Private Client Conference

Date

April 11 - April 13, 2018

Location

Naples, FL

Overview

SIFMA’s Private Client Conference convenes leaders from across the private wealth management industry to examine the most topical issues facing the business. Join us for a new program focusing on financial advice amidst rapidly changing technology, regulations, and demographics.

Watch a replay of our livestream from SIFMA’s Private Client Conference to join SIFMA Chair Lisa Kidd Hunt as she discussed the next decade of investing and announces a new industry-wide initiative on data aggregation.

Program

6:00pm – 8:00pm

Registration Desk Hours

6:00pm – 8:00pm

7:15am – 2:00pm

Registration Desk Hours

7:15am – 8:00am

Networking Breakfast

8:00am – 8:05am

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Group

SIFMA

John Maurello’s Biography

8:00am – 2:00pm

Sponsored by eMoney Advisor, LLC

Sponsored by eMoney Advisor, LLC

8:05am – 8:35am

Participants

Kenneth E. Bentsen, Jr., Valerie G. Brown

Speakers

Kenneth E. Bentsen, Jr.

President and CEO

SIFMA

Kenneth E. Bentsen, Jr.’s Biography

Valerie G. Brown

Executive Chairman of the Board

Advisor Group, Inc.

Valerie G. Brown’s Biography

8:35am – 8:55am

Access to the markets and advice is at an all-time high, while the cost to invest or gain information is at an all-time low. With technology leading much of the…

Access to the markets and advice is at an all-time high, while the cost to invest or gain information is at an all-time low. With technology leading much of the change, what opportunities, challenges, and responsibilities do we, as an industry, have to navigate through the next decade?

Participants

Lisa Kidd Hunt

Speaker

Lisa Kidd Hunt

Executive Vice President, Business Initiatives

Charles Schwab & Co., Inc.

Lisa Kidd Hunt’s Biography

8:55am – 9:15am

Participants

Katherine E. Nixon

Speaker

Katherine E. Nixon

Executive Vice President and Chief Investment Officer

Northern Trust

Katherine E. Nixon’s Biography

9:15am – 9:30am

Sponsored by Talisys 

Sponsored by Talisys 

9:30am – 10:10am

Financial Advisors provide important services to investors to help them attain their financial goals. FAs regularly help their clients financially navigate “life events,” such as birth, marriage, college funding, divorce,…

Financial Advisors provide important services to investors to help them attain their financial goals. FAs regularly help their clients financially navigate “life events,” such as birth, marriage, college funding, divorce, job transition, and aging. Each life event is a vital time in an investor’s life, and the FA/Client relationship is crucial for investors to reach optimum financial decisions. This panel of experienced FAs from across the country will provide their insight on how they best serve their clients’ interests and help them achieve desired results.

Participants

Steven M. Samuels, Gail Childs, Keith M. Jacoby, Brian J. Mariash

Moderator

Steven M. Samuels

Managing Director, Head of FA Programs, Recognition and Strategy Integration

Merrill Lynch Wealth Management

Steven M. Samuels’s Biography

Panelists

Gail Childs

Financial Advisor

Edward Jones

Gail Childs’s Biography

Keith M. Jacoby

Managing Director - Investments

Wells Fargo Advisors

Keith M. Jacoby’s Biography

Brian J. Mariash

Senior Vice President—Wealth Management

Mariash Lowther Wealth Management - Merrill Lynch

Brian J. Mariash’s Biography

10:10am – 11:00am

Financial Advisors are in the business of helping clients address life transitions.  These transitions do not stop at retirement.  Elder care planning is the investment goal no one plans for. …

Financial Advisors are in the business of helping clients address life transitions.  These transitions do not stop at retirement.  Elder care planning is the investment goal no one plans for.  This session will empower you with facts, and potential ways for the industry to move forward on the issues, and opportunities surrounding longevity.  Panelists will share strategies for financing longevity, protecting clients from financial fraud, and creating innovative products, and services for successful aging.

