fiduciary obligations can be
challenging in a complex and dynamic regulatory environment. Even experienced
advisors can struggle with understanding and applying the rules.
In what promises to be a lively discussion with varying points of view, our
panel of experts will set out their positions for being a more effective and
ethical RIA.
* Explore the implications fiduciary care has on your advisor business model
* Discover how the increased focus on fiduciary care is impacting the growth of
the RIA space
* Understand to what degree the interpretation of fiduciary care can affect
your practice and how you serve your clients
Moderator
CHUCK FAILLA
Founder + CEO at Sovereign Financial Group
Panelists
BLAINE AIKIN
Founder at Fiduciary Insights LLC.
JAMES LEE
President at Lee Investment Management
LIZ MILLER
Founder and President at Summit Place Financial Advisors, LLC
KNUT A. ROSTAD
Co-Founder and President at Institute for the Fiduciary Standard
Back to Agenda
1:55 pm |
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
RIA firms, like all other businesses, need to operate efficiently. Failure to do
so can seriously impact your growth, sustaining a healthy bottom line, as well
as that all important work-life balance.
In this session, you will hear from inspirational RIAs and industry experts who
will guide you through the most effective strategies and labor-saving tools that
will improve your efficiency, so you can focus on the important stuff – like
serving your clients, growing your business, and taking some time for yourself!
* What are the key drivers & objectives that are essential for your firm’s
operational transformation?
* Explore the resources and tools that will help you to significantly increase
your operational efficiency, grow your client base, and enable a greater
level of work-life balance
* Discover how to manage your tech-stack and master multiple platforms to keep
costs down across your business
* Understand the importance of different perspectives across the business when
bringing your employees along with you on any digital transformation
Moderator
STEVE MIKSTA
Founder & CEO / CTO at Oppty Unlimited
Panelists
JASON MILLER
Partner & Chief Operating Officer at Crewe Advisors
NINA O’NEAL
Partner and Investment Advisor at AIM Advisors
ERIC STEPHENSON
Chief Operating Officer at Align Impact
Back to Agenda
3:00 pm |
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
Gain points on this topic
1 CE Credit*
*Approved for Continuing Education Credit by the CFP Board and Investments &
Wealth Institute only. Can be reported for CIMA®, CPWA®, RMA® and CIMC
certification & renewal.
What services can RIAs not afford to be missing within their client offering? As
more and more products such as annuities and tax planning see increased
interest, advisors need to be in tune with new opportunities and the products
and services that can truly scale your business and build long-term client
relationships.
* Understand the ‘Fee-Based Everything’ model and how this can transform your
firm
* Can RIAs do it all? Comparing ‘Fee-based’ services such as cash management,
alternative investments, and more
* How to build a tactical marketing strategy for your ‘fee-based everything’
model which will ensure long-term growth
* Tax Planning: Partnering with a CPA – how to go about this and exploring the
benefits of this partnership
* What are the advantages of adding annuities into your portfolio management
and what impact will this have on your firm’s revenue and client
experience?
Moderator
NINA O’NEAL
Partner and Investment Advisor at AIM Advisors
Panelists
SHARON HAYUT
Senior Managing Director at Magnus
THOMAS H. RUGGIE
Founder & CEO at Destiny Family Office, Destiny Wealth Partners, Destiny
Alternative Investment Fund, and Ruggie Wealth Management
DEBRA BRENNAN TAGG
President at BFS Advisory Group
MATT OHME
VP, RIA Distribution at Jackson National Life Distributors LLC
Back to Agenda
3:55 pm |
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
Diversity, Equity & Inclusion goes beyond a policy for RIAs; it’s a driver for
creative thinking, better performance, and positively shaping the culture of
firms. This session will enable you to:
* Understand the true value that DE&I can bring to your firm
* Enhance your business with the innovation and creativity that is inherent
with a diverse workforce
* Gain valuable insights into the DE&I strategies that RIA owners should
be implementing in their practices
* Explore the opportunities that you can provide underrepresented communities
to thrive in wealth management
Moderator
CHUCK FAILLA
Founder + CEO at Sovereign Financial Group
Panelists
KA’NEDA N. BULLOCK
President and Founder at Master Plan Investment Group
CHRISTIAN C. NWASIKE
Principal & Managing Partner at Practice Management Consultants LLC
JAMES SETH THOMPSON
Senior Vice President and Head of Diverse Markets Strategy at Bernstein Private
Wealth Management
Back to Agenda
4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
Speaker
CHUCK FAILLA
Founder + CEO at Sovereign Financial Group
Back to Agenda
4:30 pm
INTERACTIVE THINK TANKS
The chance to dive even deeper into the key topics and issues discussed in the
conference. Each ‘think tank’ table will be opened and chaired by an expert who
will open with a short introduction, before guiding the discussion. Choose a
topic that interests you the most and enjoy a ‘no-holds-barred’ session of
brainstorming ideas, sharing experiences, and making connections.
* Topic 1: M&As + Succession Planning
* Topic 2: Recruiting & Retaining Talent
* Topic 3: Scalability & Growth
* Topic 4: AI
* Topic 5: DE&I
* Topic 6: Fee-Based Everything
* Topic 7: Alternative Investments
* Topic 8: Tax Planning/Partnering with a CPA
Back to Agenda
CHUCK FAILLA
FOUNDER + CEO, SOVEREIGN FINANCIAL GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
Apr 16 | 4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
ABOUT CHUCK FAILLA
Chuck has been a financial advisor for more than 25 years. He started in the
early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he
built his book, he always planned to go independent and did so in 1999 by
opening an independent branch of Raymond James Financial. At that time, Chuck
earned his CFP® designation and transitioned from individual stock picking to
financial planning and asset allocating using mutual funds and SMAs. Chuck’s
practice evolved into what is today Sovereign Financial Group, Inc., an SEC
registered RIA. With offices and advisors in the Northeast, Florida, and
Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is
also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign
Financial Group, Inc. SAS helps advisors transition to RIA by offering a
comprehensive plug and play solution for going independent. Chuck’s ties to the
financial planning community run deep. He currently serves on the Board of
Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach
Committee.
Chuck received his degree in Finance from The University of Connecticut and
completed his coursework for the CFP® certification with The American College.
He resides in Connecticut with his wife, two children, black lab and cats. In
his spare time, he enjoys all things travel & outdoors — on the weekends you
will find him with his family hiking, camping, skiing, boating or just enjoying
some grilling in the backyard.
Back to Speakers
JOE DURAN
CEO, RISE GROWTH PARTNERS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 8:55 am
OPENING KEYNOTE: TAKING YOUR PRACTICE TO THE NEXT LEVEL
ABOUT JOE DURAN
Joe Duran is a serial entrepreneur and an industry visionary in wealth
management and wealthtech.
Most recently, Joe and his team launched Rise Growth Partners (‘Rise’), the
industry’s first synergistic financial partner. With genuine experience and
knowledge building national enterprise RIAs, Rise’s team will partner alongside
middle-market RIAs, providing the tools and minority stake capital essential for
their growth.
Previously, Joe was a Partner at Goldman Sachs as Co-Head of the Workplace and
Personal Wealth business. Joe founded and was CEO of United Capital, one of the
nation’s largest independent wealth management firms, which was acquired by
Goldman Sachs in July, 2019. Prior to that he built and sold Centurion Capital,
one of the first Turnkey Asset Management Platforms to General Electric where he
served as President of GE Private Asset Management (now NYSE listed AssetMark.)
He is the author of three acclaimed books focusing on investing and
entrepreneurship, earning him a coveted spot on both the New York Times and USA
Today’s bestseller lists. Widely recognized for his expertise, Joe is a highly
sought-after conference speaker and makes frequent appearances across a diverse
range of media platforms, from CNBC to Goop.
