Mark
Anson
Chief Executive Officer, Commonfund
Mark Anson
PhD, CFA®, CAIA®
Chief Executive Officer, Commonfund
Mark Anson is chief executive officer of Commonfund and chair of the boards of CF Private Equity and Commonfund OCIO. Previously, Anson was president and chief investment officer of the Bass Family Office in Fort Worth, Texas, which was recognized as family office of the year in 2014 and 2015. He also served as president and global head of investment management at Nuveen Investments, where he oversaw more than $900 billion in assets under management.
Before Nuveen, Anson was chief executive officer and chief investment officer of the British Telecom Pension Scheme (BTPS), then the United Kingdom’s largest institutional investor, with £55 billion in assets. He also served as chief executive officer of Hermes Pensions Management in London, a £60 billion asset management firm wholly owned by BTPS. Earlier in his career, Anson was chief investment officer of the California Public Employees’ Retirement System (CalPERS), the largest institutional investor in the United States at the time.
Anson currently serves as a trustee, committee member, and chair of the investment committee for the $65 billion UAW Retiree Medical Benefits Trust. He also serves on the law board of Northwestern University Pritzker School of Law, the board of PanAgora Asset Management, and the board of directors of the Toigo Foundation. Anson is the only person to have served on the board of governors of both CFA Institute and the CAIA Association. He was an inaugural member of the SEC Investor Advisory Committee and served as chair of the International Corporate Governance Network.
Anson has published more than 90 articles in professional investment journals and has received three best paper awards. He is the author of five finance textbooks, including "Handbook of Alternative Assets," the primary textbook for the Chartered Alternative Investment Analyst program.
Anson earned a BA in economics and chemistry from St. Olaf College, a master’s degree and a PhD in finance from Columbia University Graduate School of Business, and a JD from Northwestern University School of Law, graduating with honors from each institution. He has received numerous industry honors, including the Lifetime Achievement Award in Pension Fund Management from Plan Sponsor and the CAIA Leadership Award from the CAIA Association.
Anson is a Chartered Financial Analyst, Chartered Alternative Investment Analyst, Certified Public Accountant, and Chartered Global Management Accountant. He is also admitted to the bar in New York and Illinois.
Ahead of the Curve: Lessons From a Career in Investment Innovation (1 CE)
4:30 pm - 5:30 pm, Monday, Nov 16, 2026
In this interview-style conversation, Mark Anson reflects on a career spent challenging conventional investment thinking and advancing ideas before they entered the mainstream. Throughout his career, Anson has consistently embraced innovation, even when some of his ideas were not immediately adopted. This conversation explores how investment innovation moves from insight to implementation—and why timing, governance, communication, and institutional culture often matter as much as the ideas themselves.
Learning Objectives:
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Explain how innovative investment ideas progress from initial insight to institutional implementation.
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Assess how timing, governance, communication, and organizational culture influence whether new investment approaches are adopted.
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Apply lessons from Mark Anson’s career to evaluate, communicate, and advance investment innovations within their own organizations.
Jeff
Bush
Principal of The Washington Update; Authority on Nonpartisan Politics, Tax and Legal Policy, Finance and Economy, The Washington Update
Jeff Bush
Principal of The Washington Update; Authority on Nonpartisan Politics, Tax and Legal Policy, Finance and Economy, The Washington Update
Jeff Bush is one of America’s most sought-after keynote speakers on Washington policy, politics, and the economy. As principal of The Washington Update, Bush helps audiences navigate the intersection of Washington, Wall Street, and Main Street. His nonpartisan analysis helps investors, business owners, executives, and financial professionals understand how political and policy decisions affect markets, taxes, retirement planning, and economic growth.
Known for combining serious insight with humor and energy, Bush has built a reputation for making complex issues understandable, engaging, and actionable. He often jokes that he has one of the toughest jobs in America: making Washington entertaining.
Before joining The Washington Update, Bush spent more than 30 years in the financial services industry, managing a sales organization responsible for more than $50 billion in sales. He also became the youngest managing partner in the 150-year history of New England Financial.
Today, Bush is one of the nation’s most-booked keynote speakers on Washington policy, delivering more than 200 presentations each year to corporate, association, and private audiences across the United States and around the world. His presentations cut through media noise and political rhetoric to focus on what matters most to businesses, investors, and decision-makers.
Bush has appeared on CNBC’s "Nightly Business Report," is a frequent guest on SiriusXM’s POTUS channel, and has been featured in InvestmentNews, ThinkAdvisor, WealthManagement.com, Wealth Solutions Report, and numerous other media outlets. Throughout his career, he has shared the stage with influential economic leaders, including former Federal Reserve Chair Ben Bernanke and former Federal Reserve Vice Chair Stanley Fischer.
