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Printable 2018 Conference Schedule

 

 

 CE: Credit Update (2/20):  CFP CE has been approved for all of the eligible courses.  See each topic for updates. TDI credits are approved.  CPA, CIMA & NAPFA CE require self filing (CE certificates will be provided)

Attendees may earn up to 7 CE on May 16, and 4 CE on May 17 (+ 2 CFP® & 2 TDI ethics).  CE credits are based on sessions attended.  

  

 

 

 



 

Wednesday, May 16, 2018

4/9 Update: CFP® Ethics Added!


 

 

Wednesday, May 16, 2018 - 8:30 AM

 

Tax Planning Developments & Opportunities Under TCJA

Michael Kitces, CFP®, MSFS, MTAX, CLU, ChFC, RHU, REBC, CASL
Director of Wealth Management, Partner, Pinnacle Advisory Group

Start Time: 8:30 AM  l  End Time: 10:00 AM  l  Speaker: Michael Kitces (view speaker bio)

 


The Tax Cuts and Jobs Act (TCJA) of 2017 enacted the biggest tax reform overhaul in decades, especially for corporations, where the AMT was repealed, and the top tax rate was reduced from 35% to 21%. When it comes to individuals, though, TCJA was more of a series of tweaks than a total overhaul, including a modest reduction in tax brackets, an expansion of the standard deduction, and the curtailment or elimination of many (but not all) itemized deductions (including the deduction for a financial advisor’s own investment advisory fees!). The end result is a system in which most individuals will no longer itemize deductions at all, though those that can will need to be especially proactive in deduction lumping and charitable clumping to maximize their value. At the same time, the introduction of a new 20% Qualified Business Income (QBI) deduction for pass-through businesses creates an appealing tax break for many small businesses, and a potential desire to restructure existing business arrangements to better qualify for the deduction… although Specified Service businesses, including consultants and financial advisors themselves, must plan carefully to take advantage of the new rules!

 

1.5 CFP, CPA, CIMA, NAPFA CE

 


 

Wednesday, May 16, 2018 - 10:15 AM  [Breakout Tracks - Select One]

 

The Age of the Human Being: The age that is changing the financial planning profession

Start Time: 10:15 AM  l  End Time: 11:45 AM  l  Speaker: Susan Bradley, CFP®, CeFT® (view speaker bio)

 

The next great life-changing age is fully underway. We can see it, feel it and begin to move towards it. But at the same time, it is coming towards us like a bullet train. Now is the time to build human skills, process and tools. From a practical point of view, they need to be science-based, repeatable, and universally applicable across net worth and business model. Life events trigger client’s human side; exaggerate behavior, shift communication style, and the ability to follow through. They put client’s relationships, self-esteem, confidence and wellbeing into question. This session uses real client cases to show the profound results planners can achieve converting current findings in neuropsychology into protocols for all their financial planning engagements. Learning objectives • Understanding the universal basics of change and transitions (Anticipation, ending, passage, new normal) • Share tactics to help advisors facilitate conversation with clients experiencing life changes • Case studies help show how advisors can convert current findings in neuropsychology into protocols for understanding and communicating with transition clients


1.5 CFP, CPA, CIMA, NAPFA CE

 

 

Capturing and Transmitting Value in Succession

Start Time: 10:15 AMlEnd Time: 12:00 PM  I  Speaker: Tim Kochis, JD, MBA, CFP® (view speaker bio)

 


Transitions in RIA businesses generally come in one of two formats: 
internal or some form of external transaction (sale, acquisition, merger) and almost always should involve distinct transitions in equity (ownership) and control (day to day management and strategic governance). The right choices among many courses of action can optimize outcomes for all parties, especially the most important constituency: the firm’s current and future clients. While the dollars currently at stake in these transitions can be very substantial, in many cases, issues of legacy, service continuity, and future wealth building opportunity weigh very heavily in coming to good conclusions. This discussion will offer insights about how to make the most of business succession opportunities, drawn from the long, deep, and wide experience of Tim Kochis and DeVoe & Co. 