Joe holds an MBA from both Columbia University and UC Berkeley and an
undergraduate degree from Saint Louis University. As a CFA Charterholder and an
active member of YPO, Joe is dedicated to using his vast experience to have a
positive impact on the wealth management industry.
Together, Joe and his wife Jennifer reside between Southern California and New
York City. They have three daughters they cherish and you can frequently find
them traveling, dining, dancing and enjoying live music.
Back to Speakers
KATE KAMMES
PRINCIPAL AND CHIEF TALENT OFFICER, JMG FINANCIAL GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
ABOUT KATE KAMMES
Kate Kammes is a Principal and Chief Talent Officer at JMG Financial Group. She
has more than 20 years of experience managing and leading development
initiatives in both large and small organizations.
Before joining JMG Financial Group, Kate spent a good part of her career in
Human Resources developing and deploying leadership development initiatives and
working one-on-one with managers to help them develop their leadership skills to
effectively lead and build strong teams. At JMG, Kate takes the time to talk
with the employees to understand their needs and desires so that leadership can
build and clearly define career paths that are structured and motivating.
Kate regularly partners with other leaders at the firm to present to and meet
with students in financial planning programs at several universities in the
Midwest as a way to acquire talent for the future. Kate holds a Bachelor’s
Degree in Social Work, a Master’s Degree in Training and Development, with a
focus in Organizational Development, and also has the Financial Paraplanner
Qualified Professional (FPQP ®) designation.
Back to Speakers
ALI CRISS-KEMP
CEO & OWNER, FINANCIAL INSIGHTS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
ABOUT ALI CRISS-KEMP
Ali Criss-Kemp is the CEO & Owner of regional RIA, Financial Insights Wealth
Management. Financial Insights was founded in 1981 and for over 40 years has
been woman owned and operated. Under Ali’s leadership, the firm has been
recognized as one of the fastest growing RIAs in the nation, and in 2022 Ali was
recognized as 40 under 40 by Investment News Magazine.
She has served as the firm’s Chief Compliance Officer and holds the CFP®
designation. She currently leads a team of 17 amazing staff and is working on
progressing the industry towards ethical business leadership, inclusive team
dynamics and creating a firm that serves all stakeholders: clients, local
community, and employees.
Ali is a frequent speaker locally and nationally on the Future of Wealth
Management and mergers/acquisitions. Her passion project is progressing the
investment industry towards ethical and sustainable business practices and
leadership.
Back to Speakers
LAUREN OSCHMAN
PARTNER & CHIEF EXECUTIVE OFFICER , VESTIA
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
ABOUT LAUREN OSCHMAN
Lauren Oschman, CFP®, CDFA®
Partner & Chief Executive Officer
Lauren has never been one to shy away from a challenge, so it’s no surprise that
she decided to cofound a financial planning firm just weeks after giving birth
to her first child. She has been a trailblazer in many areas of her personal and
professional life, bringing a dynamic blend of strategic vision, productive
solutions, and great care for people to her role at Vestia.
Lauren started her career as a financial advisor in 2010. Her expertise has led
to her being a sought-after speaker for physician groups throughout Tennessee,
Alabama, Georgia, and the surrounding areas. Physicians appreciate her natural
ability to translate complicated financial concepts into illustrations that they
can remember. In 2021, Lauren was named locally as one of Nashville Business
Journal’s 40 Under 40* and nationally as one of InvestmentNews Top 40 Under
40** across the financial advice industry. Her thought leadership has also been
featured in national publications such as ThinkAdvisor and Barron’s.
Although Lauren works with many types of specialty physicians, she has a niche
working with high-caliber female surgeons. Not only is she a strong advocate for
equal pay for these women compared to their male counterparts, she is also
passionate about empowering them to spend their time purposefully rather than
tethered to their financial responsibilities. As an accomplished financial
advisor, executive, and mother of three, Lauren is juggling work and home
responsibilities right alongside many of her clients.
Lauren graduated from Vanderbilt University with a degree in Economics and minor
in Financial Economics and was inducted into the International Economics Honor
Society, Omicron Delta Epsilon. She completed further training in financial
planning at Emory University and is a CERTIFIED FINANCIAL PLANNER™. She
volunteers as a CFP® WIN (Women’s Initiative) Advocate to raise awareness about
the profession for young women.
Lauren and her husband, Nick (a teacher at The Harpeth Hall School), met as
undergrads at Vanderbilt and have resided in Nashville for over 15 years. They
both grew up in small towns and love that Nashville gives them all the
excitement of a city without compromising the small-town values so important to
them as they raise their three young daughters.
Back to Speakers
SHANNON SPOTSWOOD
PRESIDENT, RFG ADVISORY
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
ABOUT SHANNON SPOTSWOOD
Shannon Spotswood is the president of RFG Advisory, a fast-growing platform for
innovative and entrepreneurial independent advisors. She is a 25+ year industry
veteran in financial services with an outstanding reputation built on leadership
roles in professional management, investment banking, hedge fund management and
business development. At RFG Advisory, Shannon oversees all aspects of RFG 2.0,
a fully integrated platform designed for independent financial advisors and the
implementation of strategic initiatives contributing to advisor success. In
2020, she was named among InvestmentNews’ Women to Watch in 2020. Joining the
firm in 2015, Shannon recognized the opportunity to combine her entrepreneurial
experience with her passion to build an innovative, advisor-focused RIA of the
future.
Back to Speakers
JAMES BURTON
GLOBAL MANAGING EDITOR,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 9:35 am
Panel Discussion
UNLOCKING THE TALENT PIPELINE: HOW THE NEXTGEN FUTUREPROOFS YOUR BUSINESS
ABOUT JAMES BURTON
James Burton is the Global Managing Editor for InvestmentNews, specializing in
stories about investing, portfolio management, financial planning, advisors, and
the markets. He is a journalist who has spent more than two decades working for
newspapers and websites in the UK, UAE, Bermuda, and Canada.
Back to Speakers
MATT MATRISIAN
HEAD OF CLIENT GROWTH,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
ABOUT MATT MATRISIAN
As Head of Client Growth, Matt believes the best financial outcomes begin with
advisor-centric tools and capabilities that wrap around the needs of the
investor.
As a pioneer in advice delivery transformation, Matt’s thirty-year career has
focused on simplifying the complexity of the financial services industry,
supporting the evolution of advice delivery, and enhancing advisor value.
As an executive and board partner, Matt specializes in identifying both
immediate and long-term growth opportunities. His decade-long leadership at
AssetMark ranges from helping establish and roll out strategic priorities, to
developing many of the client-facing systems, technologies, and experiences for
which the firm is known. He has also reimagined and built the firm’s
industry-leading business consulting offering, which today serves more than
9,300 advisors.
Career leadership includes:
* consulting institutional firms to maximize their enterprise value
* creating new channels and divisions to expand client relationships
* building and retaining market segments to fuel profitability
* evaluating inorganic growth opportunities (e.g., M&A) to enable growth
* incubating accretive revenue expansion through R&D initiatives
* reimagining technology to deliver better client solutions and outcomes
Matt regularly serves as a media and institutional investor spokesperson, and
has appeared as keynote, panelist, moderator, or presenter at 150+ industry
conferences. Additionally, he has authored 30+ industry articles (e.g.,
Investment News, Financial Planning Magazine, WealthManagement.com), as well as
“The Power of Practice Management: Best Practices for Building a Better Advisory
Business” (Bloomberg Press, 2013)—a book written to which helps financial
advisors better develop lasting client relationships.
Matt is a devoted husband and father of a blended family of six kids, 3 boys and
3 girls. In his spare time, he enjoys staying active by playing competitive
tennis through the United States Tennis Association, working out, or playing
cornhole with friends.
