2019 Fall Conference
2GR Equity is a private equity real estate investment firm based in Dallas/Fort Worth. Formed in 2011, 2GR manages a family of diversified real estate funds and has invested in properties with a total capitalization of more than $370 million. The company strives to invest with best in class sponsors operating across the major commercial real estate asset types in Texas. Our clients have the option to invest in single property assets and/or diversified real estate funds, both with reasonable investment minimums starting at $25,000. The principals of 2GR Equity have supported NAPFA Advisors and their clients for over a decade and we are proud to say that 90% of our clients come to us via their NAPFA Fee-Only Advisor.
529 Programs is a top-rated 529 plan utilizing Vanguard and over 25 additional fund families.
Gold-rated Bright Start Direct 529:
- Vanguard plus 10 other quality fund families
- Some of the lowest cost portfolios in the nation
Silver-rated CollegeCounts 529 Fund:
- 25 individual fund portfolos covering the style boxes
Silver-rated Bright Directions 529 Program:
- Highest rating bestowed an advisor plan (one of only 2 advisor plans)
- Low cost Vanguard ETFs plus over 40 additional portfolios for RIAs with our specially designed F shares
High quality, low cost 529s backed with experience and expertise to assist you build your business.
Advyzon is an intuitive, cloud-based platform designed for financial advisors which helps them operate their firms efficiently. Advyzon contains most, if not all, of the technology an advisory firms needs to run their business. These capabilities include: Performance Reporting, Client Billing, CRM, Client Portals and Document Storage. Advyzon is easy to use, innovative and backed by exceptional client service.
At AFCPE® our mission is to ensure the highest level of knowledge, skill and integrity of the personal finance profession by certifying, connecting and supporting diverse and capable professionals who serve communities worldwide.
We believe in a future where all people — regardless of income or background — are empowered to achieve lasting financial well-being through the highest standards of financial counseling, coaching and education.
The Alliance of Comprehensive Planners (ACP) is a dynamic community of comprehensive, fee-only financial advisors committed to working in their clients’ best interests. ACP members are innovators in retainer-based, tax-focused, comprehensive financial planning. Whether you are building a new practice or transforming an existing one, our proven model—the ACP System™—enables you to be a more effective financial planner and a more successful business owner.
The ACP Difference:
Through the ACP Success Program™, ACP members acquire the knowledge and tools needed to provide comprehensive financial advice to people from all income levels and all walks of life. The ACP Success Program™ teaches advisors how to establish and grow a financial planning practice, and the ACP community provides the ongoing support necessary for success.
Training and Tools
- The acclaimed ACP Success Program™ teaches you how to start, manage, and grow a financial planning practice.
- The ACP Toolkit provides a suite of proprietary financial planning tools, including a fee calculator.
- Group Instruction, an intensive multi-day training conference lead by successful ACP advisors, completes the training experience and grounds participants in the ACP methodology.
- ACP’s online community puts the collective experience of 170+ colleagues at your fingertips, providing immediate answers to the most confounding client questions.
- Your personal ACP mentor provides individualized guidance to help you every step of the way.
- ACP’s annual conference and other member gatherings offer invaluable networking opportunities.
Contact ACP today for more information www.acplanners.org – 910.769.1569.
Allianz Life Insurance Company of North America, one of FORTUNE’s 100 Best Companies to Work For® in 2018, has been keeping its promises since 1896. Today, it carries on that tradition, helping Americans achieve their retirement income and protection goals with a variety of annuities and life insurance products. In 2017, Allianz Life provided a total of $2.7 billion in benefit payments that supported policyholders’ financial objectives. As a leading provider of fixed index annuities, Allianz Life is part of Allianz SE, a global leader in the financial services industry with 142,000 employees in more than 70 countries worldwide. More than 85 million private and corporate customers rely on Allianz knowledge, global reach, and capital strength to help them make the most of financial opportunities.
AQR is a global investment management firm dedicated to delivering results for our clients. At the nexus of economics, behavioral finance, data and technology, AQR’s evolution over two decades has been a continuous exploration of what drives markets and how it can be applied to client portfolios. The firm is headquartered in Greenwich, Connecticut, with offices in Bangalore, Boston, Chicago, Frankfurt, Hong Kong, London, Los Angeles, Sydney and Tokyo. As of March 31, 2019, AQR and its affiliates had approximately $203 billion* in assets under management.
AssetBook offers a multi-point advisor solutions platform that equips advisors with robust portfolio accounting software, attractive client reporting and experienced technology consulting at a competitive price. Our features are specifically tailored to fit the needs of the modern-day advisor, and our world-class support team is there whenever needed. AssetBook: A new chapter in advisor solutions.
Asset Dedication is a turnkey asset management platform (TAMP) for financial planners. Our innovative technology platform helps planners outsource and automate investment management, cash management, and tax loss harvesting. We started as a goals-based investment strategy, but have expanded our services to include management of not only our own investment strategies and/or your models, but also billing, reporting, paperwork administration, and other tasks that help you focus on your clients and scaling your practice.
A Digital Wealth Management Platform for Financial Advisors. Betterment for Advisors is fundamentally changing what’s possible for institutional wealth management by bringing together advisors and cutting-edge technology. We were founded by leaders in the digital and independent advisory space for leaders in the industry. Hundreds of firms trust Betterment for Advisors to help manage client assets.
