Three Things RIAs Can Do to Thrive Post Pandemic – K2 – 5.28.21

Summary:

In March of 2020, the world was shuddered by the covid pandemic which forever changed the RIA landscape. With more of the U.S. population working from home, this introduced new risks for businesses. In the online world, RIAs can rethink the way they do business to better protect their firms and clients. In this webcast, we’ll discuss three ways in which an RIA can combat these ever-increasing risks and thrive in the new normal.

Speakers:

Jay serves as CEO of Wealth Advisor Growth Network (WAGN), a key partner to Advisor Insurance. Jay also serves as the Chief Executive Officer of Advisor Insurance, with responsibilities as the general manager of the company. Prior to founding WAGN, Jay was a Senior Vice President and Head of American Century Investment’s Personal Financial Solutions Business. Jay was responsible for the strategic and executional oversight of teams serving 600,000 individual and small retirement clients with $40B in assets under management. He is a former Managing Director of Envestnet where he served as the Head of Strategic Initiatives and Thought Leadership. Jay is the former President and Chief Operating Officer of Lenox Wealth Management; a Cincinnati based multi-family office and started his career in accounting and consulting at Deloitte. Jay is a frequent industry speaker and writer. Wiley has published two of his books: Success and Succession and The Essential Advisor.

Chris founded AdvisorAssist in 2006 to provide comprehensive support to elite advisory firms seeking independence and risk-managed growth. Chris has over 26 years of investment management industry experience, with a focus on regulatory compliance, business transitions, and operations/technology matters. AdvisorAssist has launched nearly 2,000 registered investment advisors and proudly partners with hundreds of RIAs overseeing more than $150 billion in assets. Prior to founding AdvisorAssist, Chris was a Co-founder and Managing Principal of MainStay Consulting Group, LLC, a strategy and compliance consulting firm serving the needs of investment advisors, fund complexes and private investment firms. Winn sold MainStay in 2009 to focus his time solely on the needs of registered investment advisors. Before founding MainStay, Chris was the Chief Operating Officer and Chief Compliance Officer for several registered investment advisors and served in leadership roles at major consultancy and fund complexes including Navigant Consulting, Deutsche Asset Management and Evergreen Investments.

Clint Sorenson, CFA^®, CMT^® is the Co-Founder of WealthShield, LLC. For the last decade, Clint has been focused on innovative strategies for enhancing and accelerating the traditional investment landscape. He has developed several proprietary quantitative strategies that combine behavioral, fundamental and technical analysis for a truly holistic market view. Proficient in a variety of areas, Clint’s work across WealthShield is diverse and broad-reaching. Clint oversees the development and maintenance of all asset allocation models for WealthShield. The purpose of his strategies is to equip advisors to successfully mitigate risk while attempting to maximize value over the long term. In addition to his work at WealthShield, Clint is also a contributor to industry literature, providing content and insights to platforms including Forbes, Seeking Alpha, and The Resilient Advisor Podcast. Clint was recognized in 2018 as one of 40 financial professionals selected for the InvestmentNews 2018 40 Under 40 List1. Along with his partner Robert Leggett, Clint co-authored the 2015 book Invest to Prosper, a comprehensive guide to personal wealth and investing. Additionally, Clint authored several index methodologies that are tracked by exchange traded funds and accessible using direct indexing. Clint is a past President of the CFA Society North Carolina, as well as a former board member of the CMT Association. He holds a bachelor’s degree from the University of North Carolina at Chapel Hill. He is a Chartered Financial Analyst and a Chartered Market Technician.

As Vice President of Advisor Insurance, Dan runs sales and marketing. Prior to this role he was a wealth advisor with Buckingham Strategic Wealth helping clients with holistic wealth planning. The decade prior to Buckingham he served on the Business Development team for Envestnet Financial Management where he supported the firm’s Institutional sales initiatives focusing most of his efforts on prospecting new institutional clients (RIA’s, Banks, Broker/Dealers and Trust Companies) as well as consulting and advising existing clients. He holds a bachelor’s degree in Economics from Southern Illinois University as well as his Series 65 Investment Advisor registration and a Missouri Property & Casualty Insurance License.