Back to Speakers
KAY LYNN MAYHUE
PRESIDENT, MERIT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
ABOUT KAY LYNN MAYHUE
Kay Lynn has played many roles in the financial advisory industry: as a
successor, partner, seller, and buyer. This unique and diverse background allows
her to be able to relate to advisors in all phases of their careers and mergers
and acquisitions. With a background in financial planning and leadership, her
career expands over several areas, including advising clients, mergers and
acquisitions, and strategic growth.
Kay Lynn worked her way up from an entry-level position to earn her seat at the
C-Suites table as President of Merit, which manages over $10 billion in RIA and
Brokerage assets under management. She holds her CFP®, AEP®, and RFC® and has
been a critical decision-maker for two firms over the past twenty years. Kay
Lynn has overseen multiple mergers and acquisitions over the past four years and
has been recognized for her position as a female leader in the financial
services industry.
She is passionate about helping people take their careers – and themselves – to
exceptional levels. Kay Lynn’s influence in the industry and her drive for
success is a driving factor in Merit’s ongoing growth and appeal to
growth-oriented advisors.
Back to Speakers
LIZ NESVOLD
CHAIR, EMIGRANT PARTNERS & VICE CHAIR,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
ABOUT LIZ NESVOLD
Liz Nesvold is a prominent figure in the financial services industry, known for
her dynamic leadership and deep experience. Throughout her 30-year career, Liz
has served as a trusted consultant and investment banker, providing customized
advice to her clients across business strategy, succession planning,
integration, and growth.
Liz currently serves as the Chair of Emigrant Partners, a role she commenced in
February of this year. She also acts as Vice Chair of Emigrant Partners’ banking
affiliate, Emigrant Bank.
Prior to this, Liz was the President of Cresset, an award-winning multi-family
office and private investment firm. Liz oversaw Cresset’s strategic objectives,
family office services, corporate development, and finance departments. She also
served as chair of the firm’s Management Committee.
Liz is a founder and CEO herself, having launched and built investment bank
Silver Lane Advisors with several talented partners, including her husband,
Peter Nesvold. Under Liz’s leadership, Silver Lane became a widely recognized
leading RIA M&A firm, which was ultimately sold to a Fortune 500 company in
2019. Liz remained a Managing Director and Head of Asset and Wealth Management
Investment Banking until joining Cresset.
Liz’s achievements have garnered significant industry recognition. Notably, Liz
was named as a Woman to Watch by InvestmentNews in 2019 for her leadership in
the financial advisory industry. She has also been an active champion and
advocate for women in financial services throughout her career and is a member
of 100 Women in Finance, Young Presidents Organization, and CHIEF. She serves as
the independent director on the board of ClientWise, which she recapitalized
with Northwestern Mutual Future Ventures Fund.
Liz earned a Bachelor of Arts degree from Binghamton University and an MBA in
finance with high honors from Fordham University Gabelli School of Business.
Back to Speakers
BRYAN STAFF
MANAGING PARTNER, MERCHANT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
ABOUT BRYAN STAFF
Bryan leads the advisory and dually-registered transition process, drives
strategy for inorganic growth opportunities for Merchant partner firms and
manages key custodial and institutional partner relationships. Prior to
Merchant, Bryan was a Partner at Purshe Kaplan Sterling Investments (“PKS”),
where he helped grow PKS into one of the largest Independent Broker-Dealers in
the country. Bryan joined PKS in February 2006 from Bear Stearns & Co. Inc., in
New York City, where he served in the firm’s Leveraged Finance Group,
specializing in leveraged buyouts, recapitalizations and other opportunistic
refinancings.
Prior to Bear Stearns, Bryan worked in the investment banking group at
Josephthal & Co. Mr. Staff began his career in the commercial banking group at
Brown Brothers Harriman. Bryan holds an MBA from The Simon School of Business at
the University of Rochester and a Bachelor of Science Degree in Industrial &
Labor Relations from Cornell University.
Back to Speakers
SUZANNE SIRACUSE
CEO & FOUNDER, SUZANNE SIRACUSE CONSULTING SERVICES
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 10:35 am
Panel Discussion
MASTERING M&AS TO GROW YOUR PRACTICE
ABOUT SUZANNE SIRACUSE
Suzanne Siracuse, Founder and CEO of Suzanne Siracuse Consulting, LLC,
specializes in advising financial services firms on innovative business
strategies, distinctive marketing programs and impactful advocacy initiatives
around diversity, financial literacy, and next gen talent.
Ms Siracuse is also the Creator and Host of The Big Reveal Podcast Series where
she interviews industry thought leaders and influencers on all things wealth
management, but with a twist and is the Creator and Host of Focused on the
Future podcast series in partnership with WealthManagement.com
Ms. Siracuse is the former CEO and Publisher of InvestmentNews where she oversaw
the vision and strategic direction for all their platforms including print,
digital, events and research.
Ms Siracuse is a founding member of the Invent Elite consulting consortium,
which focuses on developing, launching, branding and operationally supporting
broad based technology initiatives for financial services firms.
In addition, Ms. Siracuse is on the Board for the non-profit, Savvy Ladies, is
a member of the Council of Ambassadors for the IWI’s Thrive Center for Diversity
and Inclusion, is an Advisory Board member of Diversitas and is an advisory
board member of the American College’s Center for Women.
In Nov 2020, Ms. Siracuse was recognized by InvestmentNews with the Women to
Watch “Trailblazer” award for her commitment to DEI initiatives within the
financial services industry and in Nov of 2022 was honored as a Think Advisor
Luminary for her contributions on Diversity Equity and Inclusion in the wealth
management industry.
She holds a BS in Business from Rider University. She, and her husband, Lee
reside in New York City.
Back to Speakers
ANDREW ALTFEST
PRESIDENT, ALTFEST PERSONAL WEALTH MANAGEMENT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 11:15 am
FIRESIDE CHAT: HOW AI & AUTOMATION CAN WORK FOR YOU, NOT AGAINST YOU
ABOUT ANDREW ALTFEST
Andrew Altfest is President of Altfest Personal Wealth Management. He advises
clients about their personal finances and drives financial planning strategies
for team members across the firm. He is also an active member of Altfest’s
Investment Committee and the Portfolio Action Group, which sets investment
strategy for client portfolios.
Andrew has spearheaded a number of initiatives to expand the firm. These have
included organizing different practice groups focused on client segments,
launching private equity solutions and directing the firm’s Young Professionals
group aimed at millennials. He also has encouraged further formalizing
investment processes and led the introduction of a new technology process
mandate with digital planning, to enhance decision-making, client experience and
productivity. Additionally, Andrew leads the firm’s efforts in the tax
management of investment portfolios, and advises clients on charitable
contributions.
Andrew is the founder and CEO of FP Alpha, the first AI-driven comprehensive
wealth management solution to cover more than 16 areas of financial planning.
The software enables financial advisors to save time in the planning process,
showcase their value beyond investments, and deliver the personalized,
comprehensive experience that clients require.
Andrew was named a Best-In-State Wealth Advisor in New York City by Forbes in
its 2018, 2019, 2020, 2021 and 2023 ranking, as well as a Young Advisor to Watch
by Financial Advisor in 2020. He was included in Forbes’ list of America’s Top
Next-Generation Wealth Advisors in 2017, 2018 and 2019; InvestmentNews’ 2018
list of 40 Under 40 in the financial advisory industry; and Financial Advisor’s
Due Diligence/Research Manager All-Star Team in 2012 and 2013, and AdvisorHub’s
Advisors to Watch list 2023.
Andrew joined the firm in 2003. He received his BA with honors in English from
Cornell University, and his MBA from Columbia University’s Graduate School of
Business. He also is a CFP® licensee.
Andrew has spoken at local universities, industry conferences and the American
Association of Individual Investors, and has appeared regularly in the press,
including The Wall Street Journal, Bloomberg News and Dow Jones Newswires.
