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Semi-Annual Forum

January 27 - 29, 2020

Hotel Indigo

Los Angeles, CA

The XALT RIA Semi-Annual Forum is our signature event that provides Registered Investment Advisers with practical education, peer collaboration, and access to best-in-class alternative investment managers.

XALT RIA Forums combine immersive compliance and practice management workshops with short-duration one-on-one meetings with “RIA friendly” alternative investment managers. RIAs that attend will:

  • Learn from subject matter experts RIA-specific regulatory requirements related to on-boarding alternative investments, including investor suitability, transactional, and billing best practices.

  • Network and idea share with like-minded RIAs on the "real world" challenges and opportunities that come with incorporating a meaningful allocation to alternative investments.

  • Meet alternative investment managers that have been pre-qualified on their ability to serve RIA’s interests.

 

Space is limited to just 20 RIAs and 15 alternative investment managers. Don’t miss out on this opportunity to transform your practice. Register today!

Agenda
Monday, January 27, 2020
(All times in Pacific Time)

1:00 PM

XALT RIA Forum Registration Table Opens

Advisers: Check into your hotel, then come over to pick up your name badge and other registration materials.
Investment Managers: Attend our exclusive workshop on working with RIAs.

2:15 PM

Conference Begins. Welcome Remarks

2:40 PM

RIA Education Workshop #1

Surviving a Regulatory Audit When Using Alternatives

FINRA, SEC, and State-level audits are daunting even in the best of situations. Hybrids and fee-only RIAs face an intense level of scrutiny to ensure a fiduciary standard is being held, particularly when utilizing illiquid investments. While there is surprising little in terms of written regulations regarding the fiduciary standard, there is no shortage of arbitrations, fines, and suspensions from which to gleam important lessons. Learn from two of Aliso’s in-house FINRA and SEC enforcement experts on how to best plan and prepare before your next audit.

3:15 PM

Investment Manager Introductions - Session #1

Each Investment Manager will have 5 minutes at the podium to introduce themselves and their opportunity.

4:00 PM

Break

4:30 PM

Investment Manager Introductions - Session #2

Each Investment Manager will have 5 minutes at the podium to introduce themselves and their opportunity.

5:30 PM

Day 1 Closing Remarks

6:30 PM

Welcome Reception & Networking Mixer

Time to relax, enjoy some appetizers and drinks, and socialize with all the other participants. Network and make important business connections.
Tuesday, January 28, 2020

8:00 AM

Breakfast

9:00 AM

Keynote Speaker

The Science of Story: Brand is a Reflection of Culture

Adam Fridman is a seasoned entrepreneur and the founder of ProHabits, an organization rooted in positive psychology with a mission to drive the link between personal growth and organizational success.
Adam’s recently published book, “The Science of Story”, is based on interviews with over 500 top leaders on daily habits and personal growth. The book promotes two ideas: that an organization's brand is a reflection of its culture and that culture is a reflection of the purpose, daily habits, and values that guide an organization’s employees and teams. 
Expect a highly interactive session.

10:50 AM

RIA Education Workshop #2

Alternative Investment Back Office Best Practices
This session covers key regulatory and operational issues that must be addressed when incorporating non-liquid direct investments into a financial advisory practice. Key objectives include: (a) essential definitions every firm must include in its policies and procedures, (b) key regulatory issues that need to be addressed, (c) operational and supervisory procedures that should be created, (d) establishing (and enforcing) investor suitability protocols, and (e) what's required when completing a direct investment transaction on a fee-based platform.

11:25 AM

Break

11:50 AM

One-On-One Meetings with Investment Managers

The conference changes gears from education to due diligence. Organized as 12-minute one-on-one meetings, RIAs will have an opportunity to meet each Investment Manager personally, get specific questions answered, and quickly determine whether further due diligence is warranted.

