2019 Forbes/SHOOK Top Advisor Summit Agenda

CE Credits will be available.

Monday,
February 25, 2019


TIME

SESSION & SPEAKER

1:00 - 8:00 pm

Check-In & Reception

2:00 - 5:00 pm

Pre-Conference Sessions

2:00 - 2:30 pm

The Future of Fees: How to price your services going forward…and unintended consequences (I-W)

  • Pat Dwyer, Merrill Lynch Wealth Management
  • CJ Rendic, Parallel Advisors
  • Moderator: Bob Evans, Senior VP Regional Director, Fidelity

2:30 - 2:35 pm

Break

2:35 - 3:05 pm

Navy SEAL Team Leader- Are you a Group or a Team? (I-W)

  • Mark Curtis, Morgan Stanley Wealth Management
  • Hank McLarty, Gratus Capital
  • Moderator: Jon Fussell, New York Life Investments, Former Navy SEAL

3:05 - 3:10 pm

Break

3:10 - 3:40 pm

Fixed Income: Finding Value in Today’s Markets (CFP, I-W)

  • Harry Phinney, Fixed Income Specialist, Capital Group
  • Introduction: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Cap Group

3:40 - 3:50 pm

Break

3:50 - 4:20 pm

Incentivizing and compensating team members (I-W)

  • Michael Bapis, Rockefeller Capital Management
  • Chris Aitken, UBS Financial Services
  • Moderator: Carter Sims, Head of Global Distribution & Managing Director, Thornburg Investment Management

4:20 - 4:25 pm

Break

4:25 - 4:55 pm

Winning & working with high net-worth clients (I-W)

  • Richard Jones, Merrill Lynch- Private Banking & Investment Group
  • Carrie Coghill, Coghill Investment Strategies
  • Lyon Polk, Morgan Stanley Private Wealth Management
  • Moderator: John Moninger, Managing Director Retail Sales, Eaton Vance

5:30 - 6:30 pm

Cocktail Reception

6:30 - 8:30 pm

Dinner Gala

  • Randall Lane - Editor and Chief Content Officer, Forbes Media
  • RJ Shook - Founder, SHOOK Research
  • David Rubinstein - Co-Founder and Co-Executive Chairman, The Carlyle Group

8:30 - 9:30 pm

Champagne Reception For All Ranked Advisors presented by Nuveen

Tuesday,
February 26, 2019


TIME

SESSION & SPEAKER

7:00 - 8:00 am

Breakfast

8:00 - 9:40 am

General Session

8:00 - 8:10 am

Opening Comments

  • RJ Shook, Founder, SHOOK Research

8:10 - 8:15 am

SHOOK Ones: Top Advisor Shares Best Idea

  • Jordan Waxman, Wealth Advisory Team
  • Introduction: Carter Sims, Head of Global Distribution & Managing Director, Thornburg Investment Management

8:15 - 8:40 am

The SHOOK “Impact” — the new force in our rankings…Building client experiences that changes lives (CFP, I-W)

  • Rebecca Rothstein, Merrill Lynch Wealth Management
  • Hank McLarty, Gratus Capital
  • Moderator: Steve Samuels, Managing Director, Merrill Lynch Wealth Management
  • Introduction: Mike Tobin, Western Divisional Sales, Hartford Funds

8:40 - 9:00 am

Conversation about Life and Markets (CFP, I-W)

  • Leon Cooperman - Founder, Chairman & CEO, Omega Advisors
  • Moderator: Rob Sechan, UBS Financial Services
  • Introduction: Frank Berland, Managing Director, SHOOK Research

9:00 - 9:25 am

SHOOK Spotlight: Remembering Maddison... and saving Connor

9:25 - 9:40 am

Networking/Refreshments

9:40 - 11:25 am

General Session

9:40 - 9:50 am

Impact Investing: Integrating SRI/ESG into a traditional practice (CFP, I-W)

  • Martin Kremenstein, Senior Managing Director, Nuveen
  • Moderator: Suzanne Killea, Merrill Lynch Private Banking & Investment Group

