Sunday, October 11

8:15 AM - 9:30 AM

Managing Client Expectations Using Investment Policy Statements

Norman M. Boone, MBA, CFP®, and Linda Lubitz Boone, CFP®

Many advisors are challenged by how to talk with their clients after the recent economic meltdown. They need some formal process for having conversations with their clients around their investments and moving forward. They have the financial planning part of the process down for starting the relationship, but after that, they search for a repeatable process to have the ongoing conversations. The Investment Policy Statement (IPS) can be the bridge between the plan and the process, and provide a formal agenda for your client meetings, post-financial crisis. The IPS can help re-engage your clients in their investments and the process that you follow in managing their money. The IPS, the record of the agreements between you and your client about how their money is going to be managed is a critical part of the Investment Planning Process.
     CFP Board CE credit: 1.5
Back to top

8:15 AM - 9:30 AM

Wealth Management: Delivering on the Promise

Peter R. Wheeler, CLU,ChFC,CFP®

Wealth management is not a title, it's a process. It means knowing more about your clients, finding efficient ways to work with other advisors, managing the process and providing feedback. Without the right technology, this can be challenging and non-profitable. Technology frees advisors to have more face time with clients-and advisors who spend 60 percent or more of their time with clients earn six times more than advisors who spend 30 percent or less. Find out how to become your client's comprehensive wealth manager.
     Career Stage: All
     Competency: Relationship Skills, Sales and Marketing, Organizational Skills
     CFP Topic List: Client Trust and Communication
Back to top

11:00 AM - 12:00 PM

The Expanding Role of CRM Software in Advisor's Offices

Gregory H. Friedman, CFP®, MS

Learn to maximize the use of your CRM to increase efficiency, profitability and client retention. Discover specific ideas, practical tips and proven practice management techniques along with important considerations for selecting a CRM solution. Take a look at the latest CRM technology tools available as well.
     Career Stage: All
     Competency: Business and Practice Management
     CFP Topic List: N/A
Back to top

Monday, October 12

8:15 AM - 9:30 AM

Securing Information Amidst the Regulatory Landscape

Michael Sundberg

Has your firm taken the necessary steps to ensure that your business-and, more importantly, your clients' privacy-won't be impacted by a breach of sensitive information? Are your security policies well-defined and able to help those under your umbrella to adhere to federal and state regulations? We'll discuss the constantly changing security landscape, the lines between federal and state regulations, and what you need to have in place to protect your clients and yourself.
     Career Stage: All
     Competency: Business and Practice Management, Technical Knowledge
     CFP Topic List: General Principles of Financial Planning
     CFP Board CE credit: 1.5
Back to top

10:00 AM - 11:45 AM

The Best Friend and Worst Enemy: Creating Successful Partnerships

Philip K. Palaveev

Adding a partner can drastically change the nature of a practice. While a new partner can elevate the practice to a new level of capability, capacity and growth, it can also shackle it financially, create bad chemistry and destroy the culture of the firm. Understanding when and how to add partners is critical knowledge. The largest and most successful independent firms today are partnerships between two or more owners/advisors, and many growing firms are considering offering a partnership to select advisors or merging with another firm.
     Career Stage: III
     Competency: Business and Practice Management
     CFP Topic List: N/A
Back to top

Tuesday, October 13

8:45 AM - 10:15 AM

The Brand Called "You"

Peter Montoya

Use your personal brand to empower your marketing, leverage your relationships, and attract more and better clients. Learn the six most effective forms of marketing and how to create your own unique brand, write a dynamic slogan that attracts ideal clients, and create a steady flow of qualified and motivated prospects. Mature advisors learn to maximize the value of their practices prior to sale and new advisors learn to avoid tragic, time-consuming, money-draining marketing mistakes.
     Career Stage: All
     Competency: Business and Practice Management, Sales and Marketing, Communication Skills
     CFP Topic List: N/A
Back to top