Financial Services Institute

Financial Services Institute / Financial Services Institute

FSI Financial Advisor Summit

FSI’s third-annual Financial Advisor Summit is a truly unique conference created for financial advisors, by financial advisors. This highly-acclaimed event provides a holistic experience with sessions focused on both the personal and business development of the independent financial advisor.

Save the Date:
September 25-27, 2016
Hyatt Regency Dallas
Dallas, TX

Who Should Attend

This event is open to all FSI members and select sponsors.

Schedule at a Glance

This year’s event has a dynamic schedule of events. Download the printable schedule at a glance.

Sunday, November 1, 2015

  • 2:00 p.m. Registration Open
  • 5:00 p.m. – 6:15 p.m. Opening General Session – The Future of Work: Insights from the New World of Work
  • 6:15 p.m. – 7:00 p.m. Welcome Reception with Exhibitors
  • 7:00 p.m. Dine Arounds with Exhibitors (Optional)

Monday, November 2, 2015

  • 6:00 a.m. – 7:00 a.m. ENRICHMENT ZONE: Morning Workout (limited space available)
  • 7:00 a.m. Registration Open
  • 7:30 a.m. – 8:30 a.m. Breakfast with Exhibitors
  • 8:30 a.m. – 9:30 a.m. General Session – Rest Eat Move: The Power of Feeling Your Best
  • 9:45 a.m. – 10:45 a.m. Concurrent Sessions
    • Money Silence: How to Engage Clients in Wealth Conversations [Niche Communications Track]
    • Advising Clients through the Toughest Times of Life [Seniors Track]
    • Active at the Core: Ways to Pursue Better Portfolio Outcomes [Portfolio Management Track]
    • Color Me Successful [For Yourself Track]
    • Nuts & Bolts of Succession Planning, Part 1 [Succession Planning Track]
  • 11:00 a.m. – 12:00 p.m. Concurrent Sessions
    • Generational Clients & Teams Panel [Niche Communications Track]
    • Family Perspective: Intergenerational Research, Trends and Tools [Seniors Track]
    • Economic Update [Portfolio Management Track]
    • Strategic Career Planning – Dressing for the Part [For Yourself Track]
    • Nuts & Bolts of Succession Planning, Part 2 [Succession Planning Track]
  • 12:00 p.m. – 1:00 p.m. Networking Lunch in the Exhibit Hall
  • 1:00 p.m. – 2:00 p.m. Concurrent Sessions
    • Incorporating Behavioral Advice Into Your Practice [Practice Mgt Track]
    • Quality of Life: “3 Questions that MIT suggests predicts future quality of life” [Seniors Track]
    • Rep as a Portfolio Manager Best Practices [Portfolio Management Track]
    • Boost Your Energy and Focus at Work [For Yourself]
    • Secrets of Succession for Advisors – A guide for buyers, sellers and everything in between [Succession Planning Track]
  • 2:00 p.m. – 2:45 p.m. Refreshment Break with Exhibitors
  • 2:45 p.m. – 3:45 p.m. Concurrent Sessions
    • The Robots are Coming! [Practice Mgt Track]
    • Financial Planning in the Shadow of Dementia [Seniors Track]
    • Transforming Social Security into a Winning Retirement Strategy [Portfolio Management Track]
    • Are You Future Ready? [Practice Management Track]
    • Where & How Do You Find A Successor?: No ‘cookie-cutter’ solutions [Succession Planning Track]
  • 4:00 p.m. – 5:00 p.m. General Session: Change Comes to Washington

    – From Politics to Economic Policy

  • 5:00 p.m. – 6:15 p.m. Reception with Exhibitors
  • 6:15 p.m. Dine Arounds with Exhibitors (Optional)

Tuesday, November 3, 2015

  • 6:30 a.m. – 7:30 a.m. ENRICHMENT ZONE: Morning Workout (limited space available)
  • 7:00 a.m. Registration Open
  • 7:30 a.m. – 8:30 a.m. Breakfast with Exhibitors
  • 8:30 a.m. – 9:30 a.m. General Session – FSI DOL Update
  • 9:45 a.m. – 11:00 a.m. Concurrent Sessions
    • How We Run our Firm: Business Models, Legal & Tax Implications [Practice Mgt Track]
    • Straighten the Random Walk: Make Sense of the Data [Portfolio Management Track]
    • Alternative Strategies for Practice-Portfolio Ideas — without the Pitch [Portfolio Management Track]
    • Round Table Discussions
  • 11:00 a.m. Conference Adjourns

Keynote Speakers

Sunday, November 1, 2015
5:00 p.m. – 6:15 p.m.
Opening Keynote Presentation

Decide How You Show Up: Elevate Your Value to Address the Needs of Your Clients Today and Tomorrow
A power shift has occurred in the world of finance services. No longer do institutions and authority figures hold the keys. Today power and influence are shared between client and advisor creating new challenges and opportunities for an entire industry. How will you respond to this dramatic evolution?

