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20th Annual Forum Sessions
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Mark Tibergien
Chief Executive Officer of Advisor
BNY Mellon | Pershing

How To Become The Employer of Choice

Many leading firms recognize that their very best employee is more important to the business than their very best client. Yet very few firm leaders have been trained to be effective people managers, a skill in acute demand today given the changing demographics of the profession and the communities advisors serve. Join Mark Tibergien, head of BNY Mellon Pershing’s RIA Custody unit, as he addresses the landscape for hiring and developing talent, creating a career path, developing effective leaders, and creating a dynamic, compelling work environment for new recruits, drawing on new research developed by the CFP Board Center for Financial Planning, for which he is chair of the Workforce Development Committee, and his many years of experience working with thousands of advisors on matters related to strategy, structure, people, processes and transition. 




Robert C. Doll, CFA
Senior Portfolio Manager,
Chief Equity Strategist
Nuveen Asset Management



2019 Economic and Investment Update

What’s the outlook for economic growth in 2019? Will corporate earnings growth continue to hold up? What are the key risks for investors over the coming year? And, most importantly, where can investors find the best opportunities? Bob Doll takes a look at all of these questions and provides his perspective around investment positioning for the coming year. 



Carolyn McClanahan, M.D., CFP® 
Director of Financial Planning
Life Planning Partners, Inc.

Creating An Aging Plan

Long term care costs are out of control. By preparing in advance, clients can potentially mitigate the costs and live their later years with greater peace and safety. Dr. McClanahan discusses putting preventive practices in place to help clients ease living transitions, driving transitions, and health care decision making transitions. 








Daniel Rubin, JD

Partner, Trusts and Estates and Asset Protection

Moses & Singer LLP

Protecting Your Assets From Your Future Former Spouse


No one weds to later divorce, but most recognize at least the possibility that the person soon to be standing next to them at the altar might be a "future former spouse."  Individuals of means will want to do what they can to protect against the financial consequences of that possible outcome, most commonly, perhaps, through a pre-nuptial agreement.  However, when a pre-nuptial agreement appears impractical or impossible, undesirable or potentially unenforceable, complementary or alternative strategies such as the self-settled spendthrift trust might (also) be used.  This session will examine both techniques for protecting oneself against the potential future former spouse.





Paul T. (Ted) Klontz, Ph.D.

Associate Professor of Practice

of Financial Psychology and Behavioral Finance, Founder

of the Financial Psychology Institute®

Creighton University’s Heider College of Business 



Practical Ideas For Strengthening and Increasing Resilience of The Client-Professional Relationship


Nearly everything a financial professional asks of a client is contrary to the human brain's subconscious (thus VERY resistant to change) programming. This subconscious programming has not received an "operating system update" in 150,000 years. It operates as if it were living in a tribal culture where concepts such as saving and futuristic planning offered no particular advantage to individual or tribal survival, and in fact, such behaviors were commonly negatively sanctioned. This ancient programming, responsible for at least 90% of the decisions a human being makes, results in some significant inefficiencies in today's world, and is relatively impermeable to information delivered in the traditional fact-filled educational manner. During this session, we will discuss and demonstrate some of the evidence-based tools that professionals can use to "work-around" some of the brain's self-defeating (for today's culture) programming as well as increase the likelihood that a client will adhere to professional recommendations.



Kathleen Rehl, Ph.D., CFP®, CeFT

Rehl WEALTH Collaborations LLC

Working Well With Widows


70% of widows fire their advisor after the death of their spouse. Will you be fired or hired by the new widow?

Join this session to enhance your understanding of and skills in working with widows. Special challenges and opportunities of serving widows are highlighted. Practical techniques, tools, and processes to enhance relationships with these women are emphasized. Kathleen speaks from the heart, including her personal experience as a widow plus many years of assisting widowed clients in her prior financial planning firm.
See video overview 




Stephen A. Galletto, Esq.


Stark & Stark



What The SEC Is Looking For In 2019


SEC OCIE 2019 Initiatives: During this session, we will discuss how the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations’ initiatives for 2019 will impact registered investment advisers. We will review how these key areas of examination shape your fiduciary duty and you compliance program.  



