2012 National Advisors Trust Annual Shareholder Conference Agenda WEDNESDAY, MAY 23 11:00 AM - 1:00 PM TRO Lunch and Learn Ross Ozer, Vice President and Head of Fidelity Institutional Wealth Services' Marketing Consulting, Fidelity Investments Are your marketing efforts running on all cylinders—your story honed, relationships and communication streams maximized? Join Ross Ozer, Fidelity Institutional Wealth Services, for this interactive session to help you take your business development and marketing efforts to the next level. Please note that this lunch session is for TRO firms only. 1:00 PM - 5:00 PM AdvisorDesk™ Boot Camp Laurie Bloom and Abbie Lankford, National Advisors Trust If you are new to National Advisors Trust or haven't taken a look lately, this Boot Camp is for you. Attend this session to get an introduction to the trust company as well as a detailed overview of our account platform and our technology platform, AdvisorDesk™. Topics will include opening new accounts, asset transfers, distributions, trading, rebalancing and much more. 1:00 PM - 5:00 PM Marketing Workshop: Communicating is a Contact Sport Kelly Decker, Executive Vice President, Decker Communications The Workshop: “Communicating Is a Contact Sport” focuses on high level communication and strengthening relationships. Communicating is about trust and influence, and this program emphasizes specific behaviors that communicate the authenticity and passion that is required in building trust – and influencing others. It includes the concepts of the Decker Method™ communication program, which is behavioral skills combined with the new Decker Grid® system, which enables one to always have a focused, listener-based message. It is also relevant and useful to all managers and leaders who often have to influence. 1:00 PM - 2:00 PM Practice Management - Leading and Mentoring Team Members Cheryl Holland, CFP, President, Abacus Planning Group, Inc. This session will help attendees create a roadmap for developing leadership capability within your firm including practical tools for mentoring and managing your team. The session will also provide step by step strategies for giving critical feedback, effective delegation, and self-management in tough situations. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference WEDNESDAY, May 23 2:00 PM - 3:00 PM Collaboration -- Why it Isn't Working and What You Can Do About It Pete Wheeler, President and CEO, WheelerFrost Collaboration means the “the act of working together.” For years wealth advisor professionals have talked about working together. In reality, few do. This presentation discusses the advantages of collaborative work for clients and advisors. It reviews the inhibitors to effective collaboration. Why do attorneys, accountants, insurance agents, financial planners and others not work together? What benefits would they and their clients realize if they truly embraced a collaborative model? And, how new technologies can help overcome the inhibitors to collaboration. 3:00 PM - 5:00 PM Increasing Your Firm's Revenues with Retirement Plan Sales [1 CE CFP credit hour - PENDING] Carolyn Richardson, Sales Consultant, EPIC Advisors; Abram Claude, Vice President, Columbia Management Learning Center Retirement plan sales continue to present a significant opportunity and challenge for many advisors. Please join us for a presentation on the retirement plan market and a discussion on how you can prospect and sell retirement plan clients. Keeping plans sold and building your sold plan base is an important contributor to your firm's revenues. We'll be reviewing National Advisors Trust Retirement Platform solution and the tools we provide to help you sell and keep sold your valuable clients including a review of Matrix RetireTool(kit), a fund selection, monitoring and reporting tool that lets you easily manage a universe of 20,000 investment options including all mutual fund share classes, ETFs, and Stable Value products. Additional discussions will include what our speakers see coming out of Washington. 5:00 PM - 9:00 PM Dinner Reception and Registration Join us for a welcoming reception and dinner under the stars to enjoy the delicious tastes of Americana and spend time with fellow shareholders, staff, sponsors and guests. Savor the view from our location beside the Potomac River, overlooking the famed Woodrow Wilson Bridge and the Washington, DC skyline and monuments illuminated in the distance at night. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference THURSDAY, MAY 24 7:00 AM - 8:00 AM Full Breakfast Buffet - Sponsored by Plymouth Real Estate Investors Enjoy a full breakfast buffet while spending time with our sponsors, speakers, guests and fellow shareholders. Take a moment to thank our sponsors, Plymouth Real Estate Investors, for a wonderful breakfast. 8:00 AM - 8:30 AM Welcome and Opening Remarks: Roadmap for your Future, Value Based Strategies for Profitable Growth Ron Ferguson, CEO, National Advisors Trust; and Steve Janachowski, President & CEO, Brouwer & Janachowski. 8:30 AM - 9:45 AM The Charismatic Advisor David Richman, National Director, Eaton Vance Advisor Institute. What “mindsets” lead to great success in this business? How does an advisor create an environment in which clients and prospects will be motivated to collaborate? What does it feel like to be your client? This presentation provides practical insights to help advisors build deeper client connectivity and to, thereby, decommoditize their business. Featuring clientadvisor vignettes, this provocative presentation’s content is drawn from The Charismatic Advisor™, co-authored by David Richman and Robert Brooks, Ph.D., and released in 2010. Session attendees will receive a complimentary copy of the book, "The Charismatic Advisor." 9:45 AM - 10:15 AM Get to Know Our Sponsors and Network with Fellow Shareholders This is a great time to visit with our sponsors and learn about their excellent services and solutions. It's also a wonderful time to network with fellow shareholders and share best practices. 