Barron’s Independent Summit

March 18-20, 2020
Omni Louisville Hotel

ATTEND

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Barron’s Independent Summit is a gathering of self-made leaders who have earned a distinct place within the financial services industry. This invitation-only event offers the top independent practitioners a unique opportunity to interface and network with the peers who best understand their businesses. Offered by Barron’s Advisor since 2009, this curated experience has become the premier annual event for ranked independent advisors, with content designed to highlight the best practices and specific needs of independent advisors.

Reasons to Attend

Barron’s Independent Summit connects an elite tier of advisors with some of the most original thought leaders from the investment community and beyond.

Networking

Our by invitation only conferences convene elite tier practitioners

Thought Leadership

We pride ourselves in presenting the most forward-looking content

Practice Management

The industry’s most successful advisors share their secrets

Continuing Education

Many of our sessions are eligible for CE credits

 

Top Independent Women Advisors
Special Event

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Wednesday, March 18, 2020
Omni Louisville Hotel

Since initiating the Barron’s Advisor program more than 15 years ago, we have striven to create unique forums and opportunities for elite women advisors. We understand the power of the opportunity to network with other successful women. For that reason, we will be featuring a special pre-conference gathering the afternoon of March 18, 2020 with special guest speakers, dedicated to celebrating America’s most successful female independent advisors. Invitation to this networking event is exclusive to female advisors.

Guest Speaker
Rebecca Minkoff, Fashion Designer

Rebecca Minkoff
Fashion Designer

Rebecca Minkoff is an industry leader in accessible luxury handbags, accessories, footwear and apparel whose playful and subtly edgy designs can be spotted around the world on young women and celebrities alike. After developing an affinity for design while in the costume department in high school, Rebecca moved to New York City at just 18 to pursue her dream of becoming a fashion designer. In 2001, she designed a version of the “I Love New York” T-shirt that became an overnight sensation. In 2005, she designed her first handbag, which she soon dubbed the “Morning After Bag,” a.k.a. the “M.A.B.” This iconic bag ignited Rebecca’s career and inspired her sharp, feminine creations in the years to come. Today, Rebecca Minkoff is a global brand, with four domestic retail stores and eight international locations, and is distributed in over 900 stores worldwide. Rebecca is also dedicated to bringing women together to enact positive change. In 2018, she established the Female Founder Collective, which enables and empowers female-owned businesses.

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2020 Agenda

Wednesday

11:00 am – 8:00 pm Registration Commonwealth Foyer 12:00 pm – 1:00 pm Special Event Olmsted 1 Lunch & Networking Discussion 1:00 pm – 1:50 pm Special Event Olmsted 1 Lessons in Entrepreneurship, Leadership, and Brand Creation Rebecca Minkoff, Founder & CEO, Rebecca Minkoff Interviewer: Abby Salameh, CMO, HighTower 1:50 pm – 2:40 pm Special Event Olmsted 1 Breaking Money Silence Kathleen Burns Kingsbury, Founder, KBK Wealth Connection 2:40 pm – 3:00 pm Special Event Olmsted 1 Networking Break 3:00 pm – 4:00 pm Special Event Olmsted 1 Empowering Future Female Leaders in Wealth Management Julie Harrington, Managing Director, AS Enterprise Relationship Management, Charles Schwab & Co. Kate Healy, Managing Director, Generation Next, TD Ameritrade Institutional Danie McHugh, Summit Trail Advisors Moderator: Brittain Prigge, Balentine 4:00 pm – 5:00 pm Special Event Olmsted 1 Reception 4:10 pm – 5:00 pm Pre-Conference Olmsted 5 Partnering to Improve Financial Proficiency for the NextGen of Leaders and Advisors Barbara Hudock, Hudock Capital Group, LLC David Kudla, Mainstay Capital Management Moderator: Joe Lanza, Director, Financial Education, Barron’s Group 5:30 pm – 6:30 pm Cocktail Reception Commonwealth Foyer 6:30 pm – 8:30 pm Welcome Dinner and Speaker Commonwealth 1-3 The Office, Technology & The Human Connection Rainn Wilson, Actor, Writer & Co-Founder, SoulPancake Interviewer: Mark Tibergien, Chief Executive Officer and Managing Director of Advisor Solutions, BNY Mellon|Pershing 8:30 pm – 9:30 pm Top Advisor Reception Pin & Proof For Past and Present Ranked Advisors