Participants

Tracy Eichler, Gentry Barnett Byrnes, Leslie Labarthe Coyle, Ronald Long, Nancy Nauheimer

Moderator

Tracy Eichler

Managing Director, Private Client Group

SIFMA

Tracy Eichler’s Biography

Panelists

Gentry Barnett Byrnes

Chief Fiduciary Officer

Raymond James Trust, N.A.

Gentry Barnett Byrnes’s Biography

Leslie Labarthe Coyle

Senior Vice President, Managing Director

Hilliard Lyons Trust Company

Leslie Labarthe Coyle’s Biography

Ronald Long

Director of Regulatory Affairs and Elder Client Initiatives

Wells Fargo Advisors

Ronald Long’s Biography

Nancy Nauheimer

Senior Vice President, Wealth Advisor

Northern Trust

Nancy Nauheimer’s Biography

11:00am – 11:30am

Participants

Clara Shih

Speaker

Clara Shih

CEO and Founder

Hearsay Systems

Clara Shih’s Biography

11:40am – 1:10pm

Luncheon Speaker Co- Sponsored by Dow Jones & Company, Inc. and Federated Investors, Inc.

Luncheon Speaker Co- Sponsored by Dow Jones & Company, Inc. and Federated Investors, Inc.

Participants

Randy Snook, Elise Jordan

Speakers

Randy Snook

Executive Vice President, Business Policies & Practices

SIFMA

Randy Snook’s Biography

Elise Jordan

Columnist

TIME

Political Analyst

NBC News and MSNBC

Elise Jordan’s Biography

1:15pm – 2:00pm

Participants

Ira D. Hammerman, Nina McKenna, Dean Pinto, Michael Rufino

Moderator

Ira D. Hammerman

Executive Vice President & General Counsel

SIFMA

Ira D. Hammerman’s Biography

Panelists

Nina McKenna

Chief Legal Officer and General Counsel

Advisor Group, Inc.

Nina McKenna’s Biography

Dean Pinto

Managing Director, Legal Department

Morgan Stanley Wealth Management

Dean Pinto’s Biography

Michael Rufino

Executive Vice President, Head of Member Regulation - Sales Practice

FINRA

Michael Rufino’s Biography

6:00pm – 8:00pm

Sponsored by Hearsay Systems

Sponsored by Hearsay Systems

7:30am – 12:00pm

Registration Desk Hours

7:30am – 8:10am

Networking Breakfast

8:10am – 8:15am

Participants

John Maurello

Speaker

John Maurello

Managing Director, Private Client Group

SIFMA

John Maurello’s Biography

8:10am – 12:00pm

Sponsored by eMoney Advisor, LLC

Sponsored by eMoney Advisor, LLC

8:15am – 8:40am

Participants

David J. Kowach

Speaker

David J. Kowach

President and Head

Wells Fargo Advisors

David J. Kowach’s Biography

8:40am – 9:00am

Participants

Penny Pennington

Speaker

Penny Pennington

Principal, Client Strategies Group

Edward Jones

Penny Pennington’s Biography

9:00am – 10:00am

Helping financial advisors succeed is critical to enhancing client service and relationships, and reducing FA turnover, recruitment. and retention costs. This panel of highly experienced regional and complex managers will…

Helping financial advisors succeed is critical to enhancing client service and relationships, and reducing FA turnover, recruitment. and retention costs. This panel of highly experienced regional and complex managers will discuss how inspired leadership can help advisors build their careers.  The discussion will include operating and growth strategies, formal business and marketing plans, coaching, teaming,  specialization, and leveraging highest-value activities.