Andrew is a member of the National Association of Personal Financial Advisors
(NAPFA), and as chair of the New York City chapter, he has strengthened its
membership. He’s on the board of the Lower East Side Jewish Conservancy and
mentors young financial advisors and New York University’s CFP® students. In his
free time, Andrew enjoys running, biking, trying new restaurants, traveling and
learning about different cultures.
Back to Speakers
GABE RISSMAN
CO-FOUNDER AND PRESIDENT,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 11:15 am
FIRESIDE CHAT: HOW AI & AUTOMATION CAN WORK FOR YOU, NOT AGAINST YOU
ABOUT GABE RISSMAN
Gabe is the Co-Founder and President of YourStake, which provides explainable
ESG analysis and reporting tools to financial advisors. Prior to founding
YourStake, Gabe co-founded Real Impact Tracker, which published an open-sourced
methodology for scoring the ESG impact of asset managers, and he held positions
at Rockefeller & Co and the Connecticut Green Bank. Gabe holds a B.S.
computational astrophysics from Yale, where he also led Yale’s fossil fuel
divestment movement and student-managed Socially Responsible Investing fund,
which under his leadership became the first ever student investment fund to file
a shareholder resolution. Gabe is a board member of the Intentional Endowments
Network, is a member of the Adasina Social Justice Index Committee, was named 30
under 30 in Socially Responsible Investing, is a WealthManagement.com 2022 Ten
to Watch and has published academic papers on ESG investing. Gabe also writes a
monthly series for WealthManagement.com highlighting the top ESG trends of the
month.
Back to Speakers
HIREN B. PATEL
EXECUTIVE DIRECTOR AND HEAD OF ADVISOR SOLUTIONS,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 11:15 am
FIRESIDE CHAT: HOW AI & AUTOMATION CAN WORK FOR YOU, NOT AGAINST YOU
ABOUT HIREN B. PATEL
Hiren B Patel is an Executive Director and Head of Advisor Solutions at 55ip.
At the start of his career Hiren worked directly with clients as a financial
advisor at Merrill Lynch. As time went on Hiren gradually transitioned away
from investment management and started to shape technology products that
supports advisors in serving clients better. He helped launch products at
Merrill Lynch and then moved on to a silicon valley based firm, called SigFig.
Here he worked with advisors at UBS, Wells Fargo, Santander, Scotia Bank, and
Citizens Bank to again deploy technology to advisors focusing on Practice
Management & Scalability. Today, at 55ip, he is responsible for deriving
analytics and messaging from 55ip to 3 core audiences: Clients, Financial
Advisors, and the financial services industry. In doing so Hiren is frequently
requested to speak at conferences, webinars, trainings, podcast, and deliver
written content for the firm. He holds his Series 7, 66, 9, and 10 licenses.
He’s also a Chartered Retirement Planning Counselor and holds a dual masters,
MBA and Masters in Innovation Technology from Fox Business School.
Back to Speakers
BLAINE AIKIN
FOUNDER, FIDUCIARY INSIGHTS LLC.
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
ABOUT BLAINE AIKIN
Blaine Aikin, AIFA®, CFA, CFP ®, is both founder and sole employee of Fiduciary
Insights LLC. Through Fiduciary Insights, he works to promote financial
well-being while protecting the planet’s natural resources. In fact, Fiduciary
Insights offers services that emphasize the fundamental and profound ways these
two seemingly disparate arenas—finance and conservation—are profoundly and
fundamentally interconnected.
The mission: to cultivate and serve a community committed to sound stewardship
of the resources entrusted to them
The vision: a world culture that values and promotes responsible and sustainable
management of financial, social, and natural resources
Fiduciary Insights works with investment fiduciaries and forest stewards—and
other like-minded people and organizations—as a consultant and collaborator,
facilitator, and subject matter expert.
Back to Speakers
JAMES LEE
PRESIDENT, LEE INVESTMENT MANAGEMENT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
ABOUT JAMES LEE
James Lee, CFP®, CRPC®, AIF®, currently serves as the volunteer past president
of the board of directors for the Financial Planning Association® (FPA®), the
leading membership organization for CERTIFIED FINANCIAL PLANNER™ professionals
and those engaged in the financial planning process.
Lee is president of Lee Investment Management in Saratoga Springs, NY, and
believes strongly in the value of financial planning and strives to move the
profession forward through volunteer efforts with FPA.
Lee has been a member of FPA for over 20 years and served on the board of
directors of the FPA of Northeastern New York for seven years. He is a founding
member of the FPA Council of New York, and past Chair of FPA’s Legislative and
Regulatory Issues Committee (LRIC). In addition to his work with FPA, Lee has
served on the board of directors of The Prevention Council, Saratoga Arts and
the Saratoga Youth Lacrosse Association. He also served as a member of the Town
of Greenfield’s Planning board and Board of Assessment Review. Lee currently
serves as the Administrator of Greenfield’s Economic Development Revolving Loan
Fund.
Lee earned his Bachelor of Arts degree in Economics from the University of
Virginia.
Back to Speakers
LIZ MILLER
FOUNDER AND PRESIDENT, SUMMIT PLACE FINANCIAL ADVISORS, LLC
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
ABOUT LIZ MILLER
Liz Miller, CFP® CFA® is the founder and President of Summit Place Financial
Advisors, LLC , an independent SEC registered advisor, offering personalized
investment management and financial consulting to elite families and
individuals. Liz also serves as the 2024 Chair-Elect of the Board of Directors
for CFP Board, which provides strategic leadership to the organization that
certifies and upholds standards for approximately 100,000 CFP® professionals in
the United States.
Previously, Liz was a principal owner of the investment manager, Trevor Stewart
Burton & Jacobsen Inc. in NYC. in addition to managing portfolios and client
relationships, she led the firm’s equity research activities and stock selection
of the investment committee. Liz started her career as a mergers & acquisition
analyst for The First Boston Corporation. She went on to become a portfolio
manager for Oppenheimer Mutual Funds. In 2008, she founded Summit Place
Financial Advisors, LLC to focus on the complex financial needs of today’s
multigenerational families.
Liz has been a leader in the development of the wealth management profession,
leading the first Private Wealth Management committee at the CFA Society of NY
where she was honored with a Volunteer of the Year award and later served on the
Board of Directors. Liz also served on the Wealth Management task force for CFA
Institute, contributing to the initial curriculum on wealth management for CFA
candidates.
Liz is the author of “Clutter-Free Wealth: A Goal-oriented Guide to Gaining
Control of your Affluence” and is a member of the editorial advisory board for
Trusts and Estates Magazine. Liz also serves as Co-President of the Alumni Board
of Governors for the Sphinx Senior Society of the University of Pennsylvania and
is a member of the undergraduate advisory board for the New Jersey Institute of
Technology. She is a member of the Financial Planning Association, CFA Society,
the National Speakers Association and the Women Presidents Organization.
Liz received a B.S in economics from The Wharton School at the University of
Pennsylvania and an M.A. from Columbia University. Liz is the proud mother of
grown twin daughters and she and her husband reside in New York City with their
90lb Labrador retriever.
Back to Speakers
KNUT A. ROSTAD
CO-FOUNDER AND PRESIDENT, INSTITUTE FOR THE FIDUCIARY STANDARD
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
ABOUT KNUT A. ROSTAD
Knut A. Rostad, MBA co-founded and is president of the Institute for the
Fiduciary Standard, a nonprofit formed in 2011 to advance the fiduciary standard
through research, education, and advocacy. Prior, he served as the regulatory
and compliance officer at Rembert Pendleton Jackson, a registered investment
adviser in Falls Church, Virginia.
