IMCA 2014 Winter Institute

Date:
December 8 2014 to December 9 2014
Location:
Arizona Biltmore
2400 East Missouri Avenue
Phoenix, AZ 85016
United States
Phone:
+1 (602) 955-6600

IMCA 2014 Winter Institute | The Evolution of Advice

Imagine being able to see into the future, anticipate the next big thing, and spot trouble beyond the horizon. Investors today can’t keep pace with rapid global developments on their own. That’s why they depend on their advisor: You. Advisors are entrusted with not just the investable assets of their clients, but with their hopes and dreams for the future and future generations. Modern wealth management demands more attention than ever to evolving regulations, tax laws, market shifts, and geopolitical twists and turns. 

The IMCA 2014 Winter Institute: The Evolution of Advice, offers advisors dynamic new ways of seeing the world and interpreting the signs around us. Imagine new ways of understanding—and anticipating—change, and new outlooks on growing, protecting, and nurturing client assets. This year’s Winter Institute features speakers who may change the way you see the world, as well as top speakers tackling our traditional core topics of asset allocation, portfolio building, and more: 

Glen Hiemstra is the founder of Futurist.com, an internationally-recognized firm that helps individuals, organizations, and industries spot coming trends, understand long-term planning, and create a preferred future. Mr. Hiemstra has advised professionals, companies, and government organizations for more than two decades, including Microsoft, The Home Depot, Boeing, Adobe, the U.S. Army Corps of Engineers, the Costa Rica Hotel Association, and the University of Washington.

Alexa von Tobel is the author of Financially Fearless and founder of LearnVest.com, a personal finance platform that provides  fee-based financial services that may or may not be a threat to traditional advisors, particularly at lower levels of investable assets. Ms. Von Tobel is widely quoted  as a personal finance expert and entrepreneur in publications including The New York Times, The Wall Street Journal, Bloomberg Businessweek, Forbes, and more. Love her or loath her, she is influencing the financial advisory space.

Andy Rothman, Matthews International Capital Management, LLC, on Demystifying China, and how it will impact the investment strategies you bring to your clients now and particularly, in the future.

Don’t miss this opportunity to learn new ways to interpret, understand and react to the inevitable changes ahead. Space is limited, register today!

General Session
Sun. Dec 7
Mon. Dec 8
Tue. Dec 9
Workshops
Mon. Dec 8
Post-Conference Workshops
Tue. Dec 9
Nuveen Asset Management, LLC
McKinsey & Company

Céline Dufétel leads McKinsey’s North American retirement practice and has extensive experience in strategy, distribution, organization and operations efforts for asset managers, retirement-services players, life insurers and wealth managers. She has helped asset managers and retirement players develop and implement ambitious growth strategies. For example, she helped a major asset manager launch a transformative strategy to double revenue growth and expand margins by 10 percentage points. She redesigned a global asset manager’s North American and European strategies and helped it integrate a large acquisition, and she developed a 10-year strategy for a major US retirement player. She has designed and led large-scale performance transformations for several clients: a leading record keeper, which improved client retention by 60 percent, and a large retirement player, where she led a call-center transformation that improved IRA rollover capture by a similar margin. She hosts an annual retirement roundtable that brings together the CEOs and senior leaders of the top 40 asset management, insurance, and wealth-management firms operating in the North American retirement sector. She is co-author of multiple reports on retirement and asset management.

Stark & Stark

Thomas D. Giachetti is chair of the securities practice group at Stark & Stark, where his legal practice is devoted to investment-related matters, including the representation of investment advisers, financial planners, broker–dealers, public and private investment companies, CPA firms, and registered representatives throughout the United States. He also advises claimants and respondents in securities regulatory, arbitration, and litigation matters. He is an author and commentator on investment-related legal matters and a frequent lecturer at securities industry compliance seminars, annual meetings, and educational programs. He serves as an expert witness in securities litigation/arbitration matters. In 2014, he was featured in the Investment Advisor 12th Annual IA25, a selection of the 25 most influential people in the investment advisor industry. He earned a JD and an MA in economics degrees at Syracuse University, and a BS degree in public administration and business at University of Scranton.