BridgeFT offers automation software for a simplified back-office experience. Our web-based platform will support your practice with fee billing, performance reporting, as well as trading and rebalancing. NAPFA advisors will receive a 10% discount off list price. Advisors transitioning from legacy solutions may have the opportunity for even further discounts on implementation and a guaranteed go-live within 30 days. To learn more contact our team at 312-517-1000 or email firstname.lastname@example.org to set up a demo.
We are Buckingham Strategic Wealth®, a growing organization of advisors, financial specialists and national thought leaders committed to delivering on the promise of true wealth management.
The essence of our approach is based on a pledge to act in our clients' best interests.
This means making recommendations based on what decades of peer-reviewed financial research has shown to be the right way to invest. It means getting to know our clients, their families, their goals and their most important dreams. It means crafting a plan that touches on – and improves – the most important aspects of their lives.
The cornerstone of our approach is our investment philosophy, which is built on a deep understanding of how to best capture the returns of the financial markets. Our approach is based on established facts and real evidence, not empty opinions or the media’s “flavor of the month” speculation.
Investment planning is, of course, just one part of the Buckingham experience. How do taxes impact our clients' savings? Do our clients have the right insurance? Do our clients have an estate plan? Are our clients taking on the right amount of risk?
As our clients' trusted advisor, these are the questions we help them answer. Our goal is to free our clients from worrying about the daily ups and downs of the market, so they can focus on the things that really matter.
CFP Board is the certification and standards-setting organization for the CERTIFIED FINANCIAL PLANNER™ certification in the U.S. Founded in 1985, CFP Board benefits the public by establishing and enforcing education, examination, experience, and ethics standards for CFP® certification, and upholds CFP® certification as the recognized standard of excellence for competent and ethical personal financial planning.
Charles Schwab Advisor Services is the industry’s leading custodian for independent registered investment advisors (RIAs). Schwab Advisor Services is dedicated to helping advisors achieve their business goals. For more than 30 years we have supported firms of all types and sizes and earned the trust of more than 7,500 advisors. Visit advisorservices.schwab.com. Schwab Advisor Services serves independent investment advisors and includes the custody, trading, and support services of Schwab.
CION Investments is a leading manager of investment solutions designed to redefine the way individual investors can build their portfolios and help meet their long-term investment goals. With more than 30 years of experience in the alternative asset management industry, CION strives to level the playing field. CION currently manages CION Investment Corporation, a leading non-traded BDC, and sponsors, through CION Ares Management, CION Ares Diversified Credit Fund, a globally diversified interval fund.
CircleBlack is a financial technology firm focused on solving the key pain points financial advisors experience. CircleBlack’s data hub capabilities empower financial advisors to see all of their data by aggregating information from numerous custodians, product providers and clients in one accessible, easy-to-use, location. CircleBlack leverages its data management capabilities to provide lower cost / higher value solutions with features including investment performance reporting, portfolio analytics, billing and client engagement portals. CircleBlack also provides fulsome integrations with technology partners leveraging multi-directional data to and from other applications and vendors including those that provide advisors with CRM, Risk Analytics, Financial Planning, and Research tools. This allows Independent Registered Investment Advisors and Broker Dealers to have the technology stack that most appropriately supports their unique business models.
Making the best financial decisions is complex. Covisum® creates software and reports that visually illustrate the value of a good decision. Advisors can quickly recognize and identify opportunities to save their clients from leaving significant money on the table. Advisors and financial institutions rely on Covisum to help them guide their clients to make the best financial decisions. With our proven process, advisors can streamline their practices, offer actionable insights, and utilize successful marketing tactics. Our suite of software includes:
- Social Security Timing - Your clients may think that taking Social Security as early as possible is the right choice. With Social Security Timing®, you can help optimize their strategy and increase their retirement value by up to $100,000.
- Tax Clarity - Clients often don’t understand interactions between different types of income and deductions, leading to potentially significant tax inefficiency in their retirement strategy. With Tax Clarity®, you can provide tax alpha and quickly identify sub-optimal situations, showing clients how to make retirement decisions in the most tax-efficient way.
- SmartRisk - Clients are often blind to market risk and typically don’t have accurate downside expectations – either too conservative or too reckless, leading to sub-optimal investment allocations. With SmartRisk™, advisors can analyze portfolio risk and easily communicate with clients to help them avoid costly mistakes.
- Income InSight - Income InSight™ is all-in-one planning software that helps you provide clients with direct and specific answers to their most pressing questions through deep integrations with Social Security Timing, Tax Clarity, and SmartRisk while providing a natural transition to the broader retirement income plan.
When you subscribe to any of the software, you get an entire support team to help you answer client and software questions.
Generic, outsourced portfolios don’t cut it anymore. DataDriven Advisor’s goal is to deliver the tangency portfolio: our DataDriven Process is built to lower volatility and reduce a portfolio’s risk. We analyze factors like size, valuation, correlation, and volatility to deliver a robust, globally diversified portfolio. With superior presentations and outsourced trading and rebalancing, advisors have a foundation to develop relationships, retain clients, and grow. Lower risk does not mean lower returns, but less fluctuation, meaning you can spend less time defending your value and better address client’s concerns. Stop trying to predict the future and empower yourself by becoming a DataDriven Advisor.
Dimensional Fund Advisors LP is a leading global investment firm that has been translating academic research into practical investment solutions since 1981. We strive to build deep, enduring relationships with advisors who share our desire to create better financial outcomes for clients. Dimensional and its global affiliates manage $517 billion for clients worldwide (as of December 31, 2018).
