Redefined
Redefined
SWAN RIA Workshop
RIA Workshop Series Overview
Our mission for the Swan RIA Workshop series is to promote an open dialogue to discuss and share ideas between growth-oriented advisors regarding some of the most challenging issues facing investors and the professional advisory community.
Engage with recognized thought leaders, consultants, portfolio strategists, RIA principals and research professionals in an intimate, relaxed luncheon setting with interactive presentations and peer discussions.
Do You Have Time?
- To learn how to measure, grow and preserve your advisory practice valuation
- To access engaging research around risk management and portfolio construction
- To discover solutions to differentiate your business and attract and retain new client assets
If so, plan to join us for an insightful, 2-hour business-building workshop.
RIA Workshop 2019
This year we draw focus on the most challenging issues RIAs face in managing the growth and valuation of their business, as well as, helping their clients meet long-term objectives while navigating a challenging investment landscape.
Participation is by invitation only to ensure diversity of opinions from industry experts and a high level of intellectual exchange.
Agenda Overview
The Swan RIA Workshop series gathers an impressive lineup of guest speakers and thought leaders from asset managers, portfolio strategists, and practice valuation experts. This year from State Street Global Advisors, BlackRock, Riskalyze, Succession Resource Group, S&P Dow Jones, and more to provide:
- In-depth discussion of current trends and market outlooks with research-driven solutions for leaders of advisory practices
- Engaging content and research to inform decisions around risk management, behavioral finance, portfolio construction, and advisory practice valuation
- Solutions for a challenging environment and ways to manage risks and formulate strategies for improving portfolio integrity and investor outcomes
Agendas differ per location.
Scroll down to view the agenda for your desired location.
Guest Speakers
Swan RIA Workshop 2019 hosts an impressive line-up of guest speakers.
Michael Arone, CFA
Managing Director and Chief Investment Strategist – State Street Global Advisors
As Managing Director and Chief Investment Strategist for State Street Global Advisors US Intermediary Business Group, Michael is responsible for expanding SSGA’s footprint and thought leadership effort through frequent contributions to the financial news media, speaking engagements and client interactions. Michael has worked extensively with the firm’s global institutional and intermediary clients to help them identify investment solutions that enable them to meet their long-term financial goals. During his 20 year career as an investment professional, Michael has served as the Global and EMEA Head of Portfolio Strategy as well as a senior portfolio manager in the Global Active Quantitative Equity Group. Michael earned the Chartered Financial Analyst designation and is a member of the Boston Security Analysts Society and CFA Institute.
John Hyland
Managing Director, Head of the Boutique Asset Manager and Family Office Groups, US iShares Institutional Business – BlackRock
In this dual role, John leads the iShares Institutional distribution strategy and execution at the leading Boutique Asset Managers, ETF Strategists, Single Family Offices and Multi-Family Offices. John’s service with the firm includes his former role as a Strategic Account Manager within the iShares Institutional Asset Manager and Hedge Fund Group and previously as a Director in the iShares Registered Investment Advisor Group. Prior to joining BlackRock in 2008, John was a Senior Vice President with Putnam Investments responsible for leading distribution of the Putnam Mutual Funds and SMA’s for Equity, Fixed Income and Multi-Asset Strategies. John began his career in the Private Client Group at Morgan Stanley designing and managing investment portfolios for Private Wealth & Institutional Clients for wealth preservation and capital appreciation goals.
Ryan Hart
Director of Channel Alliance – Riskalyze
Ryan directs Riskalyze’s Channel Alliances initiatives and brings with him a diverse array of experience in the mutual fund, annuity and fintech space. Ryan works with advisors of all stripes to drive alignment between advisors, clients and their portfolios. Ryan is an alumnus of Pennsylvania State University, and currently holds his Series 6 and 66 licenses.
David Grau Jr.