Thursday

8:00 am – 6:00 pm Registration Commonwealth Foyer 8:00 am – 9:00 am Breakfast Commonwealth Foyer 9:00 am – 9:50 am General Session Commonwealth 1-3 The Independent Advisor in 2020 and Beyond David Canter, Head of RIA Segment, Fidelity Clearing & Custody Solutions Bernie Clark, Executive Vice President, Head of Schwab Advisor Services, Charles Schwab Corporation Vanessa Oligino, Managing Director, Business Performance Solutions, TD Ameritrade Institutional Christina Townsend, Head of Platform Strategy & Consulting, BNY Mellon’s Pershing Advisor Solutions Moderator: Sterling Shea, Global Head of Wealth & Asset Management, Barron’s Group 9:50 am – 10:00 am Refreshment Break Commonwealth Foyer 10:00 am – 10:50 am Breakouts Commonwealth 8 Reinvesting in Your Business for Growth Leo Kelly, Verdence Capital Advisors Fielding Miller, CAPTRUST Financial Advisors Lori Van Dusen, LVW Advisors Moderator: Angie Popek, RVP Relationship Management, Fidelity Clearing & Custody Solutions Olmsted 4 How to Fire a Client Valerie Newell, Mariner Wealth Advisors Kimberlee Orth, Ameriprise Financial, Inc. Moderator: Steve Garmhausen, Editor, Barron’s Group Olmsted 5 Commodities: Guns, Germs and Steel Kevin Baum, CIO, USCF Olmsted 1 Master Alternative Investments with Artificial Intelligence Nicholas Millikan, Managing Director, CAIS IQ   Investment Lab Diversifying Income in the Late Credit Cycle Small-group session intended to take a deep dive into a particular investment topic. Groups are limited to 10 attendees, and are first come, first served. Tony Rodriguez, Head of Fixed Income Strategy, Nuveen 10:50 am – 11:00 am Refreshment Break Commonwealth Foyer 11:00 am – 11:50 am Breakouts Commonwealth 8 Lessons as a CEO Marty Bicknell, Mariner Wealth Advisors Rob Francais, Aspiriant Moderator: Sterling Shea, Global Head of Wealth & Asset Management, Barron’s Group Olmsted 1 The Future of the RIA industry: Is M&A Required to Stay Relevant? Brandon Kawal, Brandon Kawal, Principal, Advisor Growth Strategies Olmsted 4 Priceless - The Language of Value Brett Van Bortel, Director of Consulting Services, Invesco Olmsted 5 Economic Regimes Impact on Tactical Allocation and the Benefits of Real Assets John Vojcek, Head and Chief Investment Officer of Liquid Real Assets, DWS   Investment Lab Small-group session intended to take a deep dive into a particular investment topic. Groups are limited to 10 attendees, and are first come,first served. Speaker, TBA 11:50 am – 12:00 pm Refreshment Break Commonwealth Foyer 12:00 pm – 1:00 pm Lunch Commonwealth 1-3 1:00 pm – 1:50 pm General Session Commonwealth 1-3 The Mind and the Markets Dr. Daniel Crosby, Chief Behavioral Officer, Brinker Capital Tim Holland, Global Investment Strategist, Brinker Capital 1:50 pm – 2:00 pm Refreshment Break Commonwealth Foyer 2:00 pm – 2:50 pm Breakouts Olmsted 4 Navigating the Maze of Capital Options Peter Raimondi, Dakota Wealth Management Edward Swenson, Dynasty Financial Moderator: David DeVoe, Managing Director & Founder, DeVoe & Co. Commonwealth 8 Taking Your Team to New Heights: How to Build and Manage an Elite Team Robert Milliman, IBD National Sales Manager, First Eagle Investment Management Olmsted 1 Make Better Real-Time Decisions & Find Happiness as a High-Achiever Krishna Pendyala, Founder and Chief Empowerment Officer, ChoiceLadder Institute Olmsted 5 The Evolution of ETFs Dodd Kittsley, Director of ETFs, Davis Advisors 2:50 pm – 3:00 pm Refreshment Break Commonwealth Foyer 3:00 pm – 3:50 pm Breakouts Olmsted 4 Inside the Deal: Analyzing Acquisitions David Barton, Vice Chairman, Mercer Advisors Scott Hanson, Allworth Financial Moderator: Brian Hamburger, President, CEO, MarketCounsel Commonwealth 8 Brands Are for Cattle: How to Break From the Herd and (Actually) Stand Out in Your Field David Armstrong, Monument Wealth Management Terri Trespicio, Writer, Branding Consultant, and Co-Creator of Lights, Camera, Expert Olmsted 1 Creating a Firm Culture of Commitment to Clients Rick Kent, Merit Financial Group Kay Lynn Mahue, Merit Financial Group Olmsted 5 Model Portfolio Solutions and the Client Experience Brie Williams, Vice President, Head of Practice Management at SPDR, State Street Global Advisors   Investment Lab Small-group session intended to take a deep dive into a particular investment topic. Groups are limited to 10 attendees, and are first come,first served. Speaker, TBA 3:50 pm – 4:00 pm Refreshment Break Commonwealth Foyer 4:00 pm – 5:00 pm General Session Commonwealth 1-3 ScratchWorks: Season 3 Richard Burridge, CEO & CIO, RMB Capital John Eadie, Founder & Managing Director, Covenant Shannon Eusey, CEO, Beacon Pointe Advisors Jon Jones, CEO, Brighton Jones Michael Nathanson, Chairman & CEO, Colony Group Host: David Canter, Head of RIA Segment, Fidelity Clearing & Custody Solutions 5:00 pm – 6:00 pm Cocktail Reception Commonwealth Foyer

