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ABA Wealth Management and Trust Conference

February 23–25, 2020 • Omni Orlando Resort at ChampionsGate • Orlando, FL

ABA Regulatory Conference

Overview  |  Registration  |  Program   |  Hotel & Venue  |  Sponsors & Exhibitors  |  SpeakersExperience

2020 Program

The schedule for the 2020 program is currently in development and will be posted once available. In the meantime, review the 2019 program for insights into topics covered at the conference.

Look Back: 2019 Program Schedule

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Sunday, February 10 | Monday, February 11 | Tuesday, February 12

Sunday, February 10, 2019
9:30 am - 10:30 am CATCH UP ON CTFA CREDITS

Ethics and Liability for Trust Officers and Trustees

Review the sources of ethical duties, as well as the consequences of ethical violations for corporate fiduciaries and their employees. Ethical Guidelines may be useful for trust officers, but also for claimants seeking to hold you liable for breaches of fiduciary duty. Identify risks and avoid consequences.

  • Dominic J. Campisi, JD, Attorney, Evans, Latham & Campisi
10:30am - 11:30 am CATCH UP ON CTFA CREDITS

Economic Theory vs. Reality: Taxes, Tariffs and Interest Rates
Learn economic theory and how different economic systems are designed. A provocative discussion will follow looking at today's realities of rising interest rates and policy uncertainties from Washington.
  • Ronald M. Florance, CFA, Investment Consultant, RMF Consulting LLC
11:30 am - 1:00 pm WELCOME REFRESHMENTS
11:45 am - 12:45 pm ​Focus Group 1 (RSVP Required)

5 AI Solutions Every Wealth Manager Needs
Learn Practical applications of AI and machine learning in wealth management. See a live demonstration of machine learning in action with discussion of how you can build and employ models in your business with automated machine learning.
  • Facilitator: H.P. Bunaes, General Manager, Banking, DataRobot
11:45 am - 12:45 pm ​Focus Group 2 (RSVP Required)

Access Public Real Estate and Tax Efficient Income as a Fiduciary
While many investors have made their wealth in direct real estate they are unfamiliar with the income, diversification and returns that the public real estate market provides. Explore the tax-advantaged income opportunities they see in Preferreds.
  • Facilitator: Brian Cordes, Senior Vice President, Cohen & Steers
11:45 am - 12:45 pm Endorsed Solutions Focus Group (Invite Only)
1:00 pm - 1:15 pm OPENING REMARKS

  • Bill Martin, CFA, Chief Investment Officer, INTRUST BANK NA; Chairman, ABA Wealth Management and Trust Conference Advisory Board

The Future of Wealth Management

Mike Durbin sheds light on how investor perceptions of value are changing, and how firms can adapt to help win and retain business.

  • Michael R. Durbin, President, Fidelity Institutional
2:00 pm - 2:15 pm BREAK IN THE FOYER
2:15 pm - 3:00 pm GENERAL SESSION

Collaborative Leadership: Building and Leading Top-Performing Teams
Many advisors are building out larger teams to provide better service to their clients. Hear tips for fostering a strong, collaborative culture among internal teams to meet clients' needs.
  • Ben Sorensen, JD, Vice President, Training, Optimum Associates
3:15 pm - 4:15 pm CONCURRENT SESSIONS

