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Hosted by FPA Connecticut

30th Annual CT Planners Conference 2014

Welcome to the largest Financial Planning Conference in Connecticut!    This conference is about the future of Financial Planning and the resources that you will need to survive and flourish.  The uncertainty in the economy has caused many of our clients and customers to seek the advice of professionals.  In order to be competent in advising our clients in the best direction, we are assembling the most current and interesting topics and speakers to provide you with insight and effective strategies, along with CFP and Insurance CE credits.   Sessions will be filled with ideas that could push your success in your practice to record levels.   Scroll down to the bottom of this page to register and to pay by credit card.  If you would like to print and mail a registration form with your check, see our Conference Flyer.   Also, here is a printable Schedule at a Glance.

In addition, our sponsors and exhibitors will be able to show you the latest ideas in investments, practice management, and insurance concepts in the Resource Center.  ONLY 3 SILVER SPONSOR BOOTH LEFT!   Information on Sponsorships.
 
This year we are trying a new twist on the 4:30 cocktail hour and are very lucky to have the legendary Vern Hayden lead a Mentor / Mentee Discussion during this hour.   Potential Mentors and Mentees are invited to grab some refreshments and learn about Vern's process and experiences with mentoring, and be part of the discussion.  Full time students and CFP program students are invited to attend at the student rate of $99.     As always, WE WILL HAVE RAFFLE PRIZES, however, they will be drawn during the final keynote, and winners posted on the screen at the beginning of the cocktail party.
  
 
2014 Premier Sponsor  
 
 
   
 
2014 Gold Sponsors
 
  
 
 
 
 
 
 
 
 
 
 
 
2014 Silver Sponsors
 
 

Wednesday, April 23, 2014
7:15 AM - 5:30 PM

Location

Aqua Turf Club
556 Mulberry St
Plantsville   CT   06479
(860)621-9335
FAX    (860)276-9966
Email for Location
Website for Location
Map for Location


Speakers



Michael Clear
Partner
Wiggin and Dana
The New Mindset for Estate Planning After ATRA 2012: Segmenting Our Thinking for Small, Medium and Large Clients


Paul Czepiga
Czepiga Daly Pope & Perri
Don’t Trust A Trust That You Don’t Know


Dan Daniels
Wiggin and Dana
The New Mindset for Estate Planning After ATRA 2012: Segmenting Our Thinking for Small, Medium and Large Clients


Anthony Davidow, CIMA
Vice President, Alternative Beta and Asset Allocation Strategist
Charles Schwab & Co., Inc.
An Evolutionary Approach to Asset Allocation & Portfolio Construction


P. Todd Fithian
The Legacy Companies
It’s Time to Draw the Line


Vern C. Hayden, CFP®
Hayden Financial Group LLC
Ten Lessons from the Ups and Downs of 46 years of Financial Planning


Julie Jason
Jackson, Grant, & Co.
Financial Adviser Who’s Who – How “Brochure” Disclosures Can Change Investor Perception


Tim Lockwood
MoneyGuard Specialist
Lincoln Financial
The Hybrid Market is There. Are You?


Russell G. Lowry, CFP®, CRPC®, CWM®
Wealth Planning Advisor
Sagemark Consulting
The Business Sale Process - What an Owner Should Know


Manish Malhotra
Income Discovery
Retirement Income Strategies: which strategies work, which don't and why?


Kevin McDevitt, CFA
Senior Fund Analyst, Active Funds Research
Morningstar
Revealing a Fund’s Character: Making Sense of Active Share


Greg Miller, CPA
CEO and Co-Chief Investment Officer
Wellesley Investment Advisors, Inc.
Outrunning the Bear - How you can Outperform Stocks and Bonds with Convertibles


David Polak
American Funds
The New Geography of Investing: A paradigm shift in portfolio evaluation and construction


Eric Rentsch
Code SixFour
Post-Health Care Reform: Financial Advisors Shaping Employer Benefits


Thomas Spicer
Vice President and Portfolio Advisor
Wellington Management presented by CHET Advisor,
A Recipe for Growth...Plus a Pinch of Inflation


Jeffrey N. Swiggett, CBI, M&AMI
VR Business Sales
The Business Sale Process - What an Owner Should Know


Matthew Tuttle, CFP®, MBA
Tuttle Wealth Management
Trend Aggregation - Tactical Asset Allocation


