SCHEDULE PLANNING GUIDE - Financial Services Institute

ED SESSIONS
Session Outline—A Second Look at Third-Party Platforms
I. Welcome and Introductions
II. Business Models
a. Solicitation model (Top 10 points of interest)
i. Duties and responsibilities of platform and solicitor
ii. Fees of manager and solicitor
iii. Regulatory/compliance issues for manager and solicitor
iv. Miscellaneous topics/issues
b. Sub-advisor model (Top 10 points of Interest)
i. Duties and responsibilities of advisor and sub-advisor
ii. Fees of advisor and sub-advisor
iii. Regulatory/compliance issues for advisor and sub-advisor
iv. Miscellaneous topics/issues
c. Co-advisor model (Top 10 points of Interest)
i. Duties and responsibilities of co-advisors
ii. Fees of co-advisors
iii. Regulatory/compliance issues for co-advisors
iv. Miscellaneous topics/issues
III. Compliance Overview and Approaches from the Platform-user Perspective
a. Reports
b. Other materials
c. Restrictions
d. Communication
Anatomy of an RIA Acquisition
Tuesday, January 26, 1:00pm–2:15pm (75 minutes)
This session has been approved for 1.5 hours of continuing education for CFP ® , CLU ® , and ChFC ® .
Growth is essential—whether by acquiring or aligning with a larger firm—but where do you go
from there Join your colleagues to hear from Philip Palaveev and two broker-dealer executives on
a checklist and timeline for an acquisition’s steps, on examining the process for BD/RIA-BD/RIA,
BD-RIA, or RIA-RIA acquisitions, as well as the regulatory guidelines and common pitfalls to avoid in
a merger/acquisition.
Moderator: Philip Palaveev, President, Fusion Advisor Network
Speakers: Derek J. Bruton, Executive Vice President, National Sales Manager, Independent Advisor
Services, LPL Financial Corporation
Jeff Rosenthal, Senior Vice President & Chief Marketing Officer, Triad Advisors, Inc.
28 2010 FSI Broker- Dealer Conference