2019 Forbes | SHOOK Top Advisor Summit Agenda

TIME

SESSION & SPEAKER

1:00 - 8:00 pm

Check-In & Reception

2:00 - 5:00 pm

Pre-Conference Sessions (Included with every ticket)

2:00 - 2:30 pm

The Future of Fees: How to price your services going forward…and unintended consequences (I-W)

• Pat Dwyer, Merrill Lynch Wealth Management
• Jason Weaver, Weaver Consulting Group
• CJ Rendic, Parallel Advisors
• Moderator: Bob Evans, Senior VP Regional Director, Fidelity

2:30 - 2:35 pm

Break

2:35 - 3:05 pm

Navy SEAL Team Leader - Are you a Group or a Team? (I-W)

• Mark Curtis, Morgan Stanley Graystone
• Hank McLarty, Gratus Capital
• Moderator: Jon Fussell, New York Life Investments, Former Navy SEAL

3:05 - 3:10 pm

Break

3:10 - 3:40 pm

Fixed Income: Finding Value in Today’s Markets (CFP, I-W)

• Harry Phinney, Fixed Income Specialist, Capital Group
• Introduction: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Capital Group

3:40 - 3:50 pm

Break

3:50 - 4:20 pm

Incentivizing and compensating team members (I-W)

• Michael Bapis, Rockefeller Capital Management
• Chris Aitken, UBS Financial Services
• Moderator: Carter Sims, Head of Global Distribution & Managing Director, Thornburg Investment Management

4:20 - 4:25 pm

Break

4:25 - 4:55 pm

Winning & working with high net-worth clients (I-W)

• Richard Jones, Merrill Lynch - Private Banking & Investment Group
• Carrie Coghill, Coghill Investment Strategies
• Lyon Polk, Morgan Stanley Private Wealth Management
• Moderator: John Moninger, Managing Director Retail Sales, Eaton Vance

Opening Night

5:30 - 6:30 pm

Cocktail Reception

6:30 - 8:30 pm

Dinner Gala

• R.J. Shook - Co-Founder, President, SHOOK Research, Senior Forbes Contributor
• Roberto Bruno - Senior Vice President & Head of Distribution, First Eagle Investment Management

One Man's Perspective on Private Equity & the Investment Environment

• David Rubenstein, Co-Founder and Co-Executive Chairman, The Carlyle Group
• Introduction: Paul Brunswick, Senior Business Consultant of CEO Advisory Institute, Oppenheimer Funds

8:30 - 9:30 pm

Champagne Reception For All Ranked Advisors presented by Nuveen

TIME

SESSION & SPEAKER

7:00 - 8:00 am

Breakfast

8:00 - 9:40 am

General Session

8:00 - 8:10 am

Opening Comments

• R.J. Shook, Co-Founder, President, SHOOK Research, Senior Forbes Contributor

8:10 - 8:15 am

SHOOK Ones: Top Advisor Shares Best Idea

• Jordan Waxman, Wealth Advisory Team
• Introduction: Carter Sims, Head of Global Distribution & Managing Director, Thornburg Investment Management

8:15 - 8:40 am

The SHOOK “Impact” — the new force in our rankings…Building client experiences that add meaning (CFP, I-W)

• Rebecca Rothstein, Merrill Lynch Wealth Management
• Hank McLarty, Gratus Capital
• Moderator: Steve Samuels, Managing Director, Merrill Lynch Wealth Management
• Introduction: Mike Tobin, Western Divisional Sales, Hartford Funds

8:40 - 9:00 am

Conversation about Life and Markets (CFP, I-W)

• Leon Cooperman - Founder, Chairman & CEO, Omega Advisors
• Moderator: Rob Sechan, UBS Financial Services
• Introduction: Frank Berland, Managing Director, SHOOK Research

9:00 - 9:25 am

SHOOK Spotlight: Remembering Maddison... and saving Connor

9:25 - 9:40 am

Networking/Refreshments

9:40 - 11:25 am

General Session

9:40 - 9:50 am

Impact Investing: Integrating SRI/ESG into a traditional practice (CFP, I-W)

• Martin Kremenstein, Senior Managing Director, Nuveen
• Moderator: Suzanne Killea, Merrill Lynch Private Banking & Investment Group
• Introduction: Karen Lutomski, Managing Director & Advisor Consultant, Nuveen

