Emily
Chang
Bestselling Author, Journalist, and Tech Industry Expert
Emily Chang
Bestselling Author, Journalist, and Tech Industry Expert
Emily Chang is an Emmy Award-winning journalist, author, and one of Bloomberg’s leading voices on technology, business, and culture. As host and executive producer of "The Circuit with Emily Chang" and "Posthuman," she travels the world to meet the founders, innovators, and cultural icons shaping the future—and to explore what it means to be human in an age of extraordinary technological change. Over her career, Chang has interviewed some of the biggest names in business and beyond, from Mark Zuckerberg, Jeff Bezos, and Sam Altman to Reese Witherspoon, Stephen Curry, and Meghan, The Duchess of Sussex.
For more than a decade, Chang anchored Bloomberg Technology, the network’s flagship daily program on innovation and the global tech industry. Her 2018 bestseller "Brotopia: Breaking Up the Boys’ Club of Silicon Valley" exposed gender inequality in the tech world and became a rallying cry for inclusion in one of the most powerful sectors on earth. A strong advocate for women in the workforce, Chang has risen to prominence in a male-dominated field and shines a journalistic light on issues such as diversity, inclusivity, and the future of work. She also appeared as herself in several cameos on HBO’s hit show "Silicon Valley."
Beyond the Headlines: An Insider’s Perspective on Tech’s Next Big Thing (1 CE)
1:00 pm - 1:50 pm, Tuesday, Nov 17, 2026
Decades ago, when we imagined a world fueled by technology, visions of flying cars, jetpacks, and five-course meals ready in seconds at the push of a button captured our imagination. We are not quite there yet, but with the advent of smart devices, artificial intelligence, virtual reality, and cryptocurrency, the irreversible impact technology has had on society cannot be ignored. The world’s relationship with technology is vastly different from what it was just 10 years ago—and entirely distinct from life 50 years ago. Where will we be 10, 20, or 30 years from now?
In this dynamic talk, veteran tech reporter Emily Chang, who now interviews tech’s biggest changemakers weekly on "Studio 1.0," will explore emerging technology trends and help audiences get ahead of the curve on the changes shaping business and culture worldwide.
Learning Objectives:
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Identify the major emerging technology trends shaping business, culture, and society over the next decade and beyond.
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Assess how advancements such as artificial intelligence, virtual reality, smart devices, and cryptocurrency are transforming the way people live and work.
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Evaluate the potential long-term implications of rapid technological change so they can better anticipate future opportunities, challenges, and disruptions.
Corey
Ciocchetti
Associate Professor of Business Ethics and Legal Studies, Daniels College of Business, University of Denver
Corey Ciocchetti
JD
Associate Professor of Business Ethics and Legal Studies, Daniels College of Business, University of Denver
Corey Ciocchetti is an associate professor of business ethics and legal studies in the Daniels College of Business at the University of Denver. He clerked for the Honorable John Kane in the U.S. District Court for Colorado and founded and operated a small business that provided sports programs to cities and parks and recreation districts before joining the University of Denver. Ciocchetti has received numerous teaching and scholarly awards, including the Charles Hewitt Master Teacher Award from the Academy of Legal Studies in Business, the Outstanding Professor of the Year Award from the University of Denver Alumni Association, the Scholarship of Teaching Award from the Daniels College of Business, and the Scholarship of Discovery Award from the Daniels College of Business. In 2010, he received the Holmes-Cardozo Award for the top conference paper and was named Distinguished Junior Faculty Member by the Academy of Legal Studies in Business. His articles have appeared in leading journals in his field and have been downloaded more than 27,000 times. Ciocchetti has earned the highest student teaching evaluations in the Daniels College of Business 11 times since 2004, and over the past seven years, his teaching evaluations have averaged 5.9 out of 6.0.
Professionalism and Your Iron Ring (1 Ethics CE)
12:00 pm - 12:50 pm, Monday, Nov 16, 2026
The legend of the Iron Ring originates in Canada. In 1907, the Quebec Bridge collapsed because of engineering failures, placing the profession under intense scrutiny. These were trusted professionals, and nearly 100 people died because of poor design and planning. In response, a group of engineers sought to memorialize the importance of character, diligence, and professionalism. According to the story, they forged rough rings from iron salvaged from the collapsed bridge. These simple rings were worn on the pinky finger of an engineer’s working hand, separate from wedding bands, as a constant reminder of professional responsibility.
The ring symbolized a simple but profound idea: I have an important job, and I must do it well every time or society suffers. In many places today, engineers continue to receive their rings during a ceremony that includes an oath written by Rudyard Kipling. The final line declares: “As an Engineer, I shall participate in none but honest enterprises. When needed, my skill and knowledge shall be given without reservation for the public good. In the performance of duty and in fidelity to my profession, I shall give the utmost.”
Corey Ciocchetti’s insightful and inspirational keynote begins where that oath ends. He explores critical questions, including:
What does it mean to be a professional?
How does society expect professionals to act, speak, and think in their work?
How can we use our skills and knowledge, without reservation, for the public good?
What serves as our own iron ring, reminding us of our obligations to ourselves, our loved ones, our colleagues, and our communities?
In the end, audiences are encouraged to create their own version of an iron ring in the form of a personal creed—a set of deeply held beliefs and commitments. This creed can include promises to spouses, children, loved ones, colleagues, neighbors, and communities. It is an opportunity to make meaningful commitments and keep them, even when circumstances are difficult. That, Ciocchetti argues, is what true professionals do—and what society needs most.