Wes Stillman


RightSize Solutions

How Smart Leaders Leverage Technology Infrastructure To Fuel Growth, Efficiency, and Firm Valuation


Technology has gone from being a competitive advantage to a strategic imperative. Yet when it comes technology, much of the industry discussion is solely focused on technology applications that help fuel practice growth, such as the latest financial planning tool or marketing software. We often overlook the role technology infrastructure plays in delivering not only cybersecurity and compliance with new regulatory mandates, but also in delivering workplace efficiency, a platform for growth, and ultimately, firm valuation. 
This session is geared to the non-technical executives at leading financial advisor practices. The session delves into key areas and questions responsible firm leaders should be focused on: 
What are the five key areas of technology infrastructure that all non-technical RIA leaders should areas should familiar with and focused on?
How can technology infrastructure contribute to operating best practices? 
Which cyber tools are critical for both efficiency and compliance with regulatory policies? 
If things go awry, what should the playbook look like?
What are the requisite skills and experiences to look for in internal resources or external partners? 
Attendees will walk away from this session feeling more confident in the roadmap to take to achieve best practices, while gaining insights on tradeoffs between technology efficiency, convenience, and security.





Jeff Rattiner, CPA, CFP®


Rattiner's Financial Planning Fast Track, Inc.


Using Form 1040 To Identify Financial Planning Needs and Opportunities


We have such an easy tool to use to help us assess our clients current financial position and the likelihood of them being successful in achieving their objectives, and it’s available to us whenever we need to see it, and it gets updated every year!  That’s right. Form 1040.  Reviewing this form is an excellent way for you to partially assess a clients’ overall financial situation.
Join Jeff Rattiner, CPA, CFP®, MBA, of Rattiner’s Financial Planning Fast Track ™, Inc., as he helps you discover why utilizing Form 1040 will be your best tool to meet with existing and potential clients. You’ll look at the financial planning angles of the tax form (not the income tax angle).  This approach enables you to question the client’s financial concerns and allows you to uncover key areas that have been neglected for quite some time. In essence, Form 1040 can be used as a roadmap or tool by you to uncover vital financial data and planners can review with their clients after tax season.  You’ll learn about assets, liabilities, cash flow and other key financial data that can be identified on the return but may go overlooked.  Analyzing a client’s tax return can help you unlock the doors to a whole range of potentially vital financial planning issues and opportunities for your clients.





Adam S. Minsky, Esq.

Managing Student Loans In A Challenging Landscape


Attorney Adam S. Minsky is a student loan expert who has established a successful legal practice in Massachusetts and New York focused entirely on helping student loan borrowers and their families. He will provide a detailed overview of the complex student loan system and programs that may be available to borrowers, so that practitioners will be better prepared to help clients who are struggling with student debt. Topics will include:

· Student loan types, players, and statuses
· Repayment plans, including income-driven repayment
· Loan forgiveness and repayment assistance programs
· Consolidation and refinancing
· Recent legislative changes and future proposals to watch for
· Resources





Robert Mauterstock, CFP®,



KR Wealth Management


7 Steps To Protect Yourself, Your Practice and Your Clients Who Have Diminished Mental Capacity


What do you do when you discover that one of your clients has a diminished mental capacity? If you don't know what steps to take to protect your client and your practice, both may be at risk. 
In this workshop you will learn the best practices to follow when one of your clients has a loss of memory. You will develop a protocol to use with every client you suspect may have diminished mental capacity. You will learn the skills to develop a relationship with the client's entire family and become their trusted adviser for future generations. 
Remember it is not a question of if you will have to work with a client who has diminished mental capacity but when. Prepare yourself now to protect your client, yourself and your practice.





Stephen Wilkes, Esq.


Investment Management Law

The Wagner Law Group

ERISA and The Independent Fiduciary: When and How Plans Should Use Them


ERISA Independent Fiduciary is a concept used throughout ERISA:  in published regulations, DOL guidance, judicial caselaw, DOL exemptions, and conflict of interest resolution – all to structure fiduciary decision making and plan asset transactions to meet the Plan’s best interests and avoid breaches of duty or otherwise prohibited transactions.  Mr. Wilkes will discuss the history and evolution of the Independent Fiduciary and provide examples of where and when an Independent Fiduciary may be helpful to the proper implementation of Plan operations. 