9:50 - 10:10 am

Volatility: The unwanted guest who won’t leave (CFP, I-W)

• Richard Bernstein - CEO/CIO, Richard Bernstein Advisors
• Introduction: Victoria Scott, Associate & Content Manager, SHOOK Research

10:10 - 10:15 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Jonathan Beukelman, UBS Financial Services
• Introduction: Dodd Kittsley, National Sales Director, Davis Advisors

10:15 - 10:35 am

Insights on Global Fixed Income Markets (CFP, I-W)

• Rick Rieder, Managing Director/Global Chief Investment Officer of Fixed Income, BlackRock
• Introduction: Adam Bobker, Head of Private Wealth Advisory Group, BlackRock

10:35 - 10:40 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Laila Pence, Pence Wealth Management
• Introduction: Bobby Brooks, National Sales Manager, DWS

10:40 - 10:55 am

Is Value Investing Dead? (Or Just Sleeping) (CFP, I-W)

• Joel Greenblatt, Managing Principal & Co-Chief Investment Officer, Gotham Funds
• Moderator: Leslie Picker, Reporter, CNBC
• Introduction: Lisa Charkouidan, Director of Sales and Distribution, Gotham Funds

10:55 - 11:10 am

Marketing Forbes Recognition: World-Class Brand- Here’s What to do Now

• Andy Burish, UBS Financial Services
• Moderator: Pat Dwyer, Merrill Lynch Private Banking & Investment Group
• Introduction: Jamie Hawes, Director, New York Life Investments

11:10 - 11:25 am

Networking / Refreshments

11:25 - 12:00 pm

Breakout Sessions

1. Living your best life with balance
   • Rebecca Rothstein, Merrill Lynch Wealth Management
   • Deb Montaperto, Morgan Stanley Wealth Management
   • Moderator: Jack Bohnet, Senior Vice President, Federated Investors
2. Speaking with clients about the new tax structure for high tax states (CFP, I-W)
   • Jordan Waxman, Wealth Advisory Team
   • Bruce Munster, Merrill Lynch, Private Banking & Investment Group
   • Moderator: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Cap Group
3. Building a scalable practice for the mass affluent (CFP, I-W)
   • Scott Magnesen, Morgan Stanley Wealth Management
   • Joe Jaques, Jaques Financial
   • Moderator: John Blau, Partner, Alkeon
4. Planning for the future of your business (CFP, I-W)
   • Tom Keegan, Merrill Lynch Private Banking and Investment Group
   • Jeff Bryan, Merrill Lynch Private Banking and Investment Group
   • Marvin McIntyre, Morgan Stanley Private Wealth Management
   • AJ Fechter, Morgan Stanley Private Wealth Management
   • Moderator: Kirsten Pickens, Partner & Head of Distribution, Chiron Investment Management
5. Up Close with Rick Rieder & Joel Greenblatt (CFP, I-W)
   • Rick Rieder, Managing Director/Global Chief Investment Officer of Fixed Income, BlackRock
   • Joel Greenblatt, Principal & Co-Chief Investment Officer, Gotham

12:00 - 12:55 pm

Lunch (CFP, I-W)

• Steve Forbes, Chairman & Editor-In-Chief, Forbes Media
• Introduction: Michael Schweitzer, Head of High Net-Worth Strategy & Distribution, American Funds/Cap Group

12:55 - 1:15 pm

General Session

AI & the Fourth Industrial Revolution (CFP, I-W)

• Beijia Ma, Partner, Alkeon Capital Management
• Introduction: John Blau, Partner, Alkeon Capital Management

1:15 - 1:25 pm

Networking / Refreshments

1:25 - 2:00 pm

Breakout Sessions

1. Team structure & efficiencies…for thousands of clients (CFP, I-W)
   • Andy Burish, UBS Financial Services
   • Scott Tiras, Ameriprise Financial Services
   • Moderator: David Hescheles, Managing Director/National Sales Manager, Hartford Funds
2. The future of outsourced family offices (CFP, I-W)
   • Ron Hughes, Merrill Lynch Private Banking & Investment Group
   • Paul Pagnato, PagnatoKarp
   • Kristen Bauer, Tiedemann Advisors
   • Moderator: David Cantor, Executive Vice President, Fidelity
3. Incorporating real estate into client portfolios (CFP, I-W)
   • Shawn Fowler, Morgan Stanley Wealth Management
   • Barry Garber, Alex. Brown/Raymond James
   • Moderator: Raj Danda, CEO, Black Creek Group
4. Planning for the new retirement - Advising retiring clients in the era of longevity (CFP, I-W)
   • Sharon Oberlander, Merrill Lynch Wealth Management
   • Sal Tiano, JP Morgan Securities
   • Moderator: Jan Holman, Director of Advisor Education, Thornburg Investment Management

