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  • Annual Conference 2020 Rewind: Succeeding at Succession - How to Transition Your Practice Profitably & Proudly

    Product not yet rated Contains 3 Component(s) Includes a Live Web Event on 12/29/2020 at 12:00 PM (MST)

    It's inevitable. You will transition from your practice one day.

    It's inevitable. You will transition from your practice one day. The question is will you be in control of your exit — or will you let fate and circumstance determine what happens to the business you have spent your life building? Succession is a process — not an event. It includes maximizing your practice's value, selecting the best exit option, choosing the right successor, and planning an orderly transition. This session helps advisors evolve from knowing what to do to knowing how to implement to create a successful succession plan - to assure their lifestyle and the legacy they deserve.

    • Better appreciate the immediate need for a plan to transition their business -whether their intention is to do so in the near future or at some point down the road
    • Evaluate the pros and cons of various transition options and determine which would best suit both their financial and emotional needs
    • With appreciation of the priority and process for transition preparation, participants will be motivated to begin or complete their personal plan

    George Hartman

    CEO, Market Logics Inc.

    George Hartman is an insightful industry observer and prolific writer, having published five best-selling books for financial advisors, including Blunder, Wonder, Thunder – Powering Your Practice to New Heights, and EXIT is NOT a Four-Letter Word – How to Transition Your Practice Profitably and Proudly.

    His engaging style, humor, and professional knowledge have made him highly sought after as a keynote speaker, workshop facilitator, webcast host, and training session leader. With 30 years of experience delivering powerful presentations to audiences around the world, George has a compelling ability to make audiences eager to progress from “knowing” to “doing”.

  • Annual Conference 2020 Rewind: Estate Planning - Now!

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/22/2020 at 12:00 PM (MST)

    Estate planning, always an important element of a comprehensive financial plan, has taken on increased importance and urgency, especially for high net worth individuals.

    Estate planning, always an important element of a comprehensive financial plan, has taken on increased importance and urgency, especially for high net worth individuals. The confluence of potential expiration or repeal of increased exemptions, curtailed planning strategies, historically low interest rates and depressed asset values results in opportunities our clients my not see again in their lifetimes. This session will discuss this background, detail planning strategies and provide relevant examples of opportunities your clients should be considering NOW to protect and preserve their wealth for themselves and generations to come.

    • Interpret the impact of the current and potential economic, political and regulatory environment on estate planning strategies
    • Gain greater understanding of applicable estate planning strategies for high net worth individuals
    • Describe how to integrate and communicate advanced estate planning strategies to achieve client goals

    Richard P. Rojeck, CFP®, AIF®

    Financial Advisor, Sagemark Consulting

    Rich has been in practice for 30+ years, working primarily with high net-worth individuals.  He is a CFP professional and holds the AIF designation. He served on the board of the IAFP for six years and was Chair in 1999.  He also served on the board of the CFP Board of Standards from 2010 to 2015, and was Chair in 2015.  He has an undergraduate degree in business from Oregon State University and a MBA from San Diego State University.  He is the author of Wealth, the Ultra-High Net Worth Guide to Growing and Protecting Assets, published by Palgrave MacMillan.

  • Annual Conference 2020 Rewind: Estimating "The End" of Retirement

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/17/2020 at 12:00 PM (MST)

    The length of retirement is one of the most important assumptions in a financial plan; therefore, care should be taken that is estimated as accurately as possible.

    The length of retirement is one of the most important assumptions in a financial plan; therefore, care should be taken that is estimated as accurately as possible. This presentation will explore a variety of topics related to estimating “the end” of retirement, including a review of life expectancy and its drivers, the accuracy of subjective mortality estimates, the actual assumptions used by financial advisors in financial plans, as well as model that can be used to approximate a reasonable retirement period that considers personalized mortality and the probability of success.

    • Understand how accurate subjective life expectancy estimates are, what objective factors actually matter, and what people tend to get wrong
    • Identify the implications associated with not considering personalized mortality factors, and the extent financial advisors currently consider them
    • Determine how to appropriately estimate the length of retirement for a financial plan assuming the outcome metric is the probability of success and retirement is assumed to last a fixed period

    David Blanchett, Phd, CLU, ChFC®, CFP®, CFA®

    Head of Retirement Research, Morningstar Investment Management, LLC

    David M. Blanchett, PhD, CFA, CFP® is head of retirement research for Morningstar Investment Management LLC. In this role, he helps develop and maintain methodologies relating to wealth forecasting, general financial planning, automated investment selection, and portfolio assignment for Morningstar Investment Management LLC. He has published over 100 papers in a variety of industry and academic journals that have received a number of awards. He is currently an Expert Panelist for the Wall Street Journal, an Adjunct professor of Wealth Management at The American College, and a member of the ERISA Advisory Council.