Whether discussing elections, tax policy, retirement legislation, the federal budget, or the economic outlook, Bush delivers clear, balanced insights that audiences can immediately apply to their businesses, investments, and strategic planning. He holds a degree in business administration from William Jewell College, with emphases in accounting, computer science, and philosophy.
A Nonpartisan Overview of the Political Environment, Prospective Legislation,
and Strategies for Investment and Retirement Planning (1 CE)
8:00 am - 9:15 am, Monday, Nov 16, 2026
Jeff Bush provides a nonpartisan overview of the policies, legislation, and regulatory developments shaping the economy, financial markets, and the advisory profession. Drawing on more than 30 years of experience in financial services and political analysis, Bush helps advisors understand how developments in Washington translate into actionable planning opportunities for clients.
As 2026 unfolds, Washington is navigating the midpoint of President Trump’s second term and one of the most consequential legislative periods in recent years. Following enactment of the One Big Beautiful Bill in 2025, Congress and federal agencies continue implementing its tax provisions and issuing guidance that could affect investors and financial planning strategies.
Bush explains how evolving tax policy, fiscal pressures, regulatory changes, and the political landscape are influencing markets, investor confidence, and the advice financial professionals provide.
Key topics include:
Election-year politics and market sentiment: How the 2026 midterm elections, campaign priorities, polling trends, and the battle for control of Congress could influence investor behavior and market performance.
Tax policy developments: An update on implementation of the 2025 tax legislation, potential additional tax proposals, and planning considerations for advisors and investors.
Fiscal policy and the federal deficit: The implications of budget negotiations, rising national debt, entitlement spending, and Treasury yields for markets and long-term economic growth.
Trade and regulatory policy: How tariffs, executive actions, and global trade developments involving China, Mexico, and the European Union may affect inflation, manufacturing, and capital markets.
Retirement policy outlook: What advisors should watch for regarding retirement savings incentives and potential future changes affecting required minimum distributions, catch-up contributions, and Roth accounts.
Attendees will leave with practical, nonpartisan insights to help interpret Washington developments, anticipate policy shifts, and make more informed investment and planning decisions for clients.
Learning Objectives:
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Analyze how 2026 election-year dynamics, congressional control, and fiscal policy debates may influence market sentiment, investor confidence, and client decision-making.
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Evaluate the potential impact of tax policy changes, OB3 implementation rules, deficit trends, and Treasury yield fluctuations on investor planning strategies.
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Identify key regulatory, trade, retirement, and Social Security developments that may affect financial advisors, business leaders, and investors throughout 2026.
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.
Dana
Anspach
Founder and Chief Executive Officer, Sensible Money
Dana Anspach
RMA®, CFP®
Founder and Chief Executive Officer, Sensible Money
SDana Anspach is a retirement income specialist and founder of Sensible Money, a firm dedicated to helping people successfully transition from saving for retirement to living off their savings. Anspach is the author of "Living Off Your Acorns: Your Guide to the Four Phases of Retirement," "Control Your Retirement Destiny," and "How to Plan for the Perfect Retirement," a lecture series produced with The Great Courses. She also co-hosts the YouTube channel "Making Retirement Make Sense." Practicing since 1995, Anspach combines analytical retirement income planning with a deep understanding of the emotional side of retirement, helping people make confident decisions about one of life’s biggest financial transitions.
Retirement Isn't Static: Aligning Advice with the Four Phases of Retirement (1 CE)
1:00 pm - 1:50 pm, Monday, Nov 16, 2026
Retirement planning often focuses on helping clients reach retirement, yet the decades that follow present an evolving set of financial, tax, investment, health care, and behavioral challenges. This session introduces a practical framework for viewing retirement through four distinct phases—Pre-Go, Go-Go, Slow-Go, and No-Go—and explores how the primary retirement risks evolve throughout each stage. Attendees will learn why retirement risk allocation differs from traditional portfolio allocation, how spending models can better align with retirement realities, and how success metrics such as the funded ratio can guide client decisions and complement the traditional Monte Carlo metric. The result is a more intentional, client-centered approach to retirement planning that builds on the principles of the Retirement Management Advisor® (RMA®) framework.
Learning Objectives:
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Differentiate between traditional portfolio allocation and retirement risk allocation.
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Identify how the primary retirement risks and planning priorities evolve across the Pre-Go, Go-Go, Slow-Go, and No-Go phases of retirement.
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Describe how a household funded ratio can inform annual spending, gifting, and risk-capacity decisions.