 

1.5 CFP, CPA, CIMA, NAPFA CE 

  

 

Future of Financial Planning in the Digital Age

Start Time: 10:15 AM  l  End Time: 11:45 AM
Speaker: Michael Kitces, CFP®, MSFS, MTAX, CLU, ChFC, RHU, REBC, CASL (view speaker bio)



As financial planning shifts from the founding generation partners (and their client) to the next, so too does the world around us, as we enter the digital age.  Thus far, however, financial planning has been slow to effectively adopt the emerging digital age technologies, from cloud computing to video "phone" calls to internet-driven workflows.  In this session, we will explore how financial planning will undergo radical change in the coming decades as we truly enter the digital age, from financial planning "apps" for various devices, to what technology will - and won't - replace in the financial planning relationship, to how financial planning practices must market and communicate to survive and thrive.

 

 1.5 CFP, CPA, CIMA, NAPFA CE 

 

 

JUST ADDED!  CFP® Board Ethics:  Enhancing Your Ethical Intelligence

Start Time: 10:15 AM l End Time: 12:15 PM
Speaker: Bonnie Kirchner, CFP®, MST 



Due to popular demand, and to outstanding reviews of her session at the FPA DFW Ballpark event we are bringing back Bonnie Kirchner! 

Bonnie Kirchner experienced firsthand the devastation caused by an unethical former CFP® Practitioner, and wrote a book titled “Who Can You Trust With Your Money?” based on her experience. 
Bonnie will discusses the implications of ethics lapses and how they impact everyone. This session will cover the required CFP® Board learning objectives and qualifies for two hours of ethics CE credit.

 

2 CFP® Board of Standards Ethics
Attendees must be seated at 10:15 and stay until 12:15 to receive the 2 CFP® ethics credits.

 

 


 

Wednesday, May 16, 2018 - 1:00 PM [Breakout Tracks - Select One]

 

 

Is it Time to Sell? Some strategies to defer taxes on the sale of appreciated stock and do some good at the

same time & an idea or two on estate planning after tax reform

Start Time: 1:00 PM l End Time: 1:50 PM l Speaker: Grady Dickens, J.D. (view speaker bio)

 

An improved economy and savings from tax reform have produced a strong stock market and increase in merger and acquisition activity. This environment means our clients with concentrated positions in publicly traded stock or private companies will have opportunities to sell those positions at a significant gain. My presentation will discuss a sophisticated variation of a charitable remainder trust that offers the client the ability to defer sale gain and the power to determine when to recognize that gain over twenty years. In addition, I will explore the reintroduction of the pooled income fund as an excellent tax deferral strategy that also produces a significant income tax deduction. Tax reform also dramatically changed the estate planning landscape by temporarily doubling the lifetime exemption. I will talk about lifetime use of the exemption for ultra high net worth clients, including the use of Spousal Lifetime Access Trusts. I will talk about planning ideas for the rest of us. That planning will focus on obtaining basis step up on the death of the first spouse.


1 CFP, CPA, CIMA, NAPFA CE

 

 

Do As I Say, Not As I Do: Portfolio Development Insights from an International Study of Advisors

Start Time: 1:00 PM  l  End Time: 1:50 PM  l  Speaker: Amy Hubble, CFP®, CFA (view speaker bio)

How do fiduciary financial advisers combine information about a client's risk tolerance, time horizon, needs, and goals to arrive at a portfolio mix that is truly in the best interest of their clients?  This presentation describes how financial advisers currently rank, weigh, and use client characteristics and portfolio development factors when making an asset allocation recommendations.  A special focus of the presentation will be on how closely recommendations match fiduciary standards.  The assumption is that given the same information and acting under the same standard, competent adviser recommended portfolios should be consistent.  The presentation will provide information from a multi-country study, which found that in a scenario free context, a client’s time horizon was the top ranked portfolio development factor, but that financial advisers alter the importance of certain factors when working with clients of differing ages and employment status.  A key takeaway from the presentation includes helping audience members be more consistent in their use of portfolio development factors across client scenarios in order to improve their delivery of advice based on a the fiduciary standard.  This research was honored for the Best Paper Award in Consumer Finance at the 2018 CFP Board Academic Research Colloquium .

