Agenda
| 7:30am-8:00am | BREAKFAST |
| 8:00am-9:00am | Adviser Experience: The Good, The Bad and The Truth About Going Independent This hour long session will provide advisers who have gone independent the ability to share their experiences. They will each provide a short introduction, reveal the reasons why they decided to go independent and disclose whether or not they felt it was the right decision. They will also share any hiccups that may have occurred along the way. |
| 9:00am-9:30am | Adviser Experience: Questions from the Audience Attendees will have the floor to ask advisers on the panel detailed questions about their move to independence. |
| 9:30am-10:30am | Compliance and Legal Matters Find out from an industry expert exactly what the compliance and legal issues are when going independent. This session will provide critical information about making the transition without getting into legal trouble. Learn how qualified legal counsel will properly form and register your firm. Learn how you may be able to use The Protocol For Broker Recruiting to avoid a nasty and expensive legal battle over the solicitation of your clients and the transfer of those accounts - even if you have signed an employment agreement containing a non-solicitation restrictive covenant. View presentation » Speaker: Brian A. Carlis, Esq. |
| 10:30am-11:00am | Networking Break |
| 11:00am-12:15pm | Adviser Experience: Choosing the Right Custodian Advisers in this session will explain what they liked about the custodian they chose to work with and reasons why. |
| 12:15pm-1:30pm | LUNCH |
| 1:30pm-3:00pm | Choosing the Right Custodian: Representatives from Sponsoring Firms This session will provide each custodian with the ability to discuss certain aspects of their adviser platform. Q&A format- with a moderator- addressing how the custodians can assist the adviser in going from a broker-dealer firm to becoming a RIA. |
| 3:00pm-4:00pm | Equity Value and the Economics of Owning an RIA The decision to go independent as well as the choice of format should be evaluated in the larger context of business value. While payout percentages and cash flow differences often take priority in an adviser’s decision process, the real focus needs to be on equity value of the independent business to be built. Understanding what drives value in the open marketplace will help the adviser in evaluating the decision to go independent, as well as making the choice of a custodian or broker-dealer who can partner with them to build a business of enduring value. Find how to forecast the value of your practice as an independent RIA, as well as understanding economics driving value for fee based practices. View presentation » Speaker: Brad Bueermann |
| 4:00 pm | Meeting Adjourns |
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