SCHEDULE PLANNING GUIDE - Financial Services Institute

ED SESSIONS
Investment Advisory Services track
Points of View: Competitive Strategies for Serving RIAs
Tuesday, January 26, 8:30am–9:45am (75 minutes)
Are you as competitive as you can be for new recruits looking to retain their independent RIAs while
coming on board with your firm This session will present the points of view of BD/RIAs, large RIAs,
and IARs looking to relocate, examining the different options to meet these needs and how each
option will affect the firm’s bottom line. Former noted industry consultant Mark Tibergien, now CEO
of Pershing Advisor Solutions, will lead you through whether to allow independent RIAs to use your
proprietary trade programs, conduct asset management, custody away, and share fees with third
parties such as accountants and lawyers. Mark also will explore current RIA trends, including growth
and retraction.
Speaker: Mark Tibergien, CEO, Pershing Advisor Solutions, LLC
Mark Tibergien is managing director of Pershing LLC. Previously, Mark was a principal
in Moss Adams LLP, where he was chairman of the Financial Services Industry
Group. He has consulted with hundreds of financial services organizations in the
U.S, Australia, and Canada. For the past eight years, Accounting Today has recognized
Mark as one of the “100 Most Influential” people in the accounting profession,
and for the seventh time, Investment Advisor magazine recognized him as
one of the “25 Most Influential” people in the financial services industry. He
authored two books, Practice Made Perfect and How to Value, Buy or Sell a
Financial Advisory Practice.
A Second Look at Third-Party Platforms
Tuesday, January 26, 10:00am–11:30am (90 minutes)
Take a new look at fresh opportunities on the third-party platform and a second look at responsibilities
your current agreements put on your firm that you may not even realize. Learn about the latest
options available to firms interested in offering advisors access to third-party money management
that may save your advisors money and your firm time. Understand when you need to dust off your
solicitation agreements or addendums and get clear on how your responsibilities, opportunities,
and liabilities vary depending on your role as a sponsor, sub-advisor, co-advisor, and solicitor. Join
this panel to learn how to navigate through third-party platforms and explore agreements and relationships
between third-party money managers and IBD/RIAs, revenue sharing, dos and don’ts of
entering into these relationships, and much more.
26 2010 FSI Broker- Dealer Conference