9:50 - 10:10 am

Volatility: The unwanted guest who won’t leave (CFP, I-W)

  • Richard Bernstein - CEO/CIO, Richard Bernstein Advisors
  • Introduction: Victoria Scott, Associate & Content Manager, SHOOK Research

10:10 - 10:15 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Jonathan Beukelman, UBS Financial Services
  • Introduction: Dodd Kittsley, National Sales Director, Davis Advisors

10:15 - 10:35 am

Insights on Global Fixed Income Markets (CFP, I-W)

  • Rick Rieder, Managing Director/Global Chief Investment Officer of Fixed Income, BlackRock
  • Introduction: Adam Bobker, Head of Private Wealth Advisory Group, BlackRock

10:35 - 10:40 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Laila Pence, Pence Wealth Management

10:40 - 10:55 am

Is value investing dead? (Or just sleeping) (CFP, I-W)

  • Joel Greenblatt, Managing Principal & Co-Chief Investment Officer, Gotham Funds
  • Introduction: Lisa Charkouidan, Director of Sales and Distribution, Gotham Funds

10:55 - 11:10 am

Marketing Forbes Recognition: World-Class Brand- Here’s What to do Now

  • Andy Burish, UBS Financial Services
  • Moderator: Pat Dwyer, Merrill Lynch Private Banking & Investment Group
  • Introduction: Jamie Hawes, Director, New York Life Investments

11:10 - 11:25 am

Networking / Refreshments

11:25 - 12:00 pm

Breakout Sessions

  1. Living your best life with balance
    • Rebecca Rothstein, Merrill Lynch Wealth Management
    • Deb Montaperto, Morgan Stanley Wealth Management
    • Moderator: Jack Bohnet, Senior Vice President, Federated Investors
  2. Speaking with clients about the new tax structure for high tax states (CFP, I-W)
    • Jordan Waxman, Wealth Advisory Team
    • Bruce Munster, Merrill Lynch, Private Banking & Investment Group
    • Moderator: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Cap Group
  3. Building a scalable practice for the mass affluent (CFP, I-W)
    • Scott Magnesen, Morgan Stanley Wealth Management
    • Joe Jaques, Jaques Financial
    • Moderator: John Blau, Partner, Alkeon
  4. Planning for the future of your business (CFP, I-W)
    • Tom Keegan, Merrill Lynch Private Banking and Investment Group
    • Jeff Bryan, Merrill Lynch Private Banking and Investment Group
    • Marvin McIntyre, Morgan Stanley Private Wealth Management
    • AJ Fechter, Morgan Stanley Private Wealth Management
  5. Up Close with Rick Reider & Joel Greenblatt (CFP, I-W)
    • Rick Rieder, Managing Director/Global Chief Investment Officer of Fixed Income, BlackRock
    • Joel Greenblatt, Principal & Co-Chief Investment Officer, Gotham

12:00 - 12:55 pm

Lunch (CFP, I-W)

  • Steve Forbes, Chairman & Editor-In-Chief, Forbes Media
  • Introduction: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Cap Group

12:55 - 1:15 pm

General Session

AI & the Fourth Industrial Revolution (CFP, I-W)

  • Beijia Ma, Partner, Alkeon Capital Management

1:15 - 1:25 pm

Networking / Refreshments

1:25 - 2:00 pm

Breakout Sessions

  1. Team structure & efficiencies…for thousands of clients (CFP, I-W)
    • Andy Burish, UBS Financial Services
    • Scott Tiras, Ameriprise Financial Services
    • Moderator: David Hescheles, Managing Director/National Sales Manager, Hartford Funds
  2. The future of outsourced family offices (CFP, I-W)
    • Ron Hughes, Merrill Lynch Private Banking & Investment Group
    • Paul Pagnato, PagnatoKarp
    • Kristen Bauer, Tiedemann Advisors
    • Moderator: David Canter, Executive Vice President, Fidelity
  3. Incorporating real estate into client portfolios (CFP, I-W)
    • Shawn Fowler, Morgan Stanley Wealth Management
    • Barry Garber, Alex. Brown/Raymond James
    • Moderator: Raj Danda, CEO, Black Creek Group
  4. Planning for the new retirement- Advising retiring clients in the era of longevity (CFP, I-W)
    • Sharon Oberlander, Merrill Lynch Wealth Management
    • Sal Tiano, JP Morgan Securities
    • Moderator: Jan Holman, Director of Advisor Education, Thornburg Investment Management

