2014 symposium book by J.W. Cole Financial

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We want to thank all of our sponsors for helping to bring a great 2014 Symposium experience to our Partner Advisors. Thank you for your support and partnership!

Platinum Product Alliance Partners • AssetMark • Atlas Energy LP • Realty Capital Securities Gold Product Alliance Partners • • • • •

Brinker Capital Franklin Square Griffin Capital Hines Securities Midland National Life

• • • • •

National Financial Services Sammons Retirement Solutions Security Benefit Life U.S. Energy Walton International

Silver Product Alliance Partners • • • • • • •

Allianz Life CPS Insurance Services CreativeOne Curian Capital DressanderBHC FIG Marketing Flexible Plan Investments

• • • • • • •

Financial Professionals Group Hanlon Investment Management Howard Capital Management Jackson National Life Steadfast Companies VOYA Financial Weatherstone Capital Management

Bronze Product Alliance Partners • • • • •

Absolute Capital American Trust Retirement Ash Brokerage CCA Funds Cole Realty Holdings, LLP

• • • • •

Inland Real Estate Group MetLife Sowell Management Services T. Rowe Price The Pacific Financial Group

Facility Map

The Marketplace Magnolia A

Magnolia B

Magnolia C

10 12

service

Absolute Capital Albridge Solutions Allianz Life American Trust Retirement Ash Brokerage AssetMark Atlas Energy LP BlackDiamond Brinker Capital CCA Funds Cole Capital CPS Insurance Services CreativeOne Curian Capital DressanderBHC Emerald Connect

41 33 5 15 11 22 6 38 7 13 28 42 24 3 19 37

FIG Marketing Finance Logix Financial Professionals Group Flexible Plan Investments Franklin Square Griffin Capital Hanlon Investment Management Hines Securities Howard Capital Management Inland Real Estate Group Jackson National Life Laser App Software MetLife Midland National Life National Financial Services Realty Capital Securities

45 36 27 1 10 14 26 25 16 2 12 35 44 9 40 29

Realty Capital Securities Redtail Technology Sammons Retirement Solutions Security Benefit Life SmartOffice Sowell Asset Management Steadfast Companies T. Rowe Price The Pacific Financial Group U.S. Energy VOYA Financial Walton International Weatherstone Capital Management

30 39 8 17 31 43 4 21 23 20 32 18 34

SYMPOSIUM AGENDA SNAPSHOT Monday, October 27th, 2014 11:00 – 1:30 Meet and Greet the Product Alliances The Marketplace 1:30 – 1:45 “Life is a Great Big Canvas” Magnolia Ballroom 1:45 – 2:45 “Integrity, Imagination, Independence” John Carlson & RJ Wood Magnolia Ballroom 2:45 – 3:30 “Chalkboard Psychology” Craig Towle Magnolia Ballroom 3:30 – 4:30 “The Real Truth About Success” Garrison Wynn, Business Humorist/Success Coach Sponsored by Realty Capital Securities Magnolia Ballroom 5:00 – 9:00 J.W. Cole Welcome Beach Party Oceanside Beach Sponsored by Midland National and Sammons

Tuesday, October 28th, 2014

7:00 – 8:00 Breakfast with your Product Alliance Partners The Marketplace Sponsored by Security Benefit and Franklin Square 8:00 – 9:00 “What’s Up on Capitol Hill” Thomas Rowley, Executive Director - Invesco Sponsored by Jackson National Magnolia Ballroom 9:00 – 10:00 “Building the Next Generation Wealth Management Firm” Matt Matrisian, Senior Vice President - AssetMark Sponsored by AssetMark Magnolia Ballroom 10:20 – 11:00 Breakout Session #1 11:10 – 11:50 Breakout Session #2 12:00 – 1:00 Lunch with your Product Alliance Partners The Marketplace Sponsored by Griffin Capital and Walton 1:00 – 2:15 “How Do We Make the Best of…SLOW” Bruce Johnstone, Managing Director of Fidelity Sponsored by National Financial Magnolia Ballroom 2:15 – 3:05 “Executive Stamina” Benjamin Sorensen, Executive Coach/Author Sponsored by T. Rowe Price Magnolia Ballroom 3:20 – 4:00 Breakout Session #3 4:10 – 4:50 Breakout Session #4 5:00 – 5:40 Breakout Session #5 6:00 – 7:00 Cocktail Reception The Marketplace Sponsored by U.S. Energy 7:00 – 10:00 J.W. Cole Appreciation Dinner “Life Changes in an Instant” Lee Woodruff, Author and CBS Contributor Sponsored by Atlas Energy Magnolia Ballroom