 

1 CFP, CPA, CIMA, NAPFA CE

 

 

FINRA's 2018 Annual Examination Priorities

Start Time: 1:00 PM l End Time: 1:50 PM lSpeaker: Sonja McGill (view speaker bio)

 

We will take a deep dive into FINRA's annual examination priorities for 2018, which include a focus on continuity in its mission to protect investors and promote market integrity to facility vibrant capital markets. We will also focus on FINRA's internal organizational changes and how those changes with affect how members interact with the agency on both a short-term and long-term perspective.


1 CFP, CPA, CIMA, NAPFA CE

 

 

New Best Practice Standards for Managing Life Insurance as an Asset

Start Time: 1:00 PM  l  End Time: 1:50 PM  l  Speaker: John Ryan, CFP® & Barry D. Flagg, CFP®, CLU, ChFC, GFS (view speakers bios)

Life Insurance is often integral to planning for its tax preferences, and is increasingly promoted/considered as an investment asset, but has been opaque and difficult to understand because it hasn’t conformed to Prudent Investor principles broadly understood for other assets. This session will show how to apply to life insurance the same universal decision-making framework widely-accepted for most other assets, and how to use these new Best Practice Standards to get more referrals, eliminate competition, and open and close more bigger cases faster.

 

1 CFP, CPA, CIMA, NAPFA, TDI Insurance CE 

 

 

John Ryan

 

Barry Flagg

 

 


 

Wednesday, May 16, 2018 - 2:00 PM  [Breakout Tracks - Select One]

 

Breaking Money Silence®: How to help your clients shatter money taboos and start talking openly about finances

Start Time: 2:00 PM  l  End Time: 2:50 PM  l  Speaker: Kathleen Kingsbury (view speaker bio)


 

Almost half of Americans say that the most difficult topic to discuss with others is personal finance, and that they would rather discuss death, politics, or religion. This societal money taboo is hurting clients and many of those in the financial services industryas they are not taught the skills to address the emotional side of money and are encouraged to solely focus on the technical aspects of planning.

 

 In this presentation, Kathleen Burns Kingsbury will highlight the cost of money silence to clients, advisors, and society, and offer practical strategies for breaking money silence with individuals, couples, and families as a way to fuel business growth.

 

Attend and discover:

  • The high price you and your clients pay for money silence 
  •  How your advisor money talk mindset impacts your business success and what to do about it 
  •  Practical strategies for teaching individuals, women, and couples financial communication skills 

All participants receive a bonus chapter, “A Call to Action for Financial Advisors: How to How to Lead the Breaking Money Silence® Revolution in Your Industry” from Breaking Money Silence®: How to Shatter Money Taboos, Talk More Openly about Money, and Live a Richer Livepublished 9/30/2017.  

 

1 CFP, CPA, CIMA, NAPFA CE 

 

The Basics of Medicare

Start Time: 2:00 PM  l  End Time: 2:50 PM  l  Speaker: Leigh Bennett (view speaker bio)

Due to the complex and evolving nature of Medicare, this course is designed to provide a foundational overview of this health insurance program for individuals 65 or older and people with certain disabilities. With a look into the different parts of the program, this course will discuss the details of Original Medicare, Part A, Part B, Part C and Part D, and what services each part covers. A basic overview of the financial aspects of Medicare are examined including the cost to a beneficiary. This course will review Medicare Supplement programs and how they complement parts of Original Medicare. We will also explore program eligibility rules for individuals due to age or disability. Participants in this course will gain a better understanding of Medicare enrollment periods and enrollment options. We will also distinguish when it is advisable to delay enrollment in Medicare as well as recognize how Medicare works with employer coverage.