5 minute transition to next breakout

2:05 - 2:40 pm

Breakout Sessions

  1. Leveraging your way for next-level growth in a high-end practice (I-W)
    • Greg Vaughan, Morgan Stanley Private Wealth Management
    • Kathleen Entwistle, UBS Financial Services
    • Moderator: Paul Brunswick, Senior Business Consultant of CEO Institute, Oppenheimer Funds
  2. Building your practice through acquisitions (I-W)
    • Anthony Valente, Morgan Stanley Wealth Management
    • Mark Thorndyke, Merrill Lynch Wealth Management
    • Lori Van Dusen, LVW Advisors
    • Moderator: Jennifer Tarsney, Director of Practice Management, New York Life Investments
  3. Client segmenting with niches….and 3,000 households (I-W)
    • David Kudla, Mainstay Capital Management
    • Michael Ricca, Morgan Stanley Wealth Management
  4. The future of Advice: meeting client expectations in a changing world (I-W)
    • Margaret Starner, Starner Group of Raymond James
    • Kathy Grasmeder, Morgan Stanley Wealth Management
    • Moderator: John Diehl, Senior Vice President of Strategic Markets, Hartford Funds

2:40 - 2:50 pm

Networking/Refreshments

2:50 - 5:30 pm

General Session

2:50 - 3:15 pm

Navigating the road ahead (I-W)

  • Marc Lasry, Chairman, CEO, and Co-Founder of Avenue Capital Group
  • Jamie Dinan, Founder, Chairman, and Co-CEO, York Capital
  • Moderator: Robert Sechan, UBS Financial Services
  • Introduction: Steve Stroker, Chief Executive Officer, Black Creek Capital Markets

3:15 - 3:35 pm

Post-Modern Medicine: 10 Strategies for a Long and Healthy Life

  • Jordan Shlain, MD
  • Introduction: AJ Leimenstoll, Vice President/Regional Sales Director, Eaton Vance

3:35 - 3:40 pm

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Jeffery Fratarcangeli, Wells Fargo Advisors

3:40 - 3:55 pm

Value now or value later? What we should expect for market timing

  • Ryan Caldwell, Chiron
  • Andrew Wellington, Lyrical

3:55 - 4:05 pm

Networking / Refreshments

4:05 - 4:25 pm

Securing the future of your business - Building a practice that outlives you

  • Jeff Erdmann, Merrill Lynch, Private Banking & Investment Group
  • Patti Brennan, Key Financial
  • Moderator: Jim Tracy, Managing Director, Morgan Stanley Wealth Management
  • Introduction: Daniel Miller, Executive Vice President, Gabelli Funds

4:25 - 4:40 pm

World-class violinist... and her “Red Violin”

  • Elizabeth Pitcairn - World-Class Violinist
  • Introduction: Mark Lavan, Co-Head of US Retail Sales, Legg Mason

4:40 - 4:45 pm

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Kim Hatchett, Morgan Stanley Wealth Management
  • Introduction: Frank Famigilietti, Managing Director, Morgan Stanley Investment Management

4:45 - 5:00 pm

Perspectives on China and the Global/Domestic Economy (I-W)

  • Brendan Ahern, Chief Investment Officer, KraneShares
  • John Bellows, Portfolio Manager & Senior Research Analyst, Legg Mason

5:00 - 5:25 pm

What’s next for the markets and economy (CFP, I-W)

  • Jeremy Seigel - Professor, Wharton School of Finance; Sr. Investment Strategy Advisor, WisdomTree
  • Introduction: Andrew Tsiropinas, Head of NFS & IBD Distribution- East, WisdomTree

5:25 - 5:30 pm

Closing Remarks

  • RJ Shook, Founder, SHOOK Research

Liz’s “Better Half” Event (Click here to register for ticket—complimentary with significant other’s ticket.)