5 minute transition to next breakout

2:05 - 2:40 pm

Breakout Sessions

1. Leveraging your way for next-level growth in a high-end practice (I-W)
   • Greg Vaughan, Morgan Stanley Private Wealth Management
   • Kevin Myeroff, NCA Financial Planners
   • Moderator: Paul Brunswick, Senior Business Consultant of CEO Institute, Oppenheimer Funds
2. Building your practice through acquisitions (I-W)
   • Anthony Valente, Morgan Stanley Wealth Management
   • Mark Thorndyke, Merrill Lynch Wealth Management
   • Lori Van Dusen, LVW Advisors
   • Moderator: Jennifer Tarsney, Director of Practice Management, New York Life Investments
3. Client segmenting with niches... and 3,000 households (I-W)
   • David Kudla, Mainstay Capital Management
   • Michael Ricca, Morgan Stanley Wealth Management
   • Moderator: Robert Bruno, Senior Vice President & Head of Distribution, First Eagle Investment Management
4. The Future of Advice: meeting client expectations in a changing world (I-W)
   • Margaret Starner, Starner Group of Raymond James
   • Kathy Grasmeder, Morgan Stanley Wealth Management
   • Moderator: John Diehl, Senior Vice President of Strategic Markets, Hartford Funds

2:40 - 2:50 pm

Networking/Refreshments

2:50 - 5:30 pm

General Session

3:10 - 3:15 pm

Navigating the road ahead (I-W)

• Marc Lasry, Chairman, CEO, and Co-Founder of Avenue Capital Group
• Jamie Dinan, Founder, Chairman, and Co-CEO, York Capital
• Moderator: Robert Sechan, UBS Financial Services
• Introduction: Steve Stroker, Chief Executive Officer, Black Creek Group

3:15 - 3:35 pm

Post-Modern Medicine: 10 Strategies for a Long and Healthy Life

• Jordan Shlain, MD
• Introduction: AJ Leimenstoll, Vice President/Regional Sales Director, Eaton Vance

3:35 - 3:40 pm

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Jeffery Fratarcangeli, Wells Fargo Advisors

3:40 - 3:55 pm

Value now or value later? What we should expect for market timing

• Ryan Caldwell, Chiron
• Andrew Wellington, Lyrical
• Moderator: Leslie Picker, Reporter, CNBC
• Introduction: Dan Lachcik, Managing Director, Lyrical

3:55 - 4:05 pm

Networking / Refreshments

4:05 - 4:25 pm

Securing the future of your business - Building a practice that outlives you

• Jeff Erdmann, Merrill Lynch, Private Banking & Investment Group
• Patti Brennan, Key Financial
• Moderator: Jim Tracy, Managing Director, Morgan Stanley Wealth Management
• Introduction: Daniel Miller, Executive Vice President, Gabelli Funds

4:25 - 4:40 pm

World-class violinist... and her “Red Violin”

• Elizabeth Pitcairn - World-Class Violinist
• Introduction: Mark Lavan, Co-Head of US Retail Sales, Legg Mason

4:40 - 4:45 pm

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Kim Hatchett, Morgan Stanley Wealth Management
• Introduction: Frank Famigilietti, Managing Director, Morgan Stanley Investment Management

4:45 - 5:00 pm

Perspectives on China and the Global/Domestic Economy (I-W)

• Brendan Ahern, Chief Investment Officer, KraneShares
• John Bellows, Portfolio Manager & Senior Research Analyst, Western Asset Management
• Moderator: Victor Livingstone, Morgan Stanley Private Wealth Management
• Introduction: Eric Monte, Director, KraneShares

5:00 - 5:25 pm

What’s next for the markets and economy (CFP, I-W)

• Jeremy Seigel - Professor, Wharton School of Finance; Sr. Investment Strategy Advisor, WisdomTree
• Introduction: Andrew Tsiropinas, Head of NFS & IBD Distribution- East, WisdomTree

