Page 1. Building Your Business. April 27-28, 2015 Four Seasons Hotel Chicago, IL

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2 The Investment Decisions and Practice Management That Can Make the Difference For nearly five years in Boston and San Francisco, Institutional Investor Forums has delivered private meetings for investment decision-makers from the larger, independent, fee-based RIAs. Now in response to requests from the RIA executives who are focusing on building their businesses as well as identifying the best investment opportunities, we are adding this third event. This particular agenda will incorporate discussions focusing on some of the key issues facing growing firms while retaining some of the investment themes which have allowed us to differentiate our events from the other conferences vying for your time and attention. Unlike most other firms providing events to RIAs, our three events per year will continue to be complimentary to investment decision-makers, ensuring that our audiences will always be comprised of approximately 60 of yours peers so that we can offer you the greatest potential to gain meaningful insights, share expertise, and benefit from your colleagues lessons learned. Advisory Board (to date) Matt Cooper, President, Beacon Pointe Wealth Advisors Guy J. Benstead, Partner, Cedar Ridge Partners, LLC Carl E. Choy, Principal, CKW Financial Group Kreighton Bieger, Principal, KilterHowling LLC Gary P. Henson, President, Mariner Holdings William D. Moss, Member/Manager, Moss Booth Wealth Advisors, LLC E Dryden Pence, Principal, Pence Wealth Management Lisa Bayer Tang, Principal and Chief Compliance Officer, Pinnacle Financial Group, LLC Jeffrey Phillips, Principal, Chief Investment Officer, Rehmann Financial Group Tom Burkhart, Founder and Managing Member, Savant Investment Group, LLC Sponsoring Organizations (to date) Lead Sponsors FlexShares Co-Sponsors Addepar Page 2

3 Schroder Investment Management William Blair Monday, April 27 th 8:00 am Registration and Breakfast The Lakeview Room 8:35 am Welcome and Apps Tutorial Steven Olson, Managing Director, Institutional Investor Kip Miller, Director, Institutional Investor Forums Forum Chairperson: Carl E. Choy, Principal, CKW Financial Group 8:45 am Benchmarking Session What are the investment issues, concerns and priorities of your RIA peers? In this opening session and in subsequent sessions, attendees will be polled on a number of high-interest topics using an anonymous, interactive electronic response system. The aggregated results of these polls will be displayed instantaneously on-screen to help illuminate the discussions which follow. By doing this, we will provide all attendees with useful benchmarks and unique insights into the concerns of RIAs and their clients. 9:00 am Guest Presentation and Interview The State of the Macroeconomy An introduction by: Russell Moenich, Chief Investment Officer, Sequoia Financial Advisors Anil Kashyap, Edward Eagle Brown Professor of Economics and Finance, University of Chicago Booth School of Business We will start the day hearing from an industry expert on the current trends in the macro environment. How are the Federal Reserve s monetary policies going to affect your investment decisions? What are the current global economic trends that Registered Investments Advisors should be paying close attention to in the upcoming year? 9:30 am Interview Interviewer: Russell Moenich, Chief Investment Officer, Sequoia Financial Advisors Page 3

4 Interviewee: Anil Kashyap, Edward Eagle Brown Professor of Economics and Finance, University of Chicago Booth School of Business 9:50 am : Which Asset Classes or Strategies Should You Be Adding? Jeffrey Phillips, Principal, Chief Investment Officer, Rehmann Financial Group Panelists: Debra Brennan Tagg, Managing Partner, Brennan Financial Services Brendan Connaughton, Chief Investment Officer, Partner, ClearPath Capital David Harris, Fixed Income Investment Director, Schroder Investment Management Senior Representative, WisdomTree (proposed) What can/should we borrow from institutional-level investors? Setting reasonable expectations on returns Where are the attractive valuations? Strategies for growing wealth v. preserving wealth 10:35 am Coffee Break Foyer 11:00 am Presentation Unintended Risks (Proposed) Christopher G. Huemmer, CFA, Senior Investment Strategist, FlexShares Exchange Traded Funds 11:30 am Presentation Global Equities (Pending Confirmation) George Evans, Portfolio Manager, OFI Global Asset Management (pending confirmation) Robert Dunphy, Vice President and Co-Portfolio Manager, OppenheimerFunds (pending confirmation) 12:00 pm Lunch The Lakeview Room 1:15 pm Presentation & The Next Generation of Liquid Alts: Do They Really Meet a Need? Page 4

