Now On Demand! | 4 CE Credits

Welcome to the

Forbes Advisor Playbook

Presented by RIA Channel

The Forbes Advisor Playbook Agenda

Now On Demand! - Accepted for 4 CFP/CIMA CE Hours

12:30pm-1pm EST
Keynote Speaker - Steve Forbes Interviews Tom Dorsey, Founder, Dorsey, Wright & Associates
Tom Dorsey co-founded Dorsey, Wright & Associates, a Nasdaq Company, in January 1987. Mr. Dorsey has over 40 years of experience in the financial services business, having started as a stock broker with Merrill Lynch Pierce Fenner & Smith in 1974. He is the author of nine books whose subject matter ranges from the Point & Figure methodology to motivational topics, and is regularly quoted in the financial media. Mr. Dorsey is an award winning speaker, having taught the Point & Figure method of investing, around the globe. Additionally, he has been recognized for his business acumen with various awards including the Citizens Community Award from Governor Charles Robb, Runner-up Ernst & Young Entrepreneur of the Year Award 1999, Runner-up Best Small Business of Richmond, VA 2000, and Alumni of the Year 2000, Virginia Commonwealth University as well as Star Alumni Virginia Commonwealth University 2015. He was also recently recognized as a Market Technicians Association “Living Legend.” Dorsey, Wright & Associates was acquired by Nasdaq in January 2015.
1pm-2pm EST
The Case for Active Management - 1 CE Credit
Active managers seek to outperform benchmarks, and are allotted the freedom of security selection, the flexibility of sector diversion and the benefits of security concentration. Investment managers seek to uncover opportunities otherwise overlooked or undiscovered by other investors. Active management also remains a steadfast mechanism for delivering alpha through non-correlated investment solutions that lower overall portfolio volatility. Benefits exist in both equity and fixed income active management that passive investing can’t attain. This session will elaborate on these benefits and portfolio construction considerations for both passive and active management.
2pm-3pm EST
Beyond 60/40: Strategies for Optimizing the Risk/Return Equation - 1 CE Credit
Generating income and total return has become more difficult in this low rate, unpredictable market environment. Dividend weighting, alternative beta and liquid alternative investments all provide potential solutions for advisors seeking strategies to optimize portfolios versus a traditional 60/40 equity and fixed income allocation. This session will cover historical benchmark performance across various alternative and alternative weighted strategies, along with modern methods to reduce risk and optimize return.
3pm-4pm EST
Municipal Markets - Being Active in a Passive World - 1 CE Credit
Tax policies and interest rates have generally driven volatility in the municipal bond market. As we face more market uncertainty, financial advisors are seeking to mitigate risks. Understanding the opportunities, assessing risk and optimizing portfolios is critical for financial advisors. This session will provide post-election insights and outlook that may assist in navigating the municipal bond market in 2017 and beyond.
4pm-5pm EST
Uncovering Yield in a Low Rate Environment - 1 CE Credit
Persistent low rates have reframed the hunt for yield. The macroeconomic and regulatory environment pressures are aiding this effort. Well diversified portfolios positioned for lower volatility may also benefit from inflationary protections that certain alternative income solutions may provide. This session will present advisors with non-traditional options and strategies to achieve their income goals in this uncertain rate environment.

Speakers



Tom Dorsey

Founder

Dorsey Wright & Associates,
a Nasdaq Company

Tom Dorsey co-founded Dorsey, Wright & Associates in January 1987. Mr. Dorsey has over 40 years of experience in the financial services business, having started as a stock broker with Merrill Lynch Pierce Fenner & Smith in 1974. He is the author of nine books with subject matter ranges from the Point & Figure methodology to motivational topics, and is regularly quoted in the financial media. Mr. Dorsey is an award winning speaker and has taught the Point & Figure method of investing around the globe. Additionally, he has been recognized for his business acumen with various awards including the Citizens Community Award from Governor Charles Robb, Runner-up Ernst & Young Entrepreneur of the Year Award 1999, Runner-up Best Small Business of Richmond, VA 2000, and Alumni of the Year 2000, Virginia Commonwealth University as well as Star Alumni Virginia Commonwealth University 2015. He was also recently recognized as a Market Technicians Association “Living Legend.” In 2015, Dorsey, Wright & Associates was bought by Nasdaq.

