Q4 RIA Forum 2024 Spring
  • Network. Explore. Collaborate.
    See the Latest Technology, Insurance, & Investment Solutions

    Renaissance International Plaza
    Tampa, FL

    May 22-24th, 2024
    Pre-Register
    Sponsorship Info
  • "This stands as the most relevant advisor event I have ever attended in my 20 year career" 
    - Q4 Top RIA Attendee
  • Featured Speaker

    Lori Van DusenCIMA®
    CEO & Founder
    LVW Advisors, Rochester, NY
  • Night Two
    RelationshipBuilder
Overview
At The Forum
Agenda
Sponsors
Venue
Testimonials
Contact Us
Overview

The Q4 Top RIA Forum

The Q4 Top RIA Forum offers Registered Investment Advisors and Multi-Family Offices a unique platform to interact with each other, alongside solution providers from innovative investment institutions and wealth technology companies. 

 

Over the course of 2.5 days, attendees can participate in engaging roundtable conversations, hear from inspiring keynote speakers, and enjoy personalized one-on-one meetings. The event also includes multiple networking opportunities, including two cocktail receptions. 

Trending Discussion Topics

Incorporating AI into your Workflows

Artificial Intelligence (AI) is increasingly being adopted in financial services to streamline operations and enhance advisory capabilities. AI-powered tools automate tasks, provide personalized recommendations, and improve data analysis, among other benefits.


What will be the impact of AI on back-office operations, client interactions, and investment strategies.

Navigating Fiduciary Responsibilities

We all know, the financial services industry is subject to various regulations governing Reg BI and other Fiduciary requirements, such as privacy laws and accurate disclosures. 


This session we will explore strategies and tools to ensure compliance while advisors are communicating with clients, including secure messaging platforms, data protection measures, and compliance monitoring systems.

Integrating & Managing Digital Assets

The integration of cryptocurrencies into traditional financial services has sparked significant debate, presenting both opportunities and challenges for businesses. 


This discussion aims to explore the multifaceted aspects of incorporating cryptocurrencies into financial service offerings, Customer Education & Adoption, Regulatory Hurdles, Integration, Market Trends, Risk Management, & More.

Who Attends

Registered Investment Advisors

Multi-Family Offices

Asset Managers

WealthTech Providers

Past Attendees

At The Forum

Featured Speakers

Lori Van Dusen, CIMA®

Founder & CEO, LVW Advisors


Lori Van Dusen, CIMA®, is the Founder and CEO of LVW Advisors, a registered investment advisory firm that serves both wealthy families and individuals, as well as nonprofit institutions throughout the United States. An advocate of client-focused strategies for more than 25 years, she has become the voice of reason for providing comprehensive integrated solutions in a fragmented financial services industry.


Lori began her investment advisory career in 1987 with Shearson Lehman Brothers, which was later acquired by Citigroup Smith Barney. By 2004, she had achieved the title of Managing Director with Citigroup Smith Barney. She founded LVW Advisors in 2011. A recipient of numerous accolades, Lori was named to Barron’s Financial Advisor Hall of Fame, which recognizes advisors who have appeared in 10 or more of Barron’s annual Top 100 Advisor rankings. Additionally, Lori was ranked #1 in New York – NY State on Forbes’ 2023 and 2022 Best-In-State Wealth Advisors list, and has been ranked for five consecutive years on Forbes’ America’s Top Wealth Advisors list and Forbes’ America’s Top Women Advisors lists. In 2022, she was named CEO of the Year by Institutional Investor’s RIA Intel.


In recognition of her involvement in the Rochester community, Lori was recognized in the Rochester Business Journal’s 2023, 2022, and 2021 Power 100 list and received the 2020 Women of Excellence distinction with the Circle of Excellence honor. The Circle of Excellence recognizes a small group of women each year with longstanding, notable success in the community who are leading the way for other women. Additionally, Lori was inducted into the 2019 Rochester Business Hall of Fame and joins a prestigious list of Rochester business leaders who have been previously inducted. Lori has also been recognized by the Girl Scouts of Western New York as one of the 2019 Women of Distinction.


Lori is passionate about numerous philanthropic causes, serving on several boards focused on urban education, health and wellness and the fine arts, including the Monroe Community College Foundation Board, the University of Rochester Medical Center Board, the F.F. Thompson Health System Board, and the Memorial Art Gallery Board of Managers.


Lori was one of the founders of the Association of Professional Investment Consultants (APIC) and Citigroup Institutional Consulting. She holds the Certified Investment Management Analyst® designation, administered by the Investments and Wealth Institute® (formerly IMCA) in conjunction with The Wharton School. Lori received her undergraduate degree from Ithaca College and a Master of Education from Harvard University.

Saumen Chattopadhyay, CFA®, CPA

Chief Investment Officer, OneDigital Financial Services

Saumen is the Chief Investment Officer of OneDigital's retirement & wealth division as well as its registered investment adviser, OneDigital Investment Advisors. He is responsible for the overall investment platform, including selection of investment offering, due diligence of funds and managers, and overseeing investment strategies and models managed by the investment team.

