7:30 AM Registration and Breakfast

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8:00 AM Opening Remarks

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8:10 AM Industry Keynote - Market Strategy for Wealth Managers in Volatile Times

A Washington insider's view on how politics are driving the market and how wealth managers can help clients manage uncertainty.

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8:40 AM Industry Keynote - Looming Growth Crisis: Why Your Client Base May Be a Ticking Time Bomb

This interactive dialogue examines the alarming reality facing wealth management today: aging client bases are spending down assets while traditional referral engines stall. Conversation will reveal how successful firms are revitalizing their growth strategies by returning to fundamental business-building approaches and targeting younger clients with growth potential. Attendees will learn practical ways to restart the virtuous cycle of sustainable practice growth before they hit the dangerous Mendoza line of break-even performance.

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9:10 AM Fireside Chat - Outsmarting the Fraudsters

Learn how criminals are actively targeting the wealth management industry's blind spot, and what firms must do to protect themselves.

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9:40 AM Networking Break

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10:10 AM The Path to Personalization Through Behavioral Finance

The impact of investors’ cognitive biases on long-term wealth accumulation is significant. Accounting from behavioral finance is paving the way to enabling a wholistic and personalized wealth management experience. This transformation is timely, as goals-based approaches have become dominant in the industry - 31% of advisors primarily use goals-based planning, while another 57% combine it with cash-flow-based approaches. This trend extends to investment management, with 38% of advisors now managing goals-based portfolios for half or more of their clients. This panel will explore how behavioral insights have transformed investment decision-making and client interactions through various means: 

• Helping advisors design and implement systematic approaches that counteract irrational investing behaviors, including behavioral nudges to encourage disciplined behavior
• Developing empathetic communication strategies that incorporate individuals’ emotional relationship with money to address psychological barriers to sound financial planning
• Incorporating technology, such as decision support tools, and emphasizing emotional intelligence in advisor training to mitigate potential biases from the advisor side of the relationship

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10:50 AM Building Margins and Relationships Through Value-based Pricing

Pricing strategy is an underutilized profitability lever. Discover real-world approaches to aligning fees with service delivery.

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11:20 AM Break

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11:25 AM The Rise of Private Markets: Implications for Wealth Managers

Private credit and private equity have enjoyed explosive growth in recent years. Private-market assets topped US$15 trillion in 2024, and now investment solutions incorporating these assets are becoming widely available to nonaccredited investors. This panel will examine how wealth managers are responding to client demand by adjusting their asset allocation and portfolio construction approaches to incorporate these assets into portfolios for nonaccredited clients. Issues to be discussed include: • The role that hybrid public-private market solutions are beginning to play in retail asset allocation models and model portfolios • Training and supporting advisors to speak to clients about private-market solutions • How wealth managers evaluate the pros (benefits) and cons (risks) of introducing private-market solutions into portfolios of nonaccredited clients • The challenges of “optimizing” asset allocation with illiquid asset classes.

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11:25 AM AI-Powered Wealth Management: From Digital Transformation to Revenue Generation

The wealth management industry is at a pivotal moment in AI adoption, with over one-third of firms planning to invest more than US$50 million in AI initiatives over the next two years. Yet a clear divide is emerging—while 63% of firms with over $50 billion AUM report advanced AI/ML execution capabilities, only 14% of smaller firms say the same. This technological divide is particularly significant given that online broker-dealers have been the fastest-growing segment, with client assets growing 17% annually since 2016, compared to 11% for the industry overall. This panel brings together industry leaders who are successfully deploying AI to drive measurable business outcomes across their organizations.

This panel will focus on:

• Strategic priorities for AI investment, informed by findings that 22% of private banks are already running production AI use cases
• How leading firms are measuring ROI on AI investments, which is particularly critical as firms allocate more than US$50 million budgets
• Practical strategies for catching up to larger competitors that have been developing AI capabilities since the 2010s
• Balancing innovation with risk management—addressing the regulatory and compliance considerations that have 25% of online brokers hesitant to adopt AI

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12:05 PM Lunch

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1:00 PM Datos Keynote - Segmentation for Growth

Learn how AI and advanced analytics are helping wealth managers transcend AUM-based models and achieve client segmentation at scale.

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1:30 PM Impact Award Presentations

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2:00 PM Break

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2:05 PM Executive Roundtable Discussions

Join us for an executive roundtable: A facilitated discussion where industry leaders will exchange insights, address shared challenges, and explore collaborative opportunities. The roundtable discussions will touch on the following topics:

• Next-Generation Advisor Desktop: Building the AI-Powered Workstation
  Discussion areas include integration of predictive analytics into daily workflows, real-time client insights, automated task prioritization, and AI-powered client meeting preparation. Who should attend? Heads of advisor technology, digital strategy leaders, and COOs at firms with over 200 advisors, especially those planning major platform upgrades.
   
• AI and Alternative Data in Client Communications: Breaking Through the Noise
  Discussion areas include using AI for content personalization, leveraging alternative data for client insights, automated yet personalized reporting, and next-best-action recommendations. Who should attend? Client communications leaders and digital strategy heads; it will be particularly valuable for firms with multigenerational client bases.
   