1 CFP, CPA, CIMA, NAPFA, TDI Insurance CE

 

 

Getting Along with Difficult People While Learning How to Make Friends With Stress

Start Time: 2:00 PM l End Time: 2:50 PM l Speaker:Joel Weintraub, M.Ed., B.S.  (view speaker bio)

In order to get along with difficult people we must learn how to center ourselves and stay in a positive emotional frame. Within one hour you will learn how your emotions interfere with critical thinking and how to harness the power of the Pre-frontal cortex for intelligent and creative problem solving. You will also learn how to disarm confrontational behavior and how to turn potential advesaries into respectful partners working toward a common goal. Topping off this seminar will be information on the power of humor and its role in diffusing difficult situations and turning frustrating experiences into humorous dramatization.

1 CFP, CPA, CIMA, NAPFA CE

 

 

GenLink™ Connecting with Each Generation

Start Time: 2:15 AM l End Time: 11:45 AM l Speaker: Marlene Alexander (view speaker bio)

 

 

It’s critical for all service providers to understand different generational perspectives. But it may be even more important for financial advisors. Not only do advisors serve as money managers, they often serve as marriage counselors, life coaches, therapists and more. Learn how advisors who create experiences that better relate to each of the generations have the opportunity to cement a loyal client base and capture assets in motion.

 

1 CFP, CPA, CIMA, NAPFA CE

 


 

Wednesday, May 16, 2018 - 3:15 PM  [Breakout Tracks - Select One]

 

Women, Money, and Power: Winning Female Breadwinners Business

Start Time: 3:15 PM l End Time: 4:05 PM l Speaker: Kathleen Kingsbury (view speaker bio)


 

Over 40% of women in the United States are the primary breadwinners for their families and this trend is on the rise. These women tend to be highly educated, and either share or take the lead in the financial decision-making in their households.  Advisors that are willing to tailor their services to meet these affluent women’s needs can capitalize on this great, yet often overlooked, business growth opportunity.  

 

Attend this session and discover what female breadwinners want from advisors.   

 

Walk away with: 

 

  • The importance of taking a nuanced approach when marketing to and working with female clients
  •  Why female breadwinners feel overlooked and underserved by the industry
  •  Tools and tactics for connecting with these busy, affluent women and their partners

All participants receive a bonus chapter, “Is Your Gender Costing You a Fortune?” from Breaking Money Silence®: How to Shatter Money Taboos, Talk More Openly about Money, and Live a Richer Livepublished 9/30/2017. 

 

 1 CFP, CPA, CIMA, NAPFA CE 

 

The Financial Advisor of the Future

Start Time: 3:15 PM l End Time: 4:05 PM l Speaker: Carolyn McClanahan, M.D., CFP® (view speaker bio)


Dr. Carolyn McClanahan has built a practice that is not based on commissions or AUM fees, yet it has a long waiting list of clients. Learn what she’s done to build a highly successful holistic flat fee based practice that focuses on millionaire-next-door clients. She will share her processes, forms, and what Life Planning Partners, Inc. does that delights clients to keep them sending more.


1 CPA, CIMA, NAPFA CE (Practice Management - Does not qualify for CFP CE)

 

 

The Tools of Domestic and International Asset Protection

Start Time: 3:15 PM l End Time: 4:05 PM l Speaker: Elizabeth Morgan (view speaker bio)

 

The Tools of Domestic and International Asset Protection study is designed to help professionals:  (i) understand the fundamentals of fraudulent transfer law;  (ii) identify the U.S. state-law methods for exempting a client's assets from the claims of future creditors;  (iii) understand the vulnerabilities of limited partnerships and limited liability companies as asset protection tools;  (iv) name the primary differences between U.S. and foreign protective trusts and the basic steps of implementing a foreign protective trust;  (v) understand the primary differences in offshore trust jurisdictions and when it is appropriate to "import the law" versus "export the assets";  and (vi) identify the primary U.S. tax filings applicable to a foreign trust structure.