5:25 - 5:30 pm

Closing Remarks

• Frank Berland, Managing Director, SHOOK Research

5:30 - 6:30 pm

Cocktail Reception

3:00 - 3:10 pm

Welcome - Liz Shook

3:10 - 3:40 pm

Beijia Ma - artificial intelligence expert

3:40 - 4:05 pm

Remembering Maddison... and saving Connor

4:05 - 4:15 pm

Break

4:15 - 4:55 pm

Post-modern medicine: 10 strategies for a long and healthy life,
Jordan Shlain, MD, World-Renown Health Expert

4:55 - 5:20 pm

World-class violinist…and her “Red Violin”
Elizabeth Pitcairn, World-Class Violinist

5:20 - 5:25 pm

Closing Comments - Liz Shook

5:25 - 5:30 pm

Break

5:30 - 6:30 pm

Cocktails with Advisors

6:30 - 8:30 pm

Party continues at Valentino with lite bites

TIME

SESSION & SPEAKER

7:00 - 8:00 am

Breakfast

8:00 - 9:20 am

General Session

8:00 - 8:10 am

Welcome Remarks

• Frank Berland, Managing Director, SHOOK Research

8:10 - 8:15 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Debra Brede, D.K. Brede
• Introduction: Jack Bohnet, Senior Vice President, Federated

8:15 - 8:40 am

America’s fastest growing teams (I-W)

• Josh Malkin, Morgan Stanley Wealth Management
• Ghislain Gouraige, UBS Financial Services
• Moderator: Robert Bruno, Senior Vice President and Head of Distribution, First Eagle Investment Management

8:40 - 8:45 am

SHOOK Ones: Top Advisor Shares Best Idea (CFP, I-W)

• Andrew Schultz, Morgan Stanley Wealth Management
• Introduction: Eric Monte, Director, KraneShares

8:45 - 8:55 am

Merger Arbitrage: Absolute Returns in an Uncertain Environment (I-W)

• Paolo Vicinelli, Portfolio Manager, Gabelli Asset Management
• Introduction: Daniel Miller, Executive Vice President, Gabelli Funds

8:55 - 9:05 am

Convertibles: one of the strongest sectors in 2018...How to leverage going forward. (CFP, I-W)

• Tracy Maitland, President and Chief Investment Officer, Advent Capital Management

9:05 - 9:20 am

Networking/Refreshments

9:20 - 10:00 am

Breakout Sessions

1. What is the right team structure for your business? (CFP, I-W)
   • Brian Werdesheim, Oppenheimer & Co.
   • Chris Cook, Merrill Lynch Wealth Management
   • Moderator: John Moninger, Managing Director Retail Sales, Eaton Vance
2. A simple strategy to maximize the growth in your business (CFP, I-W)
   • Brian Gallary, Senior Vice President/Head of Strategy & Consulting, First Trust

5 minute transition to next breakout

10:05 - 10:45 am

Breakout Sessions

1. Intergenerational partnerships: how to structure, market & serve clients (CFP, I-W)
   • Terry Cook, UBS Financial Services
   • Kyle Caouette, UBS Financial Services
   • Rip Hale, Morgan Stanley Wealth Management
   • Jonathan Hale, Morgan Stanley Wealth Management
   • Moderator: James Costabile, Managing Director, Morgan Stanley Investment Management
2. Impacting clients’ lives with high-end service (CFP, I-W)
   • Craig Chiate, UBS Financial Services
   • Kathleen Roeser, Morgan Stanley Wealth Management
   • Moderator: Jaqueline Bouchie, Assistant Vice President/Regional Consultant, State Street Capital

10:45 - 10:55 am

Networking/Refreshments

10:55 - 11:30 am

General Session

10:55 - 11:25 am

The Future of Teams (CFP, I-W)

• Mark Binder, UBS Financial Services
• Nestor Vicknair, Merrill Lynch Wealth Management
• Richard Blosser, Wells Fargo Advisors
• Moderator: Chip Walker, Managing Director, Wells Fargo Advisors
• Introduction: Bobby Brooks, National Sales Manager, DWS

11:25 - 11:30 am

Closing Remarks

• R.J. Shook, Co-Founder, President, SHOOK Research, Senior Forbes Contributor