Pay now at our secure PayPal payment area where you can pay by credit card, debit card or PayPal account


Member Pre Registration fee 4/5-4/21/14 $129.00
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Guest Pre Registration fee 4/5-4/21/14 $180.00
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Full Time Student and CFP Program Enrolled Student Rate $99.00
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Silver Sponsor Fee $1,500.00
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Electrical for Booth $60.00
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Silver Sponsor Early Bird Fee $1,350.00
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Bronze Early Bird $900.00
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Mentor/Mentee Discussion Sponsor $250.00
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Non Member Registration Fee $200.00
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Balance on Silver Sponsorship $500.00
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Early Bird Fee $99.00
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Agenda

 


P. Todd Fithian
The Legacy Companies

Apr 23 2014 7:50AM


It’s Time to Draw the Line


The beginning years of becoming a solid financial advisor focuses largely on both technical and specific product knowledge. The formula is pretty straight forward. The more people we see, the more knowledge we have, the more clients we engage. Some advisors try and run on this model for their entire career, while others are in constant search for new ways to re-create themselves. Whether you are aware or unaware, the fact is all that knowledge has diminishing returns over the lifespan of your practice. Ok so here’s the good news. Consumers feel the same way and have been communicating through industry research that they want something different from their advisor. They are craving someone to engage in a different conversation designed to help them discover what they really want once and for all. You see clients don’t really know what they don’t know, and they need someone to guide them through that process. As the financial planning community this is your opportunity and today I will tell you WHY and HOW. Today it’s time to draw the line!



Anthony Davidow, CIMA
Vice President, Alternative Beta and Asset Allocation Strategist
Charles Schwab & Co., Inc.

Apr 23 2014 9:00AM


An Evolutionary Approach to Asset Allocation & Portfolio Construction


In today's ever changing market environment, asset allocation and portfolio construction need to evolve to meet client needs and objectives. Asset Allocation and Portfolio Construction decisions need to be comprehensive and integrated. This session will discuss the evolution of asset allocation theory, and practical portfolio construction considerations. There will also be a discussion on the role and use of active and passive investment options, and the growth of Fundamental (smart beta) strategies. Additionally, this session will cover the emergence of smart beta strategies, and how they compare to traditional market-cap strategies. A framework for making portfolio construction decisions, and the use of combining Active, Market-cap and Fundamental strategies in building better portfolios will be presented.



Russell G. Lowry, CFP®, CRPC®, CWM®
Wealth Planning Advisor
Sagemark Consulting

Apr 23 2014 9:00AM


The Business Sale Process - What an Owner Should Know


The sale of a business is almost always the major liquidity in a business owner’s life. Financial Planners need to understand the process and become an integral part of the exit planning team in order to ensure the sale satisfies the financial needs of the owner. This presentation will address and review the major topics that business owners face when they sell their business; valuation, the sale process, effective sale strategies and how financial planners can prepare owners for this.



Dan Daniels
Wiggin and Dana

Michael Clear
Partner
Wiggin and Dana

Apr 23 2014 9:00AM


The New Mindset for Estate Planning After ATRA 2012: Segmenting Our Thinking for Small, Medium and Large Clients


The passage of the American Taxpayer Relief Act of 2012 ushered in a new era of estate planning. Permanency in the estate tax, portable federal estate tax exemptions and income tax considerations have caused advisors to rethink the tax strategies for all clients. This program will review the tax changes and highlight the tax-efficient estate planning strategies advisors should consider for clients with various levels of wealth.



Julie Jason
Jackson, Grant, & Co.

Apr 23 2014 10:25AM


Financial Adviser Who’s Who – How “Brochure” Disclosures Can Change Investor Perception


Over the last few years, investors have been receiving SEC-mandated disclosure documents from advisers. What do you have to know about changing client perceptions due to these disclosures? How trust & estates lawyers and CPAs view the disclosures? How can advisers add value to client and referral relationships as a result?



Greg Miller, CPA
CEO and Co-Chief Investment Officer
Wellesley Investment Advisors, Inc.