Regulatory Update
Hear the latest regulatory and legislative developments affecting the wealth management and trust business. From trust, to tax, to investment-related matters, the session takes a deep dive into keeping ahead of your compliance and fiduciary responsibilities.
  • Phoebe Papageorgiou, Vice President, Trust Policy, American Bankers Association
  • Chizoba "Chiz" Egbuonu, Risk Specialist, Asset Management Policy Group, Market Risk Division, Office of the Comptroller of the Currency
The Allocator's Dilemma
The investing environment over the next 30 years will be decidedly different than the last 30 years. This session will present seven challenges faced by today's investors, and a blueprint to help you confidently navigate them.
  • Bill Hoyt, CFA, Director of Research and Portfolio Management, Hartford Funds
Premium Fees for Premium Service: Strategies for Defending Against Fee Compression
Bank wealth managers have a longstanding tradition of giving away service value. Competition from known and new competitors renders this dubious practice untenable. This session will explore strategies for defending against the risks of fee compression.
  • Thomas Carroll, CFP, Head of Division Wealth Management, SunTrust
  • Sam Guerrieri, Executive Vice President, Wealth Brands
  • Moderator: David Lincoln, Partner, WISE Gateway
Cyber-Resilience: The New Consumer and Business Imperative
Companies and consumers are feeling the effects of the increase in cybercrimes. Hear the latest developments in cybercrime, how to minimize the threat of cyberattacks against your clients, and the importance of having continuous dialogue with your clients about cyber risk.
  • Darrin Steinmann, Director of Corporate Investigations, Fifth Third Bank
4:15 pm - 4:30 pm BREAK IN THE FOYER
4:30 pm - 5:30 pm CONCURRENT SESSIONS

Managing and Mining Your Will File Effectively
Every fiduciary organization has a will file where they are named in a will or trust. There are both risks and opportunities hidden that vault; learn how to commit some time and resources to it.
  • Patrick Alyward, Senior Vice President, RIC
Unique and Hard-to-Value Assets
This session will address the management of closely-held real estate and other non-financial assets within a fiduciary setting. Our group of panelists will explore the topic by highlighting best practices and real-world examples.
  • Alex McGillivary, Senior Account Executive, Investment Management, Yardi Systems, Inc.
  • Kevin Harris, Senior Vice President, Managing Director of Family Business Group, The Northern Trust Company
  • Debbie Gong, Vice President, Assistant General Counsel, Office of General Counsel, First Republic Bank
  • Moderator: Laura Mandel, Senior Vice President, Manager, Global Fiduciary Risk Management, The Northern Trust Company
The Fixed-Income Conundrum: Positioning Client Portfolios
Are traditional stock/bond correlations still intact? What about the relationship between rates and spreads? What is best now, investment grade or high-yield bonds now, and how do rates and inflation come into play? A panel of experts explores these issues and more.
  • Christopher Dillon, CFA, Portfolio Specialist, U.S. Fixed Income, Vice President, T. Rowe Price Trust Company
  • Ben Barber, Managing Director, Head of Municipals and Portfolio Manager, Goldman Sachs
  • Gautam Khanna, CFA, CPA, Senior Portfolio Manager, Insight Investment, BNY Mellon
  • Moderator: John Boyd, Vice President, Head of National Accounts-Advisory Services Group, Hartford Funds
Leveraging the Balance Sheet to Grow Your Practice
In both volatile markets and times of calm, clients seek access to liquidity for investments, special projects or simply to provide cash flow without selling a profitable position. We will discuss strategies for discovering, positioning and structuring custom credit arrangements to help you build deeper relationships with your clients.
  • Cary Putrino, Managing Director of Private Bank, Florida, Fifth Third Bank
  • Kelly Soller, Senior Vice President and Director of Private Banking, Fifth Third Bank

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Monday, February 11, 2019

"DOL Investigations" — Are Your Clients Aware and Prepared?
Gain tools for teaching sponsors to understand their fiduciary roles and responsibilities. Retirement plans are a critical benefit that can help plan sponsors attract and retain quality employees. Therefore, plans must meet the expectations of plan participants but they must also meet rules and regulations.
  • Steven R. Cohen, AIF, Senior Vice President, Senior Retirement Consultant, Federated Investors, Inc.
Wealth Advisor's Guide to 2019
Hear valuable information regarding tax reform one year later; a legislative outlook, unconventional retirement strategiesincluding finding income in a yield-starved environment, recent research on client-advisor dynamics and tools to help deter financial exploitation.
  • Matt Sommer, Vice President, Retirement Strategy Group, Janus Henderson Investors
Investment Specialist: Capital Markets
The road back to "normal" following the Quantitative Easing era of the past decade looks to not only be long but treacherous. Hear macro and geopolitical considerations with heightened importance while the Feds continue its uncertain normalization process.
  • Christopher Dillon, CFA, Portfolio Specialist, U.S. Fixed Income, Vice President, T. Rowe Price Trust Company
8:00 am - 8:30 am COFFEE SERVICE
8:30 am - 9:30 am GENERAL SESSION

