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
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?
- 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
Brian Gaffney, CPA
Due Diligence Officer
Lily Li
Sr. Partner & Sr. Managing Director
Tigress Financial Partners
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.
Check-In & Welcome
- Guest arrival, registration, and hotel check-in
- Live demos of new fintech, CRM, and compliance platforms
Evening Reception
- Welcome reception on the Mississippi River
- Dinner riverboat cruise aboard the Creole Queen
- Opening remarks: Setting the Stage for Strategic Growth in a Shifting Industry
Forum Kickoff
- Guest arrival, registration, and hotel check-in
- Live demos of new fintech, CRM, and compliance platforms
Asset Management & Product Strategy - Private Markets Growth: Expanding Access & Participation for BDs
- Leveraging Model Portfolios for Scale and Growth
- Custom SMAs, UMAs, and Direct Indexing: Are Advisors Ready?
- Due Diligence Trends: What BDs Expect from Asset Managers
- Evolving Asset Allocation Models: What’s Gaining Traction
- Bridging the Gap: BD & Asset Manager Collaboration in Product Design
- Tax-Advantaged Strategies Using Alternatives and Energy Investments
Industry Trends & Leadership- Navigating Regulatory Shifts: What’s Next from the SEC and FINRA?
- Economic Outlook & Market Forecast
- M&A Trends Among Broker/Dealers: Risks and Rewards
- Scaling a BD: Growing Without Losing Culture or Control
- Succession Planning & Leadership Transitions
- Building a Diverse and Inclusive Firm: Beyond the Basics
Compliance & Oversight- Reg BI & Form CRS: Lessons from the Field
- Managing Increased Scrutiny & Preparing for Examinations
- Supervision in a Remote & Hybrid Work Environment
Peer Exchange- Executive Panel: Product Innovation & What Advisors Are Asking For
Evening Networking- Dinner & entertainment at House of Blues
- Private Markets Growth: Expanding Access & Participation for BDs
- Leveraging Model Portfolios for Scale and Growth
- Custom SMAs, UMAs, and Direct Indexing: Are Advisors Ready?
- Due Diligence Trends: What BDs Expect from Asset Managers
- Evolving Asset Allocation Models: What’s Gaining Traction
- Bridging the Gap: BD & Asset Manager Collaboration in Product Design
- Tax-Advantaged Strategies Using Alternatives and Energy Investments
- Navigating Regulatory Shifts: What’s Next from the SEC and FINRA?
- Economic Outlook & Market Forecast
- M&A Trends Among Broker/Dealers: Risks and Rewards
- Scaling a BD: Growing Without Losing Culture or Control
- Succession Planning & Leadership Transitions
- Building a Diverse and Inclusive Firm: Beyond the Basics
- Reg BI & Form CRS: Lessons from the Field
- Managing Increased Scrutiny & Preparing for Examinations
- Supervision in a Remote & Hybrid Work Environment
- Executive Panel: Product Innovation & What Advisors Are Asking For
- Dinner & entertainment at House of Blues
Technology & Digital Transformation- Digital Transformation: What’s Actually Working for BDs
- Cybersecurity Threats: Prevention and Response Planning
- Integrating CRM and Compliance Tech for Seamless Workflow
- Outsourcing Operations: What Functions Make Sense?
- AI & Automation in the Back Office: Real-World Examples
- Discovery-Based Tools for Enhanced Prospect Engagement
- Building Stronger Client Relationships with AI
Tech & Ops Peer Exchange- Executive Panel: Building Efficient Tech Stacks & Operational Scale
Distribution & Growth Planning- Building Stronger Partnerships with RIAs & Wealth Managers
- Recruiting and Retention in a Competitive Landscape
Wrap-Up- Closing remarks: Where the Channel is Headed Next
- Prize giveaways and departure planning
- Digital Transformation: What’s Actually Working for BDs
- Cybersecurity Threats: Prevention and Response Planning
- Integrating CRM and Compliance Tech for Seamless Workflow
- Outsourcing Operations: What Functions Make Sense?
- AI & Automation in the Back Office: Real-World Examples
- Discovery-Based Tools for Enhanced Prospect Engagement
- Building Stronger Client Relationships with AI
- Executive Panel: Building Efficient Tech Stacks & Operational Scale
- Building Stronger Partnerships with RIAs & Wealth Managers
- Recruiting and Retention in a Competitive Landscape
- Closing remarks: Where the Channel is Headed Next
- Prize giveaways and departure planning
📍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.