Apr 23 2014 10:25AM


Outrunning the Bear - How you can Outperform Stocks and Bonds with Convertibles


Many investment professionals do not realize that there is a bond type whose value has historically tended to increase when interest rates rise: Convertible Bonds. Convertible bonds offer the potential to outperform the markets under any conditions. This presentation will educate listeners on convertible bonds as an asset class and a debt replacement strategy. It will also discuss theories behind limited risk investing and principal protection for investor's portfolios. Additionally, the presentation will discuss how adding the asset class of convertible bonds to a portfolio can increase returns while lowering volatility. Properly invested convertible bonds can have the attributes of principal protection and yield of bonds while at the same time, achieve much of the upside potential gains of equities. The seminar will review many facets of the convertible bond market, from how they are traded to specific bond attributes.



Eric Rentsch
Code SixFour

Apr 23 2014 10:25AM


Post-Health Care Reform: Financial Advisors Shaping Employer Benefits


Employers are in need of simple, common-sense advice for how to navigate health care reform now more than ever. Our research provides a framework that savvy financial advisors can use to implement fee-based consulting services, to help their clients understand their options and requirements due to the Affordable Care Act. Whether FPA members are currently investment advisors serving high network clients, providers of 401k administration services for business owners, or other – they would benefit from a session that shares the critical information their clients need to know about benefits strategies in a post health-care reform world.



Thomas Spicer
Vice President and Portfolio Advisor
Wellington Management presented by CHET Advisor,

Apr 23 2014 11:55AM


A Recipe for Growth...Plus a Pinch of Inflation


In 2013, equity markets soared in response to stable growth, declining tail risks, and easy monetary policy. During 2014 we see economic growth continuing to improve and central banks that remain accommodative. Wellington Management Company’s Portfolio Advisor Tom Spicer will examine the investment implications of this environment, key asset allocation considerations, the potential for continued growth domestically and abroad and the risk of inflation. Key points: Economic growth to continue to improve and central banks to remain accommodative; Inflation expectations are likely to rise – the change will be more important than the level; Overweight global equities, which are fairly valued despite recent gains; Fixed income, including government bonds, can still play a unique role in providing diversification, capital preservation, and liquidity; Fed tapering will be a seminal event in 2014, but the market has adjusted its policy outlook.



Manish Malhotra
Income Discovery

Apr 23 2014 1:30PM


Retirement Income Strategies: which strategies work, which don't and why?


Financial Advisors face the challenge of helping their retiring clients make decisions among multiple alternative strategies, such as Social Security claim deferral; use of annuities and bond ladder; and order of withdrawal across various tax-type accounts. To help compare the alternatives, an analysis framework will be presented and used to optimize for the strategy that maximizes the client after-tax income and legacy at least risk. An explanation of when and why certain products and strategies can improve the risk-reward profile of the plan will be provided.



Kevin McDevitt, CFA
Senior Fund Analyst, Active Funds Research
Morningstar

Apr 23 2014 1:30PM


Revealing a Fund’s Character: Making Sense of Active Share


In 2009, Martijn Cremers (of the Yale School of Management, at the time) and Antti Petajisto (a researcher and portfolio manager in BlackRock’s Multi-Asset Strategies group) created a tool for assessing just how active an equity manager is relative to his benchmark. Active Share represents the proportion of portfolio holdings that differ from those in the benchmark index. Active share tries to more precisely identify which managers are differentiating themselves from their benchmarks versus those who might be closet indexing. However, active share by itself doesn't tell the full story. It's a good starting point, but it doesn't capture all the ways in which a manager may be active. Using active share and tracking error in conjunction reveals more of a fund's character than either could alone. This presentation will go into the uses and limitations of both data points.



Vern C. Hayden, CFP®
Hayden Financial Group LLC

Apr 23 2014 1:30PM


Ten Lessons from the Ups and Downs of 46 years of Financial Planning


Vern has had two remarkable experiences that left him penniless. He also built two planning businesses he sold for a profit. The most recent one made him a millionaire. How did he get to be interviewed 317 times by CNBC, Bloomburg, Fox, PBS, NBC and ABC? How did he write 3 books and over 135 published articles? What was the secret to his Branding as Mr. Mutual Fund?
Answers to these questions and many others are imbedded in the ten lessons. For each one he will give you a take away that can help you build your business.