​Saumen has over 26 years of experience in asset management industry holding C-suite leadership positions with institutions, investment firms and wealth management platforms. He came from Carson Group he was the Chief Investment Officer (CIO) leading their $18 billion investment platform. Prior to Carson, Saumen was the CIO of Convex Capital management and Head of Investment Management at Jackson National Asset Management, Director of Quantitative Management at Harbor Capital Advisors, and the Lead Portfolio Manager of Harbor Target Date Funds.

​Saumen is a veteran in asset allocation, portfolio and risk management. Among his many accomplishments, Saumen introduced robust investment offering and alternative investments to Carson partners, and at Convex Capital, he developed unique wealth management solution.

Vib Arya

Chief Operating Officer, Shufro Rose


Vib is Shufro Rose's Chief Operating Officer and previously served as the firm’s Head of Operations and Information Technology. Vib has spent over 25 years in the investment management industry, having held increasing responsibility for technology and operations management, project management, strategy & transformational change, and business administration.


Vib received his B.A. in Computer Science from New York University’s College of Art & Sciences and his M.B.A. with concentrations in Finance and Organizational Management from New York University’s Leonard N. Stern School of Business.


Vib is frequently requested to participate as a thought leader on operations, technology, and practice management topics for industry conferences and periodicals.

William E. Davis

Chief Executive Officer, Pinnacle Capital Group

Bill came to Pinnacle Capital Group with a diverse background as a financial service’s organizational leader and supervisory principal. He is well known for his thought leadership and organizational skills. He created several unique processes and methods to help both sponsor and investor clients on better understanding of private placements and alternative investments in the RIA and Family Office channels.

He has been in the wealth creation, investment banking, placement agent and business development processes in the positions of Managing Principal, Agent, Broker, Planner, Derivative Trader and Investment Advisor Representative. He is FINRA licensed Series 7, 79, 3, 24, 27, 4, 14, 63 & 65 as well as Insurance Licensed. His designations include Certified Financial Planner (2003), Accredited Estate Planner (2006) and Certified Merger & Acquisition Advisor (2015).

Prior to his current career Bill served honorably in the United States Marine Corps as an Infantry and Reconnaissance leader. He made numerous worldwide deployments in support of U.S. National Interests and held multiple high visibility and foreign assignments at the highest levels. Later career assignments included leadership and mentor roles at the U.S. Naval Academy, Marine Barracks Washington, D.C. and the Basic School, Quantico, VA. He has lived and traveled throughout the world with extended stays in Asia, Europe, Middle East, Washington, DC and California.

The Format

Leadership Keynotes

This is your opportunity to listen-in on leading industry executives, view new and emerging products & services, and find out what the best are doing to excel in this new era of financial services. General Session presentations of 30-minutes each.                                

Peer-to-Peer Executive Panels

Your opportunity to start a dialogue with top performers to accomplish your meeting objectives. Peer-to-Peer Panel Discussion sessions will last approx. 40-minutes each. 

RelationshipBuilder™ events

Forums feature two RelationshipBuilder™ events to mingle with other attendees while enjoying great food & drink. Having fun together with new friends becomes the basis for new business relationships. 

PowerMatch™ Sessions

PowerMatch™ Sessions last approx. 20- minutes each and sponsors participate in multiple sessions. To help ensure that your meetings are as productive as possible—we’ll apply our unique iLike™ matching methodology to capture attendee interests and facilitate meaningful introductions. 

Agenda

Agenda

DAY I | Wednesday, May 22, 2024

1:00 PM - 5:00 PM

Arrival
Renaissance Tampa International Plaza Hotel
4200 Jim Walter Boulevard • Tampa, FL 33607

1:00 PM - 5:00 PM

Forum Check-In
Forum Registration Desk - Gelato
Lobby Level

4:00 PM - 5:00 PM

Hotel Check-In
Lobby Level

6:00 PM - 7:30 PM

RelationshipBuilder
Welcome Reception
The Pelegia & Fountain Terrace
Lower Level - Rear Hotel

7:30 PM - 9:30 PM

Sponsor Hosted Dining
INTERNATIONAL PLAZA
Meet Your Group in the Hotel Lobby
DAY 2 | Thursday, May 23, 2024

7:00 AM - 8:00 AM

Breakfast 
Costa Del Sol Ballroom D-E

8:00 AM - 8:15 AM

General Session 
Costa Del Sol Ballroom D-E
Finlocity Welcome
"Getting the Most Out of Your Forum Experience"
Presented by Alan Giancaterino, Co-Founder, Finlocity

8:15 AM - 8:45 AM

General Session 
Costa Del Sol Ballroom D-E
"Energy Market Updates & Tax Efficient Investing"

8:45 AM - 9:15 AM

General Session 
Costa Del Sol Ballroom D-E
"Client Onboarding & Digital Processing That Works!"