Learning Objectives:
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Examine the principles of professionalism, accountability, and ethical leadership through the lens of the Iron Ring tradition and its enduring relevance across industries and professions.
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Evaluate personal and professional responsibilities to key stakeholders—including clients, colleagues, family members, and communities—and identify ways to align actions with those commitments.
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Develop a personal creed or set of guiding principles that serves as a practical framework for decision-making, integrity, and service during both routine and challenging circumstances.
Carl
Richards
Creator of the "Sketch Guy" Column, The New York Times
Carl Richards
Creator of the "Sketch Guy" Column, The New York Times
Carl Richards — creator of The New York Times' “Sketch Guy” column and a trusted voice in the financial planning world for more than 25 years — delivers a transformational experience for financial professionals. Drawing from hundreds of keynote events, thousands of real-life conversations, and the most powerful insights from his new book, Richards weaves live sketching, storytelling, and timeless human truths into a session that is both deeply engaging and profoundly practical.
Your Money: Reimagining Wealth Through Simple Sketches (1 Ethics CE)
4:15 pm - 5:30 pm, Tuesday, Nov 17, 2026
This isn't about performance or products — it’s about the emotional side of money and the real work of advice. Through a carefully curated selection of sketches, Carl Richards helps advisors move beyond rigid financial plans toward a more adaptable, values-based approach. By exploring the critical tensions that define the advisor-client relationship, this session equips attendees with the language, metaphors, and frameworks to help clients make better decisions and have the conversations that truly matter.
Learning Objectives:
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Identify key behavioral biases that impact financial decision-making and learn strategies to help clients navigate uncertainty with confidence.
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Develop specific language and frameworks to improve client communication, fostering trust and long-term engagement.
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Differentiate between rigid financial planning and an iterative, client-centered process that embraces uncertainty and course correction.
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Utilize sketches and simple visual frameworks to clarify complex financial concepts and facilitate deeper client understanding.
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Learn how to balance facts and emotions in financial discussions, using empathy and behavioral insights to guide clients toward better financial outcomes.
Jeffrey
Sherman
Deputy Chief Investment Officer, DoubleLine
Jeffrey Sherman
CFA®
Deputy Chief Investment Officer, DoubleLine
Jeffrey Sherman is deputy chief investment officer at DoubleLine and is a recognized thought leader, portfolio manager, and public speaker in the investment industry. Sherman is a member of DoubleLine’s fixed-income and global asset allocation committees and serves as lead portfolio manager for the firm’s multisector and derivative-based strategies. In this role, he helps guide investment teams in developing top-down macroeconomic views and collaborative asset allocation processes throughout market cycles. He is also a member of DoubleLine’s executive management committee. In 2018, Money Management Executive named Sherman one of its “10 Fund Managers to Watch.” Before joining DoubleLine in 2009, he was a senior vice president at TCW, where he worked as a portfolio manager and quantitative analyst focused on fixed-income and real-asset portfolios. Earlier in his career, Sherman was a statistics and mathematics instructor at the University of the Pacific and Florida State University. He also taught quantitative methods for Level I candidates in the USC/CFALA CFA® Review Program for many years. Sherman holds a BS in applied mathematics from the University of the Pacific and a Master of Science in financial engineering from Claremont Graduate University. He is a CFA® charterholder.
Ilias
Benjelloun
Senior Vice President, Portfolio Strategy Team, Macquarie Asset Management
Ilias Benjelloun
Senior Vice President, Portfolio Strategy Team, Macquarie Asset Management
Ilias Benjelloun is a senior vice president at Macquarie Asset Management (MAM) and leads one of the portfolio strategy teams. Since joining Macquarie in 2010, Benjelloun has played a pivotal role in investment and asset management within MAM’s infrastructure funds business. Throughout his tenure, Benjelloun has held senior roles in London and Sydney, focusing on utility, transportation, digital, green energy, and waste infrastructure investment opportunities. During his time in Sydney, he gained extensive experience in the power grid sector, holding board positions across two distribution and transmission businesses in New South Wales and South Australia. Benjelloun earned a Bachelor of Science in international business from Maastricht University and a Master of Science in finance from EDHEC Business School.
Inside Infrastructure: The Macquarie Edge—Megatrends, Macro Shifts, and Market Opportunities (1 CE)
9:30 am - 10:20 am, Monday, Nov 16, 2026
Infrastructure is being rebuilt at an unprecedented speed as digitalization, electrification, and decarbonization reshape global demand, while inflation, interest rate normalization, and geopolitical uncertainty continue to test markets. This session examines the macroeconomic backdrop, the megatrends driving infrastructure investment, and how private capital supports the essential systems that enable growth. Panelists will share perspectives on navigating volatility, generating value through active stewardship, and investing in infrastructure designed to meet the demands of a faster-changing world.
Learning Objectives:
-
Identify the macroeconomic factors influencing infrastructure investment today, including interest rate normalization, inflation persistence, and geopolitical uncertainty.
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Explain how long term structural forces – digitalization, electrification, decarbonization, and shifting supply chains are driving sustained demand for infrastructure globally.
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Understand how experienced infrastructure investors seek to generate value across cycles through disciplined investment processes, active stewardship, and operational engagement.