Wayne
Badorf
Managing Director, Consulting Strategy and Execution, Invesco Global Consulting
Wayne Badorf
CFP®, CFS®, BFAManaging Director, Consulting Strategy and Execution, Invesco Global Consulting
Wayne Badorf is managing director of consulting strategy and execution for Invesco Global Consulting, where he leads the research and development of content presented by the consulting team at leading industry conferences across the United States. He also coaches some of the industry’s top financial advisory teams and represents the Invesco Global Consulting coaching and consulting platform to financial professionals throughout the Midwest. Before joining Invesco in 2020, Badorf was head of intermediary distribution at Wells Fargo Asset Management, where he led a team of more than 140 professionals responsible for distributing mutual funds and separately managed accounts through broker-dealers, registered investment advisors, private banks, and retirement recordkeepers. Badorf has presented on a wide range of financial topics at industry conferences, webinars, and branch offices. He has also been interviewed by financial media on practice management, wealth management, and generational planning. In addition, he led multiple strategic and leadership initiatives across the firm and served as an executive sponsor for the My Generation employee network. Earlier in his career, Badorf was national sales manager and a divisional manager at Wells Fargo Asset Management. Badorf holds the CERTIFIED FINANCIAL PLANNER® certification, the Certified Fund Specialist and Behavioral Financial Advisor designations, and FINRA Series 7, 24, and 63 registrations. He earned a BA in business administration from Millersville University.
Winning the Next Generation: Building Priceless Connections Through Innovation (2 CE)
2:30 pm - 4:10 pm, Sunday, Nov 15, 2026
As the next generation takes on a larger role in family wealth decisions, advisors have an opportunity to build trust earlier, strengthen relationships, and demonstrate value across the entire family. In this session, Invesco’s experts will explore what the next generation of investors values, how client expectations are evolving, and how advisors can translate those insights into more meaningful client conversations and portfolio discussions. The first 55 minutes will feature "Priceless Connections," a research-driven discussion examining what clients and their families value most, how generational expectations differ, and why engaging the next generation before a wealth transfer can help advisors build trust and strengthen long-term relationships. The session concludes with Invesco’s exchange-traded fund (ETF) specialists, who will connect those client insights to practical conversations about innovation-driven investing. They will discuss the evolving innovation landscape, recent updates to the Nasdaq-100 Index methodology, and approaches for building more comprehensive exposure to innovative companies and investment themes that may resonate with next-generation clients.
Learning Objectives:
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Recognize generational shifts in client expectations and apply those insights to support client conversations.
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Develop strategies to engage clients’ heirs earlier and strengthen relationships before wealth transfer events occur.
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Translate newer investor interests into actionable portfolio conversations around innovation-driven investing.
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:
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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.
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:
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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.
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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.
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.
Brian
Elliott
Senior Vice President, Director of Institutional Division, Genter Capital Management
Brian Elliott
Senior Vice President, Director of Institutional Division, Genter Capital Management
Brian Elliott is senior vice president and head of the institutional division at Genter Capital. He is also a member of the firm’s executive management committee and investment policy committee. Elliott brings more than 30 years of industry experience to his roles.Before joining Genter Capital, Elliott worked at Northern Trust, where he was senior vice president of foundation and institutional advisors and was responsible for sales and marketing for investment management, advisory, and asset servicing services. Before joining Northern Trust, he was chief marketing officer for Kayne Anderson Rudnick and vice president of managed accounts at AllianceBernstein. Elliott earned a BA in economics and history from Southern Methodist University and an MBA from the University of California, Irvine.
Is the Bloomberg Agg the Right Benchmark for Retail Investors? (0.5 CE)
10:00 am - 10:25 am, Tuesday, Nov 17, 2026
The Bloomberg U.S. Aggregate Bond Index has long been the standard benchmark for core fixed income portfolios. But with interest rates remaining higher for longer and uncertainty surrounding inflation and economic growth, many investors are questioning whether the Agg is still the right benchmark. This session will examine how today’s market environment has changed the fixed income landscape and whether investors are being adequately compensated for the additional duration risk within the Agg. It will compare the Agg with other fixed income benchmarks and explore how benchmark selection may affect returns, duration, and portfolio construction.
Learning Objectives:
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Evaluate how today's interest rate, inflation, and economic environment has affected the risk and return characteristics of the Bloomberg U.S. Aggregate Bond Index compared with the Bloomberg Government/Credit Intermediate Index.
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Compare the Bloomberg U.S. Aggregate Bond Index and the Bloomberg Government/Credit Intermediate Index, including differences in duration, return potential, and portfolio construction.
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Evaluate how the shift from a decadeslong bond bull market to a higher interest rate environment has changed the trade-off between yield and duration risk and the role of traditional fixed income benchmarks.
David
Finley
Senior Strategy Consultant, AlphaScale
David Finley
Senior Strategy Consultant, AlphaScale
David Finley is a leading advisor positioning strategist with more than three decades of specialized expertise helping financial advisors and wealth management firms differentiate, grow, and lead. As a senior strategy consultant at Alpha Scale and president and chief strategist of Wealth Brand Partners, Finley has guided hundreds of advisors and boutique wealth firms in sharpening their competitive positioning and adapting their businesses to shifting wealth demographics and evolving client expectations.