• Financial Planning Technology: Scaling High-Touch Advice
  Discussion areas include automated plan monitoring, scenario analysis capabilities, integrating planning with portfolio management, and measuring planning outcomes. Who should attend? Planning technology leaders and strategy heads; it will be especially relevant for firms expanding their planning services beyond high-net-worth clients.  
   
• Modernizing Clearing and Custody: API-First Architecture for Scale
  Discussion areas include open banking integration strategies, real-time settlement capabilities, automated reconciliation, and digital asset custody readiness. Who should attend? Operations leaders and technology heads at RIAs and broker-dealers, particularly those managing complex multicustodian relationships.
   
• The Future of Portfolio Management Technology: Balancing Customization and Scale
  Discussion areas include direct indexing implementation, ESG integration, tax optimization at scale, and automated rebalancing strategies. This discussion is particularly timely as the percentage of advisors employing fully holistic models has increased from 40% in 2021 to 49% in 2024. Who should attend? Investment operations leaders and portfolio management heads, especially those serving high-net-worth clients with complex needs.
   
• Open Architecture Integration: Building the Connected Wealth Platform
  Discussion areas include API strategy development, vendor selection criteria, data governance frameworks, and measuring integration ROI. Who should attend? Enterprise architecture leaders and technology strategy heads; it will be particularly valuable for firms managing complex tech stacks.

• Client Portal Innovation: From Digital Interface to Growth Engine
  Discussion areas include self-service capabilities that drive engagement, mobile-first design principles, personalization at scale, and converting digital interactions into revenue opportunities. Who should attend? Digital experience leaders and heads of client service; it is ideal for firms looking to expand their mass-affluent offerings.
   
• Data-Driven Marketing at Scale: Personalizing the Wealth Management Experience
  Discussion areas include prospect segmentation strategies, marketing automation best practices, content personalization, and measuring marketing ROI in wealth management. Who should attend? Marketing leaders and growth officers; it will be particularly valuable for RIAs and regional firms focused on organic growth.
   
• Digital Client Onboarding: Removing Friction for Growth
  Discussion areas include digital identity verification, automated KYC/AML, paperless account opening, and measuring onboarding efficiency. Who should attend? Operations leaders and client service heads, especially those from firms with high client acquisition targets.

• Compliance Tech Evolution: Automating Oversight for Growth
  Discussion areas include AI-powered surveillance, automated risk monitoring, OSJ technology requirements, and regulatory reporting automation. Who should attend? Compliance technology leaders and risk officers; it will be particularly relevant for broker-dealers and firms with complex regulatory requirements.

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2:55 PM Networking Break

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3:40 PM The Future of Platform Integration-Building the Ultimate Advisor Workstation

The wealth management technology landscape is at a critical inflection point. With over 50 technology vendors in the market and RIA adoption of sophisticated platform solutions at only 40% to 60%, this represents a massive US$1.2 trillion to 1.3 trillion AUM opportunity for technology transformation. Yet according to recent research, nearly all wealth managers struggle with a common pain point: getting accurate performance data—particularly for alternatives—correctly calculated and integrated into their technology stacks. The importance of efficient platform integration is underscored by the widespread adoption of model portfolios - 83% of advisors now offer these solutions, with an average of 53% of their clients placed in model portfolios. This panel brings together industry leaders who are successfully tackling the complex challenges of creating a truly unified advisor experience.

This panel will focus on:

• Why platform integration is becoming a silent yet highly impactful differentiator for business development, client service, and business efficiency—with research showing extremely sticky relationships with RIA clients when done right
• How leading firms are addressing the integration challenge, given research shows that 7 out of 8 top vendors now offer open API frameworks as key to creating vibrant ecosystems
• The rise of "embedded wealth management" as a new growth opportunity, enabling wealth management products and services to become frictionless parts of different customer journeys
• Strategies for data aggregation that enable both holistic reporting and advisory workflow efficiency—which is critical, as research shows investment in R&D ranges from 10% to 45% of revenue among leading vendors.

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3:40 PM Navigating the New Frontier: Rollovers Under PTE 2020-02

Datos Insights advisors and leading ERISA experts unpack the complex landscape of retirement account rollovers under PTE 2020-02. Panelists will dive deep into the Department of Labor's enhanced standards for rollover recommendations, examining how firms are implementing robust processes to demonstrate that rollovers are in retirement investors' best interest:

• Documentation requirements: Discover best practices for capturing and analyzing the critical factors that must be considered when recommending rollovers, from fees and expenses to available investment options and services.
• Written disclosure evolution: Understand how firms are crafting clear, compliant disclosures that acknowledge fiduciary status and explain the scope of services and material conflicts of interest.
• Technology solutions: Explore how innovative digital tools are streamlining the documentation process while ensuring thorough analysis of alternatives to rollovers.
• Common pitfalls: Gain insights into frequent compliance challenges and practical solutions for avoiding them, including tips for training financial professionals on the new requirements.
• Retrospective reviews: Learn effective approaches for conducting the annual retrospective review required by the exemption, including methods for identifying and correcting any deficiencies.

The panel will feature real-world case studies and interactive Q&A sessions, giving attendees practical takeaways they can implement in their own organizations.

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4:20 PM Break

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4:25 PM Industry Keynote - Three Game-Changing Pillars for Elite Client Growth

Hear an industry expert's take on ways to transform trust and estate planning and expand services across client segments.

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4:55 PM Impact Award Presentations

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5:25 PM Closing Remarks and Reception

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