The Future of Advice
The landscape of advice has changed dramatically. Baby Boomers, Generation X and Millennials are more educated, tech-savvy and demanding than previous generations. This all presents a new framework regarding what clients need, want and will be willing to pay an advisor to provide.
  • John Diehl, CFP®, CLU®, ChFC®, Senior Vice President, Strategic Markets, Hartford Funds
9:30 am - 10:30 am BREAK IN THE MARKETPLACE
10:30 am - 11:30 am


All In the Family: Client Loyalty Across Generations
Intergenerational wealth transfer represents one the largest attrition risks to an advisor's book of business. Learn the steps you can take to build better relationships with an entire familyand help extend your practice to the next generation.
  • Jean Dunn, Client Loyalty Insights Leader, T. Rowe Price Trust Company
Recent Developments in Fiduciary Litigation
A review of recent case opinions for lessons learned and takeaways to avoid litigation.
  • Meghan Gehr Hubbard, Associate, McQuireWoods
Managing Through a Clear Regulatory Exam
Establishing open and effective communication with bank regulators is key to a successful regulatory examination. In this session, you'll hear from experts on best practices and other considerations on how to best manage your next exam.
  • Carolyn Paul, President, ANB Financial Services, LLC
  • Mark T. Dabertin, Special Counsel, Pepper Hamilton, LLP
  • Moderator: Phoebe Papageorgiou, Vice President, Trust Policy, American Bankers Association
Private Capital Markets: Too Big to Ignore?
Private capital markets have entered a dramatic and rapidly evolving "democratization" phase. This interactive discussion will clarify misperceptions, myths, risks and opportunities regarding the private equity and credit markets.
  • Bill Martin, CFA, Chief Investment Officer, INTRUST Bank NA; Chairman, ABA Wealth Management and Trust Conference Advisory Board
  • Nick Veronis, Co-Founder and Managing Partner, iCapital Network
  • Scott Welch, CIMA, Chief Investment Officer, Dynasty Financial Partners LLC
11:30 am - 12:45 pm LUNCH AND LEARN

If You're Not In a Hurry, You're Probably Too Late
Hear a fast-paced, humorous, content-rich survey and analysis of the emerging trends, competitive considerations, new behavior drivers, and latest tools and technologies which are changing the face and future of our lives and businesses. We'll explore concrete, constantly-updated examples, details on essential system and process changes, and actionable takeaways for audience members.
  • Howard A. Tullman, Executive Director, Ed Kaplan Family Institute for Innovation and Tech Entrepreneurship at the Illinois Institute of Technology
1:30 pm - 2:30 pm GENERAL SESSION

What's the Smart Money Doing?
An interactive discussion with three industry-leading investment professionals as they share their views and perspectives on the global macro-economic and investment landscapes. What interests them, what scares them and how are they positioning client portfolios accordingly?

  • Katie Nixon, Executive Vice President, Wealth Management, Northern Trust-Chicago
  • Bill Kennedy, Chief Investment Officer, Fieldpoint Private Bank & Trust
  • Philip J. Orlando, CFA, Senior Vice President and Chief Equity Strategist, Federated Investors, Inc.
  • Moderator: Scott Welch, CIMA, Chief Investment Officer, Dynasty Financial Partners LLC
2:30 pm - 3:30 pm CONCURRENT SESSIONS