Siobhan
Broadbery
Public Private Solutions Sales Specialist, Capital Group
Siobhan Broadbery
Public Private Solutions Sales Specialist, Capital Group
Siobhan Broadbery is a public-private solutions sales specialist for the eastern United States at Capital Group. Broadbery has 18 years of investment industry experience and has been with Capital Group for one year. Prior to joining Capital Group, Broadbery was a senior vice president at Brookfield Oaktree. Before that, Broadbery was a director of business development at Stone Ridge. Broadbery earned a bachelor’s degree in business administration and mathematics from Copenhagen Business School.
Allocating to Private Markets in a Higher Skepticism Era (1 CE)
10:40 am - 11:30 am, Monday, Nov 16, 2026
Relying solely on public markets may mean missing meaningful opportunities—but it also requires additional diligence. This session focuses on how advisors can incorporate illiquid and semi-liquid strategies in a disciplined way, balancing return potential with liquidity needs, governance, and tax considerations. Using real portfolio insights, we will explore how advisors and family offices structure investment policies, manage liquidity risk, and align private market exposure with long-term wealth and estate planning goals.
Learning Objectives:
-
Analyze the structural, regulatory, and market forces driving the expansion of private markets.
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Assess the yield, liquidity, and risk trade offs inherent in private market investments, including the role of interval funds in balancing access with return potential.
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Apply a disciplined implementation framework for private markets in high-net-worth portfolios, incorporating diversification, manager selection, tax-efficient asset location, and estate planning considerations.
Connor
DeLaney
Director, Global Client Solutions, KKR
Connor DeLaney
Director, Global Client Solutions, KKR
Connor DeLaney joined KKR in 2020 and is a director in Global Client Solutions. DeLaney works on a team that manages a KKR strategic partnership and is primarily responsible for sales engagement and overseeing go-to-market activities related to the broader wealth management investor universe. Previously, DeLaney served as the relationship manager for the Mid-Atlantic region on the Global Wealth Solutions team. In this role, DeLaney focused on distributing KKR’s suite of registered and private funds to financial advisors and clients of leading private wealth platforms. DeLaney joined KKR from Blackstone, where DeLaney was a member of the private wealth solutions team, serving in a similar fundraising role and covering the Midwest region. Previously, DeLaney spent three years at UBS, where DeLaney completed a rotational analyst program before joining a private wealth management team. DeLaney earned a BA in economics from Villanova University.
Allocating to Private Markets in a Higher Skepticism Era (1 CE)
10:40 am - 11:30 am, Monday, Nov 16, 2026
Relying solely on public markets may mean missing meaningful opportunities—but it also requires additional diligence. This session focuses on how advisors can incorporate illiquid and semi-liquid strategies in a disciplined way, balancing return potential with liquidity needs, governance, and tax considerations. Using real portfolio insights, we will explore how advisors and family offices structure investment policies, manage liquidity risk, and align private market exposure with long-term wealth and estate planning goals.
Learning Objectives:
-
Analyze the structural, regulatory, and market forces driving the expansion of private markets.
-
Assess the yield, liquidity, and risk trade offs inherent in private market investments, including the role of interval funds in balancing access with return potential.
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Apply a disciplined implementation framework for private markets in high-net-worth portfolios, incorporating diversification, manager selection, tax-efficient asset location, and estate planning considerations.
Sara
Dorosti
Director, Wealth Strategist, Merrill Lynch
Sara Dorosti
JD
Director, Wealth Strategist, Merrill Lynch
Sara Dorosti earned her BA at UC Berkeley and her JD at Berkeley Law. She practiced as an estate planning attorney at Pillsbury Winthrop Shaw Pittman before joining Merrill Lynch as a wealth strategist. Her expertise is in the areas of estate, tax, and business succession planning. Dorosti also is currently an adjunct professor at Berkeley Law, where she teaches trust & wills.
When Liquidity Changes Everything: Estate Planning and Family Enterprise Strategy (1 Tax & Regulations CE)
2:10 pm - 3:10 pm, Monday, Nov 16, 2026
Focusing on family enterprise planning and pre-IPO strategy, this presentation is designed for advisors working with founders whose illiquid shares may suddenly become generational wealth. It highlights key estate planning and tax strategies while exploring the hidden dynamics and common pitfalls that can derail family enterprises. Emphasizing that technical planning alone cannot resolve issues of trust, fairness, identity, and communication, this session offers practical tools to strengthen advisory relationships and help families preserve both wealth and family relationships across generations.
Learning Objectives:
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Identify what advisors should do before an IPO turns paper wealth into family complexity.
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Identify why family enterprises fail despite great plans—and how to spot the traps early.
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Identify the tools to move beyond documents and become a trusted guide for generational wealth.
Chris
Jenkins
Private Wealth Business Development Manager, Capital Group Private Client Services
Chris Jenkins
CIMA®, CPWA®, CEPA®
Private Wealth Business Development Manager, Capital Group Private Client Services
Chris Jenkins is a private wealth business development manager at Capital Group Private Client Services, part of Capital Group. Jenkins has 33 years of investment industry experience and has been with Capital Group for 18 years. Before joining Capital Group, Jenkins was a vice president at Franklin Templeton Investments. Jenkins earned a bachelor’s degree in finance from the University of Memphis. Jenkins also holds the Certified Investment Management Analyst® (CIMA®), Certified Private Wealth Advisor® (CPWA®), and Certified Exit Planning Advisor designations. Jenkins is a member of the Financial Planning Association and a member of the Investments & Wealth Institute, where he serves on the editorial advisory board.