1:50 PM

Lunch

2:35 PM

RIA Education Workshop #3

Due Diligence Best Practices
Without proper due diligence protocols in place, not only do RIAs increase their risk of picking a losing investment, they also subject themselves to heightened regulatory and arbitration risk. However, with Open Alt, the world’s first collaborative alternative investment platform, financial intermediaries can:
  1. Build due diligence teams that include both internal and external resources
  2. Follow a standardized due diligence protocol that can also be customized as needed
  3. Quickly identify, track, and follow up on outstanding items and issues
  4. Demonstrate adherence to regulatory guidelines
 
Key objectives of this session include: (a) understanding the regulatory requirements around due diligence on alternative investments, (b) introduction to Open Alt, (c) advantages and pitfalls of leveraging third party due diligence, and (d) post approval due diligence best practices.

3:10 PM

One-On-One Meetings with Investment Managers

The conference continues with another round of 12-minute one-on-one meetings with Investment Managers.

4:55 PM

RIA Roundtable Discussion - Session #1

The Future of the Financial Adviser
In this highly-interactive session, we will discuss as a group: (a) what are the most important opportunities and threats to an RIA’s practice, (b) what regulatory, market, and competitive trends will have the greatest impact, and (c) how can an RIA best prepare itself for long-term success. RIA attendees should come prepared to join in on the discussion.

5:30 PM

Day 2 Closing Remarks

6:30 PM

Day 2 Networking Mixer

Day 2 concludes with another Networking Mixer. Here is an RIA's chance to ask follow-up questions of Investment Managers and make any final connections.
Wednesday, January 29, 2020

8:00 AM

Breakfast

8:45 AM

RIA Education Workshop #4

A Primer on Tax Alpha-Focused Investments
Delaware Statutory Trusts (DSTs), Qualified Opportunity Funds (QOFs), and real estate investment opportunities with a Conservation Easement option (CEs) are types of alternative investments that offer the potential for significant tax alpha either through tax deferrals and/or tax deductions. At the same time, these investments carry additional regulatory, operational, and transactional risks. Learn from Aliso’s tax alpha-focused investment expert on how to appropriately and, most importantly, compliantly apply these unique investments. Key elements include: (a) determining suitability, (b) due diligence best practices, and (c) billing on non-standard real assets.

9:15 AM

Closed-Door Review of Investment Managers

Day 3 concludes with a closed-door (e.g., no Investment Managers allowed in the room) Adviser-only review of all the Investment Managers who presented. This is an opportunity to share what each RIA has learned and listen to the perspectives of both peers and due diligence experts on these programs.

12:15 PM

XALT RIA Forum Concludes

Reaching LAX's terminal will take approximately 45 minutes (ride sharing cars are no longer allowed curbside drop off). Therefore, the earliest RIAs should plan on flying out is 1:45 PM Pacific Time.
 
participating companies
Stay tuned, we'll keep updating participating companies as they are confirmed.
If you're an Investment Manager that is interested in participating, please CLICK HERE >>
If you're a Service Provider that is interested in participating, please CLICK HERE>>
 
location
Conference Facility / Hotel:
Hotel Indigo
899 Francisco Street
Los Angeles, CA 90017
1/5
 
Travel details
Arriving by Car:
Parking related expenses may be reimbursable per our Attendance Terms.
Arriving by Plane:
Burbank Airport (BUR) is approximately 17 miles away. Los Angeles Airport (LAX) is approximately 20 miles away from downtown L.A. Please review our Attendance Terms. before registering to understand how to have your travel expenses reimbursed.
 
Register
Registering to attend an XALT Forum is a multi-step process. The first step is to complete our short questionnaire. Once we have your contact information, we will send you via email two forms that you will need to complete. The first is our Attendance Contract, which establishes a basis for your travel and accommodation reimbursement. The other is our Alternative Investments Attitudes Questionnaire, which captures how you think about alternative investments. We will also send you a separate email with a link to participate in our ongoing Alternative Investments Key Choice Drivers market research study, which collects data on which factors financial intermediaries prioritize when evaluating and selecting alternative investments.
To begin the registration application process, please click on the "Start Registration" button below:

Sorry, RIA Registration is Full