The Institute for the Fiduciary Standard advances fiduciary principles and
practices in investment and financial advice and planning. The Institute has
established a national reputation as a leading voice for uncompromised fiduciary
duties. The Institute Real Fiduciary™ Practices Board has promulgated practices
to guide advisors on fiduciary conduct. These Real Fiduciary Practices serve as
the Institute’s North Star. The Institute has also launched Fiduciary September
to remind the industry why fiduciary duties matter. The Frankel Fiduciary Prize
honors individuals for outstanding contributions to fiduciary principles. Rostad
advocates before federal and state regulators. He has authored numerous
articles, papers, and regulatory comment letters.
Rostad is the editor of The Man in the Arena: Vanguard Founder John C. Bogle and
His Lifelong Battle to Serve Investors First, published by Wiley in December
2013. He is also a contributor to Advisor Perspectives; speaks frequently at
industry conferences on fiduciary and compliance issues; and is regularly cited
in media national and industry outlets. Rostad was named to Investment Adviser
Magazine’s ‘IA 25’ list in 2014, which it calls “our annual list of the most
influential people in and around the advisor industry.”
Back to Speakers
CHUCK FAILLA
FOUNDER + CEO, SOVEREIGN FINANCIAL GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
Apr 16 | 4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
ABOUT CHUCK FAILLA
Chuck has been a financial advisor for more than 25 years. He started in the
early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he
built his book, he always planned to go independent and did so in 1999 by
opening an independent branch of Raymond James Financial. At that time, Chuck
earned his CFP® designation and transitioned from individual stock picking to
financial planning and asset allocating using mutual funds and SMAs. Chuck’s
practice evolved into what is today Sovereign Financial Group, Inc., an SEC
registered RIA. With offices and advisors in the Northeast, Florida, and
Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is
also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign
Financial Group, Inc. SAS helps advisors transition to RIA by offering a
comprehensive plug and play solution for going independent. Chuck’s ties to the
financial planning community run deep. He currently serves on the Board of
Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach
Committee.
Chuck received his degree in Finance from The University of Connecticut and
completed his coursework for the CFP® certification with The American College.
He resides in Connecticut with his wife, two children, black lab and cats. In
his spare time, he enjoys all things travel & outdoors — on the weekends you
will find him with his family hiking, camping, skiing, boating or just enjoying
some grilling in the backyard.
Back to Speakers
JASON MILLER
PARTNER & CHIEF OPERATING OFFICER, CREWE ADVISORS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
ABOUT JASON MILLER
Jason is a Partner of Crewe Advisors. He joined Crewe in 2021 and brings over 20
years of progressive leadership experience in wealth management.
Jason earned his BS in Finance, cum laude, from the W.P. Carey School of
Business at Arizona State University and his MBA with an emphasis in Finance
from the Marriott School of Business at Brigham Young University. In addition,
Jason is a CERTIFIED FINANCIAL PLANNER™ certificant, a Certified Private Wealth
Advisor® professional, and an Accredited Wealth Management AdvisorSM designee.
Jason is a member of the BYU Management Society and is a past President and
Chairman of the Financial Planning Association of Greater Phoenix.
Back to Speakers
NINA O’NEAL
PARTNER AND INVESTMENT ADVISOR, AIM ADVISORS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT NINA O’NEAL
A financial advisor since 2006 and a financial services professional since 2004,
Nina O’Neal is an industry veteran. She began her career in New York, NY in
institutional finance and after some time on Wall Street, moved back to North
Carolina to become a financial advisor with Merrill Lynch. In 2009, Nina became
co-owner of AIM Advisors to fulfill her desire to provide unparalleled client
service. Today, she focuses on bringing her experience with large pensions,
endowments and corporations both to individuals and to businesses.
Nina is frequently sought out as a panelist and participant in industry
conferences, as well as a podcast guest. She is a writer on practice management
and industry topics for Financial Planning Magazine and a contributor to the
book How I Invest My Money: Finance in which experts reveal how they save, spend
and invest.
In 2019, Nina founded The Female Advisor Network, a national membership
organization for female financial advisors, with the mission to create a
community of support, mentorship, collaboration and education for female
advisors. She is also very passionate about her community and has supported,
sponsored and planned numerous charity events. Nina is a member of Hayes Barton
United Methodist Church and the North Carolina State University Club; she is
also an active parent at St. David’s School and the West Raleigh Baseball
Association.
A graduate of the University of North Carolina at Chapel Hill, Nina remains
local to the area and loves trying new experiences, restaurants, etc. She also
enjoys traveling, is an avid reader and spends most of her time with her boys,
Lowe and Emmett.
Back to Speakers
ERIC STEPHENSON
CHIEF OPERATING OFFICER, ALIGN IMPACT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
ABOUT ERIC STEPHENSON
Eric Stephenson is the Chief Operating Officer at Align Impact and member of its
investment committee. He works to advance the firm’s work helping investors and
advisors create and implement impact investing strategies. Prior to Align, Eric
was the Portfolio Director at the Cordes Foundation, tasked with
mission-aligning 100% of the endowment across asset classes, and overseeing the
Foundation’s philanthropic initiatives. He started his finance career on the
fund investments team at Hamilton Lane and global leasing group at Xerox. Eric
serves on the boards of the Cordes Foundation and Confluence Philanthropy, and
advisory councils for Duke University’s CASE i3 and The Investment Integration
Project (TIIP). He earned his BBA from Temple University, MA from University of
the Pacific and is an active CAIA charterholder.
Back to Speakers
STEVE MIKSTA
FOUNDER & CEO / CTO,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
ABOUT STEVE MIKSTA
Back to Speakers
SHARON HAYUT
SENIOR MANAGING DIRECTOR, MAGNUS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT SHARON HAYUT
Sharon Hayut, joined Magnus in January 2022 as a Senior Managing Director. She
is responsible for advising individuals, families, and single-family offices on
a variety of wealth management and estate planning topics. She has over 15
years’ experience working with multi-generational wealth. Prior to joining
Magnus, Sharon was a Senior Vice President at Morgan Stanley Wealth Management.
At Morgan Stanley, she provided comprehensive financial counseling to high
net-worth individuals, advising clients on investment opportunities, tax issues,
estate planning, employee benefits and compensation decisions. Sharon works
directly with a select group of ultra-high net-worth individuals,
multigenerational families, corporate executives, and entrepreneurs to help them
address the complexities that come along with having significant wealth. She
offers guidance based on her deep understanding of her client’s immediate and
long-term needs. She puts an emphasis on being highly responsive and providing
an objective and detailed approach to cultivate exceptional and long-lasting
relationships.
Sharon has been named Forbes’ Best-In-State Women Wealth Advisors (2022), Forbes
Top Women Wealth Advisors (2021), Working Mother & SHOOK Top Wealth Advisor Moms
(2020, 2019, 2018), Forbes/SHOOK® Best-in-State-Next-Gen Wealth Advisors list
(NYC – 2018), and Forbes/SHOOK® Research’s Top Next-Gen Wealth Advisors (2018).
In addition, Sharon was named to New York Magazine’s Five Star Wealth Managers
(2014, 2015).
Back to Speakers
THOMAS H. RUGGIE
FOUNDER & CEO, DESTINY FAMILY OFFICE, DESTINY WEALTH PARTNERS, DESTINY
ALTERNATIVE INVESTMENT FUND, AND RUGGIE WEALTH MANAGEMENT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT THOMAS H. RUGGIE
A 30+ year veteran of the investment and financial planning industries, Tom
Ruggie, ChFC®, CFP® began his career in 1991 and subsequently founded Ruggie
Wealth Management, the Central-Florida based flagship company of independent RIA
Destiny Wealth Partners, which exceeded $1B in AUM as of July 2023, and Destiny
Family Office, founded in 2016 to help high-net-worth and ultra-high-net-worth
individuals and families face head-on the increasing complexities inherent in
their business and personal lives.
Destiny Wealth Partners also conducts business as Nichols Wealth Partners, Boca
Raton, FL.