McKinsey & Company
The Associated Jewish Charities

David Greenberg is a principal of GSI Funds, a hedge fund of funds. Previously he developed and managed a portfolio of hedge funds for his private account and was a principal in GS Investment Group, LLC, a privately held real-estate finance company that provided debt financing and equity capital for real-estate developers in the eastern United States. Before that, he was an officer and director of Winfield Capital Corp., a publicly traded small business investment company that invested in mid-stage and early stage private companies. He also was an officer and director of Pet Products, Inc., where he served as chief executive officer and chief financial officer; he assisted in the sale of Pet Products to The Hartz Mountain Corporation. He serves as chairman of the investment committee of The Associated Jewish Community Federation of Baltimore. He earned a BS degree at the University of Maryland.

Exceed Investments

Joseph Halpern is founder and CEO of Exceed Investments, LLC, which offers structured investments with a high level of standardization and efficiency. Previously he was a director at Lamco, the asset management division of Lehman Brothers Holdings Inc., where he headed the exotic derivatives commodities book, was chief negotiator on a number of global bank settlements, and was a lead member of a task force on structured products. Before that, he was director on the equity derivatives trading desk at ING Financial Markets, where he was responsible for structuring, pricing, and trading an array of exotic derivatives for the global sales force. He also was senior vice president of strategy and risk for Kellogg Capital Group’s derivatives division; a partner at Halpern Capital, a boutique investment bank; and a derivatives trader at Letco Specialists, since acquired by TD Securities.

Futurist.com

Glen Hiemstra is the founder of Futurist.com, an internationally-recognized firm that helps individuals, organizations, and industries spot coming trends, understand long-term planning, and create a preferred future. Mr. Hiemstra has advised professionals, companies, and government organizations for more than two decades, including Microsoft, The Home Depot, Boeing, Adobe, the U.S. Army Corps of Engineers, the Costa Rica Hotel Association, and the University of Washington.

W. P. Carey School of Business, Arizona State University

Marianne Jennings is an emeritus professor of legal and ethical studies in business at the W.P. Carey School of Business at Arizona State University, where she was on the faculty for 35 years. She has done consulting work for numerous law firms, businesses, and professional groups. She has authored hundreds of articles in academic, professional, and trade journals, and she has six textbooks and monographs in circulation, including the recent publication of the eighth edition of her textbook, Case Studies in Business Ethics, and the tenth edition of her textbook, Business: lts Legal, Ethical and Global Environment. Her book on organizational ethical culture, The Seven Signs of Ethical Collapse, is used by many organizations as a framework for assessing culture. Her books have been translated into five languages. Her columns have been syndicated, and her work has appeared in the Wall Street Journal, the Chicago Tribune, the New York Times and elsewhere. She has appeared on National Public Radio, CNBC, CBS This Morning, the Today Show, and CBS Evening News. She has conducted more than 500 workshops and seminars in the areas of business, personal, government, legal, academic and professional ethics. She was named professor of the year in the College of Business in 1981, 1987, 2000, and 2010, and she has received numerous other awards. She is a contributing editor for the Real Estate Law Journal, New Perspectives, Smart Manager, and Corporate Finance Review. She earned an undergraduate degree in finance and a JD from Brigham Young University.

MOBI Digital Media Holdings, LLC

Bruce Johnston is co-founder and CEO of MOBI Digital Media Holdings, a marketing agency that specializes in social media education and strategy for financial advisors. Previously he was president and CEO of Old Mutual Investment Partners, charged with distribution of the firm’s affiliate manager mutual funds and separately managed accounts. Before that he held the same positions at Sentinel Investments and Gartmore Global Investors. He has been recognized as Institutional Investor’s Mutual Fund Marketer of The Year for his distribution strategy and has appeared in Ignites, FundFire, FA Magazine, and Advisor One regarding distribution, branding and social media policy and strategy. His program for advisors is “Leveraging LinkedIn for Client Acquisition and Retention,” and his program for clients is titled “Techniques & Strategies for Leveraging Social Media for Job Search Success.”

Russell Investments

David Koenig serves as director of investment strategy for Russell Investments’ global ETF business, where he is responsible for development and management of investment content and other key messaging in support of the ETF business. Previously he worked as assistant vice president of investment communications with Wells Fargo's funds management group, where he was instrumental in building a team of investment communications professionals and growing the institutional investment communications capabilities for the Wells Fargo Advantage Funds. Before that, he worked as a channel manager in dealer communications for Franklin Templeton Investments; he also was a financial journalist at the San Diego Union-Tribune and the San Francisco Chronicle. He is a member of the CFA Institute, the CFA Society of San Francisco, and the Global Association of Risk Professionals. He earned a BA degree in English literature at University of California San Diego.

