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.
October 22-24, 2025 | New Orleans, LA
Thank You for joining us at Q4 BD Exec Forum 2025.
The broker/dealer community came together in New Orleans to exchange ideas, build relationships, and shape what’s next through sessions, peer discussions, and one-on-one meetings.
Relive it all in our 49-second 2025 highlight reel.
♫ Turn sound on for the full experience.
The 4th annual
Q4 BD Exec Forum.
October 22-24, 2025 | New Orleans, LA
Why attend Q4 BD Exec Forum?
Get direct access to senior decision-makers.
Walk away with solutions to your biggest challenges.
Build relationships that
actually drive business.
Time well spent with the right people.
Who’s in the room.
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
Asset Management
- Evolving Asset Allocation Models: What’s Gaining Traction with Advisors?
- Crypto and Alternatives: Expanding Opportunities for Broker-Dealers
- Leveraging Model Portfolios for Scale, Consistency, and Growth
- Custom SMAs, UMAs, and Direct Indexing: Are Advisors Ready?
- Due Diligence Trends: What BDs Expect from Asset Managers Today
- Bridging the Gap: BD and Asset Manager Collaboration in Product Design
Speakers & Panel Lineup
Learn what's next from
the people leading now.
Kevin Beard
Ann Robinson
Chief Compliance Officer
Daren Pippio, PhD
Jason Kavanaugh
Founder & CEO
Lana Calton
Brian Gaffney, CPA
Chief Operating Officer
Lily Li
Sr. Partner & Sr. Managing Director
Tigress Financial Partners
Milan Doshi, CFA
Founder and CEO
Doshi Consulting Solutions, Inc.
Tara Wells
Keith McMurry, PMP
Chief Operating Officer
Rick Burgess
Charles Allen
Schedule
2.5 days of strategy,
connection and innovation.
The Q4 Forums are designed to give you what most conferences miss-real conversations, meetings, and time with people who matter to your business.
Morning Sessions
• Breakfast (7:00–8:00 AM)
• General Session: Getting the Most Out of Your Forum Experience
• Guest Speaker – Milan Doshi: How to Manage Technology and Change as an Operator
Breakouts & PowerMatch™ Sessions
• PowerMatch™ Rounds 1–7 (8:50 AM – 12:00 PM)
• Featured Session – Ethereum: The Financial Revolution Advisors Can’t Afford to Miss (BTCS)
Lunch Session
• Guest Speaker – Aric Groom, Tunnel to Towers Foundation
Afternoon Sessions
• Fireside Chat – A Conversation on M&A with Kevin Beard (WealthVest Marketing)
• Speaker – Daren Pippio, PhD (Raymond James)
• PowerMatch™ Rounds 8–11 (1:50 PM – 4:30 PM)
• Peer-to-Peer Panel – Optimizing Returns with Alternative Investments
• Personal Time (4:30 – 5:30 PM)
Evening Event
• Meet in Lobby (5:30 PM) – walk to The House of Blues
• RelationshipBuilder™ Dinner & Entertainment featuring The Dueling Pianos
• Walk back to Hotel (9:30 PM)
Morning Sessions
• Breakfast (7:00–8:00 AM)
• General Session: Getting the Most Out of Your Forum Experience
• Guest Speaker – Milan Doshi: How to Manage Technology and Change as an Operator
Breakouts & PowerMatch™ Sessions
• PowerMatch™ Rounds 1–7 (8:50 AM – 12:00 PM)
• Featured Session – Ethereum: The Financial Revolution Advisors Can’t Afford to Miss (BTCS)
Lunch Session
• Guest Speaker – Aric Groom, Tunnel to Towers Foundation
Afternoon Sessions
• Fireside Chat – A Conversation on M&A with Kevin Beard (WealthVest Marketing)
• Speaker – Daren Pippio, PhD (Raymond James)
• PowerMatch™ Rounds 8–11 (1:50 PM – 4:30 PM)
• Peer-to-Peer Panel – Optimizing Returns with Alternative Investments
• Personal Time (4:30 – 5:30 PM)
Evening Event
• Meet in Lobby (5:30 PM) – walk to The House of Blues
• RelationshipBuilder™ Dinner & Entertainment featuring The Dueling Pianos
• Walk back to Hotel (9:30 PM)
Morning Sessions
• Breakfast (7:00–8:00 AM)
• General Session – Day 2 Kick-Off
• Finnovation Spotlight™ – Insights from FinTech Solution Providers
• Peer-to-Peer Panel – The Coming Role of AI in Operations
Technology & Innovation Tracks
• Presentations by Forms Logic, Sycamore, Feathery & PlanTech Hub
• Refreshment Break (10:00 AM)
Wrap-Up & Departures
• Prize Drawings & Closing Comments (11:30 AM)
• Meeting Adjourns (12:00 PM) | Hotel Checkout 12:00 PM
Morning Sessions
• Breakfast (7:00–8:00 AM)
• General Session – Day 2 Kick-Off
• Finnovation Spotlight™ – Insights from FinTech Solution Providers
• Peer-to-Peer Panel – The Coming Role of AI in Operations
Technology & Innovation Tracks
• Presentations by Forms Logic, Sycamore, Feathery & PlanTech Hub
• Refreshment Break (10:00 AM)
Wrap-Up & Departures
• Prize Drawings & Closing Comments (11:30 AM)
• Meeting Adjourns (12:00 PM) | Hotel Checkout 12:00 PM
📍All sessions take place at Hotel Monteleone unless otherwise noted.
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.
Classic Southern-style hospitality.
Private courtyard for relaxed moments.
Experience
This is what makes it memorable.
Paddlewheel Reception & Dinner
House of Blues VIP Experience
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
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
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
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.
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.