  • Annual Conference 2020 Rewind: Growing Your Business in a Virtual (and Hybrid) World

    Product not yet rated Contains 3 Component(s) Includes a Live Web Event on 12/15/2020 at 12:00 PM (MST)

    In 2019, we reported that only 9% of advisors met with clients virtually. COVID-19 has instrumentally changed the way advisors conduct business.

    In 2019, we reported that only 9% of advisors met with clients virtually. COVID-19 has instrumentally changed the way advisors conduct business. In a time when your clients and prospective clients need you the most, how do you meet them halfway?

    Join us as we explore different virtual strategies to help you grow your advisory business. We’ll discuss:
    1 ) Activity, activity, activity: How putting processes in place can become a pipeline for growth
    2) Real-life technology solutions you can implement 
    3) How to differentiate your practice by developing a niche 
    4) Client communications vs. prospecting communications: Should they differ?

    John Anderson

    Managing Director - Head of Practice Management, SEI

    John Anderson is the head of Practice Management Solutions for Independent Advisor Solutions by SEI. With SEI for more than 25 years, he is responsible for all programs focused on helping advisers grow their businesses, create efficiencies in their operations and differentiate their practices. John is frequently quoted in publications such as Investment News, Financial Planning magazine and The Wall Street Journal.  John has co-authored over 15 industry whitepapers on various topics including:  "Fees at a Crossroads" and "The Next Wave of Advice Management."   He is the lead author of SEI’s practice management blog, Practically Speaking, found at seic.com/practicallyspeaking.

  • Annual Conference 2020 Rewind: Answering Tough Client Questions

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/10/2020 at 12:00 PM (MST)

    Discover valuable insights into how advisors can use an integrated framework of scripts, stories, sketches and supplements to increase the effectiveness of their communication with clients.

    Discover valuable insights into how advisors can use an integrated framework of scripts, stories, sketches and supplements to increase the effectiveness of their communication with clients. Specifically, how each part of the framework plays a vital role in determining how best to reach the target audience with the intended message, as well as how to use these different methods in combination when answering tough client questions.

    • Understand how a communication framework that uses an integrated process of scripts, stories, sketches and supplements can increase the level of receptivity from clients
    • Learn how to approach tough client questions with a systematic approach designed to increase comprehension and simplify the exchange of information
    • Apply communication mediums to the different human learning styles of auditory, visual, tactile, and kinesthetic

    Jake DeKinder, CFA®

    Head of Client Communications & Vice President, Dimensional Fund Advisors

    As Head of Client Communications, Jake DeKinder helps develop the messaging and communication strategy for Dimensional’s Global Client Group. In this role, he interacts closely with clients to understand their needs and challenges and best align the resources of Dimensional to produce content and materials that will support clients in their business. Prior to joining Dimensional, Jake owned and operated a restaurant franchise near Atlanta, Georgia. 

    A CFA® charterholder, Jake earned his MBA and MPA from the McCombs School of Business at the University of Texas at Austin and his BBA from the Goizueta Business School at Emory University.

  • Annual Conference 2020 Rewind: Advanced Tax Planning Strategies for Financial Planners

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/08/2020 at 12:00 PM (MST)

    2020 is the year for Roth conversions.

    2020 is the year for Roth conversions. Did you know, you can get $37,500 or even $57,000 into a Roth for your clients? Did you know, you can lower the overall tax cost of a 401(k) plan? We will integrate the latest tax law changes through the CARES Act and Secure Act so you can be knowledgeable with your clients.

    • Understand why 2020 may be the year for Roth conversions and how to take advantage of the most recent tax changes through the CARES Act and SECURE Act
    • Learn how to best take advantage of the Back Door Roth IRA and implement the Mega Back Door Roth for clients
    • Recognize when clients can qualify for Net Unrealized Appreciation (NUA) and how to take advantage of NUA to fulfill Required Minimum Distributions (RMD) and take advantage of lower capital gains tax rates.   An extra bonus is identifiying the ability to add to a Roth IRA without incurring any additional cash

    Lawrence Pon, CFP®, CPA, PFS, EA, USTCP, AEP

    Pon & Associates

    Mr. Pon is a Certified Financial Planner, Certified Public Accountant, Personal Financial Specialist, and Accredited Estate Planner in Redwood Shores, CA.   