Kathleen Pritchard, CRPC®, ChFC®, CLU®, CFS® is responsible for developing and executing compelling value-added marketing programs for Financial Advisors in the wirehouse, regional, independent, and bank channels. She is a National Spokesperson for Legg Mason representing the firm at industry conferences and events across the country. Over the course of her career, she has coached thousands of Financial Advisors on consultative selling practices. Kathleen began her career as a Financial Advisor, and, in the 25 years since, has held various roles including Sales Management, Training, National Accounts and Marketing. Immediately prior to joining the firm, she was a Senior Manager at JPMorgan Asset Management where she held various marketing positions.

The Pullen Consulting Group

Courtney Pullen is president of Pullen Consulting Group, which specializes in individual and family coaching, business and management consulting, leadership development, communication training and team building. He has extensive experience in small and large group facilitation covering the continuum from corporations to family meetings. Previously he was a clinical associate at the School of Professional Psychology at the University of Denver and an adjunct professor at the University of Colorado at Denver. He was a full-time practicing psychotherapist for 10 years and maintained a part-time practice for six years during his transition to a coaching model. He has frequently lectured, conducted numerous workshops, and published in the areas of individual and organizational change, behavioral finance, and family wealth dynamics. He is a contributing editor to the Journal of Financial Planning and the Journal of Practical Estate Planning and on the board of advisors of the Sudden Money Institute. He is a graduate of the Newfield coaching program and is a Professional Certified Coach. He has spoken at regional and national conferences of the Financial Planning Association, National Association of Personal Financial Advisors, Young Presidents’ Organization, estate planning symposiums, and family foundation conferences. He earned an MA degree in psychology from University of Northern Colorado.

One Lindsley Partners

Ash RajanAsh Rajan, MBA, is senior partner with One Lindsley Partners, where he consults with asset management firms on fund design and launch to intermediary retail channels. Previously, he worked at h Merrill Lynch, where he held the roles of U.S. chief investment strategist and ultra-high-net-worth investment office head. Previously, he was senior vice president at Prudential Investments, where he managed the portfolio specialists group and co-head of equity research marketing group at Morgan Stanley. He speaks frequently at professional gatherings, both in the United States and abroad, and is a frequent guest on CNNC, CNN, BCC, Bloomberg, Reuters, and on media outlets in Europe and Asia. Mr. Rajan earned an MBA in international business from Loyola College, India, an MBA in finance from the University of Maryland, and an MS in business communication from the Jones School of Communication, University of Texas at Austin.

FORWARD Management

Alan Reid, CIMA® is a founder and chief executive officer of Forward. In this role, he has led the firm’s transformation from a traditional long-only manager to a solutions provider with an array of outcome-oriented and nontraditional strategies. Previously, he was an executive director of the private wealth management team at Morgan Stanley, designing the firm’s data aggregation strategy. While senior vice president at Morgan Stanley Online, he expanded the firm’s external infrastructure and helped it win top scores for service delivery. He was an advisory board member for SunGard Expert Solutions and is currently on the board of FOLIOfn. He is a member of the Board of Governors of the Investment Company Institute, where he has been an advocate for mutual fund practices that protect shareholder assets.  He earned a BS in finance from Menlo College.

Matthews International Capital Management

Andy Rothman is an investment strategist at Matthews International Capital Management, LLC, where he is responsible for developing research focused on China’s economic and political developments and providing the investment team with in-depth analysis on Asia. In addition, he plays a key role in communicating to clients and the media the firm’s perspectives and latest insights into China and Asia overall. Previously he was the China macroeconomic strategist at the Asian independent brokerage and investment group CLSA. Before that, he spent 17 years in the U.S. Foreign Service, with a diplomatic career focused on China that included leading the macroeconomics and domestic policy office of the U.S. embassy in Beijing. He has lived and worked in China for more than 20 years, and he is a proficient Mandarin speaker. He earned an MA degree in public administration from the Lyndon B. Johnson School of Public Affairs and a BA from Colgate University. 

