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Platinum Product Alliance Partners Gold Product Alliance Partners
Silver Product Alliance Partners • Absolute Capital • Advisors Capital Management • BombBomb
• eMoney • The Pacific Financial • Orion Portfolio Solutions Group, Inc. • SEI Investments • White Glove Workshops
Bronze Product Alliance Partners • Abacus Life • Allianz Life • Betterment for Advisors • Black Diamond • CIM Group
• • • • •
FIG Marketing Flexible Plan Griffin Capital Hines Securities Meeder Investment Management • MoneyGuide
• • • •
Redtail Riskalyze Sharespost V2 Financial Marketing • Voya Financial
We want to thank all of our sponsors for helping to bring a great 2019 Symposium Experience to our Partner Advisors. Thank you for your support and partnership!
Symposium Agenda Sunday - 10/27 12:00 pm – 4:00 pm
Women of Cole Lunch Meeting
12:00 pm – 5:00 pm
Open Registration
6:00 pm – 10:00 pm
Opening Reception at Colorado History Museum Tower Lobby of the Sheraton
Monday - 10/28 8:00 am – 9:00 am
Breakfast with Product Alliance Partners
9:15 am – 10:00 am
General Session Kick-off
10:00 am – 11:00 am
The Hidden Keys to Developing a Million Dollar Team Dr. Aprille Trupiano
10:15 am –2:00 pm
Guest Event - Cook Street School of Culinary Arts Meet in Lobby to board the shuttle
11:00 am – 12:00 pm
Fee-for-Planning - Panel Discussion
12:00 pm – 1:00 pm
Lunch with Product Alliance Partners
1:15 pm – 2:00 pm
Breakout Session 1
1:15 pm – 2:00 pm
JWCollege Session 1
2:05 pm – 2:50 pm
Breakout Session 2
2:05 pm – 2:50 pm
JWCollege Session 2
3:00 pm – 4:00 pm
Practice Acquisition / Exit Planning - Panel Discussion
4:00 pm – 4:45 pm
Rehumanize Your Business with Video Alicia Berruti
4:45 pm – 5:00 pm
Closing Comments
5:00 pm – 6:00 pm
Cocktail Reception with Product Partners
6:00 pm
Product Partner Dine-Around Opportunities/Free Evening
Symposium Agenda Tuesday - 10/29 7:30 am – 8:20 am
Breakfast with Product Alliance Partners
8:30 am
Monday Recap
8:30 am – 9:30 am
Economic Update Jason Thomas, PhD, CFA – CEO & CIO at Savos Investments
9:30 am – 11:00 am
The Psychology of Decision Making - Workshop Dean Minuto
11:10 am – 11:55 am
Breakout Session 3
11:10 am – 11:55 am
JWCollege Session 3
12:00 pm – 12:50 pm
Lunch with Product Alliance Partners
1:00 pm – 2:00 pm
Annual Compliance Meeting Compliance as an Asset
2:10 pm – 2:55 pm
Breakout Session 4
2:10 pm – 2:55 pm
JWCollege Session 4
3:00 pm – 4:00 pm
Best Practices of Elite Advisors Matt Oechsli, MBA – President, The Oechsli Institute
4:00 pm – 4:15 pm
Closing Comments
6:00 pm – 7:00 pm
Cocktail Reception with Product Alliance Partners
7:00 pm – 10:00 pm
Awards Dinner
01. J.W. Cole Advisors 02. J.W. Cole Financial 03. AssetMark, Inc. 04. Fidelity Clearing & Custody Solutions 05. FS Investments 06. Ash Brokerage 07. Bluerock Capital Management 08. Howard Capital Management 09. Preferred Apartment Communities 10. Jackson National 11. Simplicity Financial Distributors 12. U.S. Energy Development Corporation 13. Athene
14. Bourne Financial Group 15. BTS Asset Management 16. Midland National Life/ Sammons Retirement 17. Brighthouse Financial 18. Wildermuth Wealth 19. BombBomb 20. Orion Portfolio Solutions 21. Redtail Technology 22. Sharespost 23. The Pacific Financial Group 24. Abacus Life 25. Envestnet MoneyGuide 26. Flexible Plan Investments 27. Griffin Capital Securities 28. Hines Securities
29. V2 Financial Marketing 30. eMoney 31. Voya Financial 32. FIG Marketing 33. Meeder Investment Management 34. White Glove Workshops 35. SEI Investments 36. Advisors Capital Management 37. Riskalyze 38. Betterment for Advisors 39. Absolute Capital 40. Black Diamond 41. Allianz Life 42. CIM Group
Sunday Evening | 10/27 | Registration & Reception 12:00 pm – 4:00 pm
Women of Cole Lunch Meeting
Hacienda Colorado Sheraton Hotel
12:00 pm – 5:00 pm
Open Registration
Vendor Marketplace Area
6:00 pm – 10:00 pm
Opening Reception
Colorado History Museum
Monday Morning| 10/28 | Opening Kickoff 8:00 am – 9:00 am 9:15 am – 10:00 am
Breakfast with Product Alliance Partners
Plaza Ballroom Foyer
General Session Kickoff
Plaza Ballroom
Join John Carlson, RJ Wood, and Craig Towle as they deliver our “State of the Company” address. In addition to that, they’ll provide a sneak peak of where we’re headed in 2020, and of what to expect from the next two days of education, camaraderie, and fun!