Since beginning his career in 1993, Finley has founded, scaled, and successfully exited two specialty broker-dealers and held senior executive and complex manager roles at major national firms. He also was a partner in a $1 billion practice recognized as one of the fastest-growing advisory businesses in Canada, driven in part by innovative digital publishing and marketing strategies that accelerated asset growth by more than $100 million annually.
Finley’s experience spans advisor services, enterprise marketing, branch leadership, and mergers and acquisitions, giving him a broad perspective on both strategy and execution. Today, he works with growth-oriented advisors seeking to become market leaders in clearly defined specialties, helping them clarify their messages, strengthen their positions within their niches, and build enduring enterprise value.
Elevate Your Team: Building a Team-Led Practice (2 CE)
8:00 am - 9:40 am, Tuesday, Nov 17, 2026
Your team should do more than support the business. It should be one of your greatest sources of capacity, differentiation, and client value. In this interactive two-hour workshop, advisors will work alongside peers to explore what it takes to build a truly team-led practice—one in which team members are empowered to lead, contribute, and take greater ownership internally while being recognized by clients as integral to the relationship. Building on the principles of market leadership and effective positioning, the workshop will examine team leadership from two critical perspectives: how the team operates within the practice and how clients experience the team’s depth and value. Through facilitated discussion, practical frameworks, and assessment tools, participants will identify opportunities to strengthen alignment and accountability, elevate individual contributions, and reduce unnecessary dependence on the lead advisor. The workshop will also explore how to intentionally elevate the visibility, credibility, and perceived value of the team with clients. Participants will consider how roles, specialized expertise, and professional credentials can be positioned more effectively to demonstrate the collective strength of the team and create greater client confidence in the depth of talent supporting their financial lives. Throughout the workshop, advisors will share experiences, test ideas, and work through real-world team challenges with peers. Participants will apply the frameworks to their own practices, identify priority leadership actions, and translate insights into meaningful next steps.
Learning Objectives:
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Assess the team’s current level of alignment, empowerment, and client visibility.
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Identify opportunities to increase ownership and accountability while reducing leader dependency.
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Elevate the contribution, leadership, and development of individual team members.
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Position the team’s collective expertise as a meaningful source of differentiation.
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Showcase specialized knowledge, roles, and credentials to strengthen credibility and client confidence.
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Prioritize practical leadership moves and actions to implement immediately within the practice.
Matt
Goren
Director of Curriculum, Global Financial Planning Institute
Matt Goren
PhD, CFP®
Director of Curriculum, Global Financial Planning Institute
Matt J. Goren designs and delivers financial planning education at scale. He combines lessons from his teaching experience with best practices in adult education, artificial intelligence, and organizational psychology. Goren was named to InvestmentNews’ "40 Under 40" list and has received national awards from ThinkAdvisor, Investopedia, Yahoo Finance, and the Association for Financial Counseling & Planning Education. Goren is chief strategy officer for Danko Education, which offers one of the most widely used CFP® exam preparation courses. He is also co-founder of the Global Financial Planning Institute, a mentor with FinServ Foundation, and serves with the Financial Planning Association. Previously, Goren led the CFP® education programs at Dalton Education and The American College. He also served as director of knowledge for practice at CFP Board, was a professor of personal finance at the University of Georgia, and created and produced the personal finance program "Nothing Funny About Money" on NPR.
Mind the (Culture) Gap: Why Expats Come Back and How it Wrecks Their Finances (1 CE)
1:00 pm - 1:50 pm, Monday, Nov 16, 2026
Americans’ interest in moving abroad has never been higher—but do they know what they’re getting into? Failing to consider both the financial and psychological implications of a cross-border move can be extremely costly. This session explores the growing trend of Americans considering life abroad, why so many ultimately return home, and what financial professionals need to understand to effectively support globally mobile clients.
Learning Objectives:
-
Discuss current trends in cross-border migration and U.S. expatriation.
-
Identify cross-border financial planning essentials to determine appropriate planning strategies.
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Recognize and address the psychological, emotional, and behavioral factors that impact a client’s decision to move abroad and integrate these considerations into a comprehensive financial planning process.
Seth
Jeffries
Financial Advisor, TIAA-Cref Individual & Institutional Services, LLC
Seth Jefferies
RMA®
Financial Advisor, TIAA-Cref Individual & Institutional Services, LLC
Seth Jefferies is a director on TIAA Wealth Management’s product and business development team and has been with TIAA for 15 years. In his role, Jefferies works closely with wealth management advisory teams nationwide to deepen their understanding of TIAA’s retirement products, retirement advice methodologies, and retirement and wealth strategies, helping advisors deliver better outcomes for retirees. Throughout his career at TIAA, Jefferies has worked with hundreds of associates who, in turn, empower retirees to retire when and how they choose. He champions the belief that quality of life in retirement is determined more by retirement income than by net worth. Jefferies holds the Retirement Management Advisor® (RMA®) certification and serves on the Investments & Wealth Institute’s RMA Commission.
