NAPFA Fall 2021 National Conference
Absolute Investment Advisers was founded in 2004 to help investors diversify and manage risk within their portfolios. The founders’ previous experiences in hedge funds, mutual funds and the high-net-worth advisory business led to the launch of one of the industry’s first hedged mutual funds in 2005. For over fifteen years Absolute has provided investors access to unique managers who are benchmark agnostic and absolute return focused. As a pioneer in the “liquid alternative” mutual fund space, Absolute continues to break down the barriers between investors and illiquid, opaque hedge fund structures.
Advyzon provides intuitive, all-in-one technology for RIAs. As a team of entrepreneurs with more than 150 years of combined experience in the financial services industry, Advyzon strives to innovate in strategic and useful ways. Financial advisors inspire our innovation and integrations; our exceptional technology and unmatched service exist to improve the advisor experience, whether it’s via portfolio and firm management or client relationships and growth. For more information, visit Advyzon.com.
A leading provider of annuities and life insurance, Allianz Life Insurance Company of North America (Allianz) bases each decision on a philosophy of being true:
True to our strength as an important part of a leading global financial organization.
True to our passion for making wise investment decisions. And true to the people we serve, each and every day.
American Equity is a real estate investment and management company formed in 1988. The initial focus was to make the most of the real estate recovery in the Dallas/Fort Worth market from the savings and loan era. American Equity has successfully acquired, managed, and improved apartment communities, office buildings and pre-development land for the past 30 years. A clear add-value strategy, developed from a vision of what a property can become, and a steadfast determination to "invest contrary to the herd" have distinguished American Equity throughout three decades of success in the real estate private equity business.
The American Equity team is proud of their track record of providing quality homes and work environments to discerning customers and delivering consistent quarterly distributions and profits to investing partners since 1988.
ARCTRUST Properties, Inc. known as the “Maker of Reliable Net Leases” and sponsor of ARCTRUST III, Inc. and BBB investment grade rated ARCTRUST II, Inc., private Reg D Real Estate Investment Trust (REIT) programs, has for more than 35 years specialized in the development and acquisition of net lease investments concentrating on the New York to Washington, DC to Florida corridor and select other U.S. cities. As a Maker, the company believes investments made through its Preferred Asset Vehicles in Real Estate (PAVRs) program combine the reliable cash flow features of a corporate lease with the potential appreciation inherent in real estate. PAVRs include (a) the development and acquisition of net lease properties, (b) preferred equity interests in real estate entities that have a stated preferred rate of return plus a share of the cash flow and appreciation of the real estate and, (c) participating loans that will consist of two distinct investments: (i) a loan with a fixed minimum interest rate, and (ii) a separate equity investment in the borrower that will participate in the cash flow and appreciation of the underlying real estate.
Betterment for Advisors is a leading digital-first wealth management platform. By combining our technology with an advisor's personal touch, we are reimagining what's possible in wealth management. Our automated, tax-efficient portfolio management, paperless back office, and intuitive user experience empower advisors to grow their businesses and build deeper client relationships. Hundreds of firms trust Betterment for Advisors to custody and manage client assets.
Cannapreneur Partners is a Massachusetts-based cannabis holding company that finds the world’s top 1% entrepreneurial outliers and infuses smart capital, strategy, and purpose-driven leadership to achieve explosive growth. Our team has a passion and drive to help entrepreneurs attain sustainable growth while guiding RIA firms, family offices, private-equity firms, and ultra-high-net-worth individuals to thoughtfully place capital in the cannabis space.
Charles Schwab - At Schwab Advisor Services™, we are dedicated to working with and learning from advisors like you. With 30 years of experience serving independent advisors, we understand what it takes to help you meet your business goals. That’s how we deliver the level of support you need to take control of your destiny—and create the firm you want.
Dimensional Fund Advisors is a leading global investment firm that has been translating academic research into practical investment solutions since 1981. Guided by a strong belief in markets, the firm builds and implements strategies to help clients pursue higher expected returns. An enduring philosophy, strong client commitment, and deep working relationships with the academic community underpin Dimensional’s approach to investing and form the foundation for new strategies. As of June 30, 2021, Dimensional and its affiliates manage $660 billion in USD for investors worldwide.
Elements gives financial advisors the framework, processes, and software they need to deliver ongoing financial planning and a modern client experience.
Our mobile client portal provides a simple and elegant way for advisors to increase client engagement in the planning process and to keep client data up-to-date with way less hassle.
The Elements Scorecard grants advisors instant holistic insight into their clients' situation, allowing quicker responses to client questions and clear communication around goals and progress.