Monday | 10/28 | Speakers & Breakouts 10:00 am – 11:00 am
The Hidden Keys to Developing a Million Dollar Team
Plaza Ballroom
Her Excellency Dr. Aprille Trupiano is expertly trained in developing Million Dollar Advisors. She is an Ambassador at Large for the Economic & Social Council of the United Nations and has personal experience working in the financial services industry, bringing “boots on the ground” relevance to her business coaching. During this session, Dr. Aprille will share a simple system for getting your team to produce without you having to babysit, beg, or bargain to the point of exhaustion… Even when you’re on vacation! Dr. Aprille will share the #1 thing you’re NOT doing that’s keeping your team from producing the results you want them to produce, and the two things you need to STOP doing immediately to get your team to produce more than you expect.
10:15 am – 2:00 pm
Guest Event – Cook Street School of Culinary Arts
Meet in Tower Lobby
11:00 am – 12:00 pm
Fee-for-Planning Panel Discussion
Plaza Ballroom
12:00 pm – 1:00 pm
Lunch with Product Alliance Partners
Plaza Ballroom Foyer
Breakout Session #1 | 1:10 p.m. - 2:00 p.m. | Governer’s Square 10 Reasons Prospecting is Difficult & 10 Solutions to Make it Easier
GOVERNER’S SQUARE 10
Growing financial advisory practices are always adding new clients. They have a different approach to prospecting because they know new business won’t just walk in the door. We will discuss the challenges that advisors have in developing a new lead channel, the process from start to close and the solutions available to get the growth started again.
Bourne Seniors Housing V, Where Investment and Inevitable Intersect
GOVERNER’S SQUARE 11
Join Bourne Financial Group for a deep dive on navigating the seniors housing market and the opportunity to participate in that growth.
The Power of Educational Seminars
GOVERNER’S SQUARE 12
White Glove makes it easy for financial advisors to succeed with two powerful client-getting strategies: educational seminars and social media. With Triple Guaranteed Seminars and Social Connect™ professionals can grow their businesses without spending extra time on logistics or keeping social media channels updated. White Glove handles all that and more. Advisors benefit from freed-up hours for other important things, like their clients and personal time all without sacrificing results.
Make Shield® Level Annuities Part of the Plan
GOVERNER’S SQUARE 15
This presentation discusses the importance of understanding today’s market climate, how it can impact your retirement portfolios, and solutions to answers that many investors are looking for. Join us in learning how to enter your retirement years with more confidence.
The Next Wave of Advice Management
GOVERNER’S SQUARE 16
Everyone’s talking about clients wanting more. You need to be ready to address their needs in a scalable way. You’ll learn how to use client-centric planning to create a personalized experience, how to identify the right planning approaches for your clients, why “old school” financial planning gets implemented differently, how to gain more time and efficiency by following repeatable processes, and which financial planning companies are creating the most industry disruption.