Wednesday, October 29th, 2014 7:00 – 8:00 Breakfast with your Product Alliance Partners The Marketplace Sponsored by Hines and Brinker 8:00 – 9:00 “Deepening Client Engagement” Brian Nelson, Vice President - National Financial Sponsored by National Financial Magnolia Ballroom 9:00 – 10:30 “Annual Compliance Meeting” Paul Caron, Todd Pack, RJ Wood Magnolia Ballroom Magnolia Ballroom 10:30 – 11:00 Closing Remarks & Prize Giveaway

MONDAY GENERAL SESSION 11:00 - 1:30 Meet and Greet the Product Alliances

1:30 - 1:45 1:45 - 2:45

The Marketplace

SYMPOSIUM KICK OFF “Life is a Great Big Canvas”

Magnolia Ballroom

Sponsored by:

“Integrity. Imagination. Independence.” John Carlson & RJ Wood Our two Founding Principals discuss the accomplishments of our past year, the challenges facing our industry, and how we are shaping your firm around our core principles of Integrity, Imagination and Independence.

2:45 - 3:30

Sponsored by:

Magnolia Ballroom “Chalkboard Psychology” Craig Towle

Most companies know What they do, good companies study How to do things better, and great companies know Why they are in business… but what about individuals? This fun talk will explore challenging ourselves to find personal purpose in life and proven methods we can use to increase our own likelihood for success.

3:30 - 4:30

Magnolia Ballroom

Sponsored by:

“The Real Truth About Success” Garrison Wynn Garrison Wynn helps people make the jump from being great at what they do to developing the qualities it takes to be consistently chosen for the job. Mr. Wynn has presented to some of the world’s most effective leaders, from multibillion-dollar manufacturers and national associations to top New York Stock Exchange firms. He will discuss today’s uncertain times and how commitment and humor can serve as catalysts for success.

5:00 - 9:00

J.W. Cole Welcome Beach Party

Oceanside Beach

Sponsored by:

“Ok Gidget… Put on your flip flops & come on down to the Oceanfront for an evening of friendship, fun and lots of fire pits!”

TUESDAY MORNING GENERAL SESSION 7:00 - 8:00 Breakfast with your Product Alliance Partners Sponsored by Security Benefit Life and Franklin Square

8:00 - 9:00

Magnolia Ballroom

The Marketplace

Sponsored by:

“What’s Up on Capitol Hill” Thomas Rowley Thomas Rowley is an Executive Director with Invesco, where he is responsible for analyzing the evolving retirement landscape, and developing actionable strategies designed to help investors and Financial Advisors maximize their retirement planning opportunities. Tom’s insights reflect more than 20 years of experience in the industry, and he seeks to explain the complexities of legislative, investing, tax and social issues through his personal experiences and with straightforward clarity.

9:00 - 10:00

Magnolia Ballroom

Sponsored by:

“Building the Next Generation Wealth Management Firm” Matt Matrisian Matt Matrisian is Senior Vice President and Director of Practice Management at AssetMark. Matt has almost 20 years of experience focusing on practice management and business building concepts for the financial planning community. He has been a featured speaker at numerous industry conferences and has published articles in Investment News, Investment Advisor, Financial Planning and On Wall Street magazines.