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:
-
Explain the pattern of inflation-adjusted spending in retirement and findings on why retirees outlays tend to decline over time.
-
Describe the interaction between inflation risk and retirement spending needs, especially the role of healthcare costs that often rise faster than broad inflation.
-
Assess how declining real spending patterns should influence pre-retirement savings rates and portfolio asset allocation decisions.
-
Evaluate strategies for sequencing retirement income and spending, including the roles of guaranteed income sources verses market-dependent withdrawals.
-
Identify planning implications of the "retirement spending smile" and how spending needs shift across retirement stages.
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.
Melissa
Kemp
Chief Executive Officer, FPA Arizona
Melissa Kemp
CFP®, AEP®, CAP®, CNAP®
Chief Executive Officer, FPA Arizona
Melissa Kemp delivers ethics education that professionals remember and apply. Kemp is a recognized CFP® ethics instructor, CEO of FPA Arizona, and the primary creator and author of LearningHub+, a modern learning framework designed to elevate professional judgment, adult learner engagement, and community capacity. She is widely recognized for transforming mandatory ethics continuing education content into an interactive, practical, and thought-provoking experience. Kemp’s ethics expertise is grounded in regulatory and governance service at a variety of professional levels. She served as a CFP Board hearing panel volunteer in 2019, was appointed to the Disciplinary and Ethics Commission from 2021 to 2024, and currently serves on the CFP Board’s Standards Resource Commission, contributing directly to the interpretation and application of professional standards. Kemp’s courses blend real-world case studies, behavioral insights, and live audience interaction to help professionals navigate ethical gray areas with clarity and confidence. Her approach replaces “check-the-box” compliance with meaningful learning that strengthens professional judgment, a fiduciary mindset, and trust.
Ethics+: A Practical Application of CFP® Board's Code and Standards (2 CFP Ethics CE)
*For CFP® Practitioners Only
8:00 am - 10:00 am, Wednesday, Nov 18, 2026
This program fulfills the requirement for CFP Board-approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective July 1, 2024.®
Learning Objectives:
-
Apply the CFP Board’s fiduciary duty.
-
Recognize when a CFP professional is providing financial advice.
-
Understand when financial advice requires financial planning.
- Meet the duties when using or referring to other service providers and technologies.
- Become familiar with the process to uphold the code and standard.
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:
-
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.
-
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.
-
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, 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.
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:
-
Evaluate how artificial intelligence can either enhance or diminish advisor-client trust by applying behavioral finance principles to client interactions and communication strategies.
-
Identify practical AI use cases that increase advisor efficiency, improve the quality of client engagement, and create more capacity for high-value advisory activities.
-
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.
-
Learning Objectives:
-
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.
-
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.
-
How to replace problematic fixed withdrawals with suitable variable plans.
Will
Mucci
Deputy Chief Investment Officer, CapShift
Will Mucci
Deputy Chief Investment Officer, CapShift
Will Mucci leads CapShift’s investment research team, sourcing, evaluating, and allocating capital to impact investment opportunities across asset classes. Before joining CapShift, Mucci worked in institutional investment management and private markets. He began his career at Cambridge Associates, where he was part of the firm’s pension consulting practice, advising institutional clients on portfolio strategy and manager selection. Mucci later joined HarbourVest Partners as a senior associate, underwriting and allocating primary investments to emerging and diverse managers across the lower-middle market and venture capital. Mucci holds a Master of Business Administration and a certificate in social entrepreneurship from Indiana University’s Kelley School of Business and O’Neill School of Public and Environmental Affairs. He also earned a BA in English and economics from Boston College.
The Advisor’s Edge: Integrating Philanthropy, Impact Investing, and Wealth Strategy (1 CE)
10:40 am - 11:30 am, Monday, Nov 16, 2026
Most conversations about donor-advised funds (DAFs) focus on tax benefits and grantmaking. That leaves an untapped opportunity for advisors to apply the same rigor they bring to investment and wealth planning to a client’s charitable capital. Advisors who can connect these disciplines are better equipped to answer client questions, deepen trust, and expand their role across the client relationship. In this interactive case study, you’ll put that approach into practice by stepping into the role of advisor to a successful entrepreneur who, following the sale of their company, has established a DAF. Working with fellow participants, you’ll evaluate the client’s goals, compare deployment strategies, and navigate the trade-offs among immediate impact, long-term sustainability, risk, liquidity, and multigenerational engagement. The session concludes by comparing your recommendations with the proposed advisory approach and identifying practical lessons you can apply in your own client conversations. Whether you’re new to philanthropic planning or looking to expand your advisory toolkit, this session will help you view DAFs not simply as charitable accounts, but as strategic philanthropic portfolios.
Learning Objectives:
-
Move beyond charitable transactions to strategic philanthropic planning.
