Redefined

SWAN Advisor Forum

Event Overview

Our mission for the Independent Advisor Forum is to promote an open dialogue to discuss and share ideas on some of the most challenging issues facing investors and the professional advisory community.

Engage with recognized thought leaders, consultants, portfolio managers, RIA principals and wealth management executives, CIOs and research professionals from growth-oriented advisory practices through interactive presentations, panel discussions, receptions and dinners.

This year we draw focus on the most challenging issues advisors face in managing the growth of their business, as well as, helping their clients meet long-term objectives while navigating a market environment we haven’t seen for a decade.

Participation is by invitation only to ensure diversity of opinions from industry experts and a high level of intellectual exchange.

Our Independent Advisor Forum gathers an impressive lineup of leading asset managers, portfolio strategists, and options experts from DST Kasina, SpringTide Partners, Beacon Pointe Wealth Advisors, Succession Resource Group, Cresset Asset Management, LLC, special guest speakers and more to provide:

  • In-depth discussion of current trends with research-driven solutions for leaders of advisory practices
  • Engaging content and research to inform decisions around risk management, behavioral finance, portfolio construction, and advisory practice valuation
  • Solutions for a challenging environment and ways to manage risks and formulate strategies for improving portfolio integrity and investor outcomes
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AGENDA
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Swan Advisor Forum 2019 – Resource Center

Guest Speakers

Our Independent Advisor Forum 2019 hosts an impressive line-up of guest speakers.

Danielle DiMartino Booth - Guest Speaker - Swan RIA Forum 2019
Danielle DiMartino Booth
CEO and Director of Intelligence at Quill Intelligence LLC

Danielle DiMartino Booth is CEO and Director of Intelligence for Quill Intelligence, a new research and analytics firm that launched The Daily Feather. She is known for her meticulous research in the financial markets and her unique perspective honed from years of experience at the Federal Reserve Bank of Dallas and on Wall Street. The author of the Amazon bestseller FED UP: An Insider’s Take on Why the Federal Reserve is Bad for America (Portfolio, Feb 2017), Booth is a global thought leader sought after for her insights on monetary policy both in the U.S. and abroad. In May 2018, Booth was invited to Brussels by members of the European Parliament to share her insights on global economic trends and fiscal policy.

Matthew Fronczke, Director, Kasina - Guest Speaker RIA Forum 2019
Jack Ablin, CFA®
Chief Investment Officer & Founding Partner, Cresset Asset Management, LLC

As Chief Investment Officer, Jack is the leader of Cresset’s investment strategy and provides investment policy and philosophy guidelines to the firm’s advisor teams and clients leveraging his thirty years of experience in money management. Jack was formerly the Chief Investment Officer with BMO Harris Bank. Jack is the author of Reading Minds and Markets: Minimizing Risk and Maximizing Returns in a Volatile Global Marketplace, published in July 2009 by F.T. Press; The Wall Street Journal best-seller list, 2009. Jack is a frequent contributor to CNBC, Bloomberg, The Wall Street Journal and Barron’s, and spent five years as a Money and Markets correspondent for the NBC affiliate in Jacksonville, Florida. Jack served as a Professor of Finance at Boston University, Graduate School of Management. Jack was named one of the top 100 Wealth Advisors in North America, by CityWealth Magazine in 2006, 2010-2017. Jack holds the Chartered Financial Analyst® designation and is a member of the CFA Society of Chicago.

David Grau Jr - Guest Speaker - Swan RIA Forum 2019
David Grau Jr.
Founder and CEO – Succession Resource Group – Advisor to Advisors

David Grau Jr. is the founder and CEO of Succession Resource Group and is the nation’s leading consultant on advisor valuation, acquisition and succession planning for small-cap RIAs (less than $1 billion in AUM). Over the last decade, David and his Portland, Oregon based team of consultants have assisted hundreds of advisors value, buy, merge, sell, and craft their transition plan for the sale of their business. David is a published author and has been interviewed and cited in dozens of publications over the last decade. He is also a frequent speaker at industry events, with over 200 presentations to his credit. Prior to launching SRG, David was a leading M&A consultant for a well-known succession planning firm to advisors. David will be a keynote speaker addressing a driving theme for this year’s RIA Forum, ‘Growing & Maximizing Your Firm’s Valuation’.