10:20 - 11:00 Breakout Session 1 *see following two pages for details 11:10 - 11:50 Breakout Session 2 *see following two pages for details 12:00 - 1:00 Lunch with your Product Alliance Partners The Marketplace Sponsored by Griffin Capital and Walton International

10:20 - 11:00 TUESDAY MORNING BREAKOUT SESSION #1

1 2 3 4 5 6 7

Structuring Energy Investments: Aligning Risks and Rewards Vicki Burbridge from Atlas will discuss how investing in the drilling and production of natural gas, natural gas liquids and oil gives accredited investors an opportunity to include domestic energy assets as part of their portfolio.

Cumberland A

PANEL DISCUSSION - Growing Your Business with AssetMark – Advisor Best Practices AssetMark’s David Pologe will moderate a panel discussion with a select group of JW Cole Advisors as they explore ideas for building a great business based on practice efficiency and scale. Discover what’s working for these top advisors and learn what you can do to take your practice to the next level with AssetMark.

Cumberland B

Invest in Real Estate like an Institution Differentiate yourself from the competition as Katie Grider discusses how to identify real estate markets with positive historical and forecasted growth, providing you with additional options for your high net worth clients seeking Capital Appreciation opportunities.

Cumberland C

Talbot

Volatility Control Indices: The Truth Behind the Hype Volatility Control is the newest industry innovation and is making a huge impact. Join Bryce Biklen in this informative session as he explores this innovation, including the true definition of “volatility control,” how volatility control works with a fixed index annuity, and the role of alternative indices and the competitive landscape.

Ossabaw

The Personality Connection The dynamics of personality are crucial to the communication and decision-making process. Personality can enhance client relationships, and it can also be a massive roadblock to any kind of success. This value-add presentation from the dynamic Karen Leparulo delivers actionable business and relationship building strategies that make the difference. The Paradigm Shift from Passive to Active Money Management Join Hanlon’s Steve Allbritton as he reviews the money management landscape and discusses Hanlon’s active management strategy approach at increasing returns, and attempting to reduce volatility in your clients’ portfolios.

Conference 1

Five Ideas to Help Protect Assets Under Management CPS invites you to join Scott White and Tom Virkler to uncover 5 different concepts you can implement into your practice to help clients not only protect their assets, but potentially lower their tax exposure while doing so.

Conference 3

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All JWCollege™ Courses are located in the LIVE OAK ROOM

Course 1 (10:20am – 11:00am) Becoming the Most Valuable Part of Your Advisor’s Business (Tim Schultz & Craig Towle, J.W. Cole) Technology, Process & Product is important, but business will always succeed or fail because of the people involved. This motivational kick off to JWCollege™ will prepare you to become the single most important asset in your Advisor’s business.

11:10 - 11:50 TUESDAY MORNING BREAKOUT SESSION #2

1 2 3

Cumberland A

Why Advisors are Turning to Multi-Asset Income for Retirees in a Low-Yield Environment As you search for income strategies and effective diversification for unpredictable markets, join Tom McCarthy as he reveals AssetMark’s multi-asset income strategies. These portfolios are designed to look at more categories within fixed income and to broaden the traditional fixed-income to include other income-producing asset classes.

Cumberland B

Why Have BDC’s Become So Popular? Business development companies or BDCs can be a source of potential income, paid in the form of distributions, for investors. Join Chris McCaffety from Hines as he investigates this asset class and uncovers why a BDC, such as the HMS Income Fund, might make sense for your clients’ portfolios.

Cumberland C

Stay or Go - Looking at IRA Rollovers from a Consumer Perspective Join TJ Hussar as he reveals the current IRA rollover market trends, discussing how retirees and job changers look at the IRA rollover decision, and the factors that contribute to the decision to “stay” or “go” from their old 401k and invest in an IRA.

4 Talbot

The Apartment Opportunity Continues Kevin Cool will discuss Steadfast’s real estate philosophy and their belief that with strong demand, improving occupancy and increasing rental rates, the U.S. apartment sector is experiencing unrivaled investment opportunities for investors.