In 2014, DPL established its unique, fiduciary footprint with an innovative solution to bridge the gap between insurance carries and RIA’s. We work with insurance carriers every day on behalf of the RIA industry to create and identify its best commission-free products. Then, we consult with RIAs about their clients’ insurance needs to help identify more efficient, less expensive options – and together with RIAs and carriers, get new and better preforming products built.
For decades, RIAs have been driving the financial services industry to meet their fee-only model eliminating loads and commissions and driving down costs for clients, DPL joins the cause by knocking down on of the last significant barriers to the RIAs’ fee-only model – insurance. Suddenly, the insurance planning pillar of your practice just got simpler, smarter, better.
East Bay Financial Services help planning- and relationship-focused advisors achieve professional excellence and practice efficiency by serving as their virtual investment team, providing customized solutions, due diligence, and communications in support of their fiduciary responsibility to clients.
ExchangeRight provides 1031 DST and REIT programs for retail and institutional investors. ExchangeRight specializes in the acquisition and management of “investment grade” net leased real estate. The firm manages $1.8 billion in assets, representing 500 properties in 38 states for over 2,000 investors. Learn how their 1031 exchange programs can increase AUM. Discuss the role a diversified net leased REIT can have in providing reliable tax sheltered income while aiming to protect investor capital, regardless of economic challenges. ExchangeRight strives to provide retail and institutional investors with safety, security, and peace of mind in their 1031 exchanges and in their portfolio REIT investments.
Fidelity Clearing and Custody Solutions® provides a comprehensive clearing and custody platform, brokerage, investment and reporting services, trading capabilities and practice management and consulting to registered investment advisors, including strategic acquirers and professional asset managers, retirement recordkeepers, broker-dealer firms, banks, insurance companies, family offices and wealthy families. Fidelity Clearing & Custody Solutions’ goal is to help clients ensure that they are always future-ready by offering knowledgeable consulting, exceptional people and transformative technology.
Financial Advisor, a monthly magazine reaching 220,000 independent advisors, is rated the most widely read trade magazine for independent reps and RIAs by Erdos & Morgan. In addition to publishing FA News and PW News, FA also produces the Invest In Women, Inside Retirement and Inside Alternatives conferences.
FP Transitions is the nation’s leading provider of equity management, valuation and succession planning services for financial advisors. The team of consultants includes financial analysts, legal professionals and business coaches, who work together to provide comprehensive, unbiased strategic solutions for financial professionals. The firm’s expertise has been compiled into two books, “Succession Planning for Financial Advisors: Building an Enduring Business” and “Buying, Selling, and Valuing a Financial Practice: the FP Transitions M&A Guide,” both published by Wiley & Sons. Based in Portland, Oregon, FP Transitions operates the largest fully-supported open market for buying and selling financial service practices in the U.S.
Why choose Franklin Templeton?
Successful investing begins with ambition. And achievement only comes when you reach for it. That’s why we continually strive to deliver better outcomes for investors. No matter what your goals are, our deep, global investment expertise allows us to offer solutions that can help.
During our more than 70 years of experience, we’ve managed through all kinds of markets – up, down and those in between. We’re always preparing for what may come next. It’s because of this, combined with our strength as one of the world’s largest asset managers that we’ve earned the trust of millions of investors around the world.
Simplify your business with Great American Life by exploring and offering fixed income alternatives. With Great American, you can help clients grow and protect their assets, receive guaranteed lifetime income or leave a legacy for their loved ones. With roots dating back to 1872 and an “A” or higher rating by A.M. Best for more than 40 years, Great American has financial strength and stability you and your clients can count on for years to come.
Griffin Capital Company, LLC ("Griffin Capital") is a leading alternative investment asset manager that has owned, managed or co-sponsored approximately $16.8 billion in assets. Founded in 1995, the privately held firm is led by a seasoned team of senior executives with more than two decades of investment and real estate experience and who collectively have executed more than 650 transactions valued at over $22 billion.
The firm manages, sponsors or co-sponsors a suite of carefully curated, institutional quality investment solutions distributed by Griffin Capital Securities, LLC to retail investors through a community of partners, including independent and insurance broker-dealers, national wirehouses, registered investment advisory firms and the financial advisors who work with these enterprises.
Ignite Funding offers real estate investments backed by collateral – you are the bank, earning monthly income for the use of your investment dollars. More specifically we provide an alternative investment option that matches quality real estate Borrowers with Investors seeking capital preservation in collateralized turn-key real estate investments, while earning a 10% to 12% annualized return.
Founded in 1995, Ignite Funding has evolved with the changing real estate landscape. Our original business model began as a traditional home mortgage lender providing lending to home buyers. The demand for lending from homebuilders and developers reshaped our business in 2011. Since that time, Ignite Funding has funded over Half a Billion in loans with Investor capital.
How we work with advisors: As an financial advisor, you can provide trust deed investments to your clients through our Investment Advisor Program. This proven program allows you to integrate turn-key investment options into your clients’ portfolio providing them diversification and 10%-12% annualized returns through monthly income. At Ignite Funding, we work to ensure you experience a high level of professionalism throughout the entire process.
Innovator Capital Management, LLC currently manages approximately $1BLN in ETF AUM and has a legacy of innovative investment solutions. Formed in 2014, the firm is currently headed by ETF visionaries Bruce Bond and John Southard, founders of one of the largest ETF providers in the world. Innovation is our hallmark and acts as a guide to our company principles. Innovator is committed to helping investors better control their financial outcomes by providing investment opportunities they never considered or thought possible.