Tom has become one of the most respected financial advisors in the industry,
receiving national recognition and rankings including:
* Investment News 75 Fastest-Growing, Fee-Only RIAs 2023
* 11X Barron’s Top 1200 Financial Advisors
* 6X Forbes/Shook Research Best-In-State Wealth Advisors (#5 North Florida)
* Forbes/Shook Research 250 Top RIA Firms 2023
* 11X Financial Advisor Top RIA Firms
* USA Today Best 500 Advisory Firms
Acknowledging that in an evolving environment his firm must also continually
evolve, Tom has identified three key areas where evolution has most keenly had a
positive impact: 1. presenting a compelling sphere of investments, including
alternative, direct and co-investment opportunities, 2. creating a special
emphasis on high-end collectors whose collections signify a significant
alternative investment, and 3. strengthening the firm’s private trust
capabilities.
Recently, Tom authored numerous articles on alternative investments and
collectibles which have appeared in Forbes.com, Kiplinger’s, Sports Collectors
Digest and PSA Magazine, and was recently interviewed by Barron’s Penta. He has
been selected as a monthly contributor to Kiplinger and also been quoted in
media including The Wall Street Journal, New York Times, CNN Money, CNBC, and
Fox Business News.
The Florida native has served on numerous boards of directors serving for-profit
and not-for-profit organizations and foundations.
Back to Speakers
DEBRA BRENNAN TAGG
PRESIDENT, BFS ADVISORY GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT DEBRA BRENNAN TAGG
Debra Brennan Tagg is a CERTIFIED FINANCIAL PLANNER™ and president of BFS
Advisory Group, the advisory division of Brennan Financial Services. Debra is
also the creator of the DBT360 Financial Plan, a proprietary program that helps
her clients invest for the lives they want. The process prioritizes goals,
leverages resources, and addresses risks to create a 360-degree, long- term
financial plan.
Debra is a financial planner for both individual and institutional clients,
focusing on the unique challenges facing aspiring families, high-net-worth
individuals, women and entrepreneurs. She can tailor investment and insurance
programs designed to meet each client’s retirement, education, wealth building
and estate planning goals.
Debra is also a community leader striving for permanent positive change in
Dallas. She is among D CEO’s Dallas 500, the most powerful business leaders in
DFW; was named the 2019 Corporate Leader of the Year for D CEO’s Nonprofit and
Corporate Citizenship Awards; and was the United Way of Metropolitan Dallas 2015
Innovator of the Year.
A nationally recognized financial planner and 2020 InvestmentNews Woman to
Watch, Debra educates financial advisors and investors of all types. She is a
sought-after speaker and co- hosted “Dollars and Sense,” her firm’s weekly radio
program on WBAP-AM. Debra also produced and co-hosted the weekly television
program “Smart Money Live with the Brennans” on WFAA-TV in 2006 and 2007.
The industry veteran chairs the Advisor Group National Advisory Board and is the
past chair of the FSC Securities Board. She is a member of the RIA Institute
Advisory Board, as well as the Financial Planning Association and the Financial
Services Institute.
Debra lives in Dallas with her husband and two children. Her hobbies include
yoga, travel, writing, photography and music.
Back to Speakers
MATT OHME
VP, RIA DISTRIBUTION,
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT MATT OHME
Matt Ohme is vice president, RIA sales for Jackson National Life Distributors
LLC (JNLD), the marketing and distribution business of Jackson National Life
Insurance Company (Jackson). In this role, Matt leads Jackson’s RIA sales
efforts and partners with teams across the company on strategic RIA business
initiatives focused on awareness of commission-free annuities, educational
materials and the platform experience designed for RIAs.
Prior to joining Jackson, Matt served as senior vice president, channel head of
RIA at Allianz. Before that, he was responsible for RIA distribution at Allianz
Life which included establishing the RIA channel at the company. He also has
experience in field marketing organization distribution and broker-dealer
relationship management. Prior to joining Allianz Life, Matt worked for
University Capital Strategies Group, a small merger arbitrage hedge fund, where
he participated in currency hedging and trade allocations as a prime brokerage
relationship manager.
Matt earned his MBA from Hamline University and a bachelor’s degree from St.
John’s University. He holds FINRA Series 6, 7, 24 and 63 registrations and
Certified Financial Planner (CFP®), Certified Investment Management Analyst
(CIMA) and Chartered Life Underwriter (CLU) designations.
Back to Speakers
NINA O’NEAL
PARTNER AND INVESTMENT ADVISOR, AIM ADVISORS
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 1:55 pm
Panel Discussion
SAVING TIME WHILE INCREASING YOUR BOTTOM LINE
Apr 16 | 3:00 pm
Panel Discussion
FEE BASED EVERYTHING – REVENUE STREAMS YOU ARE MISSING AND SHOULDN’T BE
ABOUT NINA O’NEAL
A financial advisor since 2006 and a financial services professional since 2004,
Nina O’Neal is an industry veteran. She began her career in New York, NY in
institutional finance and after some time on Wall Street, moved back to North
Carolina to become a financial advisor with Merrill Lynch. In 2009, Nina became
co-owner of AIM Advisors to fulfill her desire to provide unparalleled client
service. Today, she focuses on bringing her experience with large pensions,
endowments and corporations both to individuals and to businesses.
Nina is frequently sought out as a panelist and participant in industry
conferences, as well as a podcast guest. She is a writer on practice management
and industry topics for Financial Planning Magazine and a contributor to the
book How I Invest My Money: Finance in which experts reveal how they save, spend
and invest.
In 2019, Nina founded The Female Advisor Network, a national membership
organization for female financial advisors, with the mission to create a
community of support, mentorship, collaboration and education for female
advisors. She is also very passionate about her community and has supported,
sponsored and planned numerous charity events. Nina is a member of Hayes Barton
United Methodist Church and the North Carolina State University Club; she is
also an active parent at St. David’s School and the West Raleigh Baseball
Association.
A graduate of the University of North Carolina at Chapel Hill, Nina remains
local to the area and loves trying new experiences, restaurants, etc. She also
enjoys traveling, is an avid reader and spends most of her time with her boys,
Lowe and Emmett.
Back to Speakers
KA’NEDA N. BULLOCK
PRESIDENT AND FOUNDER, MASTER PLAN INVESTMENT GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
ABOUT KA’NEDA N. BULLOCK
Ka’Neda N. Bullock, CFP®
President and Founder
Ka’Neda N. Bullock, CFP®, MBA, AIF®, APMA®, President and Founder of Master Plan
Investment Group, is an award-winning wealth manager and employer retirement
plan advisor. She is dedicated to helping individuals, business owners, and
organizational leaders achieve their personal and professional retirement and
over-all financial goals while building wealth and promoting a legacy of
investment knowledge.
In her capacity as a retirement and wealth manager, Ka’Neda employs tailor-made
investment, insurance, and financial planning strategies to guide her clients
toward their aspirations. As a committed financial fiduciary, she takes the time
to understand her clients’ joys, fears, and dreams, offering not just financial
guidance but also clarity and confidence as they embark on the journey to
execute their investment, retirement, and comprehensive financial plans with
her, as their partner.
Ka’Neda’s role as a retirement plan advisor extends her knowledge to managing
workplace retirement plans such as 401(k) and 403(b) plans. She collaborates
closely with business owners and organizational leaders to craft strategically
designed employee retirement plans and a sound governance process. These
initiatives not only impact one’s tax strategies, but also empower individuals
to retire comfortably while equipping them with essential financial knowledge.
Ka’Neda’s innovative multigenerational participant education strategy, aimed at
retaining and attracting top talent, incorporates financial education and
wellness to help alleviate financial stress in the workplace while educating
employees about how to work towards a secure retirement and fulfilling lives.
