C&L Society Boston Regional Seminar
The C&L Society Boston Regional Seminar gathers compliance and legal professionals working in the financial services industry to exchange ideas,…
Private Client Conference
Overview
41st Annual
Private Client Conference
Registration Closed
Overview
SIFMA’s Private Client Conference brings together leaders from across private wealth management to examine the most topical issues facing the business. This comprehensive program focuses on financial advice amidst rapidly changing technology, regulations, and investor demographics.
Watch Livestream Replays
Watch replays of the livestream from SIFMA’s 2019 Private Client Conference:
- Hearing from Emerging Leaders | Featuring Ameriprise, Merrill Lynch, Raymond James and UBS
- Financial Advisors – Helping Investors Achieve their Financial Goals | Featuring Baird, Edward Jones, Merrill Lynch, Morgan Stanley and Raymond James
Join the #SIFMApcc Conversation
Industry Leaders and Featured Speakers
Sandy Bolton
Managing Director, Head of Managed Investments, Investment Solutions Group
Bank of America Merrill Lynch
Evamarie Schoenborn
President
Northwestern Mutual Investment Services, LLC
Vice President, Investment Products & Services
Northwestern Mutual
Susan Del Percio
Political Commentator
Pricing
| Early Bird Rates | $1195 |
|---|---|
| Pre-Conference Rates | $1295 |
| On-Site Rates | $1395 |
| Early Bird Rates | $1695 |
|---|---|
| Pre-Conference Rates | $1795 |
| On-Site Rates | $1895 |
| Early Bird Rates | $695 |
|---|---|
| Pre-Conference Rates | $795 |
| On-Site Rates | $795 |
| Member | Non-Member | Regulator | |
|---|---|---|---|
| Early Bird Rates | $1195 | $1695 | $695 |
| Pre-Conference Rates | $1295 | $1795 | $795 |
| On-Site Rates | $1395 | $1895 | $795 |
Program
6:00pm – 7:30pm
Welcome Reception and Registration Desk Hours
7:00am – 7:50am
Sponsored by Proofpoint, Inc.
Sponsored by Proofpoint, Inc.
7:00am – 2:00pm
Registration Desk Hours
7:50am – 8:00am
Participants
John Maurello
Speaker
8:00am – 8:15am
As an industry, our guiding principle has always been the same: clients first- and that will never change. SIFMA Board Chair, James R. Allen, will discuss the importance of this…
As an industry, our guiding principle has always been the same: clients first- and that will never change. SIFMA Board Chair, James R. Allen, will discuss the importance of this foundational belief, as well as what specific measures we must take in 2019 to ensure complete and total alignment with our clients and their success.
Participants
James R. Allen
Speaker
8:15am – 8:50am
Participants
Kenneth E. Bentsen, Jr., Ken Cella, Joseph E. Sweeney
Speakers
8:50am – 9:10am
Participants
Andrew M. Sieg
Speaker
9:30am – 10:15am
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, Kenneth Correa, Chris Fils, Dylana Hopler, Deborah L. Shepherd
Moderator
Panelists
10:15am – 10:35am
Participants
Shelley S. O’Connor
Speaker
10:35am – 11:15am
The next 10 years are key to transforming the industry, but how can the change required, be delivered? Panel will tackle different angles on the gender diversity conversation. Hear innovative…
The next 10 years are key to transforming the industry, but how can the change required, be delivered? Panel will tackle different angles on the gender diversity conversation. Hear innovative strategies that are pushing diversity to the top of the agenda and learn what is disrupting the industry. You’ll leave with practical tips to make the next step towards real progression.
Participants
Tracy Eichler, Jen Auerbach, Kristin Johnson, Jodi Perry, Joe Vietri
Moderator
Panelists
11:15am – 11:45am
Advisors are under more pressure than ever to be tech-savvy, and expectations around digital engagement are at an all-time high. Investors expect communications to be real-time and personalized. Is it…
Advisors are under more pressure than ever to be tech-savvy, and expectations around digital engagement are at an all-time high. Investors expect communications to be real-time and personalized. Is it possible to balance quick and compliant? What about creating a seamless experience for both customers and advisors as they navigate between online and offline channels of communication? Join Chris Andrew to learn more about creating digital advisor success while transforming your client experience.