1 CFP, CPA, CIMA, NAPFA CE 

 

 

Fixed Income Workshop: Building a Portfolio for Rising Rates

Start Time: 3:15 PM l End Time: 4:05 PM l Speaker: Venk Reddy (view speaker bio)

 

How does a rising rate environment change the metrics you prioritize when building a fixed income portfolio? When does it make sense to use active management versus passive management? Venk Reddy, founder and CIO of Zeo Capital Advisors, will lead an interactive workshop to build a resilient fixed income portfolio. Attendees will walk away with the knowhow to build fixed income portfolios on their own by following repeatable, simple steps based on a risk management framework. Join the discussion to share your fixed income concerns and collaborate with your peers on how best to win on the downside in fixed income, while still performing to the upside.

 
1 CFP, CPA, CIMA, NAPFA CE

 


 

Wednesday, May 16, 2018 - 4:15 PM

 

DOOR PRIZE GIVEAWAYS!

Start Time: 4:15 PM l End Time: 4:30 PM

During this time sponsors and exhibitors will draw names and announce the winners of the door prizes. FPA DFW will also be drawing for a Series 3 Apple Watch for those who successfully complete Sponsor Bingo!You must be present to win.

 

 

Wednesday, May 16, 2018 - 4:30 PM

 

Keeping Down Healthcare Costs: Empowered Patients and Health Insurance Choices
Carolyn McClanahan, M.D., CFP®

Start Time: 4:30 PM l End Time: 5:30 PM l Speaker: Carolyn McClanahan, M.D., CFP® (view speaker bio)

 


 

The health care system has run amok and health care costs are one of the biggest worries your clients face. Dr. McClanahan will discuss what you can do to help your clients pick the best health insurance to fit their needs and to utilize the health care system effectively to help manage their health care costs. She will share how to help your clients become an empowered patient with will lower costs and improve the health care they receive.

 

1 CFP, CPA, TDI, CIMA, NAPFA CE

 

 



 

Thursday, May 17, 2018


 


Thursday, May 17, 2018 - 8:30 AM

 

Keynote:  Reverse Mortgages: The Cinderella of Retirement Planning
Harlan Accola - Fairway Independent Mortgage Corporation

Start Time: 8:30 AM  l  End Time: 9:50 AM  l  Speaker: Harlan Accola (view speaker bio)

 


Financial advisors have long looked at Reverse Mortgages as the "Loan of Last Resort" -- the ugly stepsister of the retirement planning story.  This workshop will create a major paradigm shift in your thinking . The instructor explains how recent program changes and groundbreaking research by the financial planning industry and noted academics have overwhelmingly proven the necessity of using reverse mortgages at the age of 62, not 82.  With 10,000 Baby Boomers turning 62 daily and over $6 trillion in Home Equity amongst your senior clients, reverse mortgages just may be the late coming Cinderella to the retirement ball that fixes the retirement crisis we are facing.  


This course will be covering how a Reverse Mortgage can reduce tax obligations, decrease Sequence of Returns Risk, increase Portfolio Survivability, and effects your Retirement Income Efficiency.    

 

1.5 CFP, CPA, CIMA, NAPFA CE 

       

 


 

Thursday, May 17, 2018 - 10:15 AM  [Breakout Tracks - Select One]

 

Investment News 40 Under 40: A Panel Discussion with Liz Skinner  

Start Time: 10:15 AM  l  End Time: 11:45 AM  (view speakers bios)

 

Amy Hubble, CFA, CFP®, Radix Financial, LLC  •••  Dr. Nathan Harness, CFP®, Texas A&M University  •••  Brandon Garrett, CFP®, CIMA®, AIF®, Snow Garrett Wealth Management  •••  Rachel Moran, CFP®, RTD Financial Advisors, Inc.

 

Growing advisory firms need to have young advisers on board if they expect to attract next-generation clients and develop strong relationships with the children of older clients. But how to attract millennial advisers and how to keep them happily in the job are questions that tend to mystify many firm executives. Here a panel of accomplished young financial advice professionals who have been recognized as Investment News 40 Under 40 winners will dispel some of the common myths about this generation of workers and reveal what aspects of the job - and the key incentives – that are crucial to attracting and retaining them. Hint: It’s not about the money!