Allocating to Private Markets in a Higher Skepticism Era (1 CE)
10:40 am - 11:30 am, Monday, Nov 16, 2026
Relying solely on public markets may mean missing meaningful opportunities—but it also requires additional diligence. This session focuses on how advisors can incorporate illiquid and semi-liquid strategies in a disciplined way, balancing return potential with liquidity needs, governance, and tax considerations. Using real portfolio insights, we will explore how advisors and family offices structure investment policies, manage liquidity risk, and align private market exposure with long-term wealth and estate planning goals.
Learning Objectives:
-
Analyze the structural, regulatory, and market forces driving the expansion of private markets.
-
Assess the yield, liquidity, and risk trade offs inherent in private market investments, including the role of interval funds in balancing access with return potential.
-
Apply a disciplined implementation framework for private markets in high-net-worth portfolios, incorporating diversification, manager selection, tax-efficient asset location, and estate planning considerations.
Mike
Kurz
Managing Director of Certification Programs, Investments & Wealth Institute
Mike Kurz
CIMA®, CPWA®, RMA®, CFP®, CAIA®
Managing Director of Certification Programs, Investments & Wealth Institute
As director of programs at the Investments and Wealth Institute, Mike Kurz leads the strategic design, delivery, and continual enhancement of the Institute’s three flagship certification education programs. Kurz oversees program innovation and operational excellence by aligning curriculum development, candidate engagement, and faculty collaboration to deliver a premier learning experience. Under his leadership, the programs team focuses on driving measurable candidate success, increasing program reach, and ensuring the Institute remains at the forefront of professional education for wealth management advisors.
CIMA® Master Class: Advanced Portfolio Consulting in the Modern Era (2 CE)
8:00 am - 9:40 am, Tuesday, Nov 17, 2026
Designed exclusively for experienced Certified Investment Management Analyst® (CIMA®) certificants, this master class explores the advanced portfolio consulting issues reshaping wealth management today. The program examines modern portfolio implementation, tax-aware and tax-forward investment strategies, direct indexing, private markets, alternative investments, outsourced solutions, and institutional portfolio construction. The course also examines emerging trends, including personalized investing, technology, and artificial intelligence, that are transforming portfolio management and advisor value propositions in an increasingly competitive marketplace.
Learning Objectives:
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Evaluate contemporary portfolio implementation structures, including outsourced models, ETFs, interval funds, private market vehicles, and alternative investment solutions, to determine after-tax suitability for sophisticated client portfolios.
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Apply advanced portfolio consulting techniques to analyze manager selection, model construction, risk exposures, tax efficiency, liquidity considerations, and portfolio architecture across varying client objectives for high-net worth families.
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Assess the evolving competitive landscape of wealth management and develop tax aware-strategies to position investment expertise effectively when competing for larger, more sophisticated client relationships.
- Understand structural and tax changes reshaping investment management, including product innovation, institutional portfolio practices, outsourcing trends, and the growing influence of technology and artificial intelligence on investment solutions and manager evaluation.
Chris
Leslie
Executive Chairman, Real Assets Americas; Senior Managing Director, Green Investments, Macquarie Asset Management
Chris Leslie
Executive Chairman, Real Assets Americas; Senior Managing Director, Green Investments, Macquarie Asset Management
Chris Leslie is executive chairman of Macquarie Asset Management’s (MAM’s) real assets business in the Americas. He is also a senior managing director for MAM Green Investments. From 2005 to 2016, Leslie served as chief executive officer of Macquarie Infrastructure Partners (MIP), where he oversaw three vintages of the fund. Following this, Leslie was global head of sustainability for MAM, during which time he was instrumental in expanding MAM’s activities and commitments to sustainability, including MAM’s commitment to net zero by 2040. Leslie earned a Bachelor of Commerce (Honours) from the University of Melbourne.
Inside Infrastructure: The Macquarie Edge—Megatrends, Macro Shifts, and Market Opportunities (1 CE)
9:30 am - 10:20 am, Monday, Nov 16, 2026
Infrastructure is being rebuilt at an unprecedented speed as digitalization, electrification, and decarbonization reshape global demand, while inflation, interest rate normalization, and geopolitical uncertainty continue to test markets. This session examines the macroeconomic backdrop, the megatrends driving infrastructure investment, and how private capital supports the essential systems that enable growth. Panelists will share perspectives on navigating volatility, generating value through active stewardship, and investing in infrastructure designed to meet the demands of a faster-changing world.
Learning Objectives:
-
Identify the macroeconomic factors influencing infrastructure investment today, including interest rate normalization, inflation persistence, and geopolitical uncertainty.
-
Explain how long term structural forces – digitalization, electrification, decarbonization, and shifting supply chains are driving sustained demand for infrastructure globally.
-
Understand how experienced infrastructure investors seek to generate value across cycles through disciplined investment processes, active stewardship, and operational engagement.
Mathew
Libordi
Director, CVC Funding, LLC
Mathew Libordi
CIMA®
Director, CVC Funding, LLC
Mathew Libordi is a director on the Client and Product Solutions team at CVC, based in San Francisco. He joined the firm in 2025. Before CVC, Libordi worked at Janus Henderson Investors, where he focused on private wealth and client coverage. He holds a BA in finance from Michigan State University.