Ossabaw

Conference 1

Advisor EXCELLENCE Curian’s Amy Temkin presents Advisor Excellence, an informative session that provides the opportunity for advisors to focus on five key areas to better manage their business: Strategy, Human Capital, Operations, Marketing, and Financial Management. Challenge yourself to apply these practical recommendations and strive for excellence in the management and profitability of your business.

Conference 3

Robo Advisors – What This Means to Your Business The robo-advisor model has steadily added market share, and new larger industry icons have decided to throw their hat in the ring. Weatherstone’s Erik Hardin will discuss what this will mean to the traditional Advisor and how to insulate your business from a potentially game-changing shift in our industry.

6 7

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All JWCollege™ Courses are located in the LIVE OAK ROOM

Course 2 & Lunch (11:10am – 12:50pm) The Big Brainstorm – JWCollege™ Networking (Gail Leonard & Katrina Greear, J.W. Cole) Dynamic group discussions, using the same successful JWCentric open-space formula, around what YOU want to talk about, leads to answers and ideas that YOU can use immediately when you return to your offices.

TUESDAY AFTERNOON GENERAL SESSION 12:00 - 1:00 Lunch with your Product Alliance Partners The Marketplace Sponsored by Griffin Capital and Walton International 1:00 - 2:15

Sponsored by:

Magnolia Ballroom

A Fidelity Investments Company

“How Do We Make the Best of…SLOW” Bruce Johnstone

Mr. Johnstone serves as a Managing Director and Senior Marketing Investment Strategist at Fidelity Investments. Mr. Johnstone is a Chartered Financial Analyst, an M.B.A. graduate of Harvard Business School, and has held numerous positions in his 41-plus-year tenure at Fidelity Investments. His discussion will allow us to gain economic and market insight from one of the most brilliant minds in the investment services industry.

2:15 - 3:05

Magnolia Ballroom

Sponsored by:

“Executive Stamina” Benjamin Sorensen Benjamin Sorensen brings a rich mix of corporate experience, non-profit work and teaching ability to help individuals maximize their talents, leverage strengths and gain as many tools as possible to succeed in their organization. His discussion will focus on how to increase your energy and endurance levels to accomplish tasks at hand and strategic goals.

3:20 - 4:00 Breakout Session 3 *see next three pages for details 4:10 - 4:50 Breakout Session 4 *see next three pages for details 5:00 - 5:40 Breakout Session 5 *see next three pages for details 6:00 - 7:00 Cocktail Reception Sponsored by U.S. Energy

The Marketplace

7:00 - 10:00 J.W. Cole Appreciation Dinner

Magnolia Ballroom

Sponsored by:

“Life Changes in an Instant” Lee Woodruff, Author and CBS Contributor Lee Woodruff knows that life can change in an instant. When her husband, ABC World News Tonight’s Bob Woodruff, was severely wounded in a roadside bomb attack in Iraq, Lee’s family, career, and future was turned upside down. A successful freelance writer, businesswomen and best-selling author, Lee has not only overcome immense obstacles, but done so with tremendous strength and grace – all on a public stage. Engaging, heartfelt and candid, Lee Woodruff’s dynamic presentation will remind you that nothing is stronger than love and hope.

3:20 - 4:00 TUESDAY AFTERNOON BREAKOUT SESSION #3

1 2 3 4

Investing in Commercial Real Estate There are many options that are available for investing in commercial real estate. However, some options can be potentially better than others based on an investor’s net worth, risk tolerance, and desired time commitment, to name a few. Join Jon Leffew from RCS as he discusses the ABCs of REIT investing and commercial real estate.

Cumberland A

A Powerful Current Income Strategy in America’s Fastest Growing Industry – Healthcare Rick Martens takes a closer look at coupling the expanding healthcare economy with a real estate investment to provide investors a source of income and deliver tax efficient returns.

Cumberland B Credit Investing and the Hidden Cost of Liquidity Join Jay Sluis to learn how investing in private credit may enhance a fixed income portfolio. In this session, Franklin Square will describe the benefits of credit investing, the opportunities illiquidity offers, and the unlisted fund structure in practice.