SEC and DOL Developments
Washington agencies and Congress are highly focused on the duties financial institutions owe their investment and retirement clients. Hear recent developments and future expectations straight from the Securities and Exchange Commission and the Department of Labor that address the standard of conduct and care to a client.
  • Michael Silver, Union Bank
  • Tim Keehan, Vice President, Senior Counsel II, American Bankers Association
The Generation Project
The largest intergenerational wealth transfer in history is underway. Are high-net-worth individuals, families, and financial advisors prepared? Our landmark study with research firm CoreData, which captures insight from high-net-worth Millennials to members of the Silent Generation, found striking disconnects and opportunities across a broad range of wealth management areas.
  • Ned Dane, CAIA, Senior Vice President, Head of Private Client Group,
Creating a More Diverse and Inclusive Firm: Why and How You Can Play a Meaningful Role
Hear opportunities and best practices for attracting and retaining diverse talent in the wealth management industry. Research on how a greater focus on diversity can help address industry challenges, as well as lead to better business outcomes for advisors will be shared. Leave with specific and actionable steps to help create and cultivate a more diverse workforce.
  • Kristen A. Johnson, Vice President, Marketing, Fidelity Clearing & Custody Solutions
  • Rachel Book, Director, Diversity Recruiting Strategies, Fidelity Investments
Tax Reform – A Year Later
The Tax Cuts and Jobs Act became law in December of 2017. We are now over a year into the burn with the dust beginning to settle. What does the tax planning landscape look like now? What was in the Tax Cuts and Jobs Act that we weren't initially aware of? With a focus on the high net worth, individual taxpayer, what strategies are developing in light of these changes?
  • Nick Bertha, Managing Director/Director of Wealth and Trust Planning, Fieldpoint Private Bank & Trust
3:30 pm - 3:45 pm BREAK IN THE FOYER
3:45 pm - 5:30 pm GENERAL SESSION

Digital Disruption in Wealth Management — What's Next?
The digital divide for wealth and trust clients is rapidly changing, and wealth managers must evolve to provide a seamless digital experience that delivers relevant solutions for clients. Hear five critical success factors that can help improve outcomes for wealth and trust clients.
  • Stuart DePina, Chief Executive Officer, Envestnet Data & Analytics, Envestnet, Inc.
  • Tony Leal, Co-Chief Executive Officer and Chief Technology Officer, MoneyGuidePro
  • Drew Sievers, Chief Executive Officer, Trizic
  • Moderator: John C. Yackel, Executive Managing Director, Head of Institutional Business Development, Envestnet, Inc.
Washington Update
Hear an update on the legislative agenda under the new Democratic party majority, the outlook for trade policy and other administration priorities, and the effect of these on markets and the economy.
  • Alec Phillips, Chief U.S. Political Economist, Goldman Sachs Research

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Tuesday, February 12, 2019
7:30 am - 8:30 am

Evolving Risks of Digital Wealth Management Models
Delve deeper into several of the emerging areas of focus for regulators and chief risk officers as they address the increasingly digital nature of the wealth management business, and what firms can do to mitigate related risks
  • Greg Soueid, Managing Director, Treliant
  • Ash Khan, Managing Director, Treliant
  • Efren Alba, Engagement Director, Treliant
Investment Management: Creating and Sustaining Value in Your Offering
Top firms demonstrate consistency and clarity around their investment offering by combining analytics and portfolio construction with disciplined, purposeful communication. Hear six key elements needed to create and sustain value from your investment offering. 
  • Tim Radcliff, Vice President and Senior Global Strategist, Goldman Sachs
The Proven Portfolio "Zig" for Income, Appreciation and Inflation Protection When Everything Else is "Zagging"
Institutional investors have long had access to private equity real estate that has historically provided equity-like returns, bond-like risk andmost importantly in today's environmentpositive correlation to rising interest rates. Learn how '40 Act Mutual Funds can now provide individual investors with institutional access.
  • Paul E. Dunn, Executive Vice President, Bluerock Capital Markets, LLC
8:30 am - 9:30 am GENERAL SESSION