Inside Infrastructure: The Macquarie Edge—Megatrends, Macro Shifts, and Market Opportunities (1 CE)
9:30 am - 10:20 am, Monday, Nov 16, 2026Infrastructure is being rebuilt at an unprecedented speed as digitalization, electrification, and decarbonization reshape global demand, while inflation, interest rate normalization, and geopolitical uncertainty continue to test markets. This session examines the macroeconomic backdrop, the megatrends driving infrastructure investment, and how private capital supports the essential systems that enable growth. Panelists will share perspectives on navigating volatility, generating value through active stewardship, and investing in infrastructure designed to meet the demands of a faster-changing world.
Learning Objectives:
-
Identify the macroeconomic factors influencing infrastructure investment today, including interest rate normalization, inflation persistence, and geopolitical uncertainty.
-
Explain how long term structural forces – digitalization, electrification, decarbonization, and shifting supply chains are driving sustained demand for infrastructure globally.
-
Understand how experienced infrastructure investors seek to generate value across cycles through disciplined investment processes, active stewardship, and operational engagement.
Michael
Liersch
Chief Planning Officer, Edelman Financial Engines
Michael Liersch
PhD
Chief Planning Officer, Edelman Financial Engines
Michael Liersch joined Edelman Financial Engines in August 2025 as chief planning officer. In this role, he leads the firm’s strategic agenda around financial planning, advice, and solutions. With a distinguished career spanning academia and financial services, Liersch brings deep expertise in behavioral finance and wealth planning. Before joining Edelman Financial Engines, Liersch served as head of advice and planning at Wells Fargo, where he was responsible for developing and advancing innovative, research-based methods to help clients across all wealth segments make the most of their financial resources. Before Wells Fargo, he held leadership positions including head of wealth planning and advice at J.P. Morgan Chase and head of behavioral finance at both Merrill Lynch and Barclays Americas. Earlier in his career, Liersch was a visiting professor at New York University, where he conducted original research and taught management and organizational analysis. Liersch has published in leading academic journals, is a frequent media contributor, and is known for integrating behavioral insights into financial strategy. He earned a bachelor’s degree in economics from Harvard University and a PhD in cognitive psychology from the University of California, San Diego.
What’s the Right Amount of AI in Client Interactions? Using Behavioral Finance Insights to Strike the Right Balance (1 CE)
1:00 pm - 1:50 pm, Monday, Nov 16, 2026
Behavioral finance has long highlighted the value of human advisors, often attributing a significant portion of advisor value to the coaching and guidance clients receive—especially during periods of uncertainty. As clients increasingly turn to AI for information, recommendations, and day-to-day decision-making, an important question arises: Is that value under threat, or can AI make advisors even more valuable? The answer depends on how AI is used. Join this session to explore how the intentional use of AI can strengthen, rather than erode, client trust, improve the quality of advisor-client interactions, and create more time for both advisors and clients. Michael Liersch will share real-world AI use cases from a leading RIA, along with data-driven insights on how advisors can use AI not only to demonstrate their value, but to enhance it.
Learning Objectives:
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Evaluate how artificial intelligence can either enhance or diminish advisor-client trust by applying behavioral finance principles to client interactions and communication strategies.
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Identify practical AI use cases that increase advisor efficiency, improve the quality of client engagement, and create more capacity for high-value advisory activities.
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Analyze real-world implementation examples and supporting data to determine how advisors can leverage AI to strengthen perceived and measurable client value during periods of uncertainty.
Ed
McQuarrie
Professor Emeritus, Santa Clara University
Ed McQuarrie
Professor Emeritus, Santa Clara University
Edward F. McQuarrie is professor emeritus in the Leavey School of Business at Santa Clara University. He received a PhD in social psychology from the University of Cincinnati in 1985.
McQuarrie has published in three broad areas: consumer response to advertising, with a focus on rhetoric and narrative; qualitative research techniques and market research for technology products; and emerging online consumer behaviors. He is the author of four books: "Customer Visits: Building a Better Market Focus," "The Market Research Toolbox: A Concise Guide for Beginners," "The New Consumer Online: A Sociology of Taste, Audience, and Publics," and "Visual Branding: Rhetorical and Historical Analyses."
His papers have appeared in the Journal of Consumer Research, Journal of Consumer Psychology, Journal of Advertising Research, Journal of Advertising, Marketing Theory, and other publications. McQuarrie previously served as faculty director for assessment at the Leavey School, where he was responsible for assessing learning outcomes and evaluating teaching. He also served as associate dean for graduate studies, overseeing the MBA and Executive MBA programs.
The 4% Rule Was Never Failproof: On the Folly of Fixed Rate Withdrawals (1 CE)
2:00 pm - 2:50 pm, Tuesday, Nov 17, 2026
Three decades after William Bengen introduced the 4% rule, many investors and advisors continue to view it as a safe withdrawal strategy. However, Bengen’s historical analysis had limitations, and subsequent research has shown that the 4% rule was never failproof. This session examines why no fixed withdrawal rate from a risky portfolio can ever be considered completely safe and explores newer, more flexible alternatives.
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Learning Objectives:
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Learn about the twin risks retirees face when spending down their savings: depleting assets too early or underspending and ultimately becoming the richest person in the graveyard.