Cumberland C

Optimizing Productivity with Streetscape Join Streetscape Consultant Jay Falkner as he covers Streetscape best practices designed to help you salvage your time and spend more time working ON your business rather than IN your business. He will discuss many of the different tools and functions to help run an efficient brokerage business and provide your brokerage clients with the very best experience.

A Fidelity Investments Company

Talbot

5 6 7

Reclaim Your Time With a Smart IRA Solution! Voya’s Erik Timmerman shares tools on how to improve your time management, gather more clients, and generate more revenue in your practice. Plus, a great IRA Solution for gathering more assets in the retirement rollover market that can be immediately implemented into your business.

Ossabaw

Game Changers Historically, equities have proven profitable for investors. Even today, a majority of U.S. investors’ assets are held in domestic equities. But, in this era of unprecedented market volatility, Zarif Karwandyar explores other types of investments to help diversify clients’ portfolios.

Conference 1

Perpetual Marketing & Lead Generation… That Actually Works! It’s Not Just about Product… It’s about Seeing More Clients! Join Perry Papadopoulos as he demonstrates how to build your annuity business in less than 90 days, utilizing a combination of marketing techniques that include lead generation systems, business building processes, and point-of-sale tools.

Conference 3

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All JWCollege™ Courses are located in the LIVE OAK ROOM

Course 3 (3:20pm – 4:00pm) The Tech Savvy Office is The Optimal Office (Rosie Adams, J.W. Cole) Technology is about creating leverage. Unfortunately there are too many Advisor offices that have trouble selecting the best technology to implement. Our Director of Applied Technology will lead this exploration of top technologies that J.W. Cole offices are integrating successfully.

4:10 - 4:50 TUESDAY AFTERNOON BREAKOUT SESSION #4

1 2 3

Investing in Commercial Real Estate There are many options available for investing in commercial real estate. However, some options can be potentially better than others based on an investor’s net worth, risk tolerance, and desired time commitment, to name a few. Join Jon Leffew from RCS as he discusses the ABCs of REIT investing and commercial real estate.

Cumberland A

Using Oil and Gas to Expand Your Book Learn to go beyond just a tax write-off with oil and gas investments as Mike Haven discusses exciting strategies that can be applied to your book of business. See how planning strategy ideas like Roth Conversions, Gifting, PIG/PAL, and others can become interesting tools for your accredited clients.

Cumberland B

Income Planning Practices and Prices Using Index and Income Annuities In a prolonged period of low interest rates, Advisors continue to search the landscape to find income sources for their clients. CreativeOne’s Paul McGillivray examines a variety of new strategies using index annuities and income annuities to provide needed income streams to client portfolios.

Cumberland C

How to Grow Your Practice by 50% Next Year Howard Capital Management is proud of being marketing oriented, setting them apart from other Money Management firms. Join Jay Jones as he reveals the tools that they have created to help Advisors grow their practices and stay in front of their clients.

4 Talbot

5 6 7

Streamline Your Practice and Help Clients Make the Right Decisions at the Right Time. Tom Reiman will lead a behavioral finance conversation that will center on helping you focus your clients attention on what’s most important, giving you more time to grow your business while driving the best possible client outcomes.

Ossabaw

Built to Last – The Client Directed Solution! Learn the discovery process for helping clients protect their family and provide for the next generation. Lauren and William Wright will provide case study examples using the tools and calculators that make product solutions easy and effective.

Conference 1

Retirement Strategies and Fixed Index Annuities Join Matt Ohme as he covers the commonly used 4% rule and the possibility it could be negatively impacting your clients’ retirement income. Also examined are Traditional roll-ups and other FIA strategies, which can help generate a retirement income.

Conference 3

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All JWCollege™ Courses are located in the LIVE OAK ROOM Course 4 (4:10pm – 4:50pm) Compliant Branch Office Setup (Robert L’Amour & David Mitchell, J.W. Cole) Running a great business starts with running a compliant business. This session makes everything you need to know about running a compliant office easy to understand and gives you a checklist to make sure your office passes inspections with flying colors.