Transformation of Advice and Work in a World of Thinking Machines
Technologies powered by artificial intelligence are playing an increasingly prominent role in our lives. As we delegate more decisions to thinking machines, how might the delivery of financial advice change in the future? What impact will this have on our work as advisors?
  • Mark Nitzberg, PhD, Executive Director of CHAI, Head of Strategic Outreach for Berkeley AI Research
  • Bill Martin, CFA, Chief Investment Officer, INTRUST Bank NA; Chairman, ABA Wealth Management and Trust Conference Advisory Board
9:30 am - 10:15  am BREAK IN THE MARKETPLACE
10:15 am - 11:00 am CONCURRENT SESSIONS

The Hows and Whys of Impact Investing
Hear an overview on the latest impact investing opportunities and how leading wealth managers are developing deeper client relationships, providing more essential advice, and building a wealth management business positioned for growth and success.
  • Jim Lumberg, Co-Founder and Executive Vice President, Envestnet, Inc.
  • Brett Wayman, Vice President, Impact Investing, Envestnet, Inc.
The Client Experience in 2019: Meeting the Service Expectations of Wealthy Investors
Among the wealthiest Americans, expectations around the products and services they receive are ever changingand so are their perceptions of wealth management and trust services. Spectrem's ongoing research with wealthy investors will inform providers on how to best meet the needs of this group in 2019.
  • George Walper, President, Spectrem Group
Procedural Prudence and the Importance of Process
Experience a mock courtroom setting where Gene Maloney will be examined as a defense expert on the Uniform Prudent Investor Act. Erin Beckner Conlin will act as defense counsel as Robert Sitkoff explains prudence and the importance of documentation.
  • Eugene F. Maloney, Executive Vice President and Corporate Counsel, Federated Investors, Inc.
  • Erin Beckner Conlin, Tucker Arsenberg PC
  • Robert H. Sitkoff, John L. Gray Professor of Law, Harvard University Law School
Financial Caregiving: The Role of Beneficiaries and Executors
Learn about the financial issues and challenges that spouses, partners and families face both during and after the death of a loved one. You'll also learn more about the responsibilities of executors and beneficiaries. A limited number of printed copies of Lightbulb Press' new publication Beneficiaries & Executors: A Financial Guide, will be available.
  • Deborah Kramer Radin, Attorney at Law, Kramer Radin, LLP
  • Ken Morris, Co-Founder and President, Lightbulb
  • Mark Johnsen, CEO and Chief Wealth Architect, Wealth Architects, LLC
  • Moderator: Corey Carlisle, Senior Vice President, Bank Community Engagement, American Bankers Association
11:00 am - Noon
The Behavioral Investor

Dr. Daniel Crosby examines the sociological, neurological and psychological factors that influence our investment decisions. Hear a comprehensive examination of investor behavior and leave with concrete solutions for refining decision-making processes, increasing self-awareness, and constraining the fatal flaws to which most investors are prone.

  • Daniel Crosby, PhD, President, Nocturne Capital
12:00 pm - 1:00 pm CATCH UP ON CTFA CREDITS

Wealth Planning Considerations for Cryptocurrencies
In 2018, cryptocurrencies created significant turbulence in the market. Despite the volatility, the next generation of high net worth clients is increasingly seeking guidance from wealth advisors on how to navigate and integrate these digital assets into their financial plans. Learn about key wealth planning issues and strategies to consider.

  • Nichole Walker, JD, CTFA, TEP, CRPS®, Senior Vice President, Senior Wealth Planner, City National Bank
1:00 pm - 2:00 pm CATCH UP ON CTFA CREDITS

Communicating Investment Performance: A Value Proposition
Effectively communicating investment performance is a critical component of managing and maintaining the client-advisor relationship. Michael Dixon will share a number of communication tools and discuss how to manage the process most effectively.
  • Michael Dixon, Director of Organizational Development Consulting, Pohl Consulting and Training

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Questions? Contact Jennifer Dugas.