Friday

8:00 am – 11:30 am Registration Commonwealth Foyer 8:00 am – 9:00 am Breakfast Commonwealth Foyer 9:00 am – 9:35 am General Session Commonwealth 1-3 Stepping on the G.A.S. (Growth Acceleration Strategy) Bryce Skaff, Co-Head of Global Client Group & Vice President, Dimensional Fund Advisors 9:35 am – 10:10 am General Session Commonwealth 1-3 The Evolution of Financial Technology Bill Crager, Co-Founder & CEO, Envestnet Shirl Penney, President & CEO, Dynasty Financial Partners Moderator: Andrew Salesky, SVP, Advisor Technology Solutions, Charles Schwab & Co. 10:10 am – 10:20 am Refreshment Break Commonwealth Foyer 10:20 am – 10:55 am General Session Commonwealth 1-3 Delivering Greater Value for Clients Gabriel Garcia, Senior Vice President, Head of Business Management & Strategy, E*TRADE Advisor Services Jodi Perry, President, Independent Contractors Division, Raymond James Financial Services Moderator: Ray Sclafani, Founder & CEO, ClientWise 10:55 am – 11:35 am General Session Commonwealth 1-3 Capacity: Unlocking High Performance & Driving Engagement Chris Johnson, CEO & Founder, On Target Living

What are attendees saying about Barron’s Advisor Summits?

The level of sharing is extraordinary. You will absolutely gain valuable, usable, actionable ideas that are worth more than the cost and time invested.

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Where else can you hear from the best in the business, sharing how steward family wealth in an completely unbiased and open forum? Easily the best conferences I attend each year.

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The agenda was just the right mix of industry and practice management.

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The Barron’s Advisor team is truly a pleasure to work with and their event planning and execution team are very professional, thoughtful and detailed.

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Barron’s Advisor hosts exceptional events. I always come away feeling more educated and challenged at the same time.

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The quality of the advisors is excellent and the agenda includes wide-ranging and timely, topical sessions.

 

Partners

​Barclays is a transatlantic consumer and wholesale bank offering products and services across personal, corporate and investment banking, credit cards and wealth management, with a strong presence in our two home markets of the UK and the US. With over 325 years of history and expertise in banking, Barclays operates in over 40 countries and employs approximately 80,000 people. Barclays moves, lends, invests and protects money for customers and clients worldwide.

​Brinker Capital is a privately-held investment management company. For over 30 years, Brinker Capital’s purpose has been to deliver an institutional multi-asset class investment experience to individual clients. Brinker Capital’s highly strategic, disciplined approach has provided investors the potential to achieve their long-term goals while controlling risk. With a focus on wealth creation and management, Brinker Capital serves financial advisors and their clients by providing high-quality investment manager due diligence, asset allocation, portfolio construction, and client communication services. Brinker Capital, Inc., is a registered investment advisor.

​Dimensional Fund Advisors LP is a leading global investment firm that has been translating academic research into practical investment solutions since 1981. We strive to build deep, enduring relationships with advisors who share our desire to create better financial outcomes for clients. Dimensional and its global affiliates manage $460 billion for clients worldwide (as of December 31, 2016).

Invesco is a global independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. Our 13 distinctive investment teams deliver a comprehensive range of active, passive and alternative investment capabilities. With offices in 25 countries, Invesco managed $1.2 trillion in assets on behalf of clients worldwide as of June 30, 2019.

First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively "First Trust") were established in 1991 with a mission to offer investors a better way to invest. At First Trust, we are single-minded about providing trusted investment products and advisory services. We're inspired every day by how financial advisors and their customers use our products and services to define goals, solve problems and develop long-term strategies. As of October 31, 2018, First Trust offers 140 ETFs, has approximately $125 billion in assets under management or supervision, and is the 6th largest ETF provider in the U.S.

​DPL Financial Partners is the leading RIA insurance network that brings low-cost, commission-free insurance solutions from a variety of the nation's top carriers to RIA practices. DPL’s mission is to create a marketplace of no-load annuity and insurance products that enables RIAs to incorporate insurance into their practice to more holistically serve their clients and grow AUM. Clients benefit from products with improved pricing and fiduciary implementation rather than a commissioned, sales-driven one.

