Sunday, October 11

8:15 AM - 9:30 AM

Buy and Hold is Dead (Again)

Kenneth R. Solow, CFP®, CLU, ChFC

Review the theoretical problems and assumptions with MPT and CAPM, and see how problems with the underlying assumptions in these models are leading to new theoretical approaches to managing risk and constructing portfolios. Then, learn how to tactically manage portfolios, including examining each step in the management process. Discuss the practice management considerations of switching from a strategic portfolio model to a tactical model, including hiring analysts, changing roles for financial planners, company management, technology and client expectations.
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11:00 AM - 12:00 PM

Morningstar’s Approach to Fund Analysis

Karen M. Dolan, CFA, MBA

There is more to analyzing mutual funds than meets the eye. Where the power of historical numbers and patterns ends, fundamental analysis begins. Morningstar's director of fund analysis, Karen Dolan, discusses how her team approaches its research, pointing to key insights drawn from analyzing a fund's portfolio, strategy, management, stewardship, and fees. She argues that the process of selecting funds should move well beyond the study of past returns to a fundamental analysis of the fund's portfolio and strategy.
     Career Stage:
     Competency:
     CFP Topic List: N/A
     CFP Board CE credit: 1.0
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Monday, October 12

8:15 AM - 9:30 AM

The Debate on Socially Responsible Investing: Myth and Reality

Patrick D. Geddes

When it comes to socially responsible investing (SRI), advisors usually fall into one of two camps-those who view it as a silly waste and those who believe it can offer alpha while achieving social goals. Can money and values be combined without sacrificing returns or paying high fees? What investment choices are available to advisors, either through funds or separate accounts? Hear analysis of the existing marketplace, learn new techniques for distinguishing between social alpha and investment alpha, and discover how to measure the risk implications of social preferences.
     Career Stage: All
     Competency: Business and Practice Management, Technical Knowledge, Critical Thinking
     CFP Topic List: Investment Planning
     CFP Board CE credit: 1.5
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10:00 AM - 11:45 AM

Alternative Thinking About Investments

Mark W. Yusko

Even before the devastating market events of late 2008, many investors were skeptical that a traditional portfolio of stocks, bonds, and cash can deliver the level of returns investors have come to expect and need to meet their growth goals. Success in the next decade will require a profound change in investment strategy and "alternative thinking" will be necessary to meet objectives in 2009 and beyond. This provocative discussion helps you "unlearn what you have learned" and get ready for the challenges ahead.
     Career Stage:
     Competency:
     CFP Topic List: N/A
     CFP Board CE credit: 2.0
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Tuesday, October 13

8:45 AM - 10:15 AM

Stock Options and Grants: The Advisor's Guide to Equity Compensation

Peter R. Wheeler, CLU,ChFC,CFP®

Based on the speaker's book, Stock Options + Grants: The Executive's Guide to Equity Compensation, learn about the market for option and grant consulting, how to approach it and how to consult with options and grant holders. Review terminology, tax issues and exercise options along with the income, estate, gifting and divorce issues involved in the receipt and exercise of stock options and grants.
     Career Stage: II, III
     Competency: Technial Knowledge, Sales and Marketing
     CFP Topic List: General Principles of Financial Planning, Employee Benefits Planning, Income Tax Planning
     CFP Board CE credit: 1.5
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10:30 AM - 11:45 AM

GOTCHA: Hidden Treasures and Traps in Retirement Income Generation

Jonathan T. Guyton, CFP®

For a lot more money, you can have just a little bit better. Or not. In both retirement income strategies and the financial products targeted at retiring Baby Boomers, understanding and evaluating trade-offs and compromises is becoming increasingly important. This session will detail various wealth management situations that could cast you as either an asset or a liability in your clients' eyes.
     CFP Board CE credit: 1.5 (pending approval)
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