-
Evaluate when traditional grants, recoverable grants, and impact investments may be appropriate.
-
Balance immediate charitable needs with long-term philanthropic objectives.
-
Lead more meaningful conversations about values, impact, legacy, and family engagement.
- Apply a portfolio approach to philanthropic capital deployment.
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:
-
Identify key long-term care planning considerations that may impact retirement outcomes and client objectives.
-
Recognize common barriers that prevent clients from addressing long-term care planning and apply strategies to facilitate productive discussions.
-
Evaluate high-level planning and funding approaches while helping clients make informed decisions based on their unique circumstances and priorities.
John
Nersesian
Founder, Nersesian Wealth Education LLC
John Nersesian
CIMA®, CPWA®, CIS, CFP®
Founder, Nersesian Wealth Education LLC
John Nersesian is head of advisor education at Nersesian Wealth Education LLC, where he provides advanced wealth management and investment consulting education to financial professionals. Previously, Nersesian was a first vice president in the Merrill Lynch Private Client Group, where he also led advanced training for financial consultants. Nersesian served on the Investments & Wealth Institute Board of Directors from 2006 to 2017, including as chair for the 2014–15 term. He is also a faculty member for the Institute’s Certified Private Wealth Advisor® (CPWA®) and Certified Investment Management Analyst® (CIMA®) education programs at Yale University and the University of Chicago. Nersesian has 37 years of experience in the investment and financial services industry and holds a bachelor’s degree in business and economics from Lehigh University.
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:
-
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.
-
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.
-
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
O'Neill
Senior Managing Director, Wealth Management Division, TIAA Wealth Management
Chris O'Neill
CFP®
Senior Managing Director, Wealth Management Division, TIAA Wealth Management
Chris O’Neill is senior managing director and interim head of wealth distribution at TIAA Wealth Management, a Fortune 100 financial services organization. In this role, O’Neill leads a team of wealth management leaders, advisors, and client relationship managers in delivering tailored financial planning and product solutions designed to meet each client’s unique needs and goals. He also oversees advisor communications, wealth management coaching, and practice management. O’Neill brings 20 years of experience to the financial services industry, including 18 years at TIAA. His career at TIAA has included roles as a financial consultant, wealth management advisor, and leader across both retirement solutions and wealth management. Most recently, he served as regional managing director of the Northeast region for TIAA Wealth Management. Before joining TIAA, O’Neill was a financial planner at Vanguard. O’Neill holds a BS in finance from West Chester University of Pennsylvania. He holds the CFP® certification and is a registered representative and principal with FINRA Series 6, 7, 24, 63, and 65 licenses.
Quantifying the Value of Advice: What the Evidence Actually Tells Us (0.5 CE)
10:00 am - 10:25 am, Tuesday, Nov 17, 2026
The debate over the value of working with a financial advisor has persisted for decades. A groundbreaking new study offers compelling evidence that helps answer the question. Drawing on a nationally representative survey of nearly 2,000 individuals across income levels and life stages, supported by detailed economic modeling, this session presents research that quantifies the advisor advantage in behavioral, emotional, and financial terms. Yet the study's most compelling findings go beyond the numbers. They reveal why so many people forgo professional advice—and the significant costs of doing so. Attendees will leave with a deeper understanding of whom they serve, how to better articulate their value, and what it means to support clients at every stage of life.
Learning Objectives:
-
Explain the behavioral, emotional, and financial factors that contribute to the value of working with a financial advisor, based on findings from recent national research.
-
Identify the common reasons individuals choose not to seek professional financial advice and evaluate the potential costs and consequences of those decisions.
-
Apply research insights to strengthen client communications by articulating the value of financial advice and identifying opportunities to better serve clients across different life stages.
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:
-
Explain the pattern of inflation-adjusted spending in retirement and findings on why retirees outlays tend to decline over time.
-
Describe the interaction between inflation risk and retirement spending needs, especially the role of healthcare costs that often rise faster than broad inflation.
-
Assess how declining real spending patterns should influence pre-retirement savings rates and portfolio asset allocation decisions.
-
Evaluate strategies for sequencing retirement income and spending, including the roles of guaranteed income sources verses market-dependent withdrawals.
-
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.
Client Complexity in Practice: An Interactive Roundtable Case Study Experience (2 CE)
8:00 am - 9:40 am, Tuesday, Nov 17, 2026
This dynamic, roundtable-based workshop flips the script on traditional case study formats. Instead of being handed a fully baked client profile, each table will focus on a specific dimension of a client scenario—such as family structure, income source, or lifestyle—and collaborate to select a representative client situation based on real-world experiences. Participants will first share insights and anecdotes from their own practices related to the assigned category and will vote on the client profile that best reflects common or complex planning dynamics. The winning profile from each table will appear live on the screen—building, piece by piece, a fully crowdsourced case study for everyone in the room to analyze together. By the session’s end, you’ll help build the client and explore how these variables intersect to influence holistic planning decisions.