​Indianapolis-based Oak Street Funding, a First Financial Bank company, provides commercial financing for Registered Investment Advisors and Investment Advisor Representatives. We provide capital to assist with acquisition, succession, transition, debt consolidation and more. RIA’s and IAR’s can take advantage of our cash-flow loans up to $30 million to help you grow and exceed your goals. We are a direct, non-SBA lender and handle loan processing, underwriting and servicing in house. Our unique cash flow analysis, RIA industry knowledge and innovative technology align to meet the growing demand for RIA financing.

​CAIS is the premier gateway to the multi-trillion-dollar independent wealth channel for specialized investment products, delivering a superior experience to wealth managers and product providers alike. As the leading open-architecture financial product platform, CAIS provides streamlined execution for an expanding list of alternative investment funds, IPOs and follow-ons, and structured notes. CAIS complements its fund offerings with independent due diligence provided by Mercer.

DWS is one of the world's leading asset managers with $820 billion of assets under management as of 9/30/19. Building on more than 60 years of experience and a reputation for excellence in Germany and across Europe, DWS has come to be recognized by clients globally as a trusted source for integrated investment solutions, stability and innovation across a full spectrum of investment disciplines. Our diverse expertise in Active, Passive and Alternatives asset management—as well as our deep environmental, social and governance focus—complement each other when creating targeted solutions for our clients.

​Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.1 trillion in assets under management as of 31 December 2019 and operations in 24 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.

USCF operates on the leading edge of exchange-traded product (ETP) and exchange-traded fund (ETF) innovation. The firm broke new ground with the launch of the first oil ETP, the United States Oil Fund, LP (USO), in 2006. Over the next decade, USCF designed and issued twelve more ETPs and ETFS across commodity and equity asset classes.

​iCapital Network is powering the world’s alternative investment marketplace, transforming the way alternative investments are bought and sold through tech-based solutions for advisors, their high-net-worth client base, asset managers, banks, and general partners.

​Orion Advisor Services, LLC (Orion) is the premier portfolio accounting service provider for advisors. Founded for investment advisors by an investment advisor in 1999, Orion provides integrated and fully customizable technology solutions that advisors need to help grow their businesses over the long term. The firm’s technology solutions empower more than 1,200 advisory firms with total assets under administration in excess of $500 billion, from more than 1.9 million individual accounts.

Apex Clearing is a custody and clearing engine that’s powering the future of digital wealth management. Our proprietary enterprise-grade technology delivers unmatched speed, efficiency and flexibility to firms ranging from innovative start-ups to blue-chip brands focused on transformation to capture a new generation of investors. We help our clients provide the seamless digital experiences today’s consumers expect with the throughput and scalability needed by fast-growing, high-volume financial services businesses. Founded in 2012, Apex Clearing is registered with the SEC, a member of FINRA and a participant in SIPC.

​Davis Advisors is an independent, employee-owned investment management firm founded in 1969. With $26 billion in AUM, our time-tested investment discipline is offered to clients through ETFs, mutual funds, variable annuities, separately managed accounts, and offshore funds. Since our founding fifty years ago, our mission has been to serve our shareholders and to do so with high integrity. The result is that all Davis equity funds have outperformed their benchmark and peers since inception, have low fees and count Davis among the largest shareholder. As of June 2019, Davis has more than $2 billion invested alongside shareholders.

First Eagle Investment Management is an independent firm that manages approximately $101 billion in assets for institutional and individual clients (Assets under management as of December 31, 2019). With a heritage that dates to 1864, First Eagle is committed to providing prudent stewardship of our clients’ assets and to earning their abiding trust. A focus on absolute returns and a dedication to downside protection remain our primary goals.

For four decades, State Street Global Advisors has served the world’s governments, institutions and financial advisors. With a rigorous, risk-aware approach built on research, analysis and market-tested experience, we build from a breadth of active and index strategies to create cost-effective solutions. As stewards, we help portfolio companies see that what is fair for people and sustainable for the planet can deliver long-term performance. And, as pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest. As a result, we have become the world’s third largest asset manager with US $2.51 trillion under our care (AUM reflects approximately $32.45 billion (as of December 31, 2018), with respect to which State Street Global Advisors Funds Distributors, LLC (SSGA FD) serves as marketing agent; SSGA FD and State Street Global Advisors are affiliated).

​Investments & Wealth Institute® (formerly IMCA®) is a professional association, advanced education provider, and standards body for financial advisors, investment consultants, and wealth managers who embrace excellence and ethics. Through our events, continuing education courses, and acclaimed certifications—Certified Investment Management Analyst® (CIMA®), Certified Private Wealth Advisor® (CPWA®), and Retirement Management Advisor ® (RMA®)—we deliver rigorous, highly practical education.