 

Does not qualify for CE

 


 Liz Skinner

Amy Hubble

Nathan Harness

Brandon Garrett

Rachel Moran

 



Building Efficiency Through Technology

Start Time: 10:15 AM l End Time: 11:45 AM l Speaker: Ben Frantz

Technology plays an integral role in today's advisory firm's operations. The best technology solutions are those that give us freedom in our operations to focus on growing our practice and working on our business instead of working in our business. Taking those tedious day to day tasks and allowing your technology partners to assist you so you can focus on what's most important to you... Your clients! How do we best utilize those technologies and how do we make the most of our investment? Ben will go through a high level overview of how the top firms are utilizing a suite of solutions to optimize efficiency in their operations. Orion Advisor Services, LLC (Orion) is the premier portfolio accounting service provider for advisors. The firm has unique insights into the advisory profession because it was founded for investment advisors by an investment advisor in 1999. The firm’s technology solutions empower more than 1200 advisory firms with total assets under administration in excess of $600 billion from more than 2 million individual accounts. Orion is SSAE 16 Type II Audited and is the only ISO 27001 Certified portfolio accounting provider.

 

1 CPA, CIMA, NAPFA CE (Practice Management - Does not qualify for CFP CE)

 

 

Positive Thoughts Lead to Positive Results

Start Time: 10:15 AM l End Time: 11:45 AM l Speaker: Joel Weintraub, M.S., B.S. (view speaker bio)

We create our own reality. Our positive thoughts create our positive feelings and our positive feelings lead to positive behavior. Discover how to recharge your life and send your world into positive territory and achieve the results that have been waiting for you your entire life. This program also includes the latest information on how mindfulness can keep us in control while the world around us is going out of control.


Does not qualify for CE

 

TX Department of Insurance Ethics 
Fiduciaries: Working to Protect Consumers

Note the times for this session - you must attend 1 hr. + 45 min. to qualify for TDI ethics - This course does not qualify for CFP® ethics
Start Time: 10:15 AM  l  End Time: 12:00 PM  l  Speaker: Martin Pereira, Cape School, Inc. Insurance CE Instructor

 

Completion of this course satisfies the 2 hour TDI/Sircon ethics requirements.  (Does not qualify for CFP Ethics)

 

The course begins by defining business ethical philosophies and a consequential ethical decision making model that incorporates business ethical philosophy. Included is a discussion of the difference between ethics and law. It then moves on to consumer protection as displayed through licensee duties, including fairness, transparency, confidentiality, competence, honesty, trustworthiness and obedience. The ways in which these duties support suitability responsibilities are also explained. The fiduciary responsibilities of licensees and consumer protection and suitability duties are then considered. Legislated suitability duties in life, health, property and casualty insurance transactions are also briefly described. A case study exercise that applies the consequential ethical decision model to a licensee’s ethical dilemma related to suitability duties is provided. Consumer protection and insurance fraud laws on a federal and state level are defined. The course concludes with consumer protection suitability examples, unfair trade practice violations and examples of insurance fraud.

 

 

 

Thursday, May 17, 2018 - 1:00 PM  [Breakout Tracks - Select One]

 

 

The Future of the Affordable Care Act & How to Plan for the Unknown

Start Time: 1:00 PM l End Time: 1:50 PM l Speaker: Matt Vega (view speaker bio)

 

2017 brought us little changes to the Affordable Care Act, but some small changes to tax codes and executive orders could bring us new plan designs and maybe some rate relief in the coming months to years. We no longer have to buy ACA accredited health insurance with the passing of the tax laws and the President signed and executive order to expand certain types of short term health insurance plans to 360 days form the current 90 days. This could potentially give carriers incentive to offer new plan designs that may not be in compliance with the Affordable Care Act and lower cost down for some people. This was not enough to keep everyone form skyrocketing cost, not even the Teacher Retirement System. What changes did we see to from 2017 to 2018? Where do we see things going? How can we protect ourselves from future legislation, either good or bad? Knowing how to help your clients better situate themselves in this fast changing climent can save them from financial heartache later down the road. I will go over also how to help clients that are on group plans and group retiree plans, like TRS, and how to plan to retire with an unknown healthcare system.