Growing Your Practice: Harness the Fastest Growing Market Segment
GOVERNER’S SQUARE 17
Join the Simplicity Team for a discussion on how you can harness the power of the fastest growing market segment as well as industry proven business-building systems. They will not only show you how you can build your business but share ideas on how to diversify your solution set to attract new assets.
JWCollege
Business Operations
Working with your back office and learning best practices from your peers.
GOVERNER’S SQUARE 14
Breakout Session #2 | 2:05 p.m. - 2:50 p.m. | Governer’s Square Answering the Call: Times are Changing and So Are We!
GOVERNER’S SQUARE 10
Americans are saddled with self-funding their own financial futures, a complex challenge that makes most uneasy. This informative session focuses on how Jackson is reframing the discussion about what it means to be financially secure during retirement, and how advisors can leverage technology to assist with the planning process. People are living longer! We want them to become better prepared to face their post-work years with confidence and peace of mind.
Seek Refuge from the Market’s Dreaded Down Days
GOVERNER’S SQUARE 11
Seek Refuge from The Market’s Dreaded Down Days with Bluerock Total Income+ Real Estate Fund (TI+). Bluerock TI+ offers individual investors access to a portfolio of institutional real estate investment funds managed by top-ranked institutional managers. Investors seeking income, capital appreciation and low correlation to equity & debt markets have an opportunity to invest directly alongside leading endowments and pension funds in private real estate investments.
Endowment-Style Investing Wildermuth Endowment Fund
GOVERNER’S SQUARE 12
Designed to provide a turn-key endowment strategy in a single offering, the Wildermuth Endowment Fund’s goal is to provide long-term growth & income by utilizing similar investment strategies and allocation policies as premier endowment funds. The closed-end interval structure allows advisors the flexibility to include diverse investments and asset classes while also providing investors with fund features such as daily share purchases and quarterly share repurchase offering period.
Solving the Middle American Retirement Crisis: Best Practices Using Guaranteed Income
GOVERNER’S SQUARE 15
Americans face a variety of current risks: market uncertainty, political volatility, changing monetary policy, and increasing longevity. Planners face the challenge of navigating through these obstacles to build a successful financial services practice. Placing guaranteed income enhances the probability of success but at the cost of our assets under management. Finding the correct balance to grow the business requires planning, technique, and the proper asset location, not asset allocation.
Mastering the Client Review
GOVERNER’S SQUARE 16
Client reviews are the foundation of your consultative process. They’re how you reinforce commitment to each client’s goals, tailor strategies, and showcase progress. This presentation will walk you through the importance of client reviews and provide real-life scenarios and quizzes to ensure you are making the most out of every meeting.
Pre-Rollover Solution: Discover the Two Best-Kept Secrets
GOVERNER’S SQUARE 17
Are you looking for a way to grow your business? Join us as we share two strategies that will help you do just that. The 401(k) Optimizer® provides automated marketing and customized branding, helping you build a pipeline of new prospects, and create a feebased business utilizing the self-directed brokerage account window with Howard Capital Management. Your clients will receive active money management and downside protection while you get compensated on the account.
JWCollege
LaserApp/Repertoire
GOVERNER’S SQUARE 14
How to create your own form groups to be more efficient, and learn the workflow process for submitting business.
Monday Afternoon | 10/28 | Speakers & Fun 3:00 pm – 4:00 pm
Practice Acquisition & Exit Planning Panel Discussion
Plaza Ballroom
4:00 pm – 4:45 pm
Rehumanize Your Business With Video
Plaza Ballroom
Alicia Berruti is passionate about people and human connections, and that passion has fueled her desire to help other professionals communicate in ways that help all of us be just a little more human! During her 3+ years in sales for Bomb Bomb, she travelled all over the U.S. and Canada, speaking and educating on the power of video. She most recently left the world of sales to take on the role of National Speaker where she continues to educate and inspire sales professionals to humanize their communication. In Rehumanize Your Business With Video she will show us how the power of video communication can help you humanize your communications too!
4:45 pm – 5:00 pm
Closing Comments
Plaza Ballroom
5:00 pm – 6:00 pm
Cocktail Reception with Product Alliance Partners
Plaza Ballroom Foyer
6:00 pm
Product Partner Dine-Around Opportunities
Wherever the Night Takes You!