Integrated Insurance Consulting, LLC partners with advisors to help serve their client protection needs. We offer support with basic insurance, business, and estate planning. Our name clearly states what we do!
- in∙te∙grate[d]: to form, coordinate, or blend into a functioning or unified whole: UNITE
- in∙sur∙ance: a means of guaranteeing protection or safety
- con∙sult∙ing: providing professional or expert advice
What makes us different is our experience, knowledge and compassion! The IIC Team has 50+ years combined experience in the insurance and financial services industry. We offer outstanding education, service and support in the insurance arena for advisors and their clientele. You determine the level of support and involvement you desire— we can assist, consult or partner with you to best meet your needs and the needs of your client’s.
Our local team is strategically partnered with a national insurance organization with over 50 people on-staff to help us support you and your clients. Services range from in-house underwriters to product specialists in life insurance, long-term care, disability and fixed annuities.
InvestmentNews is the leading source for news, analysis and information essential to the financial advisory community. Since 1998, our standard of editorial excellence and deep industry knowledge has allowed us to educate, inform and engage the most influential financial advisers.
Through our weekly newspaper, website, newsletters, research, events, videos and webcasts, InvestmentNews provides exclusive and up-to-the-minute news, as well as actionable intelligence, that empowers financial advisers to serve their clients and run their businesses more effectively whenever, however and wherever they need it.
InvestmentNews' headquarters is located in New York, with offices in Chicago and Washington D.C. InvestmentNews is part of London-based Bonhill Group plc.
King Operating Corporation seeks to acquire oil and gas oil fields that can be developed and divested to public companies. From the outset, King’s technical and financial team evaluates each possible transaction considering the ultimate exit strategy with a planned development plan. King’s innovative transaction structure returns invested capital to investors first. King ensures that the investors are returned all of their original investment dollars before we share in the profits. We accept only a minimum of investor equity and then leverage the value of the asset to develop approximately a third of the drilling locations. We work to optimize the value when we divest to a public company in oil and gas investment.
The Company prides itself on prudent operations, capital efficiencies in field and well development, and the ability to fully execute on any selected project. Using state-of-the-art drilling and fracturing technologies, King identifies specific rock formations that ideally have multiple target zones, favorable analogous production histories and ample running room to grow. We welcome the opportunity to tell you more about oil and gas investments and what we are doing at King.
Life Insurance Nerds is an independent life insurance advisory and brokerage firm, specializing in reviewing in-force life insurance policies and procuring guaranteed life insurance products. Our team is made up of former life insurance industry executives and brokerage managers with a focus on providing guaranteed life insurance products and guidance to financial advisors, RIA's, private family offices, foundations, trust officers, CPA firms, law firms and their clients. While we have over 100 years of combined experience in the Life Insurance industry and are extensively familiar with all life insurance products, we are considered the firm of choice when a client or their advisor requires guarantees.
Lincoln Financial Group delivers sophisticated RIA-specific strategies and products for the creation, protection, and enjoyment of wealth. We are committed to helping clients plan for retirement, prepare for the unexpected and protect their wealth from five key financial challenges: taxes, long-term health costs, longevity, inflation, and market risk.
Rely on Lincoln for the knowledge and experience to help you address these challenges. Lincoln Wealth Protection Expertise combines state-of-the-art solutions, RIA-dedicated support staff, and powerful visualization tools to assist you in protecting client wealth and planning financial outcomes.
Founded in 1987, Litman Gregory is a San Francisco Bay Area firm that manages assets for high-net-worth individuals, institutions, and other advisors using strategies that draw on its global tactical asset allocation expertise and in-depth manager due diligence. The firm also publishes its research for investment professionals through AdvisorIntelligence and advises a family of no-load mutual funds, including a fully liquid, multi-strategy alternatives fund. In total, Litman Gregory manages or directs $6.8 billion in assets* through our affiliated companies (as of 6/30/19).
*The Litman Gregory companies that manage assets include Litman Gregory Asset Management, LLC and Litman Gregory Fund Advisors, LLC.
LLIS provides fee-only financial advisors and their clients with comprehensive insurance consulting and support services. We're a team of experts in the insurance process – from planning to ongoing service to policy reviews – for term, long term care, disability, annuities, hybrids, and low load fixed and variable life products from highly-rated companies. We find the right insurance solution based on a client’s needs and their financial advisor’s recommendations. Since introducing ALLiS, a robust advisor and client relationship management system, LLIS continues to be a trusted resource and the advisor’s insurance advisor®.
Longbridge Financial, LLC is a leading national reverse mortgage lender and servicer committed to providing financial advisors with the education and support needed to responsibly utilize home equity in retirement planning. The financial solutions Longbridge offers can help by giving clients options to improve flexibility, tax efficiency, and cash flow – while preserving other portfolio assets. Longbridge is a resource for advisors and their clients across the country, working with reputable firms that share our commitment to the highest ethical, regulatory, and customer service standards.
At MAGA Ltd., we work hard to make long term care planning easy. We offer a range of thoughtful, cutting-edge LTC planning solutions, including stand-alone and asset-based/combo plans provided by leading LTCI carriers. We provide attentive customer service, including policy reviews and complete claim support. Our clients have collected millions of dollars in claims! We are committed to LTCI education and offer CFP®-Approved CE programs. At 44 years old, we are the nation’s most experienced LTC planning specialist and a long-time NAPFA Resource Partner. Licensed nationally. Put our expertise to work for you: call Brian I. Gordon, Peter R. Florek, or Murray A. Gordon at 800-533-6242 or email email@example.com.
