go-RIA: A Virtual RIA Summit
Thank you all for joining us and participating in the 2020 inaugural goRIA Summit!
We look forward to seeing you all again at the next Summit which will be held in the Fall of 2021.
Below you will see links for the video replays of all the segments from this year's event...
Host / Moderator
Chuck Failla, CFP (r)
Board Member, FPA CT
Principal, Sovereign Advisor Solutions
FPA of Connecticut
FPA chapters in Connecticut champion the value of the financial planning process and advances the financial planning profession. We strive to foster competent, committed and ethical members; provide educational and networking opportunities to assist members in their efforts to achieve personal and professional fulfillment; build a growing membership with a shared vision; and help people recognize the value of the financial planning process as a way to achieve their goals and dreams.
The Financial Planning Association® (FPA®) is the principal professional organization for CERTIFIED FINANCIAL PLANNER™ (CFP®) professionals, educators, financial services providers and students who seek advancement in a growing, dynamic profession. FPA members adhere to the highest standards of professional competence, ethical conduct and clear, complete disclosure to those they serve and take part in FPA’s One Connection™ for professional education, business success, advocacy and community at the national and chapter levels.
Sovereign Advisor Solutions
Sovereign Advisor Solutions (SAS) is a division of Sovereign Financial Group Inc., -- one of the fastest growing RIAs in the Northeast.
SAS was formed to meet the demand from advisors looking to:
- Deliver complete and unbiased financial planning and investment management services to their clients.
- Maintain 100% independence & complete ownership of their book of business.
- Minimize the hassles associated with "going independent" while working in a fully transparent environment.
In short, SAS provides a true "plug & play" solution for advisors looking to go independent who do not want to be bogged down by the many obstacles associated with "going independent". We provide all the infrastructure and services needed to allow advisors to focus on what they love to do while leaving the operations, compliance and other frictions points to us.
Raymond James RIA
Get all the resources and support of a boutique firm without the retail restraints by becoming an independent RIA with Raymond James. Our platform offers you innovative fee-based programs with complete freedom and control over your business.
First Trust
First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively “First Trust”) were established in 1991 with a mission to offer trusted investment products and advisory services. We are inspired every day by how financial professionals and their customers use our products and services to define goals, solve problems and develop long-term strategies. Everyone in our company is encouraged to work diligently and respectfully to deliver superior products, services and results. This philosophy is carried through in our approach to investing.
InvestmentNews
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Oak Street Funding
As a business lending expert in specialty financing, Oak Street Funding® has been successful nationwide in fulfilling the unique capital needs for investment advisors with loans up to $30 million for transactional use and working capital needs.
Our passion, client and employee-focused mindset as well as access to capital will continue to drive our commitment to fulfill client needs while also providing an empowering work environment for our employees.
Raymond James RIA
Get all the resources and support of a boutique firm without the retail restraints by becoming an independent RIA with Raymond James. Our platform offers you innovative fee-based programs with complete freedom and control over your business.
David Gehn, Esq.
David is the Chairman of the Litigation Department and has been representing clients ranging from the largest broker-dealers and registered investment advisors to individuals in large and complex civil, criminal, and regulatory investigations and litigation, as well as in contractual and transitional matters for the last 25 years.
National Regulatory Services
For over 30 years as the nation’s leader in compliance and registration products and services for financial services firms, NRS has helped clients guide their compliance strategy, minimize their risk and lower their costs. We utilize three synergistic product lines in technology, education and consulting to create customized compliance solutions for our clients.
Altium Wealth Management
Founded on principles that form the bedrock of our firm today, Altium Wealth was born from the strong desire to be of uncommon service to our clients. In order to do that, we had to turn our backs on the old industry model and almost everything we learned about it up to that point. In 2009, we recognized that in order to operate with our values we needed to take strong action. We stepped off the traditional path and headed out towards wealth management's uncharted territory to develop our own vision, free of the limitation and conflicted agendas of the established financial services industry.
SmartLeaf
Smartleaf offers a mass customization automated rebalancing software solution (Smartleaf has a subsidiary, Smartleaf Asset Management, that will deliver the solution as a sub-advisor). We enable client-facing advisors to spend 100% of their time with clients and prospects, while delivering exceptional levels of customization and tax management.
Riskalyze
Advisors choose Riskalyze to help them align their clients’ risk tolerance with their portfolios, deliver visually-engaging advice, build proposals, manage expectations, implement decisions, intelligently rebalance and more.
RightCapital
An innovative financial planning solution that enables you to present a plan your clients can actually understand. Our intuitive user interface makes your job easier, giving you flexibility to build both cashflow based plans or goals based plans. RightCapital’s platform supports the needs of people across the generations. Explore our modules that provide Retirement planning, Social security and Medicare strategies, Budgeting & debt management, digital onboarding, account aggregation, tax efficient distribution strategies, client portal an d mobile app access, along with deep integrations with many other technologies. Schedule a quick demo today to see how RightCapital can help you do more planning in less time!
Vanguard
The Vanguard Group is an American registered investment advisor based in Malvern, Pennsylvania with about $6.2 trillion in global assets under management, as of January 31, 2020. It is the largest provider of mutual funds and the second-largest provider of exchange-traded funds in the world after BlackRock's iShares.
Salentica
Salentica CRMs put an incredible array of features right at your fingertips, with the ability to configure countless more. We’ve automated the repetitive, delved deep into analytics, and integrated the very best tools to curate the most powerful web-based financial CRM available.
Orion
Orion’s tech-enabled fiduciary process transforms the advisor-client relationship by enabling financial advisors to Prospect, Plan, Invest, and Achieve within a single, connected, technology driven experience. That process empowers advisors to attract new clients; connect goals more meaningfully to investment strategies and outcomes; and ultimately track progress towards each investor’s unique definition of financial success. Services offered include advisor technology solutions, turnkey asset management, and investment management.
SMArtX
SMArtX is a pioneering managed accounts technology firm and architect of the SMArtX turnkey asset management platform (TAMP).
Founded by Evan Rapoport in 2013 and built in-house from the ground up, our award-winning technology provides a platform for firms across the financial services and wealth management industries to run a highly scalable, modular infrastructure catered to their specific operational requirements. SMArtX Advisory Solutions provides a complete solution or supplements existing technologies to provide firms with a modern, streamlined middle and back office operations application.
First Trust
First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively “First Trust”) were established in 1991 with a mission to offer trusted investment products and advisory services. We are inspired every day by how financial professionals and their customers use our products and services to define goals, solve problems and develop long-term strategies. Everyone in our company is encouraged to work diligently and respectfully to deliver superior products, services and results. This philosophy is carried through in our approach to investing.
DPL Financial Partners
DPL Financial Partners works with over 1000 RIA firms across the US to help them expand their financial planning services and increase their firm revenue. DPL Financial Partners has built a robust market-place of Commission-Free annuities and insurance for fiduciary advisors. We work with carriers committed to the RIA space, improving their existing products and introducing new ones that deliver greater client value. DPL enables breakaway advisors to continue implementing insurance solutions without compromising fiduciary obligations. Whether you’re in the early phases of transition or actively building your new business, DPL’s turnkey insurance management platform can help.