Paul Czepiga
Czepiga Daly Pope & Perri

Apr 23 2014 2:50PM


Don’t Trust A Trust That You Don’t Know


There are different types of living trusts and not all will be appropriate for your clients. Do you know if the revocable, charitable or A/B trust would best suit your client’s goals? If your client has a disabled child, then maybe a special needs trust is more appropriate. You need to make sure you know how each trust works to properly advise your clients of their fiduciary obligations as trustees and protect them from potential liability under the Prudent Investors Act. Each trust also requires a different skill set from the trustees – can you adequately counsel your clients about what they are? Do you know what is required of the beneficiaries and how the requirements differ depending upon the type of trust? The answers, which will be provided in this session, could significantly impact your client’s investment strategy.



Tim Lockwood
MoneyGuard Specialist
Lincoln Financial

Apr 23 2014 2:50PM


The Hybrid Market is There. Are You?


This presentation provides you with a fundamental understanding of how a hybrid long-term care policy helps protect a client and his/her family from the risk of long-term care. It goes over the common features and benefits and who are the target clients for these types of solutions.



Matthew Tuttle, CFP®, MBA
Tuttle Wealth Management

Apr 23 2014 2:50PM


Trend Aggregation - Tactical Asset Allocation


Many clients and their advisors are starting to question the effectiveness of Modern Portfolio Theory (MPT) asset allocation approaches and are starting to embrace Tactical Asset Allocation (TAA). Traditional TAA done well can be far superior to MPT but it still has its potential drawbacks. This session will focus on Trend Aggregation, the next generation of TAA, which addresses the deficiencies of TAA.



David Polak
American Funds

Apr 23 2014 3:45PM


The New Geography of Investing: A paradigm shift in portfolio evaluation and construction


Today we see the need for a new paradigm in portfolio construction. In an increasingly integrated global economy, a company’s country of domicile is becoming less relevant than where it does business. As such, the domicile approach to measuring geographic exposure is increasingly disconnected from the fundamentals that drive companies and portfolios. Overall, we believe that:

· Advisers, consultants and investors should be flexible and think outside the traditional asset allocation framework.
· Economic exposure, or revenue-based analysis, is a much better tool for understanding the risks and opportunities embedded in portfolios.
· Broad mandates such as global equities, or those defined by objectives such as capital appreciation or dividend growth, provide a better framework for defining portfolios and as the building blocks of an asset allocation program.



Sessions

Continuing Education, per session, show accepted hours, or info about CE status. Hover over hours or info for details.


DateCourse Title/DescriptionStartCFP®
Apr 23, 2014 It’s Time to Draw the Line P. Todd Fithian 7:50 A 1.00
An Evolutionary Approach to Asset Allocation & Portfolio Construction Anthony Davidow, CIMA 9:00 A 1.00
The Business Sale Process - What an Owner Should Know Jeffrey N. Swiggett, CBI, M&AMI Russell G. Lowry, CFP®, CRPC®, CWM® 1.00
The New Mindset for Estate Planning After ATRA 2012: Segmenting Our Thinking for Small, Medium and Large Clients Dan Daniels Michael Clear 1.00
Financial Adviser Who’s Who – How “Brochure” Disclosures Can Change Investor Perception Julie Jason 10:25 A 1.00
Outrunning the Bear - How you can Outperform Stocks and Bonds with Convertibles Greg Miller, CPA 1.00
Post-Health Care Reform: Financial Advisors Shaping Employer Benefits Eric Rentsch 1.00
A Recipe for Growth...Plus a Pinch of Inflation Thomas Spicer 11:55 A 1.00
Retirement Income Strategies: which strategies work, which don't and why? Manish Malhotra 1:30 P 1.00
Revealing a Fund’s Character: Making Sense of Active Share Kevin McDevitt, CFA 1.00
Ten Lessons from the Ups and Downs of 46 years of Financial Planning Vern C. Hayden, CFP®
Don’t Trust A Trust That You Don’t Know Paul Czepiga 2:50 P 1.00
The Hybrid Market is There. Are You? Tim Lockwood
Trend Aggregation - Tactical Asset Allocation Matthew Tuttle, CFP®, MBA 1.00
The New Geography of Investing: A paradigm shift in portfolio evaluation and construction David Polak 3:45 P 1.00



Registration Fee
Member Through  April 4 $99.00
April 5 April 23 $129.00
  April 24 April 23 $200.00
Non-Member Through  April 4 $160.00
April 5 April 23 $180.00
April 24 April 23 $200.00