Markel’s Investment Advisor Professional Liability insurance offers E&O Insurance for RIAs and financial planners primarily designed to cover investment management and advisory services. Markel has offered this specific line of insurance coverage since 1988 and is referred to by several financial associations. It offers a 5% credit to members of selected financial associations (for a maximum 15%). They offer very competitive minimum premiums with coverage limits from $100,000 to $5 million per occurrence. Markel is part of an NYSE-listed insurance holding company, Markel Corporation, (symbol: MKL). MCA offers Directors & Officers liability insurance (D&O/Management Liability), data breach, media liability and wire fraud (cyber), tax preparation, and divorce consultation coverages.
MoneyGuide is the industry’s leading financial planning software platform. Whether you are an independent advisor or part of a large firm, MoneyGuide scales to meet your needs. Four dynamic configurations make up the MoneyGuide ecosystem - MoneyGuideOne, MoneyGuidePro®, MoneyGuideElite and MyBlocks.
We believe financial professionals need solutions, not obstacles, and that financial conversations are the foundation of a strong business model. This is what continues to drive us to create award-winning software products with the philosophy that everyone needs and deserves a quality financial plan.
At Moors and Cabot Investments, our expert traders carefully curate muni bonds and craft customized portfolios for individual investors, their advisors and the institutions that serve them. Your expertise is advising your clients. It is not searching through thousands of offerings to find the right muni bonds. And you know a one-size-fits-all mutual fund or large-scale separate account is not the right solution for your most discriminating clients. What advisors may not understand is how easy it can be to provide customized individual municipal bonds, and their advantages within a brokerage, trust and other taxable accounts. They also do not typically realize the benefits of owning taxable municipal bonds in tax deferred accounts such as IRA’s and pensions. Trust a company who's been managing investments since 1890. M&C Munis: what your muni bond portfolio should be.
A different approach to mortgage lending. The Mortgage Twins are your national Mortgage Resource lending in all 50 states. Mike and Carl focus on serving NAPFA members and the Fee-Only Independent RIA community. We strive to infuse our business approach with expertise, personal touches, and a commitment to providing excellent service to planners and clients. Call or email with any questions or client scenarios you would like to review.
my529, formerly the Utah Educational Savings Plan, is a nonprofit, direct-sold 529 college savings plan. With more than $12 billion in assets under management, my529 is consistently ranked among the nation’s top 529 plans for its low fees and high-quality investment options. For more information about my529 and its financial advisor-friendly features, visit advisor.my529.org or call 888.529.1886.
Nareit is the worldwide representative voice for REITs and listed real estate companies with an interest in U.S. real estate and capital markets. Members are REITs and other businesses that own, operate and manage income-producing real estate, as well as those firms and individuals who advise, study and service those businesses.
Nationwide Advisory Solutions, formerly Jefferson National, is a recognized innovator with a mission to help RIAs and fee-based advisors build their practice by helping their clients to potentially accumulate more wealth and reach their financial goals. Nationwide does this by developing and delivering value-added investment products, services and technologies that dovetail with fiduciary obligations – wrapped in an industry-leading customer experience.
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $988 billion in assets under management as of 30 Sep 2018 and operations in 16 countries. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.
The Options Industry Council (OIC) is an industry resource funded by OCC, the world’s largest equity derivatives clearing organization. OIC’s mission is to provide free and unbiased education to investors and financial advisors on the benefits and risks of using exchange-listed options to gain market exposure, generate income and as risk management solutions. Managed by OCC, OIC delivers its education through the Options Education Program, a structured platform offering self-directed online courses, webinars, videos, podcasts, live events and live assistance from OIC’s options professionals. OIC’s resources can be accessed online at www.OptionsEducation.org.
Osterweis Capital Management was founded in 1983 by John Osterweis to serve the portfolio management needs of high net worth individuals. Since then, the firm has grown to $7 billion in assets under management in individually managed portfolios and mutual funds. The fundamentals underlying the firm's investment philosophy are flexibility and disciplined investment analysis. Flexibility allows the firm to shift allocations away from areas of perceived risk, while discipline allows it to uncover securities the firm believes have significant potential for appreciation. Osterweis Capital Management is focused on helping financial advisors and their clients meet their long-term investment goals.
Palladium Group serves as a trusted insurance partner to RIAs and comprehensive financial advisors looking to complete their clients’ financial plans with risk-management solutions. Backed by the experience and resources of Ash Brokerage, a leading insurance solutions provider with a national network of 450 professionals and nearly 50 years of history, Palladium Group delivers concierge, white-glove service through innovative technology and individualized guidance to advisors and their clients.
Peachtree Hotel Group is a privately held real estate investment company that owns, operates, finances, manages, and develops premium-branded (Marriott, Hilton, HG, Hyatt) limited & select-service hotel throughout the United States. Founded in 2008, Peachtree Hotel Group has invested, through acquisition, origination or development, in a portfolio of 222 hotels and mortgage loans secured by hotel properties, of more than $2.5 billion. Of Peachtree Hotel Group’s 222 hotel and mortgage loan investments, 106 have been either sold or repaid, producing a cumulative 2.0x equity multiple. Peachtree Hotel Group is currently raising a $100m Opportunity Zone fund and a $250m hotel debt fund.