Douglas Baker

Senior VP, Portfolio Manager

Nuveen Asset Management

Doug is the head of the Preferred Securities Sector Team and a member of the Fixed Income Strategy Committee, which establishes investment policy for all taxable fixed income products. He co-leads the taxable fixed income credit oversight process, which provides a structure for implementing credit strategy across taxable fixed income. As a senior fixed income portfolio manager, he is the lead manager for Nuveen Asset Management’s Preferred Securities related strategies, as well as a co-portfolio manager for the Multi-Sector, Core Plus Bond, and Inflation Protected Municipal Bond strategies. Doug has managed the Preferred Securities strategy since its inception in 2006, the Multi-Sector and Core Plus strategies since 2016, and the Inflation Protected Municipal Bond strategy since 2011. He also manages Nuveen Asset Management’s municipal derivatives overlay group, where he is responsible for implementing derivatives based hedging strategies across the Nuveen municipal bond complex.
Doug began working in the financial services industry in 1996. He joined Nuveen Asset Management in 2006 as a vice president and derivatives analyst, and later that year his responsibilities expanded to include portfolio management duties. Previously, Doug spent three years at Lehman Brothers in institutional fixed income and derivatives sales and five years at Bank of America in corporate and commercial banking.
He earned his B.S. in finance with honors from the University of Illinois and his M.B.A. in finance and economics with honors from the University of Chicago’s Graduate School of Business. Doug holds the Chartered Financial Analyst designation and is a member of the CFA Institute and the CFA Society of Chicago.

Joseph Barrato

Chief Executive Officer

Arrow Funds

Joe is CEO and co-founder of Arrow Investment Advisors, LLC, the advisor to Arrow Funds and ArrowShares. His industry experience of more than 25 years includes six years at Rydex Investments. As Director of Product Development, he was responsible for researching new strategic opportunities, as well as creating high-quality and innovative investment products and services. Prior to Rydex, Joe spent 12 years at the Federal Reserve Board of Governors as an analyst and senior financial examiner, where he advised Fed officers and board officials on financial, operational and managerial enhancements. He holds a bachelor's degree in business administration from The George Washington University, where he majored in finance and minored in accounting.

Conrad Doenges

Portfolio Manager

Ranger Investments

Mr. Doenges joined Ranger Investments in 2004 and serves as the Portfolio Manager for the firm’s Small, Mid and SMid-Cap growth strategies. Mr. Doenges also has primary research responsibility for consumer discretionary, consumer staples and producer durables companies. Prior to joining Ranger, Mr. Doenges served as a Partner, Managing Director and Co-Chief Investment Officer for John McStay Investment Counsel. Mr. Doenges was employed by John McStay from 1998 to 2004. Throughout his tenure he was responsible for portfolio management, research, new business development and client service. From 1996 - 1998 Mr. Doenges served as President of Newcastle Capital Management, a boutique investment research firm that provided investment research to clients which included Friess Associates and John McStay Investment Counsel. At Newcastle, Mr. Doenges’ research primarily focused on the consumer sector. Prior to forming Newcastle Capital Management, Mr. Doenges worked as an analyst for Friess Associates from 1991-1996. Mr. Doenges started his career in 1988 as a credit analyst with NationsBank (later renamed Bank of America). Over the next two years he served as an Associate working on numerous investment banking deals of several Fortune 500 companies. Mr. Doenges graduated from Davidson College with a B.A. degree in History. Mr. Doenges served as student body president of Davidson College.

David Dowden

Managing Director

MacKay Municipal Managers

Mr. Dowden joined MacKay Shields in 2009 as a Portfolio Manager in the Municipal Bond Division.
Prior to joining MacKay Shields, he was the Chief Investment Officer at Financial Guaranty Insurance Company. Mr. Dowden was previously with Alliance Capital Management as a Senior Portfolio Manager and at Merrill Lynch & Company as a Municipal Strategist.
Mr. Dowden has an AB from Brown University and an MBA from Columbia University. He has been in the investment management industry since 1989.