Participants

Paul C. Santucci, William Cholawa, Heather Crist, Jonathan W. Decker, James F. Dixon III, Patrick O’Connor, John P. Tyrrell

Moderator

Paul C. Santucci

Managing Director, Head of Field Development & Productivity for Wealth Management USA

UBS

Paul C. Santucci’s Biography

Panelists

William Cholawa

Managing Director, Market Head, Central New England Market, Wealth Management Americas

UBS

William Cholawa’s Biography

Heather Crist

Managing Director - Market Manager

Wells Fargo Advisors

Heather Crist’s Biography

Jonathan W. Decker

Senior Vice President

Merrill Lynch Wealth Management

Jonathan W. Decker’s Biography

James F. Dixon III

Executive Managing Director, Southern Region

Stifel Financial Corporation

James F. Dixon III’s Biography

Patrick O’Connor

Senior Vice President, Regional Director - Florida Region

Raymond James & Associates, Inc.

Patrick O’Connor’s Biography

John P. Tyrrell

Vice President, Market Leader

Fidelity Investments

John P. Tyrrell’s Biography

10:00am – 10:20am

Networking Break

10:20am – 10:40am

Participants

Steve Scruton

10:40am – 11:20am

The panel will explore ongoing challenges and opportunities to attract new and diverse talent to the role of financial advisor. They will discuss ways to help candidates better understand the value…

The panel will explore ongoing challenges and opportunities to attract new and diverse talent to the role of financial advisor. They will discuss ways to help candidates better understand the value of being a FA and their pathway to smooth integration into firms or teams. The group will address skills that are critical for success and tools, such as new technology, available to achieve it.

Participants

Ken Cella, Emily de la Reguera, Devin DeStefano, Dr. Denise P. Federer

Moderator

Ken Cella

Principal, Branch Development

Edward Jones

Ken Cella’s Biography

Panelists

Emily de la Reguera

Head of Next Generation Advisor Development

UBS

Emily de la Reguera’s Biography

Devin DeStefano

Managing Director – Associate Financial Advisor Program, Next Generation Talent

Wells Fargo Advisors

Devin DeStefano’s Biography

11:20am – 12:00pm

Our panel of technology experts will address the landscape of technology initiatives that are impacting private wealth management, including artificial intelligence, robo, and cyber security, with an eye towards best…

Our panel of technology experts will address the landscape of technology initiatives that are impacting private wealth management, including artificial intelligence, robo, and cyber security, with an eye towards best ways to leverage this new technology to enhance financial advice to investors.

Participants

Tash Elwyn, Darren Duffy, Dan Nadir, Arjun Saxena, Rob Stanich

Moderator

Tash Elwyn

President, Private Client Group

Raymond James & Associates, Inc.

Tash Elwyn’s Biography

Panelists

Darren Duffy

Head of Wealth Management Business Solutions

Thomson Reuters

Darren Duffy’s Biography

Dan Nadir

VP of Product Management, Proofpoint Digital Risk and Compliance

Proofpoint, Inc.

Dan Nadir’s Biography

Arjun Saxena

Principal

PwC

Arjun Saxena’s Biography

Rob Stanich

Offering Manager for Financial Markets and Banking

IBM Watson Financial Services

Rob Stanich’s Biography

Venue

The Ritz-Carlton Golf Resort Naples

2600 Tiburon Drive
Naples, FL 34109

Country club sophistication and old-world charm intermingle in the casual, yet elegant setting of The Ritz-Carlton Golf Resort, Naples. As one of the finest luxury golf resorts in Florida, The Ritz-Carlton Golf Resort, Naples features two stunning PGA-level golf courses which host two major professional golf tournaments annually.

Picture of venue

Hotel Accommodations

Rooms at the Ritz-Carlton Naples Golf Resort have SOLD OUT. You may add your name to a wait list using the booking link below.

SIFMA has secured a block of rooms at the Ritz-Carlton Naples Beach Resort for $359/night, plus tax. Shuttles are available through the Beach Resort and Golf Resort.

Book a Room

Related Resources

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Media Partnerships
Custom media partnership opportunities are available for almost every objective and budget, with benefits including complimentary event passes. Contact Monica Ilyevsky at 212.313.1263.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.