1 CFP, CPA, CIMA, NAPFA, TDI Insurance CE

 

 

BEWARE: The Bully Lives

Start Time: 1:00 PM  l  End Time: 1:50 PM  l  Speaker: Tom Giachetti, ESQ. (view speaker bio)

 

The SEC Continues to Become INCREASINGLY More Aggressive and Punitive During the Regulatory Examination ProcessMr. Giachetti will discuss the current very aggressive regulatory environment and what you need to do to successfully compete a regulatory exam and to protect your firm from client-related disputes.


1 CFP, CPA, CIMA, NAPFA CE 

 

Brain Health and Performance: Maintaining and Boosting Your Brain

Start Time: 1:00 PM l End Time: 1:50 PM l Speaker: Dr. Leanne Young (view speaker bio)

 


In the last 100 years we have doubled our lifespan, but have done nothing to increase our brain span. As a result, our brain performance peaks at an average of 40 year of age, and declines steadily thereafter such that by the time we reach 80 years of age, 50% of us will be below a functional state of cognitive performance. The good news is that the last 30 years of research into neuroplasticity has yielded evidence that this trend can be arrested, if not reversed. This talk will provide a brief overview of scientifically validated approaches that we can all adopt today to maintain, and even improve, our brain health and performance.”

 

1 CFP, CPA, CIMA, NAPFA CE

 

 

 

Estate (Planning) Litigation Pointers: A Litigator's Perspective

Start Time: 1:00 PM  i  lEnd Time: 1:50 PM  l  Speaker: Kevin Spencer (view speaker bio)


This presentation and paper is designed to inform about some of the evidence we seek in our will contest cases relating to estate planning work and to necessarily inform about the diligence necessary to avoid will contests. The goal is to show evidence, arguments and angles for attacking Wills and to give financial planners and estate planners knowledge to avoid such attacks and to defend themselves, their file and their work through real life examples of evidence we have seen in our will contests. In short, the goal is to provide information and examples of estate planning traps that cause problems in will contest litigation.

 

1 CFP, CPA, CIMA, NAPFA CE 

 

 


 

Thursday, May 17, 2018 - 2:00 PM  [Breakout Tracks - Select One]

 

Changing the Approach to College Funding Advice

Start Time: 2:00 PM l End Time: 2:50 PM l Speaker: Joe Messinger, CFP®, ChFC, CLU  (view speaker bio)

 

The #1 financial concern for Gen X parents is how to pay for college. College costs continue to rise at twice the rate of inflation. As a result, our national student loan debt has grown from $240 billion in 2003 to $1.486 trillion as of Q3 2017 – that’s an increase of more than 619% in the last 15 years. Our role as financial planners needs to go beyond simply telling clients to save for the cost of college. The problem is that advisors have never been formally taught how to help families pay for college the right way, until now. In this powerful fifty-minute session, you’ll learn the innovative College Pre-Approval™ process that alleviates the stress & anxiety of paying for college, reduces the cost, and leads students to manageable student loan debt without robbing mom and dad’s retirement. Together, we can end the student loan crisis one family at a time! 


1 CFP, CPA, CIMA, NAPFA CE

 

 

BEWARE: The Bully Lives 

Start Time: 2:00 PM l End Time: 2:50 PM l Speaker: Tom Giachetti, ESQ.  (view speaker bio)

 

The SEC Continues to Become INCREASINGLY More Aggressive and Punitive During the Regulatory Examination ProcessMr. Giachetti will discuss the current very aggressive regulatory environment and what you need to do to successfully compete a regulatory exam and to protect your firm from client-related disputes.


