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Alts for RIAs 2019: Best Practices in RIA Alternative Investment Due Dilige...

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San Francisco, CA

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Alts for RIAs 2019

Alts for RIAs is an educational networking seminar for financial advisors seeking expertise on alternative investment due diligence. Improve client outcomes, make valuable connections, and share best practices. Join us as we gather national RIA leaders in San Francisco to address frequently asked questions when analyzing offerings, conducting due diligence, and implementing alternatives.


Co-hosts 2019




Agenda

Thursday, November 7th, 2019

2:30 pm – 3:00 pm, Registration, networking, and refreshments

3:00 pm – 3:10 pm, Welcome address

3:10 pm – 4:00 pm, Best Practices in RIA Alternative Investment Due Diligence (1 hour of CFP ® CE Credit subject to CFP Board approval)

4:00 pm – 4:15 pm, What RIAs Who Use Illiquid Alternatives Need to Know About E&O Insurance

4:15 pm – 4:45 pm, Private Debt Secured by Real Estate as an Alternative to Bonds and Bond Funds

4:45 pm – 5:00 pm, Private Placement Operations and Custody Q&A

5:00 pm – 7:00 pm, Wine, beer, and hors d'oeuvres




Why Attend Alts for RIAs?

  1. Enhance investment analysis and due diligence skills with alternatives experts who specialize in working with RIAs.

  2. Network with like-minded peers. Discover how other fiduciary financial advisors are incorporating illiquid alternatives into investment processes, service operations, and client conversations.

  3. Meet professionals who advise RIAs on mitigating business risks from using alternative investments, such as providers of due diligence reporting services and E&O insurance.

  4. Learn how to diversify client portfolios with steady income secured against real estate from a private lending fund manager with a pre-2008 track record.

  5. Earn 1 hour of CFP® CE Credit (application in process with CFP Board) for learning best practices in alternative investments such as manager and product sourcing, research, due diligence, and operational compliance for RIAs ranging in AUM from under $100 million to over $1 billion. Assess the robustness of your RIA firm’s practices on the topics we cover using our handy worksheet.

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Speaker and Moderator Bios


Co-hosts 2019


Shafiq Taymuree is Executive Vice President of Stonecrest Financial and has been with the firm since 1998. His senior-level experience in lending, underwriting, and asset management helped guide Stonecrest and its fund investors successfully through the 2008-09 Financial Crisis. Shafiq is newly elected to the 2020 board of the California Mortgage Association and has served on its Education Committee. He attended California State University – Hayward (now Cal State East Bay), where he majored in finance.

John Paliotta is Vice President of Business Development for FactRight. John has focused on the alternative investment industry for over 15 years. Before joining FactRight, John was Vice President Sales for Realty Capital Securities; his responsibilities included oversight of several offices located across the country, managing over 60 internal wholesalers. John earned a B.S. in Business Administration from Oklahoma State University. He is a member of ADISA and holds FINRA Series 7, 63, 65, and 24 licenses.

Chad Ramberg is President of Box Professional Insurance.He spent the first decades of his career in leadership positions on the claims side of insurance services. After becoming an RIA for just long enough to gain a healthy respect for the day-to-day challenges that career advisors face, Chad realized he could add more value to the financial services community as an insurance advisor to advisors. Now Chad is blessed with getting to talk with financial advisors across the country, meeting their business insurance needs so they can focus on what they do best..

Michael Jones is Vice President of Institutional Sales Pacific Northwest at TD Ameritrade. Michael specializes in assisting registered representatives from wirehouses navigate the complexities of transitioning to a fee-based Registered Investment Advisor. Additionally, he provides existing RIAs with an ongoing consultative relationship, primarily focusing on business development and practice management. He earned his Bachelor of Arts in Marketing at The University of Texas at El Paso. Michael covers advisors in Alaska, Washington, Oregon, Iowa, Utah, and in NorCal down to Santa Barbara.

Kara Paik is Senior RIA Consultant at Stonecrest where she serves RIAs seeking expertise on short duration fixed income, private lending, and real estate investments. As a chapter board member of the Financial Planning Association since 2016, she is deeply committed to the Bay Area financial advisor community. Kara earned a J.D. from Yale Law School. Her professional background covers equity derivatives and fixed income mutual funds, as well as mortgage finance and real estate. She is also the founder of Alts for RIAs

Scott Smith is the CEO and President of FactRight, LLC. He joined the firm in 2012 as the Chief Operating Officer. Scott brings a unique background to the firm, having worked in roles spanning legal, commercial real estate companies, and financial services firms ranging in size from 100 to 9,000 advisors. He also serves on the board of the Investment Program Association. Scott earned his J.D. from the University of Missouri School of Law. He is a member of The Missouri Bar and Minnesota State Bar Association.




Complimentary Admission

Are you a financial advisor who is a member of CAIA, CFA, FPA, or NAPFA, or are you a Certified Financial Plannerprofessional? If so, please register using the COMPLIMENTARY ticket to receive FREE admission to Alts for RIAs 2019. Clients of TD Ameritrade, FactRight, Box Professional Insurance, and Stonecrest are also invited to register for complimentary admission. All registrants are reviewed on an individual basis. Contact the organizer to request an exception.



FAQs

Who should attend?

  • Financial advisors, wealth managers, family offices and other asset allocators.

Do I qualify for free registration?

  • Financial advisors who are members of CAIA, CFA, FPA, or NAPFA, Certified Financial Planner™ professionals, and clients of Alts for RIAs co-hosts are eligible for Complimentary Admission tickets when registering.

What time does the event start?

  • Registration, refreshments, and networking starts at 2:30 pm. The first speaker begins promptly at 3:00 pm.

Where can I park?

  • TBD.

Is there a hotel on site?

  • TBD.

Where can I contact the organizer with any questions?

Is my registration transferable?

  • If you are unable to make it after registering, please contact the organizer at least three days in advance of the event. We'll see what we can do.

What is the refund policy?

  • All ticket sales are final. We hope you can join us!


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