The CNBC Financial Advisor Summit brings together the country’s top advisory firms to explore the state of markets.

Forward-thinking advisors meet to hear from financial industry heavyweights about the state of the markets and the economy, and to discover new and innovative ways they can address the increasingly complex needs of their clients.

CFP continuing education credits will be provided for advisors who attend this event.

To read more about CNBC’s list of top-rated financial advisory firms, visit us here.

Why sponsor

Have intimate and unique exposure to the most influential players and firms in the FA community

Why attend

Hear from top financial leaders, and network and exchange notes with the nation's top FAs

Why it matters

We're convening the premier FAs to leverage and share their expertise and inspire the community

SPEAKERS

Josh
Brown

Ritholtz Wealth Management

Joshua Brown is CEO of Ritholtz Wealth Management.

Josh Brown

Josh Brown is the CEO of Ritholtz Wealth Management, a New York City-based investment advisory firm where he helps people invest for the future.

He has been named by The Wall Street Journal, Barron’s and TIME Magazine as the most important financial follow on Twitter. Josh’s blog, The Reformed Broker, is read by millions of investors, traders and advisors around the world. He is also the author of the books “Backstage Wall Street” and “Clash of the Financial Pundits.” His investment advisory firm, based in New York City, is focused on financial planning, retirement solutions, and institutional asset management.

Mary Beth
Franklin

Social Security Guru

Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

Mary Beth Franklin

Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

An award-winning journalist and Certified Financial Planner, Mary Beth writes a weekly column on retirement issues for Investment News, a publication for financial advisers. She is also author of the ebook, Maximizing Your Social Security Retirement Benefits.

In 2016, Mary Beth was honored with a Hero Award from the Women’s Institute for a Secure Retirement (WISER) for her efforts to improve retirement security among women. She is also an inaugural member of the Certified Financial Planner Board of Standard’s Women’s Initiative Council which focuses on improving gender and racial diversity in the financial services profession.

Previously, Mary Beth served as the tax and retirement editor for Kiplinger’s Personal Finance magazine and editor of Kiplinger’s annual Retirement Planning Guide. Earlier in her career, Mary Beth was a Capitol Hill reporter for United Press International. She is a frequent guest on numerous radio and television programs.

Bill
Winterberg

FPPad.com

Bill Winterberg

Bill Winterberg is Founder of FPPad.com.

Lazetta
Rainey Braxton

2050 Wealth Partners

Lazetta Rainey Braxton is Co-CEO of the 2050 Wealth Partners and Chair of the Board of the Association of African American Financial Advisors.

Lazetta Rainey Braxton

Lazetta Rainey Braxton MBA, CFP®, Co-CEO of 2050 Wealth Partners and CEO of Lazetta & Associates, is on a mission to transform human capital to equitable financial capital through holistic financial planning for underserved households and consulting for financial advisory firms who value Diversity, Equity and Inclusion. She provides access to financial planning for “the rest of us” while also advising C-Suite financial services leaders who are accustomed to the 1%.

Lazetta, a nationally-recognized financial expert, has appeared on NBC Nightly News with Lestor Holt and CNBC’s Closing Bell. She is a member of the CNBC Digital Financial Advisor Council and a Wall Street Journal Financial Experts blog contributor.

Recognized for her leadership and dedication to the financial planning profession, Lazetta was named one of Investment News’ inaugural Women to Watch and Excellence in Diversity and Inclusion recipients. She also received the Association of African American Financial Advisors’ Leadership Legacy Award and the Heart of Financial Planning award from the Financial Planning Association. She currently serves as Chair of the Board for the Association of African American Financial Advisors (AAAA) and President of AAAA Foundation.

Dani
Fava

EnvestNet

Dani Fava is Head of Strategic Development for EnvestNet.

Dani Fava

As Head of Strategic Development, Dani works closely with Envestnet, Inc.’s business, product, and client-facing teams to advance and accelerate the firm’s strategic vision. Dani is part of Envestnet’s newly created Strategy Office, which manages strategic development, engagement, and planning across the Envestnet organization to help advisors make financial wellness a reality for more people.