Founder and CEO – Succession Resource Group – Advisor to Advisors
David Grau Jr. is the founder and CEO of Succession Resource Group and is the nation’s leading consultant on advisor valuation, acquisition and succession planning for firms with less than $10 million in annual sales. Over the last decade, David has assisted hundreds of advisors and other professional service providers buy, merge, sell, and craft their transition plan for the sale of their business, helping clients with businesses ranging in size from $100,000 gross receipts to in excess of $10 million. Prior to launching SRG, David was a leading M&A consultant for a well-known succession planning firm to advisors. David will be a keynote speaker addressing a driving theme for this year’s RIA Forum, ‘Growing & Maximizing Your Firm’s Valuation’.
Sean McCaffrey
Managing Director – Swan Global Investments
Sean directs Swan Defined Risk Solutions, an investment management outsourcing program. He is also the primary contact for institutional clients including large RIA’s, endowments, family offices, pension funds, and TAMPs. Prior to joining Swan, Sean worked for Clarus Capital Partners, a hedge fund, where he supervised the raising of capital and investor relations. He also spent three years with Merrill Lynch as a financial investment advisor, managing client resources.
Rob Swan
Chief Operations Officer, Portfolio Manager – Swan Global Investments
Rob Swan manages and implements the Swan Defined Risk Strategy as Portfolio Manager, including investment management and trading as well as development and maintenance of proprietary technology, enabling Swan to scale and execute the DRS across multiple platforms and thousands of accounts. He also provides daily oversight of Swan operations as COO.
Locations
October 1st, 2019
Boston Metro Area
Ruth’s Chris SteakHouse
500 Totten Pond Rd, Waltham, MA 02451
October 15th, 2019
Chicago
Ditka’s SteakHouse
2 Mid America Plaza, Ste 100 Oakbrook Terrace, IL 60181
October 28th, 2019
Detroit Metro Area
Eddie Merlot’s
37000 Woodward Ave Bloomfield Hills, MI 48304
October 29th, 2019
Cleveland
Hyde Park Steakhouse
26300 Chagrin Bld. Beachwood, OH 44122
November 19th, 2019
Atlanta
Davios Northern Italian Steakhouse
3500 Peachtree Rd, Atlanta, GA 30326
November 20th, 2019
Washington, D.C.
The Capital Grille
1861 International Dr. McLean, VA 22102
November 21st, 2019
New York City Metro
The Capital Grille – Garden City
630 Old Country Road, ste 1161-D Garden City, NY 11530
Sorry we missed you!
We’ll Return to Your City Soon
Sorry we missed you!
We’ll Return to Your City Soon
Sorry we missed you!
We’ll Return to Your City Soon
Sorry we missed you!
We’ll Return to Your City Soon
Disclosures:
Swan Global Investments, LLC is a SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (“DRS”). SEC registration does not denote any special training or qualification conferred by the SEC. Swan offers and manages the DRS for investors including individuals, institutions and other investment advisor firms. Any historical numbers, awards and recognitions presented are based on the performance of a (GIPS®) composite, Swan’s DRS Select Composite, which includes non-qualified discretionary accounts invested in since inception, July 1997, and are net of fees and expenses. Swan claims compliance with the Global Investment Performance Standards (GIPS®). All data used herein; including the statistical information, verification and performance reports are available upon request. The S&P 500 Index is a market cap weighted index of 500 widely held stocks often used as a proxy for the overall U.S. equity market. Indexes are unmanaged and have no fees or expenses. An investment cannot be made directly in an index. Swan’s investments may consist of securities which vary significantly from those in the benchmark indexes listed above and performance calculation methods may not be entirely comparable. Accordingly, comparing results shown to those of such indexes may be of limited use. The adviser’s dependence on its DRS process and judgments about the attractiveness, value and potential appreciation of particular ETFs and options in which the adviser invests or writes may prove to be incorrect and may not produce the desired results. There is no guarantee any investment or the DRS will meet its objectives. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is not a guarantee of future results and there can be no assurance, and investors should not assume, that future performance will be comparable to past performance. All investment strategies have the potential for profit or loss. Further information is available upon request by contacting the company directly at 970-382-8901 or www.swanglobalinvestments.com. 103-SGI-030419