1 CFP, CPA, CIMA, NAPFA CE 

 

 

Understanding Your Practice: The Investor and Benchmark Survey

Start Time: 2:00 PM l End Time: 2:50 PM l Speaker: Jeff Pierce (view speaker bio)


In this presentation, Jeff Pierce, Head of Advisor Practice Management, covers recent trends and results from Dimensional’s practice management research, including highlights from the firm’s 2017 client feedback survey. The survey is designed to provide insight into client motivations, preferences, and attitudes in working with an advisor. Attendees will learn how clients select an advisor, what they want in an ongoing relationship, and how they measure an advisor’s value. Jeff will also discuss ways to apply the survey findings in an advisory business, tying in results from the 2017 benchmark study. The session is designed for audience participation to encourage the sharing of practical insights.


1 CFP, CPA, CIMA, NAPFA CE 

 

 

How to Protect Against a Data Breach & Steps to Take Should One Occur

Start Time: 2:00 PM I End Time: 2:50 PM  l  Speaker: Steven Ryder, Matthew Meade & Troy Kelly (view speaker bios)

 

While the news on cybercrime can seem daunting and the regulations overwhelming, there are affordable techniques to protect your network and reduce the likelihood of your data being compromised that won't break the bank.  Join this lively session, open to both technical and nontechnical practitioners, to better understand the mind of cyber criminals, your legal and regulatory responsibilities and steps everyone can take to combat them.


1 CFP, CPA, CIMA, NAPFA CE

 

 

 

Steven Ryder

 

Matthew Meade

 

Troy Kelly


 


 

 

Thursday, May 17, 2018 - 3:15 PM

 

DOOR PRIZE GIVEAWAYS!

Start Time: 3:15 PM  l  End Time: 3:30 PM 

During this time sponsors and exhibitors will draw names and announce the winners of the door prizes.  FPA DFW will be drawing for a Series 3 Apple Watch for those who successfully complete Sponsor Bingo!  You must be present to win.

 

Keynote:  Rules Versus Principles
Andrew Fastow, Former CFO of Enron

Start Time: 3:30 PM  l  End Time: 5:00 PM  l  Speaker: Andrew Fastow (view speaker bio)

 


Fraud examiners, Auditors, Regulators, and Underwriters look for “fraud”, but fraud is a narrowly defined term. Usually, these experts look for embezzlement, bribery, and the forging of incorrect financial entries. This “traditional” definition of fraud does not include a very significant component of fraud, namely “loopholes”. Loopholes, simply stated, are contrived structures that technically adhere to a rule (or at least obtain an opinion attesting to technical compliance), but that contravene the purpose, or principle, of the rule.

 

Beginning in the 1980’s, there were two major systemic changes that gave rise to the “loophole” industry. The first was the advent of “structured finance”. The second was the explosion in the complexity of accounting, tax, and securities regulations. An industry comprising accountants, bankers, lawyers, and financial consultants arose to create financial structures that exploit this complexity, enabling companies to alter reported financials and to avoid taxes, all while “technically” complying with rules and regulations. Business executives now have at their disposal, an array of “legal” weapons that can fundamentally alter the appearance of their company’s financial condition.

 

When is it acceptable to engage in a transaction that technically complies with the rules, but that may be misleading? Can a transaction that technically complies with the rules be considered unethical or illegal? Is it ever appropriate to depart from GAAP or IFRS? Mr. Fastow will cite examples of such transactions at major companies, he will discuss the rationalizations made by executives to justify their decisions, and he will discuss examples of how these decisions can cause great harm to stakeholders. He will make suggestions of questions that Regulators, Auditors, Fraud Examiners, and Underwriters might ask in order to ensure that their companies not only follow the rules, but also uphold the principles behind them.

 

Finally, the former Chief Financial Officer of Enron Corp. will discuss his own story, and he will describe how he made such profound mistakes.  


 

 1.5 CFP, CPA, CIMA, NAPFA CE

 

 


 

 


 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 


 
 
 
 
 
 
 
 
 
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