The Plumb Funds (Plumb Equity Fund (PBLEX) and Plumb Balanced Fund (PLBBX)) invest in companies we believe are innovators with the potential to disrupt entire sectors. We proudly follow the tradition of the Funds’ advisor, Wisconsin Capital Management, of striving to produce solid risk-adjusted returns by buying quality companies who are participating or supporting secular changes in the market.
We also seek out companies for both Funds that we believe are well-positioned to benefit from current market conditions with a goal of out-performing over the entire business cycle. We find them particularly attractive when they can be purchased at what we believe are depressed prices when compared to our estimates of value.
For the Plumb Balanced Fund, we believe that holding a diverse group of stocks moderated by an allocation to bonds as well holds the potential to provide competitive returns under different market environments. In seeking to achieve a better risk-adjusted return on its equity investments, the Fund invests in many types of stocks, including a blend of large, mid-sized and small company stocks. Our flexible approach to investing enables us to adapt to changing market trends and conditions and to invest where we believe opportunity exists.
Mutual fund investing involves risk. Principal loss is possible. Investments in smaller companies involve additional risks such as limited liquidity and greater volatility.
View prospectus. The Plumb Funds are distributed by Quasar Distributors, LLC.
Wisconsin Capital Management, the advisor to the funds, is a registered investment advisory firm in Madison, Wisconsin, founded in 1984. Plumb Funds is a registered trademark of Wisconsin Capital Funds, Inc.
Private College 529 Plan is a congressionally authorized non-profit prepaid tuition program owned by nearly 300 private colleges and universities nationwide. It helps your clients beat tuition increases, avoid market risk for their college funds and potentially save thousands of dollars on future tuition. Clients lock in today’s tuition rates at any member school years into the future. Member schools range from Princeton to Stanford, Amherst to TCU, Emory to Notre Dame to USC and hundreds more. Private College 529 Plan, in operation for more than 15 years, provides families the same federal tax advantages as state 529 plans, and clients pay zero fees. It is making private higher education affordable for American families.
With decades of industry experience, and a proven track record, Resource Royalty structures highly strategic and diversified mineral rights ownership and royalty investment portfolios for accredited investors.
Resource Royalty is a vertically integrated company with Fund Management, Acquisitions, Geology and Engineering, along with Investor Services and Accounting all under one roof.
Resource Royalty was founded in 2010, has 13 prior offerings in its track record, and has provided full cycle exits within that track record for investors in its funds.
Investors are presented with a high-quality asset similar to those held by some of the largest endowments and private equity firms in the country. Clients enjoy the benefit of income generating, subsurface real estate which is located in the most active oil basins in the country. This results in a royalty income stream and free, passive cash flow.
Resource Royalty has recently launched it’s first fund specifically structured for the fee-only advisor and wealth manager and their clients. Resource Royalty has taken the path to DTCC Membership and has taken the additional steps to have its Fund approved on most major custodians, including Charles Schwab, T.D. Ameritrade, Fidelity NFS, and Pershing to name a few. This is turn allows Resource Royalty’s family of funds to be held on the advisor and investor’s preferred platform. The fund is priced, distributions are paid, and all activity is process through your custodian. The fund is published on client statements, advisors CRM systems and investor portals and appears alongside other traditional positions such as ETF’s Mutual Funds, Long Positions, etc. Consequently, this allows for assets under management to appear in a centralized location for the advisor.
Resource Royalty Fund VI is a blended portfolio of mineral ownership and rights in Oklahoma’s Anadarko Basin. The Fund has been seeded with $10mm of currently producing assets, allowing it to make investor preferred return distributions of 8% annually, starting from the date of subscription acceptance into the Fund. Additionally, the fund’s portfolio has been constructed in a manner that investor distributions remain stable and predictable over the life of the fund, allowing for an exit and return of invested capital to the client account.
RobustWealth was developed by advisors for advisors to minimize back-office headaches, so firms can focus on building long-lasting relationships with clients. Three connected experiences – Client, Advisor, and Enterprise – seamlessly integrate an array of features including automated rebalancing, billing/reporting, document vaults, electronic account opening, goal-based investment portfolios, and flexible investment options. Each feature neatly fits into a suite of services that can be completely white labeled to keep your firm front-and-center. For more information, visit us at RobustWealth.com. Your best life is ahead; Climb On!
Ryan Insurance Strategy Consultants primary focus is on helping Fee-Only Advisors and their clients with life, disability, and long-term care insurance planning. John Ryan CFP® is the Principal of the firm and consults with financial advisors, attorney's, CPA's and their clients in addition to managing his private insurance practice in Colorado since 1978.
Our firm also oversees the administration of the NAPFA Member Group Insurance Benefit plans and we specialize in the implementation and administration of group insurance products to associations and employer groups at a national level. To learn more about how we can be a resource to you contact John at (800) 796-0909 x102 or email him firstname.lastname@example.org.
Savant Capital Management is a nationally recognized fee-only wealth management firm that has been helping clients build ideal futures since 1986. Since inception, we have been committed to one key principle: all financial advice should be offered in the best interests of the client.
At Savant, our goal is to help people live the way they want in retirement. We provide personalized portfolio management and planning, while considering the tax implications over a lifetime.
We believe our unique characteristics combine to form an advantage for each client we are privileged to serve. Savant offers integrative investment management and financial planning solutions to individuals, families, foundations, trust funds, retirement plans, and nonprofit organizations.
Sound Income Strategies, LLC…The secret to a great retirement is our middle name!