Tuesday Morning | 10/29 | Speakers & Breakouts Breakfast with Product Alliance Partners
7:30 am – 8:20 am
Plaza Ballroom Foyer
8:30 am
Monday Recap
Plaza Ballroom
8:30 am – 9:30 am
Economic Update
Plaza Ballroom
Jason Thomas is Chief Executive Officer & Chief Investment Officer of Savos Investments, a division of AssetMark, Inc. He is responsible for the leadership and oversight of the Savos investment platform and the strategic direction of the division. Jason is a Chartered Financial Analyst®, with a PhD in Economics from the University of Southern California and an MBA from Stanford University Graduate School of Business. In his presentation, “Overcoming Uncertainty to Build and Protect Client Wealth” Dr. Thomas will discuss the economic environment and current investment landscape, including opportunities and positioning. He will focus on your most pressing questions: Can the economic expansion last? What is driving unsual equity market performance? Should I be making changes in client portfolios?
9:30 am – 11:00 am
The Psychology of Decision Making - Workshop
Plaza Ballroom
Dean Minuto has spent his professional life helping others understand the art of persuasion. He believes that at its heart, persuasion is communication, and too many of our misunderstandings come from miscommunication. Dean is an expert in the areas of messaging, including sales process consulting, training delivery, coaching, and consultative selling. Dean has installed performance systems in hundreds of private and Fortune 500 companies in over 30 industries. During this engaging workshop Dean will walk us through the science behind how and why humans make decisions. With origins deeply rooted in neuroscience and behavioral psychology, Dean created the YESCALATE system. During this 90-minute workshop he will empower us with lifelong communication skills that will help us get to “Yes” faster.
Breakout Session #3 | 11:10 a.m. - 11:55 a.m. | Governer’s Square A Planning Led-Practice in a Digital Age
GOVERNER’S SQUARE 10
In this presentation we will be discussing how planning is fast becoming a main source of value for financial advisors, along with the challenges and opportunities that come along with it.
Athene Retirement Optimizer- Help Clients Optimize Retirement With a Game-Changing Strategy
GOVERNER’S SQUARE 11
With 11,000 Baby Boomers reaching retirement age each day, America is entering unchartered waters in retirement income planning. This represents a particularly challenging setting given the vast majority of workers don’t seek meaningful planning advice until they are at, or on the doorstep of, retirement. For most retirees there are few, if any, traditional planning strategies capable of solving the retirement income insecurity problem — until now.
How to Host Perfect Client Events
GOVERNER’S SQUARE 12
Financial professionals are frequently planning events for their clientele, and sometimes it can be a daunting task. This presentation offers the ultimate guide and tools to help financial professionals plan easy, low-stress events, complete event-planning checklists, a master list of event ideas, and more.
Myths vs Facts of Investment Management Outsourcing
GOVERNER’S SQUARE 15
Are you looking for more time in the week to find new clients or spend with your family? This session will review new research around the barriers and benefits of investment management outsourcing and how it can enhance an advisor’s business. In addition, we will highlight key aspects of building a winning business with AssetMark and feature General Session speaker Jason Thomas, CEO and CIO at Savos Investments.
Search for Income: Finding Returns Outside of Core Fixed Income
GOVERNER’S SQUARE 16
Traditional sources of stable income that investors have counted on for decades have begun to slow, or in many cases, reverse course. Amidst heightened market uncertainty, where can investors turn for a more attractive level of current income? Join us as we discuss the need to rethink your clients’ fixed income exposure and what options they have for generating an attractive level of income through a more diversified portfolio.
Effective Tax Planning for High Net Worth Clients
GOVERNER’S SQUARE 17
Effective tax planning is not a luxury, but essential for advisors to attract and retain High Net-Worth clients. Join us to learn Effective Tax Planning Strategies for HNW clients. U.S. Energy has deployed more than $1.4 billion on behalf of investor partners in our tax advantaged Drilling, Acquisition, and 1031 Exchange projects. We are a leader in oil & gas direct investments for clients with tax planning needs, blending operational and financial innovation with a forward-looking approach.
JWCollege
Wealthscape
GOVERNER’S SQUARE 14
Learn the basics of new account set up, mobile check deposit, edelivery, and integrated cashiering platform.