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Understand why asset-to-spending ratios, such as 25 times annual spending, remain a useful planning tool for advisors counseling newly retired clients, even as the 4% rule has become less relevant.
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How to replace problematic fixed withdrawals with suitable variable plans.
Cindy
Nagel
Founder, HolistiPractice
Cindy Nagel
CFP®, ABFP®
Founder, HolistiPractice
Throughout her career, Cindy Nagel has built and sold a successful independent advisory practice, led investment programs at major financial institutions, and coached hundreds of financial advisors, from solo practitioners to multi-advisor, multioffice firms. She has also consulted with leading financial institutions nationwide on advisor development, program oversight, and strategic growth initiatives. Nagel has spoken on panels and at events across the country. Her commitment to advancing the profession includes volunteer work that encourages high school and college-aged women to explore careers in finance. Drawing on firsthand experience managing client relationships, running a business, and leading institutional programs, Nagel brings a grounded, practical perspective to her consulting, coaching, and speaking engagements.
Long-Term Care Planning: Intentional Conversations. Informed Decisions. (1 CE)
9:30 am - 10:20 am, Monday, Nov 16, 2026
Long-term care can have a significant impact on retirement planning, financial decisions, and family dynamics. Yet despite its importance, long-term care discussions are often delayed until options become more limited and decisions become more difficult. This session explores key long-term care considerations, potential planning and funding approaches, and the role advisors play in helping clients address the topic before a need arises. Participants will gain practical insights for engaging key decision-makers and helping clients evaluate potential tradeoffs to make informed decisions.
Learning Objectives:
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Identify key long-term care planning considerations that may impact retirement outcomes and client objectives.
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Recognize common barriers that prevent clients from addressing long-term care planning and apply strategies to facilitate productive discussions.
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Evaluate high-level planning and funding approaches while helping clients make informed decisions based on their unique circumstances and priorities.
Bob
Powell
Editor-in-Chief, Retirement Management Journal
Bob Powell
RMA®, CFP®
Editor-in-Chief, Retirement Management Journal
Robert Powell, CFP®, RMA®, is editor-in-chief of the Investments & Wealth Institute’s Retirement Management Journal and serves as a faculty member on the Institute’s Retirement Management Advisor® (RMA®) certification program. He serves as the editor and publisher of Retirement Daily on TheStreet.com and as a retirement columnist for USA Today and MarketWatch.com. Previously, he served as a managing director of DALBAR. He is also co-chair of the Swampscott Age-Friendly Committee, the chair of the Swampscott Council on Aging/Senior Center, and a member of the Swampscott Retirement Board. He earned a BA from Marquette University and an MS in journalism from Boston University.
Keeping it Real in Retirement: What Advisors Get Wrong about Inflation, Investing, and Spending (1 CE)
10:30 am - 11:20 am, Monday, Nov 16, 2026
Join retirement professionals for a timely fireside chat exploring why inflation-adjusted spending typically declines over the course of retirement, and what that reality means for how individuals save, invest, and draw income. The conversation will unpack the data behind changing retiree spending patterns, the ongoing impact of inflation and healthcare costs, and how these trends should shape asset allocation decisions before and during retirement. Attendees will come away with practical insights to help better align retirement strategies with how people actually spend later in life.
Learning Objectives:
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Explain the pattern of inflation-adjusted spending in retirement and findings on why retirees outlays tend to decline over time.
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Describe the interaction between inflation risk and retirement spending needs, especially the role of healthcare costs that often rise faster than broad inflation.
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Assess how declining real spending patterns should influence pre-retirement savings rates and portfolio asset allocation decisions.
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Evaluate strategies for sequencing retirement income and spending, including the roles of guaranteed income sources verses market-dependent withdrawals.
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Identify planning implications of the "retirement spending smile" and how spending needs shift across retirement stages.
Ross
Riskin
Chief Creative Officer, visiWealth
Ross Riskin
DBA, CPA/PFS™, CCFC, MS Tax
Chief Creative Officer, visiWealth
Ross Riskin's research and professional expertise focus on advice engagement, education planning, and tax and wealth transfer planning for high-income and high-net-worth individuals. He serves as the founder and chief creative officer at visiWealth, vice president at Riskin & Riskin, PC, and managing member of Riskin Wealth Management, LLC. In addition, Riskin sits on the advisory council for the American Institute of Certified College Financial Consultants and acts as a senior strategy advisor for the Investments & Wealth Institute. Riskin is the author of “The Adviser’s Guide to Education Planning: 1st and 2nd Editions,” which are published by the AICPA. Riskin has been the recipient of the 40 Under 40 Award from both InvestmentNews and CPA Practice Advisor and has received the Standing Ovation in Personal Financial Planning Award from the AICPA, and the Accounting Educator of Excellence Award from the Connecticut Society of CPAs. He has been quoted in media outlets such as The Wall Street Journal, CNBC, Yahoo Finance, U.S. News, The New York Times, and Investment News, and has also been published in journals such as the Journal of Wealth Management, Journal of Financial Planning, Journal of Accountancy, Tax Notes, and the Journal of Multistate Taxation and Incentives.