David J. Scranton (CLU, ChFC, CFP, CFA, MSFS) is a nationally-renowned Money Manager, CEO, Founder, Bestselling Author, and host of his own television show, The Income Generation on Newsmax TV. In 2013, David anticipated a long-term trend of declining interest rates, and in 2014, he established Sound Income Strategies, LLC to help bring an important retirement message to the Baby Boomer generation: For retirees, investing should be all about Income.
Sound Income Strategies uses 5 specific management steps to establish “defensive” income-based financial strategies designed to help protect clients from dramatic stock market fluctuations and economic uncertainties. As a Registered Investment Advisory firm, we honor our fiduciary responsibility as spelled out in the U.S. Investment Advisors Act of 1940: to always act and serve in the best interest of our clients.
Total Return = Income + Growth is a well-known equation in the financial industry. When investing for income, “Total Return” stems from two components: Income PLUS Growth. It’s important to understand that the “Income” portion of Total Return comes in the form of both interest and dividends, while “Growth” is simply measured in terms of capital appreciation. When you invest for Income (I) instead of Growth (G), you’re typically using investment vehicles designed to significantly reduce volatility while generating a predictable amount of income. However, when you invest for Growth (G), the (G) can quickly turn into a Loss (L) if the stock market suffers a major downturn, such as in 2000 and 2007. We help you and your clients avoid such a pitfall.
David has now replicated his investment and business model for those advisors who want to take their practice to the next level. Franchise opportunities still exist in many areas of the country. Ask for your Retirement Income Store booklet on Franchise Benefits & Opportunities.
Still have questions? Call Rick Bates at (954) 487-1859.
SQN Venture Partners was founded by entrepreneurs who understand the complexities of founding a company. We’ve taken our back-of-the-napkin business plans to successful exits and are dedicated to using our funds under management to do the same. SQN works closely with passionate entrepreneurs to creatively structure alternative forms of financing for achieving growth as a supplement to venture capital. Venture debt is the next logical layer of risk capital for the most promising companies that have been validated by recent rounds of venture capital investments. Our capital is generally used to purchase business-essential equipment, invest in key hires, finance working capital needs, or simply extend runway. Our version of venture lending is one based on personal relationships and is focused on growing companies--not on engineering financial returns. We take the time to meet, learn from and understand the opportunities and challenges faced when disruptive businesses are being born. It is not uncommon for us to spend countless hours getting to know early-stage companies as we seek to demonstrate our enthusiasm in working with you and helping your company grow with our capital.
SQN Venture Partners, a trusted resource when financing your company.
Succession Resource Group and their financing partner, PPC Loan, are dedicated to helping independent RIAs with mergers, acquisitions, and succession planning. Succession Resource Group is a boutique consulting firm headquartered in Oregon and has decades of experience helping independent RIAs with valuation, buying, and selling practices – providing turnkey solutions including industry expertise, customized form contracts, tax strategies, and lending through their partner PPC Loan. PPC Loan is headquartered in Texas and has over 20 years of providing cash-flow based financing solutions for acquisitions, buy-ins/buy-outs, equity purchases, and refinancing/restructuring existing debt. Together, SRG and PPC provide a unique and comprehensive solution to help independent RIAs get deals done.
T2 Capital Management, LLC is an opportunistic, privately-held real estate investment firm based in Wheaton, IL.
Since its founding in 2011, T2 has been engaged in the real estate lending and investment business. T2 is the manager of two real estate funds, the T2 Strategic Real Estate Income Fund, LLC ("SREI"), and the T2 Opportunity Fund V, LP. SREI seeks to provide recurring, non-correlated quarterly income to investors by originating or acquiring commercial real estate mortgages as well as making select equity investments. SREI is approved to be held in qualified and non-qualified accounts.
T2 is also actively offering co-investment opportunities and is pursuing investments in Qualified Opportunity Zone's (QOZ's).
Investments are offered to accredited investors pursuant to a Private Placement Memorandum (“PPM”) in accordance with Regulation D, Rule 506(c) under the Securities Act of 1933.
T. Rowe Price Group, Inc. has been managing money since 1937 and, today, stands as a leading provider of investment management services. We offer providers a broad array of active U.S. and non-U.S. equity and fixed-income strategies, through both retail and institutional mutual funds. We emphasize proprietary, fundamental research; close attention to risk management; and consistency of style. We believe that by doing so, we can continue to provide the solid, long-term risk-adjusted performance investors have the right to expect. A financially sound, independent organization with strong employee ownership, T. Rowe Price Group, Inc. has $1.125 Trillion in assets under management as of June 30, 2019.
For independent RIAs who want to do right by their clients and build a business on their own terms, there’s only one choice. TD Ameritrade Institutional provides award-winning advisor tech, industry-leading service and advisor-first advocacy. The result? Efficiency. Growth. And a firm that transforms lives, careers, and communities.
Award-winning tech: Spend less time trouble shooting and more time rocking your clients’ world. Open-architecture Veo One lets you do more in one place. iRebal slashes rebalancing time.
Industry-leading service: Consider us an extension of your staff. TD Ameritrade Institutional always has your back.
Advisor-first advocacy: From policy input to industry sustainability, you have someone going to bat to future-proof your business.
Learn more at tdainstitutional.com or call us at 800-934-6124.
TD Ameritrade Institutional, Division of TD Ameritrade, Inc., member FINRA/SIPC
TIAA is a leading provider of financial services in the academic, research, medical, cultural and government fields. TIAA has $1 trillion in assets under management (as of 09/30/2018) and offers a wide range of financial solutions, including investing, banking, advice and guidance, and retirement services.