5 Michelle Boore, CFA, Portfolio Manager, OFI Global Asset Management (pending confirmation) 1:35 pm Guy J. Benstead, Partner, Cedar Ridge Partners, LLC Panelists: Casey Wamsley, Director, Collins Capital Jerry A. Miccolis, Principal and Chief Investment Officer, Giralda Advisors Michelle Boore, CFA, Portfolio Manager, OFI Global Asset Management (pending confirmation) Don Robinson, Chief Executive Officer and Co-Chief Investment Officer, Palladiem, LLC Manager due diligence what questions do you ask liquid alts managers? Allocation challenges how do you categorize a Fund of Strategy that purposefully tries not to be categorized? Risk overlays are they necessary, redundant, or simply a waste of time? Red flags how will we know when product development is Liquid Alts has gone too far? 2:00 pm Workshop Series Forum participants may choose which of these two concurrent sessions they wish to attend. Each workshop will run for 45 minutes in total. (The extra time allotted is to allow for travel to and from the workshop rooms.) The objective of these breakout groups is to delve more deeply into certain subjects while engaging attendees in an interactive dialogue with their peers. Workshop A LaSalle A Marie Dzanis, Senior Vice President, Head of Distribution, Northern Trust Asset Management Workshop B LaSalle B 2:45 pm Coffee Break Foyer 3:15 pm Practice Management: Succession Planning Tom Burkhart, Founder and Managing Member, Savant Investment Group, LLC Panelists: Page 5

6 David T. Albaneze, Chief Investment Strategist, LBA Wealth Management, LLC Kenneth J. Bower, Principal, Moneta Group Joseph T. Seminetta, President, Premier Asset Management LLC Panelists to be identified Building alliances and networks good for succession planning and also good for cost containment? Aggregators what are the benefits and what are the costs? 4:00 pm Idea Labs LaSalle A and LaSalle B At tables of 6-8 participants, each focusing on a specific issue, attendees will discuss the reasons why this issue is pertinent to their firm and their concerns around it with the goal of sharing expertise, experiences, and lessons learned. Idea Lab I: Women in Finance (proposed) LaSalle A Debra Brennan Tagg, Managing Partner, Brennan Financial Services Idea Lab II: Communicating Your Value Proposition (proposed) LaSalle A Idea Lab III: Expanding and Putting Infrastructure in Place (proposed) LaSalle A Idea Lab IV: LaSalle B Idea Lab V: LaSalle B 4:45 pm Opinion Has the Industry Lost Its Mind in Terms of Active Management? Rick Vollaro, Chief Investment Officer, Pinnacle Advisory Group Investors are making a mistake in not looking at investment cycles and they re shortening their investment horizons. 5:15 pm Opinion Becoming Significant: What it Takes to Become a $1 Billion Plus Firm Matt Cooper, President, Beacon Pointe Wealth Advisors What does it mean to be a successful firm versus building a firm that is truly significant? Page 6

7 5:45 pm Cocktail Reception The Lakeview Room 6:30 pm Evening Free for Private Functions Tuesday, April 28 th 8:00 am Breakfast Discussion Groups Lakeview Room At peer-moderated tables of 8-10 participants, delegates will share their opinions and compare notes on a number of important issues identified by Advisory Board members as worthy of discussion. Delegates will be asked to contribute to the overall discussion with the intention of sharing information and learning from others experiences. Table 1: Cash Flow Management in Reference to the High Net Worth Investor (proposed) Brendan Connaughton, Chief Investment Officer, Partner, ClearPath Capital Table 2: Assessing Target-Date Funds Is this something you wish to build and offer? How do you compare them to each other and to benchmarks? Table 3: Cyber Security and Data Protection Carl E. Choy, Principal, CKW Financial Group Table 4: How Do You Make Employees Accountable? Table 5: Hiring Best Practices Anne Godfrey, Member of the Investment Team, Pence Wealth Management Table 6: Style Boxes and Benchmarks: Are There Differentiation Opportunities? Kreighton Bieger, Principal, KilterHowling LLC Are style boxes beneficial to our clients or to the industry? Do style boxes lead to better investment performance? Do clients care about style box investing? What does style-box agnostic investing look like? 9:00 am Benchmarking Session What are the investment issues, concerns and priorities of your RIA peers? In this opening session and in subsequent sessions, attendees will be polled on a number of high-interest topics using an anonymous, interactive electronic response system. The aggregated results of these polls will be displayed instantaneously on-screen to help illuminate the discussions which follow. By doing this, we will provide all attendees with useful benchmarks and unique insights into the concerns of RIAs and their clients. 9:10 am Staying Competitive: From Strategy to Execution Page 7

8 Gary P. Henson, President, Mariner Holdings Panelists: Eric Poirier, Chief Executive Officer, Addepar Eric Godes, Chief Operations Officer & Chief Wealth Advisory Officer, Federal Street Advisors (pending confirmation) Kreighton Bieger, Principal, KilterHowling LLC How do you communicate your value to your clients as opposed to focusing on your credentials or experience? Leveraging technology for impactful strategies How technology empowers consistent execution Organizing your clients and prospective clients to communicate effectively about what they care about Compensation what works and what doesn t? Smaller firms find a niche or merge? What are the ramifications of taking wealth management inhouse? 9:55 am Presentation Topic TBD 10:25 am Coffee Break Foyer 10:45 am Benefiting from Risk Paul Nikolai, Principal & Director, Investment Advisory, Aspiriant Are asset classes starting to move less in tandem? 11:30 pm Discussion Practice Management: What Services Are You Adding To Make Your Practice More Productive? 12:00 pm Lunch LaSalle Room 1:30 pm Forum Concludes Page 8

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