Focus Partners LLC

Michael Silver is a speaker, coach, and consultant who works with financial services firms and professionals, individually or in teams. Previously he was a financial advisor with Prudential Securities, Wachovia Securities, and Ryan Beck. He has also presented at numerous workshops and conferences around the country. His coaching and consulting engagements cover many areas including business development, marketing, practice management, team development, and client service. He earned a BS degree in finance from Ithaca College and a Certification in Organizational and Executive Coaching from New York University. He is a member of the Network for Teaching Entrepreneurship.

LearnVest.com

Alexa von Tobel is the author of Financially Fearless and founder of LearnVest.com, a personal finance platform that provides fee-based financial services that may or may not be a threat to traditional advisors, particularly at lower levels of investable assets. Ms. Von Tobel is widely quoted as a personal finance expert and entrepreneur in publications including The New York Times, The Wall Street Journal, Bloomberg Businessweek, Forbes, and more. Love her or loath her, she is influencing the financial advisory space.

IMCA has reserved a block of rooms at the Arizona Biltmore at the special group rate of $189 single/double per night. The $28-per-night resort fee has been waived for IMCA conference attendees. The fee includes complimentary wireless Internet access in your room, use of the resort’s spa and fitness center, use of the resort’s 18-hole putting course, and a daily newspaper.

To make your reservation, visit the hotel’s website at www.arizonabiltmore.com. Please enter the code IMCA14 under the Group/Convention Code section of the reservations screen. Attendees can also call 800. 950.0086 and reference the same code. This special rate is available through November 7, 2014 and available on a first-come, first-served basis, so early reservations are recommended. Important note: The Arizona Biltmore requires a deposit equal to one night’s stay when making your reservation. This deposit is refundable up to 72 hours in advance of scheduled arrival date.

Booking a room in the IMCA room block is an important way to support the association and ultimately keep overall meeting costs as low as possible. IMCA commits to a block of rooms at the hotel on behalf of conference attendees and has a financial obligation to fill the block. Please help us to avoid potential penalties and control costs for future events by staying at the official hotel. Staying “within the block” is also more convenient and helps you stay connected with the informal activities and networking opportunities that occur at the hotel during the conference. If you are required to reserve a room through your company’s travel department, please forward the booking link to them so that you can reserve a room in IMCA’s room block.

Please note that conference attendees who do not make their reservation within the IMCA room block may not receive the same discounted rate or benefits including the waived resort fee.

Location/Distance/Parking

Arizona Biltmore
2400 East Missouri Avenue
Phoenix, AZ 85016
602.955.6600
Website

The historic Arizona Biltmore is located in Phoenix just six miles from the Phoenix Sky Harbor International Airport. Built in 1929 as one of Phoenix’s first resorts, the Arizona Biltmore was constructed in grand form by brothers Albert, Charles, and Warren McArthur. Frank Lloyd Wright served as the consulting architect, and the Arizona Biltmore remains one of the only existing hotels in the world to benefit from his influence.

A taxi between the airport and hotel is approximately $20 each way. If you are interested in taking a shuttle to/from the airport, you may contact Super Shuttle. Click here or call 602.244.9000 for more information or to make a reservation. The cost is $15 per person, each way.

If you plan to drive to the hotel, IMCA conference attendees will receive a discounted valet parking rate of $15 per day. Self-parking for IMCA conference attendees is complimentary. Please click here for driving directions to the hotel.

 

 Conference Registration Fees
 

Before November 7¹

After November 7

 
IMCA Members

$595

$695

Register
     Post-Conference Workshop—Members $150 $200 Register
Join & Go²

$895

$995

Register
     Post-Conference Workshop—Members $150 $200 Register
Nonmembers

$1,045

$1,145

Register
     Post-Conference Workshop—Nonmembers $250 $300 Register
 Register online now or download a hardcopy registration form.

¹ Both the registration form and payment must be received by November 7, 2014, to be eligible for the early-bird rate. 
² Subject to change without notice.

Cancellation/Transfer Policy

Cancellations for conference registration must be received in writing. The registration fee less $50 cancellation fee will be refunded for cancellations postmarked or faxed by November 14, 2014. A 30-percent cancellation fee will be applied for cancellations received between November 15 and December 1, 2014. No refunds will be granted for cancellations received after December 1, 2014, or for nonattendance.

To print a receipt of this purchase, log in to "My IMCA" here. If you have any questions or concerns, call us at 303.770.3377. 