5:00 - 5:40 TUESDAY AFTERNOON BREAKOUT SESSION #5

1 2 3

Cumberland A

The Net Lease Advantage – Investing in Institutional Quality Commercial Real Estate Through a net-lease strategy, retail investors have access to high quality commercial real estate that can increase portfolio diversification, provide a source of current income, hedge against inflation, lower portfolio volatility and manage portfolio risk. Join Kaana Smith to hear more about the net lease opportunity and how it may benefit your clients’ portfolios. Understanding Inland Real Estate Income Trust, Inc. During this session, Nathan Rachels will discuss necessity-based, multi-tenant retail, Inland Income Trust product features, Inland Income Trust compared to previously-sponsored REITs, and why Inland Income Trust is a solid choice.

Cumberland B

Managing Expectations in Uncertain Markets A logical, disciplined approach is required to onboard a new client and manage their expectations as the relationship continues. Len Durso, AIF will show how a systematic approach to client relations and education will produce lifelong clients and a thriving practice.

Cumberland C

“Building Futures” Just Got a New Meaning Engage with Metlife’s Mitchell Gatewood as he highlights the need for establishing guaranteed future income, explaining the innovative features of MetLife products, and touching on how best to position these solutions with your clients.

4 Talbot

5 6 7

Elevate the Investor Experience Leading Advisors are using their portfolio management and performance reporting platform to not only efficiently manage their firms, but to also close more business and build their brand with prospects and clients. Join Black Diamond as they showcase how they can help you provide clients with the very best experience.

Ossabaw

Be Found. Get Referred. Stay Connected. In today’s business world, the internet is the fastest growing source of information. Without a web presence, your business risks never being found. How do you break through the clutter? Tyler File will show you several ways!

Conference 1

When Does an FIA beat a 7% Rate of Return? Join Chad Blanton and Tony Peckich from FIG as they share unique ideas that will allow you to easily close sales and transition assets to fixed income alternatives that provide stronger guarantees than a portfolio yielding 7% returns!

Conference 3

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All JWCollege™ Courses are located in the LIVE OAK ROOM Course 5 (5:00pm – 5:40pm) Taking Control of Your Client Experience through Streetscape Empowerment (Jay Falkner, NFS - Lucy Ortiz, J.W. Cole) The power and capabilities of the NFS Streetscape Platform are waiting to be unlocked in your office. Come hear about the entitlements you can use to improve your Client Experience.

WEDNESDAY MORNING GENERAL SESSION 7:00 - 8:00 Breakfast with your Product Alliance Partners Sponsored by Hines and Brinker

8:00 - 9:00

Magnolia Ballroom

The Marketplace

Sponsored by:

“Deepening Client Engagement” Brian Nelson

A Fidelity Investments Company

Brian Nelson is Vice President of Advisor Programs for National Financial®, a Fidelity Investments company. Mr. Nelson is responsible for building and managing National Financial’s practice management offering, designed to help advisors realize maximum organic growth in their practices. Mr. Nelson is a 15 year industry veteran, specializing in helping advisors build profitable, sustainable businesses. Brian is widely regarded as an expert who has the unique ability to simplify the over-complicated.

9:00 - 10:30

Magnolia Ballroom “Protecting Your Greatest Asset” Paul Caron, Chief Compliance Officer Paul Caron will moderate a panel including RJ Wood and Todd Pack, highlighting a year in review from the perspective of our Compliance Department. Case studies, industry trends, and expectations for the future will be discussed as we work to protect your greatest asset… YOUR BUSINESS!

10:30 - 11:00 Magnolia Ballroom “Chalkboard Reflections, Prizes and Symposium Closing Remarks” Craig Towle Taking a moment to reflect on what we have learned together, and how we will challenge ourselves to make a difference in the lives we touch.

“An investment in knowledge pays the best interest.” - Benjamin Franklin