Back to Speakers
CHRISTIAN C. NWASIKE
PRINCIPAL & MANAGING PARTNER, PRACTICE MANAGEMENT CONSULTANTS LLC
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
ABOUT CHRISTIAN C. NWASIKE
Christian is an accomplished financial sales professional who brings optimism,
passion, creativity and impeccable presentation skills to every client
engagement.
Christian champions diversity and inclusion. He is an advocate for increasing
Diversity, Equity, Belonging and Inclusion in the retail Wealth Management
Industry.
Christian lives and breathe’s PMC-LLC’s commitment to help financial
professionals become better versions of themselves through coaching and
mentoring that helps build and manage more vibrant and successful practices. He
has extensive experience coaching and consulting financial advisors on best
practices relating to comprehensive wealth management, client service models,
business development and marketing.
Christian is also a published author. His book, The Role Artificial Intelligence
Can Play in Identifying and Flagging Financial Crimes provides insights in to
how AI can assist in the new Fin tech era.
During his frequent public appearances, he encourages Wealth Management Firms in
the Industry to practice Equality under Corporate Policy for all employees,
diverse and non diverse alike.
Back to Speakers
JAMES SETH THOMPSON
SENIOR VICE PRESIDENT AND HEAD OF DIVERSE MARKETS STRATEGY, BERNSTEIN PRIVATE
WEALTH MANAGEMENT
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
ABOUT JAMES SETH THOMPSON
James Seth Thompson is a Senior Vice President and Head of Diverse Markets
Strategy at Bernstein Private Wealth Management. In this role, James develops
relationships in diverse markets to deliver investment and wealth planning
advice. James empowers multicultural investors to change the trajectory of their
wealth, impact and influence and encourages a fresh perspective on equity,
advocacy, responsibility and investing. His equitable approach to addressing the
unique needs of multicultural investors best informs deep discovery to truly
define how their resources contribute to their legacy. Access, exposure,
experience and education matters, and these levers influence how James helps
clients create systemic wealth and close the gap between opportunities and
outcomes. James also holds several distinct leadership roles championing
diversity, equity, inclusion, recruiting and professional advancement of diverse
talent across the firm. He began his tenure at AllianceBernstein in 2011 where
he led marketing for the firm’s institutional investment management channels.
James has a BA in marketing and a BA in human resources administration from
Temple University. He serves as Treasurer for Dignity Housing for the Homeless
and Race, Equity and Empowerment Chair for Philadelphia Youth Basketball. James
is the recipient of many awards and recently InvestmentNews’ See It Be It Role
Model acknowledging his contribution to diversity, equity and inclusion in the
industry.
Back to Speakers
CHUCK FAILLA
FOUNDER + CEO, SOVEREIGN FINANCIAL GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
Apr 16 | 4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
ABOUT CHUCK FAILLA
Chuck has been a financial advisor for more than 25 years. He started in the
early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he
built his book, he always planned to go independent and did so in 1999 by
opening an independent branch of Raymond James Financial. At that time, Chuck
earned his CFP® designation and transitioned from individual stock picking to
financial planning and asset allocating using mutual funds and SMAs. Chuck’s
practice evolved into what is today Sovereign Financial Group, Inc., an SEC
registered RIA. With offices and advisors in the Northeast, Florida, and
Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is
also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign
Financial Group, Inc. SAS helps advisors transition to RIA by offering a
comprehensive plug and play solution for going independent. Chuck’s ties to the
financial planning community run deep. He currently serves on the Board of
Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach
Committee.
Chuck received his degree in Finance from The University of Connecticut and
completed his coursework for the CFP® certification with The American College.
He resides in Connecticut with his wife, two children, black lab and cats. In
his spare time, he enjoys all things travel & outdoors — on the weekends you
will find him with his family hiking, camping, skiing, boating or just enjoying
some grilling in the backyard.
Back to Speakers
CHUCK FAILLA
FOUNDER + CEO, SOVEREIGN FINANCIAL GROUP
FEATURED WITHIN THE FOLLOWING TOPICS
Apr 16 | 8:45 am
OPENING REMARKS & KEYNOTE INTRODUCTION FROM CHAIRPERSON – CHUCK FAILLA
Apr 16 | 1:00 pm
Panel Discussion
WHAT CAN AND CAN’T BE INCLUDED IN FIDUCIARY CARE?
Apr 16 | 3:55 pm
Panel Discussion
HOW TO INNOVATE YOUR FIRM WITH DE&I
Apr 16 | 4:25 pm
CLOSING REMARKS FROM CHAIRPERSON
ABOUT CHUCK FAILLA
Chuck has been a financial advisor for more than 25 years. He started in the
early 90s as a “cold calling cowboy” in NYC selling individual stocks. As he
built his book, he always planned to go independent and did so in 1999 by
opening an independent branch of Raymond James Financial. At that time, Chuck
earned his CFP® designation and transitioned from individual stock picking to
financial planning and asset allocating using mutual funds and SMAs. Chuck’s
practice evolved into what is today Sovereign Financial Group, Inc., an SEC
registered RIA. With offices and advisors in the Northeast, Florida, and
Colorado, Sovereign is one of the fastest growing RIAs in the country. Chuck is
also the Director of Sovereign Advisor Solutions (SAS)– a division of Sovereign
Financial Group, Inc. SAS helps advisors transition to RIA by offering a
comprehensive plug and play solution for going independent. Chuck’s ties to the
financial planning community run deep. He currently serves on the Board of
Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach
Committee.
Chuck received his degree in Finance from The University of Connecticut and
completed his coursework for the CFP® certification with The American College.
He resides in Connecticut with his wife, two children, black lab and cats. In
his spare time, he enjoys all things travel & outdoors — on the weekends you
will find him with his family hiking, camping, skiing, boating or just enjoying
some grilling in the backyard.
Back to Speakers
2024 SPEAKERS
Hear from our leading experts.
KEYNOTE SPEAKER
JOE DURAN
CEO
From arriving in the US with just $200 to selling his business for $750m to
Goldman Sachs, Joe Duran built his business United Capital to manage over $25
billion in assets. Join Joe as he shares how to take your practice to the next
level.
More about Joe Duran
BLAINE AIKIN
Founder
ANDREW ALTFEST
President
KA’NEDA N. BULLOCK
President and Founder
JAMES BURTON
Global Managing Editor
ALI CRISS-KEMP
CEO & Owner
CHUCK FAILLA
Founder + CEO
SHARON HAYUT
Senior Managing Director
KATE KAMMES
Principal and Chief Talent Officer
JAMES LEE
President
MATT MATRISIAN
Head of Client Growth
KAY LYNN MAYHUE
President
STEVE MIKSTA
Founder & CEO / CTO
JASON MILLER
Partner & Chief Operating Officer
LIZ MILLER
Founder and President
LIZ NESVOLD
Chair, Emigrant Partners & Vice Chair
CHRISTIAN C. NWASIKE
Principal & Managing Partner
NINA O’NEAL
Partner and Investment Advisor
MATT OHME
VP, RIA Distribution
LAUREN OSCHMAN
Partner & Chief Executive Officer
HIREN B. PATEL
Executive Director and Head of Advisor Solutions
GABE RISSMAN
Co-Founder and President
KNUT A. ROSTAD
Co-Founder and President
THOMAS H. RUGGIE
Founder & CEO
Destiny Family Office, Destiny Wealth Partners, Destiny Alternative Investment
Fund, and Ruggie Wealth Management
SUZANNE SIRACUSE
CEO & Founder
Suzanne Siracuse Consulting Services
JAMES SETH THOMPSON
Senior Vice President and Head of Diverse Markets Strategy
BRYAN STAFF
Managing Partner
SHANNON SPOTSWOOD
President
ERIC STEPHENSON
Chief Operating Officer
DEBRA BRENNAN TAGG
President
View More Speakers
2024 SPONSORS
Meet the partners and sponsors of RIA Activate New York
GOLD SPONSOR
ABOUT ASSETMARK
AssetMark’s mission is centered around helping financial advisors make a
difference in the lives of their clients. We aim to provide advisors with
compelling technology that facilitates a better client experience, consulting
services that ensure advisors’ businesses are running at their best, and
offering a comprehensive suite of investment solutions.