Dani draws on more than 15 years of wealth management and technology experience to identify and prioritize transformative opportunities for enabling financial advisors to provide essential advice in a rapidly evolving marketplace. She most recently served as Director of Institutional Innovation at TD Ameritrade Institutional, where she managed the launch of the iRebal portfolio rebalancing solution on the Veo platform, as well as the rollout of the Model Market Center, an innovative approach to bringing outsourced investment management capabilities to RIAs.

Dani was also responsible for launching TD Ameritrade’s voice-first capabilities, which deploy conversational AI for communicating with advisors. Prior to joining TD Ameritrade in 2012, Dani was a Senior Product Manager and Strategist at Fiserv.

Dani was named to the 2020 IA25 by ThinkAdvisor, which also honored her as one of the Top Women in WealthTech for 2019. She earned a Bachelor of Science in Finance from Wagner College, and has a wide variety of interests, ranging from big data and fintech startups to basketball and CrossFit. Follow Dani on Twitter at @ENVDani.

Tim
Kochis

Kochis Global

Tim Kochis is CEO of Kochis Global.

Tim Kochis

With 47 years of experience, Tim Kochis has long been recognized as one of the key leaders of the wealth management industry, both within the US and overseas. He is the inaugural recipient of the Charles Schwab IMPACT Award, the FPA’s Kemp Fain Award, the Veres Leadership Award, and several others. He is a member of the Estate Planning Hall of Fame and the University of California, Berkeley confers an annual award for Teaching Excellence in his name.

Tim is the former CEO and Chairman of Aspiriant, one of the industry's largest and most admired firms, He led the wealth management practices at Bank of America and at Deloitte through the 1980’s before co-founding Kochis Fitz in 1991. Kochis Fitz merged with Quintile in 2008 to form Aspiriant, in one of the RIA industry’s most strategic M&A transactions. Throughout those organizations, Tim worked with thousands of clients, with a special focus on senior corporate executives. Tim now provides training and mentoring and strategic consulting for wealth management firms around the world and writes and speaks extensively in the US and overseas. In the US, as a Special Advisor to the DeVoe & Co. organization, he focuses heavily on issues of management and equity succession for RIA firms. He is the author of many professional articles and several books: 2 editions of Wealth Management; Success & Succession; 2 editions of Managing Concentrated Stock Wealth; and Wealth Management for China’s New Elite.

Tim was also a co-founder of the Personal Financial Planning Program at the University of California, Berkeley, where he has taught for many years. He has been very active within industry organizations, globally, having chaired the CFP Board, the Foundation for Financial Planning, and the international certification authority, the Financial Planning Standards Board.

Tim has an MBA from the University of Chicago, a JD from the University of Michigan, and a Bachelor of Arts degree from Marquette University. He served in the US Army during the Vietnam era and received a Purple Heart for wounds received in action.

Samantha
Russell

Twenty Over Ten

Samantha Russell is Chief Marketing & Business Development Officer at Twenty Over Ten.

Samantha Russell

Samantha Russell is the Chief Marketing & Business Development Officer at Twenty Over Ten, a digital marketing platform for financial advisors. Samantha helps financial advisors attract and retain clients through digital marketing strategies that produce explosive growth, including website development, content marketing, SEO, social media and video.

SPEAKERS

  • JOSHUA BROWN

    Ritholtz Wealth Management

    Read Bio ⟶

    JOSHUA BROWN

    Josh Brown is the CEO of Ritholtz Wealth Management, a New York City-based investment advisory firm where he helps people invest for the future.

    He has been named by The Wall Street Journal, Barron’s and TIME Magazine as the most important financial follow on Twitter. Josh’s blog, The Reformed Broker, is read by millions of investors, traders and advisors around the world. He is also the author of the books “Backstage Wall Street” and “Clash of the Financial Pundits.” His investment advisory firm, based in New York City, is focused on financial planning, retirement solutions, and institutional asset management.

  • MARY BETH FRANKLIN

    Social Security Guru

    Read Bio ⟶

    MARY BETH FRANKLIN

    Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

    An award-winning journalist and Certified Financial Planner, Mary Beth writes a weekly column on retirement issues for Investment News, a publication for financial advisers. She is also author of the ebook, Maximizing Your Social Security Retirement Benefits.