Participants
Christopher Andrew
Speaker
11:45am – 1:15pm
Veteran political consultant and MSNBC Political Analyst, Susan Del Percio will deliver the luncheon keynote address. As we get closer to the 2020 presidential election, we look forward to Susan’s timely insights into…
Veteran political consultant and MSNBC Political Analyst, Susan Del Percio will deliver the luncheon keynote address. As we get closer to the 2020 presidential election, we look forward to Susan’s timely insights into the U.S. political environment and the biggest challenges that may lie ahead.
Luncheon Speaker Sponsored by Dow Jones & Company, Inc.
Participants
Susan Del Percio
Speaker
1:15pm – 2:00pm
Industry and regulatory experts discuss current legislative and regulatory activities facing private client groups today, including: The proliferation of best interest / fiduciary standards Migration from brokerage to advisory accounts
Industry and regulatory experts discuss current legislative and regulatory activities facing private client groups today, including:
- The proliferation of best interest / fiduciary standards
- Migration from brokerage to advisory accounts
Participants
Kevin Carroll, Susan F. Axelrod, David Forman, Michael Rufino, Anne Tennant
Moderator
Panelists
6:00pm – 8:00pm
Sponsored by Hearsay Systems
Sponsored by Hearsay Systems
7:00am – 7:45am
Networking Breakfast
7:00am – 12:00pm
Registration Desk Hours
7:45am – 7:50am
Participants
John Maurello
Speaker
7:50am – 8:10am
Participants
Tash Elwyn
Speaker
8:10am – 8:50am
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 optimal 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, Kelly O. Crisp, Corina L. Davis, David Klenke, Laura Steckler, Meron Yemane
Moderator
Panelists
8:50am – 9:10am
Participants
Evamarie Schoenborn
Speaker
9:10am – 9:30am
Sponsored by Appway Inc.
Sponsored by Appway Inc.
9:30am – 9:50am
Participants
Chris Perry
Speaker
9:50am – 10:30am
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
Kevin Alm, Rob Klapprodt, Dan Nadir, Kabir Sethi
Moderator
Panelists
10:30am – 11:15am
As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can…
As the face of the individual investor evolves, so too does the opportunity to create investment advice tailored to their diverse needs across a variety of life stages. How can private wealth managers and asset managers partner to create a new generation of customized investment solutions?
Participants
Jaime Magyera, Sandy Bolton, Eric Koestner, Pete Thatch
Moderator
Panelists
11:15am – 12:00pm
A discussion of the newest trends in the industry from an emphasis on increasing auto-plan features to how firms utilize the digital marketspace. New regulations in place to protect seniors…
- A discussion of the newest trends in the industry from an emphasis on increasing auto-plan features to how firms utilize the digital marketspace.
- New regulations in place to protect seniors from financial exploitation, and what more is being done
- Retirement legislation has a chance for 2019 – hear the latest
Participants
Lisa Bleier, Laura A. Grogan O’Mara, Jason P. Kelly, David H. Koshgarian
Moderator
Panelists
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.
Hotel Accommodations
SIFMA has reserved room blocks at the Ritz-Carlton Golf Resort Naples and the Ritz-Carlton Beach Resort Naples. Please note that the group rates are good through March 29, 2019. Once the block is sold out, the hotel’s market price applies regardless of the date booking. Make sure to confirm all cancellation policies and forfeiture of deposits directly with the hotel when booking your reservation.
Sponsorship
Questions? Contact Tamara Bailey at 212.313.1240.
Diamond
Gold
Silver
Contributor
SIFMA's Strategic Partners
Media
Media Inquiries
Contact Evan Grogan at 212.313.1134
Media Registration
Contact Evan Grogan at 212.313.1134
Policy
View SIFMA’s official press policy.
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.