    Mr. Pon has been practicing since 1986.  He provides the latest advanced tax and financial planning strategies to financial planners so they can be knowledgeable with their clients.

    Mr. Pon received his BS in Business Administration from the University of California, Berkeley and MS in Taxation from Golden Gate University in San Francisco.

    Mr. Pon is a long time member of the Financial Planning Association and speaks frequently to the San Francisco and Silicon Valley Chapters.

  • Annual Conference 2020 Rewind: Interpreting Financial Aid Award Letters - Creating Transparency for Families

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/03/2020 at 12:00 PM (MST)

    Imagine looking at homes or vehicles and obsessing over their details, only to then be told you had to provide your income and assets and THEN the seller would get back to you on the price they were customizing only to you.

    Imagine looking at homes or vehicles and obsessing over their details, only to then be told you had to provide your income and assets and THEN the seller would get back to you on the price they were customizing only to you. Seems crazy right? Yet that is essentially how the college pricing model works. No purchase -- let alone one as significant in amount and impact -- is so vague and hard to understand. In this session you'll learn crucial details about how financial aid really works, the differences in institutional policies, and how to help clients decipher college financial aid awards.

    • Describe the difference between the Net Price and the Net Cost of college
    • Identify the key questions clients should ask colleges
    • Evaluate and determine missing parts of college financial aid awards

    Cozy Wittman

    Director of Education and Partnerships, College Inside Track

    Cozy Wittman leads the education and partnerships for College Inside Track, an organization that helps families navigate the college process and assure right fit schools for students & families. She is a national subject-matter expert on late-stage college planning and trains financial professionals around the country on strategies they can use to better serve clients. In addition to being a featured speaker at financial services conferences and high schools, Cozy is a mom of 5 kids with very different goals for college so she is no stranger to the college search challenge.

  • Journal in the Round: Diversity and Inclusion

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/02/2020 at 12:00 PM (MST)

    This month we are eager to discuss the diversity and inclusion theme of the November Journal of Financial Planning.

    This month we are eager to discuss the diversity and inclusion theme of the November Journal of Financial Planning. Led by host Robert Castillo, ADPA, panelists Lisa A.K. Kirchenbauer, CFP®, RLP®, CeFT® and Enjoli Ramsey will delve into the financial planning profession’s progress on diversity, inclusion and representation. Topics will include the realities diverse employees face, tangible takeaways to implement in your firm, how we can do better to become a more inclusive community and what the future looks like.

    Robert Castillo, CFP®, ADPA

    Investment Advisor Rep, Ross Gerber and Danilo Kawasaki

    Robert Castillo, CFP®, ADPA℠, is a CERTIFIED FINANCIAL PLANNER™ and Investment Advisor Representative at Gerber Kawasaki Wealth and Investment Management where he has helped the LGBTQ and Latino communities since 2009. Before joining Gerber Kawasaki, Robert worked as an educator and fundraiser for non-profits devoted to LGBTQ equality and social justice. He is a founding member of Gerber Kawasaki as well as a member of their investment selection committee. In 2015, Robert started the firm’s first LGBTQ group which is devoted to providing financial planning services to same-sex couples and the community at large. Robert was a recipient of the FPA Annual Conference Diversity Scholarship in 2018 and is a volunteer with FPA’s Pride Planners LGBTQ group.

    Lisa A. Kirchenbauer, CFP®, RLP, CeFT

    President, Omega Wealth Management, LLC

    Lisa A.K. Kirchenbauer, CFP®, RLP®, CeFT® is Founder & President of Omega Wealth Management in Arlington, VA and a 2021-2023 member of the FPA National Board.  Lisa has 35 year of experience in the financial services industry, 30 years in the financial planning profession and has run her firm- a diverse team of professionals- for 21 years.  She is especially passionate about expanding the representation of women and people of color within the financial planning profession, and is a student of intentional business management and leadership.

    Emjoli Ramsey

    Chief of Outreach and Recruitment for the Air Force Office of Diversity & Inclusion

    Ms. Enjoli Ramsey is the Chief of Outreach and Recruitment for the Air Force Office of Diversity & Inclusion.  In this role, she is responsible for developing and implementing a comprehensive diversity outreach and recruitment strategy to support the Air Force Diversity and Inclusion mission.  Ms. Ramsey began her career as a Navy Officer.  She separated from active duty in 2011 and affiliated with the Navy Reserves where she currently supports the Office of Military Compensation. An aspiring career changer, Ms. Ramsey completed the College for Financial Planning CFP ® Certification Education Program in 2019 and passed the CFP ® exam in March 2020.

  • Annual Conference 2020 Rewind: Positive & Productive Client Communication: Behavioral Finance Principles in Action

    Product not yet rated Contains 3 Component(s), Includes Credits Includes a Live Web Event on 12/01/2020 at 12:00 PM (MST)

    Normal human bias is a fundamental reason for poor client decision making.

    Normal human bias is a fundamental reason for poor client decision making. This presentation will explain the psychological principles of human bias and the impact on client decisions. The presentation will teach practical and effective cognitive shifting processes to counsel the client out of bias thinking. In addition, attendees will learn how to guide clients to productive decision making with cognitive communication processes.

    • Learn neuropsychology behind behavioral finance principles and the fundamentals of how humans think and what that means for communicating with clients effectively
    • Recall the root causes of bias and what patterns to look for in client bias
    • Demonstrate specific communication techniques to guide clients through the productive thinking process and reach a positive and thoughtful decision

    Barbara Kay, MA, LPC, RCC, TIPC

    President, Barbara Kay Coaching

    Business Psychology and Productivity Coach since 1998, Barbara delivers coaching, consulting & speaking on: Growth, Productivity, Clients, Communication, Conflict, Change, Women, Teams, and Leadership. Barbara speaks for financial services organizations and coaches, leaders, teams, and professionals nationwide. Educated and licensed in Clinical Psychology, she completed additional training with the Coaches Training Institute and is a Registered Corporate Coach. Barbara is the author of many journal articles and two books, the Top Performer's Guide to Change and the $14 Trillion Woman. Barbara is an active member of the Financial Planning Association and the American Psychological Association.

  • International Knowledge Circle: Bear-traps, Pitfalls and Missteps in International and Cross-border Financial Planning

    Product not yet rated Contains 3 Component(s)

    Even more so than for domestically focused clients, International and Cross-border planning is a specialty area of financial planning littered with bear-traps, pitfalls and missteps.

    Even more so than for domestically focused clients, International and Cross-border planning is a specialty area of financial planning littered with bear-traps, pitfalls and missteps. Bear traps would be those missteps that may cost your client a double digit amount of their account in fines, massive capital gains tax bills or estate tax applying at levels as low as $60,000. Pitfalls include punitive tax rates and penalties for non-compliant foreign investments, an exit tax for departing expats and non-refundable foreign withholding taxes. A mere misstep may involve subjecting a client to double taxation or not picking up on their lack of insurance coverage.

    Bear Traps

    • Tax reporting
    • Ownership of foreign businesses within trusts (redomestication issues)
    • Estate planning
    Pitfalls
    •    Foreign withholding taxes
    •    Passive Foreign Investment Corporations (PFICs)
    •   ‘HEART’ Act of 2008 and Covered Expatriates
    Missteps
    •     Contributing to the wrong type of US account (ROTH’s, 529’s, Cash Value Life Insurance etc.

    Ashley Murphy, CFP®, AIF®, CEPA™

    Founder and Principal, Arete Wealth Strategists Australia

    Ashley Murphy, CFP® AIF® CEPATM, is a tri-citizen of the USA, Australia, and the UK. Ashley is the founder and Principal of Arete Wealth Strategists Australia, a fee-only financial planning and investment management firm for Australian/American expatriates in the United States and Australia.

    In building his global financial planning knowledge and zeroing in on his natural target market of Australian-American-British expatriates, Ashley grew his practice revenue 290% in 18 months. Ashley travels the US on a quarterly basis to see clients and spends a month in Australia each year with his family while visiting clients and attending conferences.

    From 2014 - 2017, Ashley taught in the CFP programs at UC Berkeley Extension and Golden Gate University. He was formerly a Knowledge Circle host for the International and Cross-Border Knowledge Circle with the Financial Planning Association (2017 - 2019) and is a regular conference speaker. He holds a Graduate Diploma in Financial Planning in Australia making him one of the only financial advisors educated in both advice markets. Ashley has been quoted in the Wall Street Journal, profiled in Financial Advisor Magazine, and wrote a guest-blog for Michael Kitces’s Nerd’s Eye View.