Timeline is the sustainable withdrawal rate software used by financial planners in the UK, US and other developed countries across the world. Timeline uses extensive empirical research to assess how a retirement strategy might fare under various market conditions.
Timeline helps financial planners bring a client’s retirement journey to life and answer their big retirement income questions.
For more than two decades, TradePMR has worked with growth-minded independent registered investment advisors (RIAs) helping to provide the innovative technology tools and support needed to transform their businesses. The privately-held brokerage and custodian services provider (Member FINRA/SIPC), based in Gainesville, Fla., works to streamline fee-only investment advisors’ operations through comprehensive custodial, operational and trading support.
Since its beginning in 1975, Vanguard has grown to become one of the world's largest investment management companies, with more than $5 trillion assets under management. Vanguard provides an array of investment products, including a full range of low-cost ETFs and mutual funds designed to help financial advisors grow and preserve the wealth of their clients. In addition to our many investment and client-focused services, our commitment to financial advisors includes innovative practice management solutions that can help advisors attract and retain clients, build their practices, and enhance their professional development.
Most investment firms are either publicly traded or privately owned. Vanguard is different: We're owned by the Vanguard funds, which are owned by our clients. We make every decision with only our clients' needs in mind. Our unique structure, along with our commitment to provide outstanding performance, provides financial advisors with many opportunities for building their businesses and enhancing their client relationships.
For more than 25 years, Vanguard has provided annuity solutions for tax-deferred retirement savings and guaranteed income. Vanguard's Annuity Advisor Services offers NAPFA advisors best-in-class service with a range of high-quality, low-cost products, which include variable annuities, income annuities, and longevity insurance. When partnering with the Annuity Advisor Services team, your direct annuity point of contact can help you evaluate annuities, make product comparisons, and provide service support, allowing you more time to focus on your clients.
Vulcan Value Partners, LLC is an SEC registered investment advisory firm located in Birmingham, Alabama. We are fundamental value investors who provide our investment expertise through 1940 Act mutual funds, separately managed accounts, collective investment funds, and UCITs funds. Our primary objective is to minimize the risk of permanently losing capital over our long-term time horizon, which is five years. We believe that by concentrating on not losing money, making money will take care of itself. We control risk by demanding a substantial margin of safety in terms of value over price and limit investments to companies that have sustainable competitive advantages that will allow them to earn superior cash returns on capital. We are also business operators and recognize that we are investing in real businesses that are run by real people that face real issues. We evaluate business risks, assess people, and scrutinize competitive strengths to consider long term investment. If we would not be comfortable owning an investment for five years it does not qualify. We are not traders or speculators. We do not buy pieces of paper or discrete random variables. We are long term owners in a collection of superior business enterprises.
Wasatch is a research-driven, employee-owned investment advisor, managing a family of small cap no-load mutual funds. Located at the foot of the Wasatch Mountain Range in Salt Lake City, Utah, we are far away from Wall Street and the herd mentality. Our portfolio managers pursue a disciplined approach to investing focused on bottom-up, fundamental analysis to develop a deep understanding of the investment potential of individual companies. The confidence investors find in Wasatch comes not just from what we do, but from who we are. Wasatch is 100% employee owned—we deeply believe in our practices and back them up with our own time and investments.
The Wealth Advisor Alliance is proud to provide the community and solutions — developed by advisors for advisors — that independent advisors need to grow with purpose and run their business the way they want. Our core services play to our strengths: trading, reporting, billing, compliance and technology.
The Wealth Advisor Alliance provides outsourcing services to other independent advisory firms across the country as well as recruits new advisors and partners to join Forum Financial Management directly. In both cases, the Wealth Advisor Alliance benefits advisors who share a common philosophy and invest their clients’ assets in Dimensional and Vanguard investment strategies. With access to a compelling blend of technology and support from our BackOffice support team, advisors can spend more time with their clients.
Transform your practice. Amplify your life’s work.
XY Planning Network is the leading organization supporting financial advisors who provide fee-for-service financial planning to Generation X & Generation Y clients. XYPN is a turnkey financial planning platform, providing everything from compliance support to the technology necessary to start, run, and grow (or transition to) a fee-only RIA doing real financial planning for next-generation clients, with real independence, and access to a real community of like-minded advisors.
YCharts provides intuitive solutions that enable smarter investment decisions. Thousands of investors rely on YCharts for on-demand access to quality data, powerful visualization tools and comprehensive analysis. Leverage YCharts to:
- Increase assets under management: Generate new ideas and uncover the securities that put your investment strategies to work. Visualize hypothetical performance, track key metrics, and validate your investment ideas.
- Monitor markets & macroeconomic trends: Intra-day pricing and over a quarter million economic indicators help you stay ahead of market movements.
- Develop and communicate insights: Visualization tools that bring your strategies to life. Demonstrate your value proposition to attract prospects and delight existing clients with customized deliverables.
Zeo Capital Advisors is a fixed income investment manager with a short duration credit strategy and a sustainable credit strategy (ESG high yield). As a repeat NAPFA sponsor, we value this conference and the opportunity to engage with our clients and meet new advisors to learn more about your practice to see how or if we can help—even beyond our mutual funds. Given our propensity to be more consultative in our interactions we have engaged with advisors through formal arrangements to evaluate their entire fixed income offerings. So whether you want to talk specifics around our credit mutual funds, explore more about your fixed income allocations in general or share more about your firm, stop by and say hello. We are here as a resource for you.