10:15 AM - 11:15 AM State of the RIA Industry and Succession Planning Mike Durbin, President, Fidelity Institutional Wealth Services As we consider the trends affecting wealth management and the future of our industry, there is a renewed sense of energy and growth potential for all of us. How we proceed from this point forward will define us as an industry. Will the independence message continue to differentiate us as business models continue to converge? Will the next generation of RIAs continue the legacy that's been built? How do we, as business owners, make the independence message personal and relevant to the next generation of investors and embrace the opportunities we have ahead? 11:15 AM - 12:15 PM Cyber Fraud Trends Bill French, Vice President, Fidelity Institutional Risk Management Group This discussion will focus on the range of formidable cyber fraud threats challenging the financial services industry today. Following this presentation, you will understand the threats targeting the brokerage industry specifically involving wire frauds and other fraudulent money movement schemes. You will learn best practices, and how to create awareness and best practices that your firm may want to consider. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference THURSDAY, MAY 24 11:15 AM - 12:15 PM Opportunities in Alternative Investments [1 CE Credit Hour- CFP and IMCA] Gary Henson, CIO, Montage Investments Yesterday’s portfolios may no longer adequately meet the challenges of today’s market environment. In many cases, the traditional mix of stocks, bond and cash – the core of modern portfolio theory – has proven more correlated than not in the new global economy. Asset allocation changes have the potential to increase returns while helping to moderate risk – a phenomenon referred to as the “Efficient Frontier.” A landmark study conducted in 1986 by Gary P. Brinson, L. Randolph Hood and Gilbert L. Beebower found that the vast majority of share price variation in a portfolio was attributable to asset allocation. In this session, we examine the basic myths surrounding alternative investments and how these investments can be positioned in clients’ portfolios to decrease correlation to overall market trends and provide a hedge against downside risk. [1 CE credit hour - CFP and IMCA] 11:15 AM - 12:15 PM Trust Education Janet Bandera, Senior Vice President, National Advisors Trust This session will focus on asset protection strategies. 12:15 PM - 1:15 PM Lunch - Sponsored by Sierra Investment Please join us in thanking Sierra Investment for sponsoring a wonderful lunch. 1:15 PM - 2:15 PM European Economic Situation [1 CE CFP credit hour] Louis Gargour, Chief Investment Officer, LNG Capital This overview of the European economic situation will examine the following: Why is Greece in trouble? What are the events that led to the situation? Who is next? What is the solution? Where is there value? And a discussion of topics including corporate debt, and telecoms, utilities, recycling, gaming. 1:15 PM - 2:15 PM AdvisorDesk Enhancements Laurie Bloom and Abbie Lankford, National Advisors Trust Come see what is new with AdvisorDesk™. This session will include a walkthrough of recent enhancements, such as alerting, reporting, the new face to AddVantage and a secure document transfer portal. We will also be discussing the roadmap for new features and functionality coming up 2012. 1:15 PM - 2:15 PM Unified Managed Accounts: Ease, Access and Flexibility for Investors [1 CE CFP credit hour] Sean Mullen, Senior Vice President, Envestnet While describing what investors want is easy, delivering it has been difficult…until now. Understand how utilizing the UMA structure improves the investor and advisor experience alike. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference THURSDAY, MAY 24 2:15 PM - 3:15 PM The Latest Congressional Focus and the Effects on RIAs [1 CE CFP credit hour] David Tittsworth, Executive Director, Investment Adviser Association Mr. Tittsworth will discuss the impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act on investment advisers and provide an “inside the beltway” perspective and recent developments on Capitol Hill. He will particularly focus on the potential effects of Sections 913 and 914 of the Dodd-Frank Act. Section 913 required the SEC to study “harmonizing” investment adviser and broker-dealer regulation and authorized the SEC to conduct rulemaking that could extend the Advisers Act fiduciary duty to broker-dealers who provide personalized investment advice to retail clients. Section 914 required the SEC to study how imposing “user fees” or designating a self-regulatory organization (SRO) for advisers -- like FINRA -- could aid in increasing the rate of inspection and examination for federally-registered investment advisers. 2:15 PM - 3:15 PM AdvisorDesk CRM Laurie Bloom and Abbie Lankford, National Advisors Trust One of the greatest challenges facing today’s RIA is scalability. Advances in technology have made it possible for firms to increase their AUM while maintaining their current staff, particularly in the realm of CRM. Join us for an in-depth discussion on the benefits of adopting an integrated CRM into your firm using AdvisorDesk™ CRM. Using the powerful Microsoft Dynamics® CRM 2011 platform, National Advisors Trust has developed a custom CRM system, tailored to the RIA industry. AdvisorDesk™ CRM gives advisors access to all client and portfolio information from a single, multi-custodian system and offers Householdlevel data aggregation and reporting, portfolio position and tax lot data, automated workflows, document management and financial planning software integration. This session will focus on the following key strategic objectives: (1) Increasing productivity and profitability while enhancing client relationships; (2) Automating internal processes to increase efficiencies and reduce errors; (3) Maintaining a culture of compliance across the firm. 3:15 PM - 3:45 PM Get to Know Our Sponsors and Network with Fellow Shareholders This is a great time to visit with our sponsors and learn about their excellent services and solutions. It's also a wonderful time to network with fellow shareholders and share best practices. 3:45 PM - 4:45 PM Growing Your Business through the TRO Program; