Upcoming Conference

Date
March 7-9, 2017
Location
ASU SkySong 3, Scottsdale
Top Speakers
Financial Industry Leaders

Recruiting Services of Arizona (R.S.A.) and Advisor Seminars LLC have combined to create a powerful tool in the Financial Services industry; a tool capable of solving many of the problems facing Advisors in today’s economy.

Determined to be the conduit to solve Advisors problems, our goal is to be known as the #1 resource that Financial Advisors turn to for just about any issue facing their practice. These issues include practice management, practice valuation, or sale, as well as the technology you need to remain competitive. We cater to Registered Investment Advisors, Independent advisors, insurance professionals & wirehouse reps.

Our system works by matching Advisors’ needs & wants with experienced professionals in the Financial Services industry capable of solving their issues. We bring these professionals together several times a year at our Advisor Conferences in Arizona, Colorado, and southern California.

The conferences are two to three days in length and concentrate on timely topics of interest to the Advisor community. Attendance is free for Advisors, so register now! If you’d like to be a speaker or have a booth, check out the speaker fees and details here.

Our next three day conference in Scottsdale, AZ, will focus on the new Department of Labor rule coming down the pike. A draft of the current conference outline is available for review below.

Speaker Registration

Advisor Registration

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Upcoming Conference Schedule March 7 - 9, Scottsdale AZ

Jason Roberts

DOL Fiduciary Rule:  Impact Analysis & Action Items

Plan advisors who already serve in a fiduciary capacity will likely be the least impacted by the new rule.  That said, they will need to consider how changes to the fiduciary definition affect the services they provide at the participant level, including assistance with, roll ins, IRA rollovers and investment education generally.  There is also a debate concerning how the rule will apply to recommendations advisors provide to plan sponsors regarding the selection of platform providers. Plan sponsors will also be impacted as the new rule will likely lead to more service providers being considered fiduciaries.  Because plan sponsors can be held responsible for the breach of another fiduciary (under ERISA 405), plan advisors are looking to differentiate their services by helping sponsors determine the status of the plan’s service providers and expanding their support relating to assisting with due diligence and monitoring. Likely the group most impacted by the changes
Skip Schweiss

Department of Labor Conflict of Interest Rule: Past, Present, Future

  • Historical perspective
    • Pre-ERISA
    • ERISA 1974
    • 1974 – 2010
      • DB & DC
      • Boomers retiring
    • Rule passed
  • Timeline
    • April 10, 2017
    • January 1, 2018
    • Will it get derailed?
  • What it requires
    • Applies ERISA standard to IRAs, and the IRA rollover recommendation
    • Best Interest Contract Exemption
  • Industry fallout
    • o   Commissions & Fees
    • Merger & Acquisition activity
    • Active & Passive investing
  • Opportunities

Biography

Skip Schweiss is president of TD Ameritrade Trust Company (TDATC) which offers retirement plan solutions and services for independent registered investment advisors using TD Ameritrade's trust platform. Schweiss is also managing director of advisor advocacy and industry affairs for TD Ameritrade Institutional. In that role he advocates for fiduciary investment advisers and their clients, with policy makers in Washington. In 2014 he was named by Investment Adviser
Sylvain Templeman

To Roll or Not to Roll – that is the question your clients will be asking next year!

  • Overview of the Rollover market, anticipated changes and impact of the new DOL Rules.
  • Lifecycle of the IRA Rollover
  • Understanding the AUM opportunity of working with DC participants
  • Demystifying the SDBA

Biography

Sylvain has established a reputation over the past 18 years within the independent broker/dealer community with his knowledge of a wide range of investment products through workshops for Investors & Financial Advisors, as well as, continuing education seminars for CFPs and CPAs. Equipped with an MBA in Finance and the AIFA® designation, Sylvain continues to assist financial professionals and their clients in understand the fiduciary responsibilities held by employers offering retirement plans as well as the “new normal” responsibilities that employees now have in governing their 401(k), 403(b) or 457 accounts.
Kevin Miller

Embracing the DOL’s fiduciary rule

  • Customize
  • Document, Document, Document
  • Automate
  • Mitigate

Biography

Started in qualified plan business in 1986. Purchased Fringe Benefits Design of Mn in 1994. FBD of MN is a third party administration service provider for qualified plans. Created The E-Valuator software in 2011 as a server-based application. In 2015, launched The E-Valuator as a web-based application for outside advisors. In 2016, launched The E-Valuator Risk Managed Strategy (RMS) funds. The E-Valuator RMS funds are a fund-of-funds concept. There are 6 RMS funds, i.g., Very Conservative, Conservative, Moderate, Growth, Aggressive Growth, and Tactical. Each RMS fund utilizes The E-Valuator software as the tool for selecting, monitoring and replacing the underlying investments.
James Pupillo

Next Generation QDIA Concepts – Managed Account Programs

Learn about new Qualified Investment Alternative (QDIA) Liability Driven Investing (LDI) approach within a managed account program.  This QDIA could provide the next best retirement income security program since the Defined Benefit Plan.  This QDIA’s approach is designed to “DB-ize” (Defined Benefit-ize) 401(k) plans “Participant by “Participant”. The concept is designed to provide a more personalized Participant experience to enhance retirement readiness and income security.

Biography

Jim has been involved in the Investment Management Consulting Advisory business since 1987 and is the Managing Director, Partner for HighTower – Scottsdale. Prior to joining HighTower Advisors his career began in 1987 with E.F. Hutton’s Consulting Group, which today is Morgan Stanley Graystone Consulting. Jim graduated with a Bachelor of Science degree in Management-Administration and Marketing from Indiana University-Bloomington. Jim was chosen as one of America’s Top 100 out of 7000 Investment Management Consultants screened in 2006, 2007, 2008, 2009 2010 & 2011 and ranked
Stephen L. Przewlocki

Presentation Detail Coming Soon

Steve Przewlocki has been in the financial services field since 1978 and is one of the managing directors of Przewlocki James, Inc. He has a longstanding reputation as an expert in the field of Retirement Planning and is well versed building portfolios and income planning. Steve caters to employees of the University of Arizona and Tucson public schools. He earned his undergraduate degree from Western Illinois University in Macomb, Illinois. Steve is a chartered Mutual Fund consultant, and a Registered Principal of Cambridge Investment Research. He is an Investment Advisor Representative with Cambridge Investment Research and has obtained his Series 7, 63, 65 and 24 registrations. Steve and his wife Susan reside in Tucson and have 2 children, Amelia and Kristen and two grandchildren, Taylor and Logan. Steve enjoys tennis, hiking, biking traveling and reading.
Michael Roth

Simplify the Message, Secure the Client’s Future

  • Fiduciary and Clients
  • Positioned for the DOL Ruling
  • Value Added Tool

Biography

Michael Roth has functioned as the Chief Strategy Officer at RetireUp since 2015, specializing in business strategy at an executive level including identifying, clarifying and communicating the organization's vision. Michael completed his undergraduate work at Bethel University graduating with Sigma Cum Laude Honors. He completed his graduate work at DePaul University’s Kellstadt Graduate School of Business as a member of the Golden Key International Honor Society receiving a MBA in Leadership and Change Management. Prior to RetireUp, Michael was a top producing derivatives trader for 9 years at Geneva Trading USA, a proprietary trading firm headquartered in Chicago, Illinois. Michael currently lives in Lake Forest, Illinois with his wife and two daughters.
Bob Ward

The Changing Landscape of Retirement Rechnology

Bob joined VMS in July, 2015 as CRO with over 20 years of financial technology experience. Bob’s top priorities are accelerating the Company’s revenue growth and advancing the market penetration of all VMS products. He is a current board member of Envestnet Retirement Solutions, FinaConnect, and Merriman Holdings as well as an advisor to Fantex Brokerage Services and Saxon Securities. Bob was the former COO of SunGard’s Wealth Management business which includes a range of solutions and services targeted at advisors, banks, retirement providers, broker dealers and corporations. Prior to his Wealth Management role, Bob was the COO of SunGard Transaction Network (STN), now known as SunGard Global Network (SGN), where he played a significant role in SGN’s growth from a start-up to one of the largest global financial services networks in the world.

Practice Management and your Fee-Based Practice

We will offer practice management techniques and tools to help Advisors propel their practice in 2017. We will also look closely at the benefits of being fee-based vs. being Independent with a broker dealer affiliation, as well as the hybrid model.
Todd Kelzenberg

Presentation Title Coming Soon

  • What is a better option for my business RIA or Independent BD
  • What does a true hybrid option look like at an independent BD
  • If I’m hybrid will I have the same compliance on both sides
  • How will the DOL impact my decision on moving to an RIA

Biography

Todd is Vice President of Business Development at AdvisorNet Financial. Todd graduated from Minnesota State- Mankato with a degree in Finance and an emphasis on personal financial planning. At AdvisorNet he helps our advisors with Practice Management support and assists those interested in acquiring or selling practices. Todd also leads recruiting efforts to allow AdvisorNet Financial to grow by adding to our advisor count throughout the country. Todd’s success, both as an advisor (NW Mutual internship and Ameriprise) and later in Sales Management (District Manager and Field VP at Ameriprise), positions Todd as a valuable resource for advisors
Dr. David Lawrence, AIF

The Efficient Practice

  • How to transform and optimize a financial practice through efficient use of resources
  • How technology can contribute to efficient business operations
  • How automated workflow processes can reduce errors and increase employee and client satisfaction levels
  • How office design can add to the efficiency and productivity of employees

Biography

Efficient Practice Founder and President, Dr. David Lawrence, RFC®, AIF® has over thirty-six years of experience in leadership. He is a veteran of the U.S. Navy during the Vietnam War, having spent over 4 years on active duty as a non-commissioned officer and, later as a commissioned officer in the Naval Reserves. His service in two war zones, first in South Vietnam near the end of the Vietnam War and later, in the Middle East, provide a courageous backdrop to his leadership experiences. His compelling story of military leadership during a time of domestic political unrest is truly inspirational. Dr. Lawrence is a
Brian Kunkel

Cracking the FIA Code

  • Annuity industry has continued to evolve to better meet needs of retirees
  • DOL regulations have influenced insurance company product designs and increased due diligence requirements for advisors
  • New fee-based annuities offer advisors and consumers new choices and benefits
  • How do you evaluate product design to determine the value products bring to your clients?

Biography

Brian joined American Financial in 2012 bringing over 20 years of industry experience to the firm. He is responsible for helping financial professionals understand and uncover the opportunities that exist in the wealth accumulation, distribution, and legacy markets as well as developing strategies that increase the value that financial professionals bring to their clients. Prior to joining American Financial, Brian was with Prudential Annuities. During his tenure with Prudential, he led Prudential’s Advanced Markets team helping Prudential become an industry leader in the sales of annuities. Additionally, Brian spent three years with Hartford’s Retirement and Wealth Consulting team. There he traveled the country working with financial professionals
Joe Larkin, CLU, ChFC

The Next Generation of Buy-Sell Planning

The objective of this course is to provide financial advisors a solid understanding of:
  1. The importance of buy-sell agreements in business succession planning for their clients;
  2. The differences between Entity Purchase; Cross-Purchase; Wait & See Buy-Sells. More importantly, we will delve into more advanced approaches such as the no sell buy sell, the tax deductible buy-sell, and a technique to receive full basis step up using the entity approach for pass through companies;
  3. Options for funding buy-sell agreements, including using new living benefits to create three Buy-Sell funding triggers will also be covered
(1 hour of Insurance CE for Arizona)

Biography

Joe works with advisors and brokers and their clients on estate and business exit planning matters. He began his career with Connecticut Mutual as an agent in 1976. In 1985 he was appointed an assistant manager with CIGNA Individual Financial Services. In 1998 he became the branch manager for Century Companies and
Joseph Labella

Voya’s Consistency Lens

This session will review Voya’s Consistency Lens, a proprietary fund evaluation process to help identify actively managed mutual funds with historically consistent and sustained performance over time. Bottom line benefit is less uncertainty and stress for clients and a powerful, differentiated way for advisors to increase their value proposition. Advisors will walk away from this presentation with a clear understanding of how to apply the Consistency Lens in their practice.

Biography

Joseph M. Labella, CAIA, CIMA® is Retirement Strategist for Voya Investment Management. In his role, Joe works with Voya’s intermediary sales and business development teams to provide financial advisors with unique, strategic and consultative discussion on key retirement issues while providing investment expertise in the form of portfolio evaluation and analysis. Joe has over 20 years of financial services experience having worked at Morgan Stanley in various roles then becoming a Sr. Portfolio Strategist with UBS Wealth Management. In 2006, he joined
Tyler Harden, CIMA®

Borderless Investing – Opportunities in International and Emerging Markets

  • Why International and Emerging Markets
  • Why Value
  • Why Brandes

Biography

  • Current Responsibilities
    • Service Brandes’ professional money management relationships with clients and investment companies in the Southwest region of the United States
  • Relevant experience began in 1993
  • Joined Brandes Investment Partners in 1998
  • Prior Career Highlights
    • Regional Investment Management Analyst with Paine Webber
    • Regional Investment Management Analyst with Prudential Securities
  • Education and Skills
    • BA from the University of Southern California
Todd Kelzenberg

Valuation

  • How much is my practice worth
  • What are the risk factors that go into a valuation
  • Should I hire a valuation company
  • How will I know I’ve landed on the right price

Biography

Todd is Vice President of Business Development at AdvisorNet Financial. Todd graduated from Minnesota State- Mankato with a degree in Finance and an emphasis on personal financial planning. At AdvisorNet he helps our advisors with Practice Management support and assists those interested in acquiring or selling practices. Todd also leads recruiting efforts to allow AdvisorNet Financial to grow by adding to our advisor count throughout the country. Todd’s success, both as an advisor (NW Mutual internship and Ameriprise) and later in Sales Management (District Manager and Field VP at Ameriprise), positions Todd as a valuable resource for advisors and a powerful advocate for AdvisorNet Financial. Todd has also enjoyed success in the hockey arena, being
Todd Kelzenberg

Business Succession Planning

  • How can I get the most out of my business
  • What are steps I can take now to allow my business to be worth more in the future
  • Do I need to sell externally
  • What is the best way to sell my business

Biography

Todd is Vice President of Business Development at AdvisorNet Financial. Todd graduated from Minnesota State- Mankato with a degree in Finance and an emphasis on personal financial planning. At AdvisorNet he helps our advisors with Practice Management support and assists those interested in acquiring or selling practices. Todd also leads recruiting efforts to allow AdvisorNet Financial to grow by adding to our advisor count throughout the country. Todd’s success, both as an advisor (NW Mutual internship and Ameriprise) and later in Sales Management (District Manager and Field VP at Ameriprise), positions Todd as a valuable resource for advisors and a powerful advocate for