Steve Forbes

Chairman & Editor-in-Chief

Forbes Media

Steve Forbes is Chairman and Editor-in-Chief of Forbes Media.
Under Mr. Forbes’ leadership, the company has launched a variety of new publications and businesses. They include: ForbesLife, the dedicated luxury lifestyle and culture magazine; Forbes Europe, Forbes Asia; and Forbes licensee editions published in over 37 countries. The company also publishes a number of investment newsletters.
In 1996 Forbes entered the new media arena with the launch of Forbes.com.
The company’s flagship publication, Forbes, is the nation’s leading business magazine, with a circulation of more than 900,000. Forbes combined with Forbes Asia, Forbes Europe and the company's licensee editions together reach a worldwide audience of more than 5 million readers.
Mr. Forbes writes editorials for each issue of Forbes under the heading of “Fact and Comment.” A widely respected economic prognosticator, he is the only writer to have won the highly prestigious Crystal Owl Award four times. The prize was formerly given by U.S. Steel Corporation to the financial journalist whose economic forecasts for the coming year proved most accurate.
In both 1996 and 2000, Mr. Forbes campaigned vigorously for the Republican nomination for the Presidency. Key to his platform were a flat tax, medical savings accounts, a new Social Security system for working Americans, parental choice of schools for their children, term limits and a strong national defense. Mr. Forbes continues to energetically promote this agenda.

Samuel L. Hendel

Portfolio Manager

Levin Capital Strategies

Sam Hendel is a portfolio manager and securities analyst for Levin Capital Strategies, LP. Prior to joining the Firm, Mr. Hendel was a senior analyst for event driven strategies at Satellite Asset Management (2006-2009). Prior to Satellite Asset Management, Mr. Hendel was an analyst/associate director at UBS and worked in both the portfolio trading and proprietary trading groups (2003-2006). Mr. Hendel earned a BA from Yale University.

Dan O’Brien

Senior Vice President

Belle Haven Investments

Dan O'Brien is Senior Vice President and the Head of Institutional Development and Consultant Relations at Belle Haven Investments. He has been working in the financial services industry for over 25 years within the retail and Institutional marketplace.
Dan's experience includes working in Fixed Income, Equities, and Alternative Investments. He began his career at Lehman Brothers in 1989. He went on to serve as a Managing Director in the Private Wealth Group at John Hancock, a key member of the Alternative Strategies Group at Wells Fargo, and as a Senior Vice President at Nuveen Investments.
Mr. O'Brien resides in Pound Ridge, New York with his wife, Laura and their two children.

Jeremy Schwartz

Director of Research

WisdomTree Asset Management

As Director of Research, Jeremy Schwartz is responsible for the WisdomTree Equity Index construction process and oversees research across the WisdomTree equity family. Prior to joining WisdomTree, Jeremy was Professor Jeremy Siegel’s head research assistant and helped with the research and writing of Stocks for the Long Run and The Future for Investors. He is also the coauthor of the Financial Analysts Journal paper “What Happened to the Original Stocks in the S&P 500?” and the Wall Street Journal article “The Great American Bond Bubble.” Jeremy is a graduate of The Wharton School at the University of Pennsylvania and a member of the CFA Society of Philadelphia.

Luciano Siracusano

Chief Investment Strategist

WisdomTree Asset Management

Luciano Siracusano is WisdomTree’s Chief Investment Strategist. He is the co-creator, with CEO Jonathan Steinberg, of WisdomTree’s patented Indexing methodology. Mr. Siracusano led WisdomTree’s sales organization from October 2008 until June of 2015, while also serving as the firm’s Chief Investment Strategist. Luciano stepped down as WisdomTree’s Head of Sales in 2015 to focus full time on his duties as Chief Investment Strategist. From 2001 until October 2008, Luciano was WisdomTree’s Director of Research and was responsible for the creation and development of WisdomTree’s proprietary stock indexes. Luciano is a regular guest on CNBC and FOX Business, and speaks and writes frequently on ETFs, indexing and global financial markets. A former equity analyst at Value Line, Luciano began his career as a speechwriter for former New York Governor Mario Cuomo and HUD Secretary Henry Cisneros. He graduated from Columbia University with a B.A. in Political Science in 1987.