Act, Qualify, or Coordinate: A New Framework for Year-End Tax Planning (1 Tax & Regulations CE)
2:00 pm - 2:50 pm, Tuesday, Nov 17, 2026
Not all year-end tax planning opportunities are created equal. Some require immediate action before December 31, others arise automatically based on life events or tax law changes, and many require coordinating multiple planning decisions to unlock the greatest benefit. The challenge for advisors is knowing where to look, which clients may qualify, and how to prioritize opportunities before the year closes. This session will provide a practical framework for identifying year-end tax planning opportunities based on client profile and planning complexity. Rather than reviewing a disconnected list of tax strategies, attendees will learn how to systematically evaluate planning opportunities for business owners, executives, retirees, high-income professionals, investors, families funding education, charitably inclined individuals, and clients experiencing major life transitions.
Learning Objectives:
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Distinguish between planning opportunities that require immediate action, those triggered by client circumstances, and those requiring coordinated decision-making.
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Identify high-impact tax planning strategies for business owners, executives, retirees, investors, and high-income families.
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Understand how year-end planning opportunities can affect both tax and non-tax outcomes and develop strategies that align with a client's broader financial objectives.
Tim
Steffen
Director of Advanced Planning, Private Wealth Management, Baird
Tim Steffen
CPA/PFS™, CFP®, CPWA®
Director of Advanced Planning, Private Wealth Management, Baird
Tim Steffen is director of advanced planning for Baird and is responsible for researching, writing, and speaking on important planning issues that impact Baird’s clients. This includes topics related to retirement and estate planning, tax law, executive compensation, business ownership, legislative changes, and overall best practices.
Steffen originally joined Baird in 1999, serving in a variety of planning-oriented roles. Steffen left Baird in 2019 to join the advisor education team at PIMCO before returning in 2021. Prior to 1999, Steffen worked in Arthur Andersen’s Private Client Services group in Milwaukee, where Steffen specialized in tax and financial planning. Steffen’s clients included corporate executives, business owners, and families.
Steffen earned a bachelor’s degree in accounting from the University of Illinois in 1991. Steffen is a CPA/PFS, a CFP® professional, a CPWA® professional, and a member of the American Institute of CPAs, the Wisconsin Institute of CPAs, the Investments & Wealth Institute, and the Financial Planning Association.
Commentary from Steffen on a wide range of financial planning topics has been featured in national, regional, and trade media such as The Wall Street Journal, Bloomberg Businessweek, Kiplinger’s, U.S. News & World Report, Morningstar, CNBC.com, and InvestmentNews. In addition, Steffen speaks to numerous client and professional groups about tax and financial planning topics and has taught financial planning classes for the Investments & Wealth Institute and at the University of Wisconsin–Madison.
Benjamin
Taylor
Managing Director, Macquarie Asset Management
Benjamin Taylor
CFA®
Managing Director, Macquarie Asset Management
Benjamin Taylor is a managing director for Macquarie Asset Management and is responsible for fundraising, investor relationships, and product development for private credit throughout the Americas. Before joining Macquarie, Taylor was a managing director at Audax Private Debt, where he led the company’s insurance solutions efforts and was responsible for fundraising on a global basis. Before that, he held similar roles at Pinnacle Trust Partners, Intermediate Capital Group, and Schroder Adveq. He has more than 15 years of industry experience. Taylor earned a Bachelor of Business from the University of Newcastle and a Master of Commerce from the University of Sydney. He also holds the Chartered Financial Analyst designation.
Inside Infrastructure: The Macquarie Edge—Megatrends, Macro Shifts, and Market Opportunities (1 CE)
9:30 am - 10:20 am, Monday, Nov 16, 2026
Infrastructure is being rebuilt at an unprecedented speed as digitalization, electrification, and decarbonization reshape global demand, while inflation, interest rate normalization, and geopolitical uncertainty continue to test markets. This session examines the macroeconomic backdrop, the megatrends driving infrastructure investment, and how private capital supports the essential systems that enable growth. Panelists will share perspectives on navigating volatility, generating value through active stewardship, and investing in infrastructure designed to meet the demands of a faster-changing world.
Learning Objectives:
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Identify the macroeconomic factors influencing infrastructure investment today, including interest rate normalization, inflation persistence, and geopolitical uncertainty.
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Explain how long term structural forces – digitalization, electrification, decarbonization, and shifting supply chains are driving sustained demand for infrastructure globally.
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Understand how experienced infrastructure investors seek to generate value across cycles through disciplined investment processes, active stewardship, and operational engagement.
Jim
Tobin
Founder and Chief Executive Officer, River Communications
Jim Tobin
Founder and Chief Executive Officer, River Communications
Jim Tobin is founder of River Communications, a strategic integrated communications firm that works with leading financial and professional services companies. Since launching the firm in 1989, Tobin and the River team have helped industry leaders sharpen their messages, communicate complex ideas clearly, and build stronger connections with the audiences that matter most. Before founding River Communications, Tobin was a partner at Rubenstein, Wolfson & Co., a financial public relations firm later acquired by Shandwick International. A former journalist and writer, he began his career with Yachting, Skiing, and Management Review magazines. Tobin is a graduate of Iona College and has taught in Iona’s graduate communications program as an adjunct professor.
Make It Memorable: Communication Techniques That Help Advisors Leave a Lasting Impression (0.5 CE)
7:20 am - 7:45 am, Tuesday, Nov 17, 2026
In a crowded and competitive advisory marketplace, technical expertise alone is not enough. Financial professionals need to communicate in ways that are clear, memorable, and relevant to the clients and prospects they want to reach.