Learning Objectives:
-
Identify and articulate key client dimensions — such as family structure, income source, and lifestyle—and assess how they impact financial planning strategies.
-
Collaborate with peers to synthesize real-world experiences into representative client profiles through structured discussion and digital polling.
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Analyze a fully crowdsourced client case study to evaluate how intersecting client variables influence comprehensive, holistic planning decisions.
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:
-
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.
Susann
Rohwedder
Senior Economist, Professor of Policy Analysis, RAND
Susann Rohwedder
Senior Economist, Professor of Policy Analysis, RAND
Susann Rohwedder is a senior economist at RAND and professor of policy analysis at the RAND School of Public Policy. Her research focuses on the economics of aging, with the overarching goal of improving the health, well-being, and financial security of older adults. Her current research, most relevant to this event, examines the spending trajectories of older households, the reasons behind observed spending declines, and the implications for retirement preparedness. Rohwedder is a research fellow with the Network for Studies on Pensions, Aging, and Retirement (NETSPAR) in the Netherlands, a member of the National Academy of Social Insurance, and an associate editor of the Journal of the Economics of Ageing. Previously, she served as associate director of the RAND Center for the Study of Aging and co-director of the Michigan Retirement and Disability Research Center. Rohwedder earned a PhD in economics from University College London and master’s degrees from the University of Warwick and the Sorbonne.
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:
-
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.
Paul
Schroeder
Director, Factor and QQQ Equity Product Strategy, Invesco
Paul Schroeder
CMT®Director, Factor and QQQ Equity Product Strategy, Invesco
Paul Schroeder is director of factor and QQQ equity product strategy at Invesco. In this role, he promotes the adoption of the Invesco QQQ Trust and Invesco Innovation Suite by developing implementation strategies and creating thought leadership content. Schroeder joined Invesco in 2015. Before his current role, he was an equity exchange-traded fund (ETF) product manager and regional advisor consultant serving registered investment advisors (RIAs). Earlier in his career, Schroeder worked as a financial advisor with TD Ameritrade and Charles Schwab. He has worked in the financial services industry since 2008. Schroeder earned BS degrees in management and accounting, as well as an advanced accountancy certificate, from Purdue University. He is a Chartered Market Technician® (CMT) charterholder and holds FINRA Series 7, 24, and 66 registrations.
Winning the Next Generation: Building Priceless Connections Through Innovation (2 CE)
2:30 pm - 4:10 pm, Sunday, Nov 15, 2026
As the next generation takes on a larger role in family wealth decisions, advisors have an opportunity to build trust earlier, strengthen relationships, and demonstrate value across the entire family. In this session, Invesco’s experts will explore what the next generation of investors values, how client expectations are evolving, and how advisors can translate those insights into more meaningful client conversations and portfolio discussions. The first 55 minutes will feature "Priceless Connections," a research-driven discussion examining what clients and their families value most, how generational expectations differ, and why engaging the next generation before a wealth transfer can help advisors build trust and strengthen long-term relationships. The session concludes with Invesco’s exchange-traded fund (ETF) specialists, who will connect those client insights to practical conversations about innovation-driven investing. They will discuss the evolving innovation landscape, recent updates to the Nasdaq-100 Index methodology, and approaches for building more comprehensive exposure to innovative companies and investment themes that may resonate with next-generation clients.
Learning Objectives:
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Recognize generational shifts in client expectations and apply those insights to support client conversations.
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Develop strategies to engage clients’ heirs earlier and strengthen relationships before wealth transfer events occur.
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Translate newer investor interests into actionable portfolio conversations around innovation-driven investing.
Eric
Sheikowitz
Founder and Senior Managing Partner, AlphaScale
Eric Sheikowitz
Founder and Senior Managing Partner, AlphaScale
Eric Sheikowitz is a speaker, coach, and consultant with more than 37 years of experience in financial sales and marketing. For more than 19 years, Sheikowitz has coached and consulted with some of the industry’s leading financial advisors and teams. Sheikowitz began his career in banking, serving high-net-worth individuals and other clients. Prior to starting Focus Partners/AlphaScale, he was a director and manager at a Big Four audit and advisory firm, focusing on marketing, sales, and service. His tactical, focused approach enables him to help advisors and teams in areas including team development, practice management, client service, client acquisition, and marketing. Sheikowitz holds a bachelor’s degree from the University of Rhode Island and a master’s degree from Long Island University. He also received coaching training from a leader in the modern coaching movement. Sheikowitz is a regular contributor to Barron’s, AdvisorHub, and other industry publications and has presented at national conferences for Barron’s and IMCA.
