2022 Symposium code

May 18, 2023

Hilton Garden Inn, Troy

Our event will be IN PERSON!


2023 FPA NENY 22nd Annual Symposium – In Person

Course Descriptions and Learning Objectives

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Session 1: After-Tax Advisor®

Presented by Holly Swan, JD of Eaton Vance

The After-Tax Advisor® helps clients minimize their tax exposures and keep their wealth plans on track. In this presentation, we explore how to build a better tax experience for your clients with three tax tenets (Learning Objectives):

Learning Objectives:

  1. Taxes can be a client’s easiest investment “fee” to reduce.
  2. Asset location can be as important as asset allocation.
  3. Uncle Sam can be a coach, not just a referee.

Suggested Reading: Holly publishes blog posts under the Eaton Vance Coach’s Corner Blog Series. Click HERE.

CE pending

Session 2: What's Ahead for the Markets and Economy

Presented by Jeremy Siegel, Wisdom Tree‘s Senior Investment Strategy Advisor and Emeritus Professor of Finance at The Wharton School of the University of Pennsylvania. – presented virtually

Professor Siegel shares his thoughts on the markets and economy. Putting today’s market and economic environment into an historical context is one of his unique capabilities and with stocks near all-time highs and structural forces holding down bond yields for the foreseeable future, the forward expectations for both growth and income from the traditional 60/40 model has to be revised downward. Furthermore, as people are living longer, the risk of a client’s portfolio falling short of their retirement needs has grown.

Learning Objectives:

  1. Understanding the major current issues facing global markets and the economy.
  2. How today’s market and economic environment fits into a longer-view historic context.
  3. Reviewing historic and current equity and bond market trends and observation on global equity valuations.
  4. Understanding the impact of the COVID-19 crisis on stock and bond returns and the future for inflation.

Suggested reading: Wisdom Tree’s Weekly Siegel Commentary ARCHIVE

CE pending

Session 3: Changing of the Guard - A comprehensive approach to succession planning
  Presented by Tom Rocco of Invesco

More than one-third of financial professionals will retire within the next ten years, accounting for nearly 40% of the industry’s assets. Many of the acquiring and retiring financial professionals are unprepared for the comprehensive planning and communications needed to succeed. Over one quarter of those who said they planned to retire also said they did not have a succession plan.

Succession plans need a clear, concise, and consistent communications strategy to be successful. When potentially disrupting long-term client relationships, it matters what you say, when you say it, and how you say it.

  Learning Objectives:

  1. 3 stages of communication.
  2. “3C” language principles and sequence for use in all communications.
  3. The emotional reaction investors had to conventional messaging.
  4. How retiring financial professionals should write their farewell letters. 
  5. How acquiring financial professionals should greet new clients.

Suggested reading: Invesco’s fact sheet:  Changing of the Guard – A comprehensive approach to succession planning

CE pending

Session 4: Hidden Risks & Trends in Portfolio Construction

       Presented by Brad Rutan, CFA of MFS

Join us for Brad Rutan’s take on everything fixed. As a familiar guest of the Chapter, Brad is back to evaluate various components of the fixed income markets. Brad will highlight opportunities and risks across investment styles relative to each other and additional asset classes. Yield curve management, credit risk awareness, and questions about when to stem the tide into CDs will all be covered.

Learning Objectives:

  1. Learn what drives fixed income returns with a “do and “do not” share.
  2. Understand how to manage fixed income assets through mini cycles.
  3. Learn a meaningful perspective on how the impact of bonds has historically changed for contributions to portfolio performance.

Insights from our Fixed Income Experts: HERE

CE pending

Session 5: Get to the “YES!” Quicker: How to Increase Trust, Connection, & Likeability in 3 Minutes or Less

        Presented by Deirdre Van Nest, Founder, Crazy Good Talks  

Do you want to deepen relationships with current clients and quickly win new business? Do you have your sights set on retaining assets across multiple generations? If you answered YES, this session is for you!

Consumers today are not choosing advisors based primarily on credentials, experience, or rates of return; those are expected. Instead, they’re choosing with advisors based on how an advisor makes them FEEL.  

That’s why if you want an edge (especially with Boomer females, Millennials, and GZ), you’ll want to communicate in a way that demonstrates Emotional Intelligence (EQ). 

One powerful way to show EQ, is by leveraging a specific storytelling strategy- -your Personal Brand Why Story (PBWS).  When you learn how package and share this story in a way that’s meaningful for your ideal clients, you’ll accelerate trust AND buy-in.

Learning Objectives:

  1. Understand why after hearing your Personal Brand WHY Story, your ideal clients could be in a room full of your competitors and will still make a beeline for you!
  2. Experience first-hand how telling your Personal Brand WHY Story will fast-track your “Know, Like, and Trust” Factor in 3 minutes or less.
  3. Discover why humanizing yourself and your company is critical to the future of your business. 
  4. Learn why sharing the right Personal Brand WHY Story is like pouring lighter fluid on all your conversations, presentations, and recruiting/marketing activities!
  5. Discover how top producers are using their stories to attract and win business.
  6. Understand why after hearing your Personal Brand WHY Story, your ideal clients could be in a room full of your competitors and will still make a beeline for you!

Suggested reading:  Deirdre Van Nest’s YouTube channel: Crazy Good Talks

CE pending.


FPA Partner & Sponsor Info for the Symposium

Register Now


Reg/Breakfast at 8:15am
1:  9:00 to 9:50am
2:  10:15 to 11:05am
3:  11:25am to 12:15pm
Lunch 12:15pm - 1:00pm
4:  1:00-1:50pm
5:  2:00 to 2:50pm
Raffle & Happy Hour!