In this session, Jim Tobin, founder of River Communications, will share practical communication and presentation techniques designed to help advisors sharpen their messages, tell more compelling stories, and leave stronger impressions in client conversations, prospect meetings, and other high-stakes interactions. Drawing on more than three decades of experience helping financial services professionals communicate complex ideas with clarity and impact, Tobin will offer actionable guidance advisors can use to become more confident, concise, and persuasive communicators.
Learning Objectives:
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Sharpen advisors' core message by identifying the most important ideas they want clients and prospects to remember.
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Communicate complex financial concepts more clearly using storytelling, structure, and plain-language techniques that improve understanding and engagement.
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Strengthen advisors' presentation presence by applying practical techniques that help them build trust, project confidence, and leave a lasting impression.
Janelle
Ward
Director, Business Consulting & Education, Schwab Advisor Services
Janelle Ward
Director, Business Consulting & Education, Schwab Advisor Services
Janelle Ward leads Schwab’s business startup, transition planning, and technology consulting teams, partnering with prospective advisors who are evaluating independence and are preparing to launch or transition to an RIA. Her specialized teams work directly with breakaway, hybrid, and existing independent advisors through in-depth exploration, designing operating models, and executing complex transitions. She brings more than 20 years of industry experience focused on the RIA segment, spanning consulting, leadership, and advisor engagement roles. Before Schwab, she spent 14 years at TD Ameritrade Institutional supporting advisor growth, technology adoption, and business strategy. Ward collaborates closely with advisors and field teams across the country to accelerate decision-making and improve transition outcomes.
Building a Strong Advisory Firm: A Four-Dimension Framework (0.5 CE)
11:00 am - 11:25 am, Tuesday, Nov 17, 2026
Advisors today have more flexibility than ever in how they build and operate their firms. With that flexibility comes added complexity, as leaders balance client expectations, operations, team dynamics, and long-term business goals. This session introduces a practical framework to help advisors step back and clarify what matters most when building and running a firm. Using four core dimensions—control, infrastructure, economics, and community—we will explore how each area shapes key business decisions, how they work together to influence outcomes, and how to evaluate trade-offs, align decisions with priorities, and design a business that functions effectively over time. Attendees will leave with a clearer way to assess their current approach and identify opportunities to strengthen their firm’s strategy and operations.
Learning Objectives:
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Explore how control, infrastructure, economics, and community shape core business decisions within an advisory firm.
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Assess how decisions in one dimension influence outcomes in others, including operations, financial performance, and team dynamics.
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Clarify priorities, identify trade-offs, and make more intentional decisions when building or refining a firm’s strategy.
David
York
Managing Partner, York Howell
David York
Esq., CPA
Managing Partner, York Howell
David R. York is an attorney, certified public accountant, and managing partner with the Salt Lake City law firm York Howell. York practices law in estate planning, tax, business planning, and nonprofit entities. He is a fellow of the American College of Trust and Estate Counsel and a dean with the Purposeful Planning Institute.
York has been recognized by Chambers and Partners in estate planning, a distinction awarded to approximately the top 2% of attorneys in the field. He has extensive experience designing and implementing advanced wealth-planning strategies for ultra-high-net-worth clients, as well as working with charitable planning, purpose trusts, private trust companies, and advanced trust planning.
York has spoken to hundreds of public groups and professional organizations, including TED, Q Commons, Stanford University, the Purposeful Planning Institute, Million Dollar Round Table, and the Investments & Wealth Institute.
He is the author of "The Gift of Lift: Harnessing the Power of Stewardship to Elevate the World" and the children’s book "Dudley’s Castle." He is also the co-author of "Entrusted: Building a Legacy That Lasts" and "Riveted: 44 Values That Change the World." York has written for Trusts & Estates, Estate Planning Magazine, and Investments & Wealth Monitor.
In 2023, York co-founded Corenology™, a software-as-a-service company that provides qualitative tools and resources to help financial professionals identify and understand their clients’ unique values so they can connect purpose and planning.
The Business of Family (1 CE)
9:20 am - 10:10 am, Monday, Nov 16, 2026
There are more than 5 million family businesses in the United States. As a general rule, family businesses outperform nonfamily businesses, are more values-driven, and tend to retain employees during difficult economic times. That said, family businesses also face unique and complex challenges. This presentation will focus on how advisors can help family businesses successfully navigate the challenges that arise at the intersection of business and family. It will also explore the six types of family businesses and the practical yet critical steps families can take to sustain a successful multigenerational business into the future.
Learning Objectives:
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Understand the unique strengths and vulnerabilities of family businesses.
Participants will be able to explain why family businesses outperform non-family firms in culture, long-term returns, and employee retention, while also identifying the key risks (i.e., succession failures, lack of preparation, and family-dynamics risks) that jeopardize multigenerational continuity. -
Distinguish the six types of family businesses and the four types of successors. Participants will learn to classify family enterprises into the six operating patterns and recognize how successor mindsets (consumers, dreamers, owners, and stewards) drive either continuity or decline, enabling advisors to guide families toward stewardship-focused leadership models
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Apply a practical framework for stewarded succession and governance.
Participants will understand and be able to implement the five steps toward a stewarded succession (including balancing rights/responsibilities, embedding meaning, documenting rulebooks, cultivating culture, and shifting from a focus on assets to people) to help families navigate the intersection of business and family across generations.
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