    In 2016, Mary Beth was honored with a Hero Award from the Women’s Institute for a Secure Retirement (WISER) for her efforts to improve retirement security among women. She is also an inaugural member of the Certified Financial Planner Board of Standard’s Women’s Initiative Council which focuses on improving gender and racial diversity in the financial services profession.

    Previously, Mary Beth served as the tax and retirement editor for Kiplinger’s Personal Finance magazine and editor of Kiplinger’s annual Retirement Planning Guide. Earlier in her career, Mary Beth was a Capitol Hill reporter for United Press International. She is a frequent guest on numerous radio and television programs.

  • BILL WINTERBERG

    FPPad.com

    Read Bio ⟶

    BILL WINTERBERG

    Bill Winterberg is Founder of FPPad.com.

  • LAZETTA RAINEY BRAXTON

    2050 Wealth Partners

    Read Bio ⟶

    LAZETTA RAINEY BRAXTON

    Lazetta Rainey Braxton MBA, CFP®, Co-CEO of 2050 Wealth Partners and CEO of Lazetta & Associates, is on a mission to transform human capital to equitable financial capital through holistic financial planning for underserved households and consulting for financial advisory firms who value Diversity, Equity and Inclusion. She provides access to financial planning for “the rest of us” while also advising C-Suite financial services leaders who are accustomed to the 1%.

    Lazetta, a nationally-recognized financial expert, has appeared on NBC Nightly News with Lestor Holt and CNBC’s Closing Bell. She is a member of the CNBC Digital Financial Advisor Council and a Wall Street Journal Financial Experts blog contributor.

    Recognized for her leadership and dedication to the financial planning profession, Lazetta was named one of Investment News’ inaugural Women to Watch and Excellence in Diversity and Inclusion recipients. She also received the Association of African American Financial Advisors’ Leadership Legacy Award and the Heart of Financial Planning award from the Financial Planning Association. She currently serves as Chair of the Board for the Association of African American Financial Advisors (AAAA) and President of AAAA Foundation.

  • DANI FAVA

    EnvestNet

    Read Bio ⟶

    DANI FAVA

    As Head of Strategic Development, Dani works closely with Envestnet, Inc.’s business, product, and client-facing teams to advance and accelerate the firm’s strategic vision. Dani is part of Envestnet’s newly created Strategy Office, which manages strategic development, engagement, and planning across the Envestnet organization to help advisors make financial wellness a reality for more people.

    Dani draws on more than 15 years of wealth management and technology experience to identify and prioritize transformative opportunities for enabling financial advisors to provide essential advice in a rapidly evolving marketplace. She most recently served as Director of Institutional Innovation at TD Ameritrade Institutional, where she managed the launch of the iRebal portfolio rebalancing solution on the Veo platform, as well as the rollout of the Model Market Center, an innovative approach to bringing outsourced investment management capabilities to RIAs.

    Dani was also responsible for launching TD Ameritrade’s voice-first capabilities, which deploy conversational AI for communicating with advisors. Prior to joining TD Ameritrade in 2012, Dani was a Senior Product Manager and Strategist at Fiserv.

    Dani was named to the 2020 IA25 by ThinkAdvisor, which also honored her as one of the Top Women in WealthTech for 2019. She earned a Bachelor of Science in Finance from Wagner College, and has a wide variety of interests, ranging from big data and fintech startups to basketball and CrossFit. Follow Dani on Twitter at @ENVDani.

  • TIM KOCHIS

    Kochis Global

    Read Bio ⟶

    TIM KOCHIS

    With 47 years of experience, Tim Kochis has long been recognized as one of the key leaders of the wealth management industry, both within the US and overseas. He is the inaugural recipient of the Charles Schwab IMPACT Award, the FPA’s Kemp Fain Award, the Veres Leadership Award, and several others. He is a member of the Estate Planning Hall of Fame and the University of California, Berkeley confers an annual award for Teaching Excellence in his name.