3:00 - 3:10 pm

Welcome - Liz Shook

3:10 - 3:40 pm

Beijia Ma - artificial intelligence expert

3:40 - 4:05 pm

Remembering Maddison... and saving Connor

4:05 - 4:15 pm

Break

4:15 - 4:55 pm

Post-modern medicine: 10 strategies for a long and healthy life,
Jordan Shlain, MD, World-Renown Health Expert

4:55 - 5:20 pm

World-Class Violinist…And Her “Red Violin”
Elizabeth Pitcairn

5:20 - 5:25 pm

Closing Comments - Liz Shook

5:25 - 5:30 pm

Break

5:30 - 6:30 pm

Cocktails with Advisors

6:30 - 8:30 pm

Party continues at Valentino with lite bites

Wednesday,
February 27, 2019


TIME

SESSION & SPEAKER

7:00 - 8:00 am

Breakfast

8:00 - 9:20 am

General Session

8:00 - 8:10 am

Welcome Remarks

  • Frank Berland, Managing Director, SHOOK Research

8:10 - 8:15 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Debra Brede, D.K. Brede
  • Introduction: Jack Bohnet, Senior Vice President, Federated

8:15 - 8:40 am

America’s fastest growing teams (I-W)

  • Josh Malkin, Morgan Stanley Wealth Management
  • Ghislain Gouraige, UBS Financial Services
  • Moderator: Robert Bruno, Senior Vice President and Head of Distribution, First Eagle Investment Management

8:40 - 8:45 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

  • Introduction: Eric Monte, Director, KraneShares

8:45 - 8:55 am

Merger Arbitrage: Absolute Returns in an Uncertain Environment (I-W)

  • Paolo Vicinelli, Gabelli Asset Management
  • Introduction: Daniel Miller, Executive Vice President, Gabelli Funds

8:55 - 9:05 am

Convertibles: one of the strongest sectors in 2018; how to leverage going forward. (CFP, I-W)

  • Tracy Maitland, President and Chief Investment Officer, Advent Capital Management

9:05 - 9:20 am

Networking/Refreshments

9:20 - 10:00 am

Breakout Sessions

  1. What is the right team structure for your business? (CFP, I-W)
    • Brian Werdesheim, Oppenheimer & Co.
    • Steve Hefter, Wells Fargo Advisors
    • Moderator: John Moninger, Managing Director Retail Sales, Eaton Vance
  2. A simple strategy to maximize the growth in your business (CFP, I-W)
    • Brian Gallary, Senior Vice President/Head of Strategy & Consulting, First Trust

5 minute transition to next breakout

10:05 - 10:45 am

Breakout Sessions

  1. Intergenerational partnerships: how to structure, market & serve clients (CFP, I-W)
    • Terry Cook, UBS Financial Services
    • Kyle Caouette, UBS Financial Services
    • Rip Hale, Morgan Stanley Wealth Management
    • Jonathan Hale, Morgan Stanley Wealth Management
    • Moderator: James Costabile, Managing Director, Morgan Stanley Investment Management
  2. Impacting clients’ lives with high-end service (CFP, I-W)
    • Craig Chiate, UBS Financial Services
    • Kathleen Roeser, Morgan Stanley Wealth Management

10:45 - 10:55 am

Networking/Refreshments

10:55 - 11:30 am

General Session

10:55 - 11:25 am

The Future of Teams (CFP, I-W)

  • Mark Binder, UBS Financial Services
  • Nestor Vicknair, Merrill Lynch Wealth Management
  • Richard Blosser, Wells Fargo Advisors
  • Moderator: Chip Walker, Managing Director, Wells Fargo Advisors
  • Introduction: Bobby Brooks, National Sales Manager, DWS

11:25 - 11:30 am

Closing Remarks

  • RJ Shook, Founder, SHOOK Research