Paul Courtney, CFA®, CAIA® - Guest Speaker - Swan RIA Forum 2019
Paul Courtney, CFA®, CAIA®
Co-Founder, Co-CIO – SpringTide Partners

As Co-CIO, Paul guides the investment process at SpringTide Partners. Paul works with the rest of the investment team in determining the asset allocation for client portfolios, monitoring investment managers, and conducting research to identify and select new investment managers. Paul is responsible for coordinating and prioritizing manager searches as well as monitoring markets for emerging trends or developing risks that may impact SpringTide clients’ portfolios. Prior to joining SpringTide in 2017, Paul worked at Altair Advisers, a $4 billion Registered Investment Advisor in Chicago, for over 10 years, most recently as Director of Research. Paul is a member of the CFA Society of Chicago and on the advisory board of Advisor Perspectives. Paul will join a distinguished panel to discuss challenges RIAs face titled, ‘CIO Roundtable: Assessing and Addressing Risks on the Horizon’.

Chris Bouffard, CFA - Guest Speaker - Swan Advisor Forum 2019
Chris Bouffard, CFA®
Managing Director, Prime Capital Investment Advisors

Chris joined Prime Capital Investment Advisors as Managing Director of Wealth Management in February 2019, where he’ll be intimately involved in the development and evolution of Prime Capital Wealth Management’s business strategies. Previously, Chris was CIO of The Mutual Fund Store (TMFS), through the subsequent acquisitions by Financial Engines. Chris served as Managing Director at Financial Engines and continued his responsibilities directing the approximately $14 billion in legacy Mutual Fund Store retail client assets. Prior to joining TMFS, Chris was VP of Portfolio Research at American Century Investments (ACI). In addition to directing competitive analysis, capital market research, and investment decision support, he served as a member of the Investment Oversight Committee and as chairman of the American Century Retirement Committee. He is a CFA charterholder, a member of the CFA Institute, and a member, as well as Past President, of the CFA Society of Kansas City. Chris will join distinguished panelists on the ‘CIO Roundtable’ to discuss how CIO’s are addressing portfolio construction challenges in a low-yield world.

Fred Whal, JR, CFA, CIMA - Guest Speaker RIA Forum 2019
Frederick W. Wahl, Jr., CFA®, CIMA®
Chief Investment Officer & Chief Compliance Officer, Brownlie & Braden Advisors

Fred serves as Chief Investment Officer and Chief Compliance Officer for Brownlie & Braden Advisors. His expertise includes the areas of asset allocation, financial and operational risk management, asset/liability management and related issues confronted by the wealthy family and firms that serve them. Fred has over 40 years of experience, primarily in the trust and investment management business (and 2 years as an institutional broker). He served as Managing Director and Partner of Cinque Partners LLC, an independent RIA formed in 2012 as a spin-out from Wells Fargo Bank.  Fred’s early career consisted of work in traditional trust investment management, bank portfolio management and chief investment officer of a bank-owned registered investment advisor. Fred is a Certified Investment Management Analyst and an active member of the CFA Institute, CFA Society of Dallas-Fort Worth and the Investment Management Consultants Association.

Matthew Fronczke, Director, Kasina - Guest Speaker RIA Forum 2019
Matthew Fronczke
Director, Kasina

At DST, Matthew leverages extensive multi-national experience across the asset management industry to consult senior asset management and insurance executives on a wide range of strategic projects, including advisor segmentation, distribution organization design, M&A support and analysis, product rationalization and new product development. Matthew is currently the Director of Distribution & Product Consulting and is responsible for leading many of the firm’s consulting engagements, assisting in Kasina’s thought leadership process and developing new and innovative products and product-related research (OIC). Matthew is a strategy consulting professional with extensive multi-national experience across the asset management industry.

Matt Cooper - Guest Speaker - Swan RIA Forum 2019
Matt Cooper
President, Beacon Pointe Wealth Advisors, LLC

Matt is both President of Beacon Pointe Advisors Private Client Services, as well as, President of Beacon Pointe Wealth Advisors, an enterprise building partnership for a select group of wealth advisors throughout the country. Beacon Pointe is a wealth management consulting firm that takes a comprehensive approach to assist institutions and high-net-worth individuals and families. Matt will join distinguished panelists to discuss challenges advisors face and strategies to enhance their firms’ enterprise value titled, ‘Growing & Maximizing Your Firm’s Valuation’.