Learn More About Assetmark
Back to Sponsors
ABOUT JACKSON NATIONAL LIFE
Jackson® (NYSE: JXN) is committed to helping clarify the complexity of
retirement planning — for financial professionals and their clients. Through our
range of annuity products, financial know-how, exceptional service and
streamlined experiences, we strive to reduce the confusion that complicates
retirement planning. We believe by providing clarity for all today, we can help
drive better outcomes for tomorrow.
Learn More About Jackson National Life
Back to Sponsors
SILVER SPONSOR
ABOUT ADVYZON
Advyzon is a comprehensive platform that helps wealth management firms run and
scale. It includes eight completely customizable capabilities with powerful
business intelligence including: performance reporting, billing, CRM, trading &
rebalancing, client portal, secure document storage, investment management
(TAMP), and seamless prospecting. Do this all in a single, integrated platform.
Learn More About Advyzon
Back to Sponsors
ABOUT STONE CASTLE
Advisorcash by StoneCastle enables RIAs/financial advisors to organically grow
their businesses and add client value through a better savings account. One that
offers the combined value of $100 million in FDIC insurance, competitive APY,
and overnight liquidity to help your clients protect, save, and earn more on
their held-away cash.
Learn More About Stone Castle
Back to Sponsors
ABOUT FLYER FINANCIAL TECHNOLOGIES
Flyer is leading the trading technology space by giving you the freedom to
control trading tools, connectivity, and infrastructure for your firm. Flyer
automates the trade lifecycle with Co-Pilot and Flyer Trading Network. The
platform unifies access to major custodians and brokers while providing
intelligent Graphical User Interfaces (GUIs) and Application Programming
Interface.
Learn More About Flyer Financial Technologies
Back to Sponsors
ABOUT FINTELLO
Fintello is a one stop next-gen AI digital and social media marketing platform
for financial advisors & insurance agents. Launch Branding + Lead gen campaigns
in minutes with our proven investment/Insurance templates on LinkedIn, Facebook
Ads, Emails, Webinars, SEO Website, Funnels and more.
Stop buying leads. Marketing got easy.
Learn More About Fintello
Back to Sponsors
ABOUT YOURSTAKE
YourStake providesthe #1 rated tools financial advisors need to bring
personalization to their client’s investments. We offer advisors a suite of
tools that bring immense time efficiencies and insights to client prospecting,
reporting, and portfolio analytics. We also help with investment research and
optimization to provide scalable personalization for clients.
Learn More About YourStake
Back to Sponsors
EXHIBITORS
ABOUT 55IP
55ip is a fintech company built to break down barriers to financial progress.
Setting the industry standard for automated and personalized tax outcomes,
55ip’s platform delivers efficient implementation of the investment process.
Combined with trading and rebalancing capabilities, 55ip offers full-service
solutions that meets the unique needs of advisors.
Learn More About 55ip
Back to Sponsors
ABOUT ALLOCATERITE
Newt is the premier AI assistant on AllocateRite’s all-in-one wealth management
platform. Powered with dynamic and realtime analytics, newt delivers relevant
insights into securities and portfolios. Newt makes it easier to navigate
AllocateRite, leading to a faster and holistic view of portfolios, increasing
scalability, efficiency and quality of RIA business.
Learn More About Allocaterite
Back to Sponsors
ABOUT COMPLY
As a global market leader in regulatory compliance solutions, COMPLY combines
the power of regulatory technology, services, and education to empower
compliance professionals to navigate the regulatory landscape. Our deep bench of
industry expertise supports more than 7,000 clients, including investment
management firms, private funds, broker-dealers, RIAs, and more.
Learn More About Comply
Back to Sponsors
ABOUT FINTRX
FINTRX is the preeminent resource for private wealth data and research. Its
platform features millions of data points on the global Family Office and
Registered Investment Advisor ecosystem. Today, FINTRX serves hundreds of
customers globally, which include top tier hedge funds, private equity and
venture capital firms, real estate firms, institutional investors, investment
banks, consultants and service providers.
Learn More About FINTRX
Back to Sponsors
ABOUT GOLDMAN SACHS
Goldman Sachs Advisor Solutions offers independent advisors access to
institutional-grade solutions and custody services. We transform the advisor
experience with an intuitive, digital-forward platform that enhances
transparency and gives advisors greater control over their businesses. Our
modern, nimble, and ever-evolving open architecture network connects advisors to
best-in-class services and tools. More than just a custodian, we are a gateway
to the institutional power of Goldman Sachs.
Learn More About Goldman Sachs
Back to Sponsors
ABOUT HALO INVESTING
Halo is an award-winning tech platform that disrupts how investment portfolios
are built by democratizing access to protective investment solutions – like
structured notes, buffered ETFs, and annuities.
We’re built for advisors, by advisors. Our marketplace connects advisors with
product manufacturers, industry-leading tools, and education that are unmatched
in the industry.
Learn More About Halo Investing
Back to Sponsors
ABOUT LIBERTY STREET ADVISORS, INC.
Liberty Street Advisors, Inc. (“Liberty Street”) is an SEC registered investment
advisor that offers access to valuable and timely strategies designed to help
investors and financial advisors meet the challenges of today’s market
environment. Liberty Street manages four open-end mutual funds and a closed-end
interval fund, The Private Shares Fund.
Learn More About Liberty Street Advisors, Inc.
Back to Sponsors
ASSOCIATE SPONSOR
ABOUT NAIFA
Founded in 1890, the National Association of Insurance and Financial Advisors is
the preeminent association for financial service professionals in the United
States of America. NAIFA members, in every Congressional district and every
state house, subscribe to a strong Code of Ethics and represent a full spectrum
of practice specialties to promote financial security for all Americans.
Complimented by its professional development and consumer divisions, the Society
of Financial Service Professionals, and Life Happens, the association delivers
value through advocacy, service, and education.
Learn More About NAIFA
Back to Sponsors
MEET LEADING RIAS
BECOME A SPONSOR
THE BEST OF INVESTMENTNEWS EVENTS
Over 3000 leading financial advisors attend InvestmentNews events every year
STAY UP-TO-DATE ON ALL THINGS RIA ACTIVATE NEW YORK
From RIA Activate to Women Advisor Summit to to InvestmentNews Awards and more
Subscribe Now
DOWNLOAD THE EVENT APP
Access the event agenda, view speakers and sponsors, and see who is attending on
your mobile.
Download the Bizzabo app by clicking on one of the icons below and enter your
email used for registration.
THANKS FOR TAKING PART IN RIA ACTIVATE NEW YORK 2024
MISSED THIS 2024 EVENT? REGISTER YOUR INTEREST TO PARTICIPATE IN THE NEXT RIA
ACTIVATE NEW YORK 2025
Register Interest
GET IN TOUCH
Fill out the form and one of our dedicated team will be in touch.
Enquiry Choose... General Enquiries Speaking Opportunities
Name
Email
We'll never share your email with anyone else.
Phone
Message
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of
Service apply.
Send Message
Close
EMAIL SENT
WE WILL BE IN TOUCH SOON.
Thank you for getting in touch, a member of the team will get back to you as
soon as possible.
Close
Official Publication
* 2024 Event Details
* 2024 Agenda
* 2024 Speakers
* 2024 Sponsors
* Become A Sponsor
* Register Interest
Terms & Conditions Privacy Policy
* Facebook
* LinkedIn
* Twitter/X
*
2024 © - KM Business Information US, Inc - All rights reserved