Skip to main content
Finlocity

Join us at the industry’s most focused, high-impact executive event.

At Q4 BD Exec Forum, discover strategic insights, trusted solutions, and meaningful connections that inform decisions, spark growth, and drive your business forward.
New Orleans, LA  |  October 22-24, 2025
Request an Invite
Explore Sponsorship

The 4th annual
Q4 BD Exec Forum.

October 22-24, 2005  |  New Orleans, LA

Join senior Broker/Dealer Executives to network with peers and solution providers from leading investment institutions, insurance carriers, and FinTech companies exclusive opportunity for 2.5 days of insight-packed sessions, 1:1 meetings, and real conversations that drive real outcomes.

Hosted in the French Quarter, this is a curated experience, no booths, no noise, just elite decision-makers sharing what’s working, what’s changing, and what’s next.

Request an Invite

Why attend Q4 BD Exec Forum?

Get direct access to senior decision-makers.

Meet and collaborate with the people who shape the Broker/Dealer landscape. Every attendee is a vetted executive, and every session is designed to move high-level conversations forward. You’ll leave with insights you can act on and contacts you can count on.

Walk away with solutions to your biggest challenges.

Through PowerMatch™ meetings, roundtable discussions, and curated breakout sessions, you’ll get personalized answers to the problems keeping you up at night—from operational inefficiencies to compliance shifts to advisor retention.

Build relationships that
​actually drive business.

Forget surface-level networking. At Q4, you’ll join exclusive dinners, social events, and peer discussions that lead to real opportunities. No booths. No noise. Just smart, focused conversations with people who understand your world.
Request an Invite
Explore Sponsorship

Time well spent with the right people.

Peer Discussions
1:1 Meetings
Expert Talks
Relationship Building

They've attended.

A Few Of Our Past Attendees.

Explore 2025 Topics.

A first look at the themes, topics, and conversations shaping this year’s Q4 BD Exec Forum.

Industry Trends & Market Outlook

  • Navigating Regulatory Shifts: What’s Next from the SEC and FINRA?
  • Private Markets Growth: How BDs Can Expand Access and Participation
  • AI, Automation, and the Future of Wealth Distribution

Compliance & Risk Management

  • Managing Increased Scrutiny: Practical Strategies for Staying Ahead of Examinations
  • Reg BI and Form CRS: Implementation Lessons and Best Practices
  • Supervision in a Remote & Hybrid Work Environment

Leadership & Strategic Growth

  • Scaling a BD: Growing Without Losing Culture or Control
  • Succession Planning and Leadership Transitions
  • M&A Trends Among Broker/Dealers: Risks and Rewards
  • Building a Diverse and Inclusive Firm: Beyond the Basics

Technology & Operations

  • Digital Transformation for Broker/Dealers: Tools That Are Actually Working
  • Cybersecurity Threats: Prevention and Response Plans for Mid-Size BDs
  • Integrating CRM and Compliance Tech: Streamlining the BD Workflow
  • Outsourcing Operations: What Functions Make Sense?

Distribution & Business Development

  • Building Stronger Partnerships with RIAs and Wealth Managers
  • Product Innovation: What Are Advisors Asking For?
  • Recruiting and Retention in a Competitive Landscape

They've spoken.

JP Pattinson

CDO & CTO, Managing Director

MAI Capital Management

Saumen Chattopodhyay

Head of Portfolio Solutions

Harbor Capital Advisors, Inc. 

Kristen Oziemkowski

Chief Operations Officer
The Mather Group

Bill Davis

CEO & CCO
Pinnacle Capital Group

Steven Reder

Managing Director, WM
RWA Wealth Partners

Harvey P. Steele III

Director of Capital Formation

CAZ Investments

Kevin Cremi

CCO & COO
RTD Financial

Brad Goodman

Chief Technology Officer
Apollon Wealth Management

Venue

Step into the heart of
​the French Quarter.

Charm, history, and elegance.

This landmark hotel puts you in the center of it all—rooftop views, timeless architecture, and true Southern hospitality—just steps from Bourbon Street.

Hotel Monteleone

214 Royal St, New Orleans, LA 70130
View on Google Maps

Classic Southern-style hospitality.

Private courtyard for relaxed moments.

Balcony views just steps from Bourbon.

Experience

This is what makes it memorable.

Moments you’ll remember long after the event ends.

Paddelboat Reception & Dinner

Enjoy a cruise down the mighty Mississippi River aboard an iconic paddlewheel riverboat, accompanied by the lively sounds of a New Orleans jazz band.

​House of Blues VIP Experience

An evening of fine dining and live entertainment in one of New Orleans’ most iconic venues - designed for connection, conversation, and a little fun, too.

By clicking the "Continue" button, you are agreeing to the Finlocity Terms of Use and Privacy Policy.
Testimonials

It's all about building
​relationships.

What makes this unique is every aspect of the conference, from the breakout sessions to the one-on-one interactions to the social events, it's all about building relationships. It's awesome.

Tim Minert
Principle, Capital Advisors

The format isn't your typical format. It's such a powerful networking tool because it's the quality of the contacts that are here, and it's the format of the event that gives you that one-on-one ability to connect with people.

Sheri Pontolillo

Principal, InterWeb Insurance

This forum has a different feel to it and a different size—less crowded, but you can make more quality connections. It also doesn't feel quite as rushed as some of the other forums that I've been to.

Matthew Harrison
Chief Investment Officer, Harrison Wealth

In a big event, we have an illusion of meeting a lot of people, but you don't remember anybody at the end. But this one, I get to have a conversation with almost everyone—which is nice because it's not networking, it's relationship building.

Lily Li

Senior Partner & Senior Managing Director, Tigress Financial Partners

There’s a lot of care and effort put into making sure the person I’m meeting is someone I’ll benefit from. That kind of thought and planning is extremely valuable and actually very unique in this space.

Josh Rubinger
SVP, Head of National Accounts, Ashford Securities

Sponsors

Explore our sponsors and ​see how they can help you solve more challenges.

The Q4 Forums are designed to give you what most conferences miss—real conversations, curated meetings, and time with people who actually matter to your business.

Interested in sponsoring? Explore sponsorship opportunities →

Network. Explore. Collaborate.

See how senior broker/dealer executives, investment institutions, insurance carriers, and FinTech companies are coming together to solve big challenges, spark bold ideas, and lead with clarity in uncertain times.

It’s all coming together at Q4 BD Exec Forum.

Request an Invite
Explore Sponsorship

Disclaimer: The Finlocity Q4 BD Exec Forum, website pages, and all associated content are solely intended for use by financial services professionals and accredited investors only. All other uses are prohibited without express written permission.