Moderator: Keith Black

Managing Director

CAIA

Keith Black has over twenty-five years of financial market experience, serving approximately half of that time as an academic and half as a trader and consultant to institutional investors. He currently serves as Managing Director of Curriculum and Exams for the CAIA Association. During his most recent role at Ennis Knupp + Associates, Keith advised foundations, endowments and pension funds on their asset allocation and manager selection strategies in hedge funds, commodities, and managed futures. Prior experience includes commodities derivatives trading, stock options research and CBOE floor trading, and building quantitative stock selection models for mutual funds and hedge funds.
Dr. Black previously served as an assistant professor and senior lecturer at the Illinois Institute of Technology.
He contributes regularly to The CFA Digest, and has published in The Journal of Wealth Management, The Journal of Trading, The Journal of Investing, and The Journal of Alternative Investments, among others. He is the author of the book “Managing a Hedge Fund,” as well as the co-author of the 2012 and 2015/2016 second and third editions of the CAIA Level I and Level II textbooks. Dr. Black was named to the Institutional Investor magazine’s list of “Rising Stars of Hedge Funds” in 2010.
Dr. Black earned a BA from Whittier College, an MBA for Carnegie Mellon University, and a PhD from the Illinois Institute of Technology. He has earned the Chartered Financial Analyst (CFA) designation and was a member of the inaugural class of the Chartered Alternative Investment Analyst (CAIA) candidates.

Moderator: Brendan Gundersen

Managing Director

MainStay Investments

Mr. Gundersen has over 20 years of industry experience and joined New York Life & MainStay Investments in December 2014 to lead the newly formed Institutional Intermediary Channel. Mr. Gundersen’s responsibilities include leading, building and growing the Institutional Intermediary Channel, which include four unique segments of like-minded fiduciary consumers of our investment solutions: Private Bank and Trust; Large RIAs; Defined Contribution Investment Only (DCIO); and Research Platforms.
Previously Mr. Gundersen worked for BlackRock, where he spent the last 8 years building a market leading business and strong partnerships across a variety of institutional and fiduciary clients. He led the effort across many product solutions including their ETFs, alternatives, SMAs and active mutual funds. Mr. Gundersen received his BS from the State University of New York – Plattsburgh and received his MBA in Finance from the University at Albany.

Moderator: Peter Lazaroff

Director of Investment Research

Plancorp, LLC

Peter Lazaroff, CFA, CFP® is the Director of Investment Research at Plancorp, where he plays a key role in developing and communicating the firm’s investment strategy. With over $3 billion in AUM, Plancorp helps people get their entire financial house in order and keep it that way forever by engaging in comprehensive financial planning.
Peter is the editor of the Plancorp Annual Investment Review and a contributor for Forbes, CNBC.com, and CFA Institute’s Enterprising Investor. His commentary is sought out by a wide spectrum of media sources including Print (Wall Street Journal, New York Times, Barron’s, MarketWatch, CNN Money, US News, etc.) and TV (local Fox and NBC affiliates).

Moderator: Matt Schifrin

Vice President & Managing Editor

Forbes Media

Matthew Schifrin is vice president and managing editor at Forbes Media, LLC and Forbes newsletters. He oversees money, investing, markets and personal finance content in Forbes magazine and on Forbes.com, including its Intelligent Investing video show and Financial Advisor Network. Mr. Schifrin also manages Forbes Newsletter Group and Forbes iConferences, and was the founding editor of Forbes Best of the Web. As an investigative reporter, his articles have been featured on the cover of Forbes magazine dozens of times. Mr. Schifrin has won a Society of American Business Editors and Writers, “Best In Business” award and has been a finalist for an American Society of Magazine Editors National Magazine Award. He is a frequent speaker at investor conferences and has appeared numerous times on radio and television. Mr. Schifrin's is also author of The Warren Buffetts Next Door: The World's Greatest Investors You've Never Heard Of and What You Can Learn From Them, published by John Wiley & Sons in 2011.

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Now On Demand! | 4 CFP / CIMA CE Credits


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Forbes Advisor Playbook Survey Drawing Winner:
Charles A. Logue