Ultimately, Elements makes getting to meaningful client conversations faster, easier, and more efficient.
Equita Financial Network was founded by women to support women to thrive in the financial services industry. We make it easy for women to successfully run their own firms, whether you’ve just started out on your own or are decades into running your business. Equita provides everything you need to run a high-quality financial planning firm so you can focus on your clients’ needs while maintaining full ownership of your brand and company. Our partners provide access to business coaching, efficient IT, marketing, compliance, E&O insurance, portfolio management and more. There is power in community and collaboration. With Equita Financial Network you are joining a network of independent, outstanding women-led firms who share best practices and the abundance mentality with one another to support and thrive as entrepreneurs.
ETF Action is a data analytics and technology platform that expands and simplifies market research through the lens of ETFs. Built by financial professionals, for financial professionals, ETF Action streamlines the investment process, from initial research to comparative analysis to portfolio construction - and beyond.
FeeX enables financial advisors to actively manage and trade 401(k)'s and other held away accounts for their clients, without triggering custody. FeeX's Held Away Order Management System allows advisors to bring more of their clients' accounts under management, empowering them to provide truly holistic wealth management and better retirement outcomes for the individual clients. FeeX's clients range from Fortune 100 financial services firms and large independent broker dealers, to small independent RIA’s and advisory firms.
Fidelity Institutional (FI) is the Fidelity Investments business that offers financial professionals and institutions access to the investment, technology, and platform solutions they need to service their clients and grow their businesses.
Five States Energy is a private investment firm that has been helping investors capture value from U.S. energy opportunities since 1985. The company focuses on returning long-term, sustainable cash flow by acquiring real assets from both traditional and renewable energy sources. Using a classic value approach, Five States’ tenured management team seeks to buy proven and producing assets for their predictability and control risk through commodity hedging, conservative underwriting, and extensive due diligence. Five States’ core strategy of targeting undervalued assets with high upside potential through continued asset development has been paramount to the company’s history of success.
Are you ready to enhance clients’ portfolios with growth opportunity, protection from loss and the opportunity for guaranteed lifetime income? Great American Life Insurance Company® is a leading annuity provider with a suite of fee-based annuities designed specifically for investment advisors.
Great American Life offers a level of financial strength that you and your clients can count on. We are a wholly owned subsidiary of MassMutual, one of the largest life insurance companies in the U.S., founded in 1851. We are proud to have received an “A” or higher rating by AM Best for more than 40 consecutive years. This rating indicates an “excellent ability to meet our ongoing obligations to policyholders.”
Our simple promise
With Great American Life, you’ll find a simpler way to help achieve your clients’ goals. We’ve invested time and resources into developing tools and resources that allow you to seamlessly integrate an annuity to your advisory platform, which may provide benefits that are missing from clients’ portfolios today. From the products we offer to the service we provide, we make things as easy as possible. Whenever you have a question, we’re only a phone call away. It’s part of our simple promise to you: superior service and annuities that are easier to understand.
Holistiplan, now the #1 tax planning software for financial advisors, was created by two CFP® Professionals to answer a single pressing question: is it possible to radically scale the process of tax planning so advisors can become both more comprehensive and more efficient? The answer to that question is “yes.”
Using machine learning, Holistiplan reads an entire personal tax return and creates a customized, white labeled tax report complete with relevant observations in as little as 60 seconds. The same time saving technology also pre-fills a scenario analysis screen allowing advisors to immediately identify key income breakpoints for tax planning opportunities like ROTH conversions, tax-efficient withdrawals, charitable giving, and much more. Holistiplan makes tax planning accessible to every advisor so they can bring it to every client. The future of tax planning is here.
Founded in 2013 in NYC, iCapital Network is the leading global financial technology company powering the world’s alternative investment marketplace. It has transformed the way the wealth management, banking, and asset management industries facilitate access to private markets investments for their high-net-worth clients by providing intuitive, end-to-end technology and service solutions. Wealth management firms use iCapital’s solutions to provide clients with quality funds at lower minimums and simplified digital workflows. Asset managers and banks leverage iCapital’s technology to streamline and scale their private investments operational infrastructure. Additionally, the iCapital ‘flagship’ platform offers financial advisors and their high-net-worth clients access to a curated menu of private equity, private credit, hedge funds, and other alternative investments to help meet their investing needs for return and diversification. iCapital’s research and diligence team offers robust analysis alongside the firm’s extensive suite of advisor education, compliance, portfolio management, and portfolio analytics tools and services. iCapital was recognized on the Forbes FinTech 50 list 2018-2021. As of June 30, 2021, iCapital services more than $80 billion in global client assets across more than 780 funds. Employing more than 450 people globally, iCapital is headquartered in NYC and has offices in Zurich, London, Lisbon, and Hong Kong.