Your attendance at individual sessions will be automatically monitored using RFID technology as you enter each session. Be sure to wear your conference badge at all times to ensure that you are properly credited for the sessions you attend. You will not be able to earn or report CE credit to IMCA, CFP Board of Standards, or other leading certification bodies without this proof of attendance.

CIMA®/CIMC®/CPWA® Marks—This conference will be accepted by IMCA for twelve (12) hours of continuing education (CE) credit. Additional continuing education credit is available for attending the optional post-conference workshop on Tuesday, December 9, 2014. (Program subject to change, which may affect the type and total number of hours delivered).

CFP® Certification—Information about accepted sessions will be available on the CFP Board website. IMCA will report your attendance at individual conference sessions to the CFP Board on your behalf. Note that you must complete the following steps:

  1. Provide your CFP ID. Enter your CFP ID in My IMCA in the “Update my demographics information” section. You also may enter your CFP ID when you register for a conference or when you report your session attendance to IMCA.
  2. Wear your conference badge at all times so your attendance at individual sessions is recorded using RFID technology.
  3. IMCA will provide the information to the CFP Board. The CFP Board will notify you when this occurs.

Please note that IMCA is not able to report to CFP Board on your behalf if we do not have an accurate CFP ID. Please check your My IMCA account to ensure the information is in our database and is accurate.

NASBA CPE—IMCA is registered with the National Association of State Boards of Accountancy as a sponsor of CE on the National Registry of CPE Sponsors (ID 106054). State boards of accountancy have final authority about the acceptance of individual courses. Individuals are responsible for submitting any necessary paperwork and/or fees to their state boards. Upon request, IMCA will provide a certificate of attendance after the conference.

Other Certifications/Designations—IMCA does not submit programs to state insurance departments and bar associations. Individuals are responsible for submitting any necessary paperwork and/or fees to their state boards. IMCA will provide a certificate of attendance after the conference upon request.

Contact Lara Davies at ldavies@imca.org for information about sponsoring or exhibiting at the 2014 Winter Institute or click here to download the 2014 Sponsor/Exhibitor Kit

Date: 
Monday, December 8, 2014 to Tuesday, December 9, 2014

IMCA 2014 Winter Institute | The Evolution of Advice

Imagine being able to see into the future, anticipate the next big thing, and spot trouble beyond the horizon. Investors today can’t keep pace with rapid global developments on their own. That’s why they depend on their advisor: You. Advisors are entrusted with not just the investable assets of their clients, but with their hopes and dreams for the future and future generations. Modern wealth management demands more attention than ever to evolving regulations, tax laws, market shifts, and geopolitical twists and turns. 

The IMCA 2014 Winter Institute: The Evolution of Advice, offers advisors dynamic new ways of seeing the world and interpreting the signs around us. Imagine new ways of understanding—and anticipating—change, and new outlooks on growing, protecting, and nurturing client assets. This year’s Winter Institute features speakers who may change the way you see the world, as well as top speakers tackling our traditional core topics of asset allocation, portfolio building, and more: 

Glen Hiemstra is the founder of Futurist.com, an internationally-recognized firm that helps individuals, organizations, and industries spot coming trends, understand long-term planning, and create a preferred future. Mr. Hiemstra has advised professionals, companies, and government organizations for more than two decades, including Microsoft, The Home Depot, Boeing, Adobe, the U.S. Army Corps of Engineers, the Costa Rica Hotel Association, and the University of Washington.

Alexa von Tobel is the author of Financially Fearless and founder of LearnVest.com, a personal finance platform that provides  fee-based financial services that may or may not be a threat to traditional advisors, particularly at lower levels of investable assets. Ms. Von Tobel is widely quoted  as a personal finance expert and entrepreneur in publications including The New York Times, The Wall Street Journal, Bloomberg Businessweek, Forbes, and more. Love her or loath her, she is influencing the financial advisory space.

Andy Rothman, Matthews International Capital Management, LLC, on Demystifying China, and how it will impact the investment strategies you bring to your clients now and particularly, in the future.

Don’t miss this opportunity to learn new ways to interpret, understand and react to the inevitable changes ahead. Space is limited, register today!

Sessions: 
Location: 
Arizona Biltmore
2400 East Missouri Avenue
Phoenix, AZ 85016
United States
Phone: 
+1 (602) 955-6600