    Tim is the former CEO and Chairman of Aspiriant, one of the industry's largest and most admired firms, He led the wealth management practices at Bank of America and at Deloitte through the 1980’s before co-founding Kochis Fitz in 1991. Kochis Fitz merged with Quintile in 2008 to form Aspiriant, in one of the RIA industry’s most strategic M&A transactions. Throughout those organizations, Tim worked with thousands of clients, with a special focus on senior corporate executives. Tim now provides training and mentoring and strategic consulting for wealth management firms around the world and writes and speaks extensively in the US and overseas. In the US, as a Special Advisor to the DeVoe & Co. organization, he focuses heavily on issues of management and equity succession for RIA firms. He is the author of many professional articles and several books: 2 editions of Wealth Management; Success & Succession; 2 editions of Managing Concentrated Stock Wealth; and Wealth Management for China’s New Elite.

    Tim was also a co-founder of the Personal Financial Planning Program at the University of California, Berkeley, where he has taught for many years. He has been very active within industry organizations, globally, having chaired the CFP Board, the Foundation for Financial Planning, and the international certification authority, the Financial Planning Standards Board.

    Tim has an MBA from the University of Chicago, a JD from the University of Michigan, and a Bachelor of Arts degree from Marquette University. He served in the US Army during the Vietnam era and received a Purple Heart for wounds received in action.

  • SAMANTHA RUSSELL

    Twenty Over Ten

    Read Bio ⟶

    SAMANTHA RUSSELL

    Samantha Russell is the Chief Marketing & Business Development Officer at Twenty Over Ten, a digital marketing platform for financial advisors. Samantha helps financial advisors attract and retain clients through digital marketing strategies that produce explosive growth, including website development, content marketing, SEO, social media and video.

AGENDA

10:45am EDT

(Virtual) Doors Open

11:00am EDT

Program Begins

The Pandemic and the Virtualization of the Client Relationship
Covid-19 put a temporary stop to advisors meeting with clients in their offices, at their homes and over meals. A look at the essential digital tools and advanced technology that has helped advisors keep the personal touch when the client relationship went virtual, and what the lasting impact will be.

 

M&A Strategies and Opportunities
As the trend of consolidation accelerates, we provide key insights for financial advisors as they weigh various merger-acquisition opportunities and strategies. What are the biggest operational, financial and emotional obstacles, and how do firms overcome them? What’s the optimal timing and sequencing for M&A? And how has the pandemic affected the M&A landscape? Our panelists demystify the process and provide some clarity on how and when to decide to merge.

 

Embracing Diversity, Equity and Inclusion
As Americans of all backgrounds push for real change, financial advisors are being forced to embrace equity and inclusion as a value proposition or risk becoming irrelevant in an increasingly diverse environment. Consumers, talent and investors, today, intentionally seek firms that represent their values and cultural preferences. This panel will provide tangible solutions for positioning an advisory firm for innovation, growth and sustainability through its investment in human capital. When DEI is done right, a firm enhances its ability to attract and sustain diverse talent and to yield a greater financial return for equitable distribution to its stakeholders.

 

CONCURRENT SESSIONS

Social Media for FAs: Strategies that actually convert followers
Social platforms are a must-have piece of every advisor’s marketing plan, but effective social media marketing requires much planning and attention. In this session, a leading digital marketing expert who specializes in financial advisor firms leads a conversation about how to convert followers into clients.

 

Pandemic Effect – Resetting the Retirement and Social Security Timer
Deciding when and how to claim Social Security benefits is one of the most important decisions that retirees will ever make. The coronavirus pandemic and its devastating impact on the economy has prompted some Americans to rethink their previously planned claiming strategy to meet immediate income needs. Mary Beth Franklin, one of the country’s leading experts on Social Security, will explain the consequences of claiming reduced benefits early and possible remedies for reversing those decisions in the future.

 

Additional concurrent sessions to be announced.

 

The 2020 Election – What to expect and how to prepare
Whatever the outcome, the November election promises to bring a period of uncertainty and volatility to the markets. No predictions here, but a look at how FAs should prepare for all the possible outcomes.

 

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