Jackson is committed to reducing the complexity of retirement planning. Our protected retirement solutions, financial know-how, history of award-winning service* and streamlined experiences strive to reduce the confusion that complicates your plans. We believe by providing clarity for all today, we can help drive better outcomes for tomorrow.
*SQM (Service Quality Measurement Group) Contact Center Awards Program for 2004 and 2006-2020. (To achieve world-class certification, 80% or more of call-center customers surveyed must have rated their experience as very satisfied, the highest rating possible.)
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.
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 free policy reviews – for term, long term care, disability, annuities, hybrids, and low load fixed and variable life solutions from highly-rated companies. The introduction of ALLiS, a robust advisor and client relationship management system, continued LLiS's high touch, high tech approach in finding the right insurance solution based on the client's needs and their financial advisor's recommendations. Our 20+ team members worked seamlessly since the beginning of the COVID-19 pandemic to help your clients reach their income security and wealth preservation goals. So no matter the setting, we are always 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.
Founded in 2009 by Ryan Hanks, Madison Capital Group, LLC is a full service private equity real estate investment and development firm with a primary focus on the multifamily and self-storage sectors.
We take pride in departing from the conventional approach to real estate investing by taking the road less traveled. We seek off-market and opportunistic opportunities, whether pursuing an existing acquisition, acquiring a piece of land, or developing from the ground up.
Madison’s entrepreneurial mindset, vertical integration, and exceptional in-house capabilities allow us to move quickly and take advantage of varying market conditions and unique investment opportunities. We pursue multi-dimensional strategies, which we believe are crucial in a constantly evolving real estate market. We listen to the market and firmly believe it dictates where great investments exist. While we do not try to predict the future, we prepare for it.
Our mission for over 46 years, at Murray A. Gordon & Associates, has been to work hard to make Long Term Care Planning easy. MAGA’s 3 principals provide over 100 years of expertise, offering a range of cutting-edge Long Term Care Insurance (LTCI) solutions – Stand-Alone “Traditional” LTCI and Hybrid Asset-Based Life/Annuities with LTCI Riders. Our experienced team provides attentive customer service, including policy reviews and claims support. We are also committed to LTCI education and offer CFP®-Approved CE programs. MAGA is the nation’s most experienced LTC specialist, a long-time NAPFA Resource Partner, and Licensed Nationally. Put our expertise to work for you and call Brian Gordon, Peter Florek, or Murray Gordon at 800-533-6242 or email at firstname.lastname@example.org.
Matthews Asia was founded 30 years ago on the conviction that Asia’s growth would outpace the rest of the world and would one day be the primary driver of the global economy. Today, that vision has largely been borne out with the region’s GDP growth outpacing the rest of the world. Our specialized focus on Asia has enabled us to develop deep insights into its markets, companies and securities. Rigorous proprietary research enables us to understand both the risks and potential rewards and build portfolios that aims to meet our high standards of investment excellence for our clients. As Asia’s influence and links to the broader global economy have grown, our research capabilities have also expanded to include emerging markets—an asset class that Asia now dominates.
Our investment offerings provide a broad range of strategies for building a global portfolio that includes exposure to one of the world’s fastest-growing regions. For more information about Matthews Asia, please visit matthewsasia.com.
MaxMyInterest (“Max”), a service of Six Trees Capital LLC, offers cash management solutions for financial advisors and their clients, self-directed investors, and institutions to earn dramatically higher yields on cash. Max helps clients ensure their deposits earn the highest yield possible while remaining FDIC-insured.
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.
Palladium Group is a boutique insurance consulting firm with a singular mission: to provide superior consultative, outcome-based insurance solutions to registered investment advisors. Mirroring an advisor’s fiduciary duty, we work alongside RIAs to assess, consult and advise—never sell. We exist to provide advisors with pure, unbiased insurance solutions while delivering maximum value to their clients. Whether the client needs life insurance, annuities, long-term care, or disability insurance, Palladium Group offers insurance solutions to safeguard the financial future RIAs and clients have built together.
At Palladium Group, it's about outcomes over incomes.
People over products.