Elevate Your Team: Building a Team-Led Practice (2 CE)
8:00 am - 9:40 am, Tuesday, Nov 17, 2026
Your team should do more than support the business. It should be one of your greatest sources of capacity, differentiation, and client value. In this interactive two-hour workshop, advisors will work alongside peers to explore what it takes to build a truly team-led practice—one in which team members are empowered to lead, contribute, and take greater ownership internally while being recognized by clients as integral to the relationship. Building on the principles of market leadership and effective positioning, the workshop will examine team leadership from two critical perspectives: how the team operates within the practice and how clients experience the team’s depth and value. Through facilitated discussion, practical frameworks, and assessment tools, participants will identify opportunities to strengthen alignment and accountability, elevate individual contributions, and reduce unnecessary dependence on the lead advisor. The workshop will also explore how to intentionally elevate the visibility, credibility, and perceived value of the team with clients. Participants will consider how roles, specialized expertise, and professional credentials can be positioned more effectively to demonstrate the collective strength of the team and create greater client confidence in the depth of talent supporting their financial lives. Throughout the workshop, advisors will share experiences, test ideas, and work through real-world team challenges with peers. Participants will apply the frameworks to their own practices, identify priority leadership actions, and translate insights into meaningful next steps.
Learning Objectives:
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Assess the team’s current level of alignment, empowerment, and client visibility.
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Identify opportunities to increase ownership and accountability while reducing leader dependency.
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Elevate the contribution, leadership, and development of individual team members.
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Position the team’s collective expertise as a meaningful source of differentiation.
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Showcase specialized knowledge, roles, and credentials to strengthen credibility and client confidence.
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Prioritize practical leadership moves and actions to implement immediately within the practice.
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.
Retirement Account Distributions: Rules, Risks, and Opportunities (1 Tax & Regulations CE)
2:10 pm - 3:00 pm, Monday, Nov 16, 2026
The tax treatment of retirement account distributions comes down to three fundamental questions: Is the withdrawal taxable? Is it subject to a penalty? When is it required? While the basic rules are straightforward, the exceptions and planning opportunities are far more complex. This session examines the key tax rules governing distributions from IRAs and employer-sponsored retirement plans, with a special focus on rollovers, early distributions, required minimum distributions (RMDs), qualified charitable distributions (QCDs), net unrealized appreciation (NUA), and other planning strategies that can help retirees maximize benefits while avoiding unnecessary tax consequences.
Learning Objectives:
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Understand the three primary tax rules that apply to retirement account distributions.
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Recognize situations where retirement account withdrawals may receive favorable tax treatment or qualify for penalty exceptions.
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Calculate and apply RMD rules for retirement account owners.
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Understand how techniques like SOSEPP, QCDs and NUA can help reduce taxes and penalties.
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.
Dien
Yuen
Chief Executive Officer & Founder, Daylight
Dien Yuen
JD, LLM, CAP®, AEP®, IPA
Chief Executive Officer & Founder, Daylight
Dien Yuen is founder and chief executive officer of Daylight, a professional development organization advancing the field of philanthropic advising through education, certification, and research. Previously, Yuen founded the Center for Philanthropy and Social Impact at The American College of Financial Services, where she developed and taught courses for the Chartered Advisor in Philanthropy® (CAP®) program as the Blunt-Nickel Professor in Philanthropy. She also served on the faculty of the Wealth Management Institute in Singapore, where she received the Distinguished Faculty Award. Yuen was named to WealthManagement.com’s 2025 Ten to Watch list and was inducted into the National Association of Charitable Gift Planners Hall of Fame in 2023.
The Advisor’s Edge: Integrating Philanthropy, Impact Investing, and Wealth Strategy (1 CE)
10:40 am - 11:30 am, Monday, Nov 16, 2026
Most conversations about donor-advised funds (DAFs) focus on tax benefits and grantmaking. That leaves an untapped opportunity for advisors to apply the same rigor they bring to investment and wealth planning to a client’s charitable capital. Advisors who can connect these disciplines are better equipped to answer client questions, deepen trust, and expand their role across the client relationship. In this interactive case study, you’ll put that approach into practice by stepping into the role of advisor to a successful entrepreneur who, following the sale of their company, has established a DAF. Working with fellow participants, you’ll evaluate the client’s goals, compare deployment strategies, and navigate the trade-offs among immediate impact, long-term sustainability, risk, liquidity, and multigenerational engagement. The session concludes by comparing your recommendations with the proposed advisory approach and identifying practical lessons you can apply in your own client conversations. Whether you’re new to philanthropic planning or looking to expand your advisory toolkit, this session will help you view DAFs not simply as charitable accounts, but as strategic philanthropic portfolios.
Learning Objectives:
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Move beyond charitable transactions to strategic philanthropic planning.
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Evaluate when traditional grants, recoverable grants, and impact investments may be appropriate.
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Balance immediate charitable needs with long-term philanthropic objectives.
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Lead more meaningful conversations about values, impact, legacy, and family engagement.
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Apply a portfolio approach to philanthropic capital deployment.
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