9:20 PM - 10:05 AM

Breakout Session 
Costa Del Sol Ballroom F-H
“Incorporating & Managing Cryptocurrencies In Your RIA"

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

10:10 AM - 10:25 AM

Refreshment Break
Costa Del Sol Ballroom Foyer

10:30 AM - 11:15 AM

Breakout Sessions
Costa Del Sol Ballroom F-H
“Life Settlements as Part of the Financial Planning Process" 

“Why Private Equity is a Key Part of The Modern Alternatives Portfolio" 

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

11:15 AM - 12:00 PM

Breakout Sessions
Costa Del Sol Ballroom F-H
“Managing Communication Compliance Requirements"

“Investing in Operations and Net Lease Real Estate"

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

12:00 PM - 1:15 PM

Lunch
Costa Del Sol Ballroom D-E


Keynote Speaker
“A.I. and the Changing Landscape of Wealth Management” 

1:15 PM - 1:45 PM

General Session
Costa Del Sol Ballroom D-E
“Preparing Your RIA for a Cyber Attack” 

1:50 PM - 2:50 PM

Peer-to-Peer

Executive Roundtables

DUE DILIGENCE TRACK
 Costa Del Sol Ballroom A-C
"Before Due Diligence: 
Sponsors & Products"
LEADERSHIP TRACK
Costa Del Sol Ballroom D-E
"Employee Retention 
Strategies"
COMPLIANCE TRACK
Costa Del Sol Ballroom F-H
"Harnessing the 
Digital Beast"

2:55 PM - 3:15 PM

Breakout Session 
Costa Del Sol Ballroom F-H
“Enrich Your Back-office Operations through Digital Transformation"

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

3:20 PM - 3:35 PM

Refreshment Break
Costa Del Sol Ballroom Foyer

3:40 PM - 4:25 PM

Breakout Sessions
Costa Del Sol Ballroom F-H
“Market Analysis"

“New Emerging Cyber Threats to Secure Your RIA Against" 

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

6:00 PM - 6:15 PM

Transportation to Event
Meet Outside Front of Hotel

6:30PM - 9:45 PM

RelationshipBuilder™ Event
701 Channelside Drive, Tampa, FL 33602
DENIZENS OF THE DEEP DINNER
Coral Reef Gallary
The Florida Aquarium

9:45 PM - 10:00 PM

Transportation to Hotel
Meet in front of the Aquarium at street level
DAY 3 | Friday, May 24, 2024

7:00 AM - 8:00 AM

Breakfast 
Costa Del Sol Ballroom D-E

8:00 AM - 8:15 AM

General Session 
Costa Del Sol Ballroom D-E
Finlocity Welcome
"Day 2 Kick-Off"

8:15 AM - 8:45 AM

General Session 
Costa Del Sol Ballroom D-E
"Winning Tech Stacks For Client Engagement"

8:45 AM - 9:15 AM

General Session 
Costa Del Sol Ballroom D-E
"Building Client Trust While Forming  Key Centers of Influence"

9:20 AM - 10:05 AM

Breakout Sessions
Costa Del Sol Ballroom F-H
“Finding Yield with Credit Funds" 

“Turbocharge Growth with Digital Marketing" 

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

10:10 AM - 10:30 AM

Refreshment Break
Costa Del Sol Ballroom Foyer

10:35 AM - 11:10 AM

Breakout Session 
Costa Del Sol Ballroom F-H
“Tech Stack Structure & Longevity"

iLike PowermatchSessions
Costa Del Sol Ballroom A-C

11:00 AM - 11:50 AM

General Session
Costa Del Sol Ballroom D-E


Peer-to-Peer
EXECUTIVE PANEL
“Succession Planning, M&A Winning Strategies” 

11:50 AM - 12:00 PM

General Session
Costa Del Sol Ballroom D-E
Prize Drawings
Closing Comments
Sponsors

Sponsors

Digital Booth
Digital Booth
Digital Booth
Digital Booth
Digital Booth
Coming Soon
Digital Booth
Coming Soon
Digital Booth
Digital Booth
Digital Booth
Venue

Venue

Renaissance International Plaza Hotel

Address

4200 Jim Walter Blvd

Tampa, Florida, 33607

Event Venue

The Florida Aquarium 

Address

701 Channelside Dr.

Tampa, FL 33602

Night 2
​RelationshipBuilder
™ Event

Testimonials
Contact Us

For general inquiries:

Please reach out to contact@finlocity.com


For press-related inquiries:

Please reach out to contact@finlocity.com


For programming-related inquiries:

Please reach out to alan.giancaterino@finlocity.com


For sponsor/attendee-related inquiries:

Attendees/Delegates: thomas@Q4Forums.com or ryan.metzler@finlocity.com

Sponsorship Opportunities: alan.giancaterino@finlocity.com or ryan.metzler@finlocity.com

Disclaimer: The Finlocity Q4 Top RIA Forum, Website pages, and all associated content are solely intended for use by financial services professionals and solution providers. All other uses are prohibited without express written permission.