Peachtree Hotel Group (“Peachtree”) is a real estate private equity investment firm investing primarily in hospitality. Since its founding in 2008, the company has completed hundreds of real estate investments valued at more than $5 billion in total market capitalization and currently has $1.9 billion in equity under management. Based in Atlanta-Georgia, Peachtree finances, owns, operates, manages and develops hotels throughout the U.S. The company’s current portfolio comprises 175 commercial loans under management and 74 owned and third-party managed hotels across 21 brands, with more than 8,700 rooms located in 17 states.
PPC LOAN is one of the nation’s leading sources of conventional (non-SBA) cash-flow based financing for investment advisory firms. For over 20 years, we have consistently provided the most attractive financing programs available in the industry. With PPC LOAN you can expect quality service and tailored financing solutions because we understand how your business works. And that gives us an edge over typical SBA lenders and traditional banks who can’t afford the time to learn and understand the way your firm - or any investment firm - works. The three types of loans we offer to investment advisory firms are:
- Growth Loans: For acquisitions (& mergers) of a firm or book of business
- NextGen Loans: For succession plans, internal equity purchases, and partnership buy-ins/buy-outs
- RefiLoans: A refinancing solution for existing business debt
Once we get to know you and your firm, you can consider us a long-term partner who’s ready to assist you with your ongoing financing needs. This is about a relationship and your dedicated PPC LOAN advisor is committed to your ongoing success.
Private College 529 Plan is a prepaid tuition plan that allows your clients’ to save on the cost of college by purchasing tomorrow’s tuition at today’s prices. No matter how much tuition increases over the years, or how volatile financial markets are, by prepaying tuition, your clients’ lock in current rates at nearly 300 colleges and universities, from Princeton to Stanford and everything in between (large-small, liberal arts – STEM, faith-based – single-gender, selective – less selective.) Account owners pay no fees. Every dollar they contribute goes toward the purchase of tuition. The value of your clients’ Private College 529 account grows as tuition increases. Private College 529 Plan offers the same federal tax benefits as any 529 prepaid tuition plan or state-sponsored 529 college savings plan.
Prudential is one of the world’s largest financial institutions with $1.48 trillion in assets under management, and with one of the most recognized brands in the United States: The Rock®. We are known for our ability to deliver on our promises to our customers and are recognized as one of the world’s most admired companies. Prudential Annuities is a business of Prudential Financial.
As you plan for a more secure tomorrow for your clients, you’ll want to work with a company you know and trust. Prudential has helped millions of people prepare for their future. With a solid reputation for risk management, product innovation, investment expertise and financial strength, Prudential continues its commitment to helping Americans meet their financial challenges.
Retirement Plan Consultants - We are an independent firm that provides recordkeeping and administrative services to all types of qualified retirement plans. We partner with fee only Financial Advisors to help them grow their practice and provide outstanding service to their clients. Our flexible, open architecture platform allows Financial Advisors to create the retirement plan that best fits the company goals. We strive to take the complex and make it simple.
Shareholders Service Group (SSG) provides custodial services exclusively for independent registered investment advisors (RIAs). We are dedicated to helping RIAs succeed in working with their clients by providing the best overall platform of investment solutions, service and technology. SSG was the highest-rated custodial platform in the 2020 T3/Inside Information Advisor Software Survey. Furthermore, the employees of SSG have an average of over 20 years of experience in serving the needs of independent RIAs. We understand what independent RIAs require in order to do their best work and this includes offering the “SSG Same-Day Promise” which means service requests received by noon receive same-day attention. The company was founded in 2002 and currently serves approximately 1,600 independent RIAs. Learn more at: ssginstitutional.com
With a history that dates back more than 100 years, Transamerica is recognized as a leading provider of life insurance, retirement and investment solutions, serving millions of customers throughout the United States. Recognizing the necessity of health and wellness during peak working life, Transamerica’s dedicated professionals work to help people take the steps necessary to live better today so they can worry less about tomorrow. Transamerica serves nearly every customer segment, providing a broad range of quality life insurance and investment products, individual and group pension plans, as well as asset management services. Transamerica is part of the Aegon group of companies. Based in the Netherlands, Aegon is one of the world’s largest providers of life insurance, pension solutions and asset management products, operating in more than 20 markets worldwide.
T. Rowe Price 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 $1.62 Trillion in assets under management as of June 30, 2021.
Vise is a technology-powered investment management manager built for advisors. Founded by Samir Vasavada and Runik Mehrotra, Vise gives financial advisors the tools they need to grow their business and help clients achieve their goals. This includes building and managing customized portfolios and providing intelligent insights to clients on each investment decision. By empowering advisors, Vise advances its mission of creating financial freedom for everyone. Vise is headquartered in New York. For more information, visit www.vise.com.