David Lau

Founder & CEO

DPL Financial Partners



Leveraging Insurance To Solve Important De-risking Problems


The 10-year bull market has resulted in many client portfolios being out of balance. Now, with the bull showing signs of ending, and a low (and possibly rising) interest rate environment, advisors need strategies to rebalance over-weighted equity portfolios, while avoiding potential risk in a rising rate bond market. Leveraging commission-free insurance as a fixed income alternative within your clients portfolio can serve as an effective strategy for sequence of returns risk protection and consistent payouts in retirement. Through a detailed analysis, you’ll learn which product categories are best suited to rebalance an over-weighted equity portfolio, strategies to use these products to benefit your clients’ unique goals, and why commission-free insurance is non-correlated through the insurance guarantee.



Thomas De Filippe

Managing Director

Marshall & Stevens, Inc.

Understanding Valuation and Why It Is Important For Your Practice and Your Clients  


Valuation is a critical part of comprehensive financial planning, including succession planning and estate planning, as is understanding how it can satisfy tax and other business requirements.  This session will explore key concepts and valuation methods; the necessity and value of  having an unbiased method; and how to determine the proper valuation methods to market your practice.  Mr. De Filippe will discuss the reasons why your client or small business needs to have expert valuation. 




Robert T. Rickey, CFP®

Senior Director

Head of Advisor Services
TIAA | Financial Services


The Role of Guaranteed Income in Retirement Income Planning – A Real World Case Study!


Join TIAA for an informative session on the role of guaranteed income in the retirement income planning process to address your clients’ concerns around market risk, longevity, rising medical costs, underfunded retirements, and legacy planning
The session will include:
· A brief update on the regulatory environment for guaranteed income products in retirement plans and what that means for fiduciary advisors and their clients.
· A real world client case including back testing a clients’ guaranteed income over three 30 year periods to highlight the importance of considering these options when available to a client.
· The Compensation question - A discussion on how advisors can adjust their compensation model to include guaranteed income products in their planning process. 




Mark Maimon

Vice President

Freedom Mortgage

Taking Advantage of NYC Real Estate Opportunities


Join Mark Maimon of Freedom Mortgage and two expert panelists (a top NYC real estate agent and real estate attorney) for this presentation and roundtable panel discussion about the state of NYC real estate. The program will include an overview of where the market currently is and where the panelists feel the opportunities are in the market for both buyers and sellers.


This session will cover:


· Understanding the state of the NYC real estate market - is it a good time for advisors' clients to buy or sell (or both)?

· Purchase and Financing opportunities that advisors' clients can utilize to take advantage of today's market.

· Helping clients in unique circumstances to be able to purchase (recent divorcees, people with low income, credit impaired, etc.).




'LET'S TALK' PANELS: Discussing The Important Topics In Our Profession Today




Suzanne Siracuse


Investment News

The Evolution of The Financial Planning Profession: Fostering Diversity, Inclusivity, and Equity


An interactive panel and peer-to-peer audience discussion moderated by Suzanne Siracuse. 




Victoria L. Fillet, CFP®

Financial Planning Advisor

Roosevelt Wealth Management

Robert Hernandez, CFP®

Founder, Certified Financial Planner

Main Street Associates

Martisha Patterson, CFP®

Vice President

BNY Mellon





Robert Powell


TheStreet's Retirement Daily;

USA TODAY; Retirement

Management Journal


NexGen: Exploring Different Career Paths


An interactive panel and peer-to-peer audience discussion moderated by Robert Powell.





Kevin Brady, CFP®

Senior Advisor Associate

Sontag Advisory

Ian Harvey, CFP®

Financial Planner

Financial Asset Management Corporation

Kaitlin Nicholis, CFP®

Client Relationship Consultant






Robert Powell
TheStreet's Retirement Daily;
USA TODAY; Retirement
Management Journal

Closing Panel: ‘Let’s Talk’: The Future of Elder Care Planning: Preparing For and Finding Solutions For Today’s Issues

An interactive panel and peer-to-peer audience discussion moderated by Robert Powell.




Carolyn McClanahan, M.D., CFP®; Paul T. (Ted) Klontz, Ph.D.; Kathleen Rehl, Ph.D., CFP®, CeFT; Robert Mauterstock, CFP®, CLU, ChFC








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