Andrew Dziedzic, CIMA® - Guest Speaker - Swan RIA Forum 2019
Andrew Dziedzic, CIMA®
General Partner, Financial Strategies Advisory

Andy is managing partner, Certified Investment Analyst, practitioner and financial planner for Financial Strategies Advisory. Andy is a member of the CEO Thinktank, Business Enterprise Institute and has been an active member of the PennSuburban Chamber of Commerce, Financial Planning Association of Philadelphia, and more. He holds a Bachelor’s degree in Entrepreneurship from the Indiana University of Pennsylvania and a Masters in Finance from LaSalle University.  In addition, he completed coursework for the CIMA® certification at the University of Pennsylvania, Wharton School of Business. Andy will join distinguished panelists to discuss challenges advisors face and strategies to enhance their firms’ enterprise value titled, ‘Growing & Maximizing Your Firm’s Valuation’.

Matt Cooper - Guest Speaker - Swan RIA Forum 2019
David M. Shepherd
Managing Partner, Shepherd Kaplan Krochuk, LLC

David is Co-Founder, Managing Member, Co-Chief Executive Officer and Co-Chief Investment Officer of Shepherd Kaplan Krochuk LLC (SKK). SKK is a privately held firm specializing in both wealth and alternative asset management services. David has more than 25 years of experience in investment research, product development and consulting to the pension, endowment and foundation and family office marketplace. He advises the Investment Committees of numerous corporations on investment policy design, monitoring regimens and fiduciary compliance. David is also a frequent public speaker, discussing risk and investment management and fiduciary governance. David will join distinguished panelists to discuss challenges advisors face and strategies to enhance their firms’ enterprise value titled, ‘Growing & Maximizing Your Firm’s Valuation’.

Randy Swan - CEO, Lead Portfolio Manager, Swan Global Investments
Randy Swan
Founder, CEO and Lead PM – Swan Global Investments

In 1997, recognizing the limitations of Modern Portfolio Theory and the difficulty of market timing and picking stocks, Randy developed the Swan Defined Risk Strategy to help investors achieve capital appreciation while seeking protection from large losses. Randy has been featured in publications by Barron’s, Forbes, Morningstar, and more.  He has also been a frequent speaker at industry conferences including the Options Industry Council’s Wealth Summit and the Alternative Investment Summit.  Additionally, he serves on the Advisory Leadership Council of the Options Industry Council (OIC).

Location

WHEN
April, 28-29th, 2019
WHERE
Kimpton Gray Hotel
Chicago

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Information

Conference registration includes:
Hotel room for up to 2 nights
Breakfast, Lunch, 2 Receptions with heavy hors-d’oeuvres

Dress code – business casual.

NOTE – Swan will cover the cost of hotel rooms + tax for up to 2 nights. The hotel room reservation website will require a credit card to secure your reservation and cover incidental charges. Upon checkout, you may decide to use the submitted card or another form of payment for any incidental charges.

AGENDA
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Call for registration

(877) 771-7031

Request the Swan Global Investments Advsior Forum

Disclosures:

Swan Global Investments, LLC is a SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (“DRS”). SEC registration does not denote any special training or qualification conferred by the SEC. Swan offers and manages the DRS for investors including individuals, institutions and other investment advisor firms. Any historical numbers, awards and recognitions presented are based on the performance of a (GIPS®) composite, Swan’s DRS Select Composite, which includes non-qualified discretionary accounts invested in since inception, July 1997, and are net of fees and expenses. Swan claims compliance with the Global Investment Performance Standards (GIPS®). All data used herein; including the statistical information, verification and performance reports are available upon request. The S&P 500 Index is a market cap weighted index of 500 widely held stocks often used as a proxy for the overall U.S. equity market. Indexes are unmanaged and have no fees or expenses. An investment cannot be made directly in an index. Swan’s investments may consist of securities which vary significantly from those in the benchmark indexes listed above and performance calculation methods may not be entirely comparable. Accordingly, comparing results shown to those of such indexes may be of limited use. The adviser’s dependence on its DRS process and judgments about the attractiveness, value and potential appreciation of particular ETFs and options in which the adviser invests or writes may prove to be incorrect and may not produce the desired results. There is no guarantee any investment or the DRS will meet its objectives. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is not a guarantee of future results and there can be no assurance, and investors should not assume, that future performance will be comparable to past performance. All investment strategies have the potential for profit or loss. Further information is available upon request by contacting the company directly at 970-382-8901 or www.swanglobalinvestments.com.  060-SGI-020419