Tuesday Afternoon | 10/29 | Speakers & Breakouts 12:00 pm – 12:50 pm
Lunch with Product Alliance Partners
Plaza Ballroom Foyer
1:00 pm – 2:00 pm
Annual Compliance Meeting Compliance As An Asset
Plaza Ballroom
2:10 pm – 2:55 pm
Breakout & JWCollege Session 4
Details on Next Page
3:00 pm – 4:00 pm
Best Practices of Elite Advisors
Plaza Ballroom
Matt Oechsli, MBA, is a leading authority on financial advisor marketing. Matt has been coaching advisors for over 20 years. He is the longest tenured columnist for Wealth Management Magazine and is consistently quoted in the Wall Street Journal and the New York Times. During his 20+ years coaching financial advisors, Matt has found that Elite Advisors do things differently than the average advisor does. Elite Advisors have discovered that by expanding relationships with their affluent clients, and getting more personal with husband and wife, they are able to strengthen these relationships while simultaneously penetrating spheres-of-influence. Today’s affluent want a “family physician” of their finances – someone who knows everything about their family, finances, and who can coordinate with other financial experts when necessary.
4:00 pm – 4:15 pm
Closing Comments
Plaza Ballroom
6:00 pm – 7:00 pm
Cocktail Reception with Product Alliance Partners
Plaza Ballroom Foyer
7:00 pm – 10:00 pm
Awards Dinner
Plaza Ballroom
Breakout Session #4 | 2:10 p.m. - 2:55 p.m. | Governer’s Square Preferred by Contract
GOVERNER’S SQUARE 10
Preferred Apartment Communities’ (PAC) $1.5B Preferred Stock & Warrant Offering is designed for investors seeking monthly income, capital preservation, and potential growth, while PAC’s mShares Preferred Stock Offering is designed exclusively for managed accounts. Learn more about PAC’s corporate structure, investment strategy, and market opportunities during this interactive presentation. Ideas on how to position the Offering with suitable clients will also be shared.
Grow Your Client Base in the Coming Shift in Market Movement
GOVERNER’S SQUARE 11
Successful Advisors survive market cycles and markets appear ready to shift, requiring portfolios that can adapt. Market Movement Strategies combines managers into a single portfolio with a targeted risk score. Strategic, low-cost options combined with tactical ETF managers and defensive strategies can be employed for client safety in any market. The Orion Portfolio Solutions program has a robust tech stack supporting a curated wealth manager team with over $16B of assets.
Re-Humanize Your Business with Video
GOVERNER’S SQUARE 12
Humans communicate most effectively and persuasively, face to face. BombBomb Video lets you get face to face more often through email, so you can convert more clients, communicate with clarity and provide top level service. Learn how you can incorporate simple video into your day to day business with ideas and strategies that work!
How to Build a Book of Youthful Millionaires
GOVERNER’S SQUARE 15
This presentation will tell you specifically what you need to do to create a referral engine within each branch, as well as best practices on how top advisors get paid monthly to build AUM and a pipeline of future rollovers. This opportunity is limited to only advisors that are 65 or 66 licensed and interested in helping clients develop the wealth they’ll need to achieve their financial goals in planning for retirement.
Remember, Today is the Tomorrow You Worried About Yesterday
GOVERNER’S SQUARE 16
They picked the funds themselves, but do your client’s know the risk they are taking in their 401k/403b accounts? Learn how you can professionally manage their corporate retirement account.
A Tactical Fixed-Income Strategy for Recession or Recovery- Are you Prepared?
GOVERNER’S SQUARE 17
Predicting which way markets and rates will go is a difficult task. So is estimating when the next correction will occur. Utilizing a timetested risk management strategy that seeks to take the guess work out of the equation, we believe is a better solution. Learn how to potentially enhance your fixed income portfolio by removing the negative cycle of market emotions and how BTS seeks to Find Opportunity regardless of the direction of interest rates.
JWCollege
Compliance
Understanding branch files, anti-money laundering, and other compliance policies.
GOVERNER’S SQUARE 14
The End! Thank you all for another great Symposium, Now let’s mosey on down to the awards dinner!
Notes
Notes