In Decide How You Show Up, Seth Mattison will dissect how the best financial services firms and advisors are meeting the expectations of more sophisticated and demanding customers while demonstrating how an entirely new set of relationship competencies will be required to compete and win business in this new complex and competitive environment.

  • Seth Mattison, Founder & Chief Movement Officer, Future-Sight Labs

Monday, November 2, 2015
8:30 a.m. – 9:30 a.m.
Morning General Session

Rest Eat Move: The Power of Feeling Your Best
You will have people asking: What is your secret? when you adopt these On Target Living practices. Chris has taught thousands of people how to live a life in balance and he wants to share his practices with you. After this session you will leave:

  • Inspired to reach for higher levels of energy, fitness and overall well-being
  • Invigorated and motivated to take better care of yourself
  • Armed with knowledge and practical tools to take immediate action

Chris Johnson is a nationally recognized speaker and author of On Target Living: Your Guide to a Life of Balance, Energy, and Vitality. He is the founder and CEO of On Target Living, a health and performance company that helps organizations achieve performance goals and increase efficiency.

  • Chris Johnson, Founder & CEO, On Target Living

Monday, November 2, 2015
4:00 P.M. – 5:00 P.M.
Afternoon General Session
Change Comes to Washington – From Politics to Economic Policy

Veteran Washington watcher Greg Valliere, the Chief
Global Strategist at Horizon Investments, will take a fast-paced look at the
Federal Reserve, tax and budget issues on Capitol Hill, pending federal
regulations and — of course — the elections.  Greg is widely quoted in
the nation’s press and appears frequently on CNN, CNBC, Bloomberg and Fox
Business News.

  • Greg Valliere, Chief Global Strategist, Horizon Investments

Tuesday, November 3, 2015
8:30 A.M. – 9:30 A.M.
General Session

FSI DOL Update
Like it or not, the future of our industry is greatly impacted at the intersection of Wall Street and Washington. And the pending DOL fiduciary rule will most likely be the biggest regulatory event our industry has ever faced – with ramifications that will dramatically affect your business and your clients’ access to your advice. In this compelling and critical update, you will learn:

  • Where we are in the process
  • How it will impact your business
  • The political realities surrounding the rule
  • What a post-DOL world looks like
  • How to start planning to adapt your business to this new reality

Panel Includes:

  • David Bellaire, Executive Vice President & General Counsel, Financial Services Institute
  • Robert E. Lewis, Jr., Vice President, Legislative Affairs, Financial Services Institute
  • Robin Traxler, Vice President, Regulatory Affairs & Associate General Counsel, Financial Services Institute
  • Moderator: Dale Brown, President & CEO, Financial Services Institute

Conference Program

This year’s event has a dynamic program. Download the printable Conference Program.


We have some great sponsors for you to spend time with at our 2015 Financial Advisor Summit this year. Using the links below, you can see a listing of all of our 2015 sponsors. In addition, there is an interactive exhibit hall map and product category search so you can seek out a particular sponsor’s location.

2015 Financial Advisor Summit Sponsor Listing

Interactive sponsor search and exhibit map

Financial Advisor Summit Task Force Members

FSI would like to thank the Financial Advisor Summit Task Force for their hard work in developing this week’s conference. The program truly is created for financial advisors, by financial advisors, and would not be possible without their dedication and efforts as well as the support of our Ambassador and Premier sponsors.

Chair: Rick Wagener
Wagener-Lee, LLC
Raymond James Financial Services, Inc.
Daniel Gaugert
Gaugert Financial, Inc.
Capital Investment Group, Inc.
Vice Chair: Anthony LaJeunesse
TL Financial Group
LPL Financial
FSI Board Member
Kimberly Gaxiola
TechGirl Financial
Cambridge Investment Research
Denise Barrows
Barrows Wealth Management
1st Global, Inc.
Jean Hempel
Brinker Capital
Mitch Bell
Pershing, a BNY Mellon company
Thomas D. St. Hilaire
MFP, Inc.
Voya Financial Advisors;
Jane Braun
Manning Wealth Management, Inc.
Commonwealth Financial Network
Michelle Itzkowitz
American Funds
Rick Carlson
Carlson Advisors, LLC
Coordinated Capital Securities, Inc.
FSI Board Member
Frieda Lewis
Broadridge Financial Solutions, Inc.
Jason Carroll
Live Oak Bank
Mary B. Kusske
Kusske Financial Management, Inc.
National Planning Corp.
Jenniffer A. Daigle
SC Distributors, LLC
Amanda J. Smith
National Financial, a Fidelity Investments company
Robert FitzSimmons
FP Wealth Management, Inc.
Investacorp, Inc.
Kive I. Strickoff
Strickoff Financial Services, LLC
1st Global, Inc.
Lavea Thomas
Realty Capital Securities

Download a printable version of Financial Advisor Summit Task Force Members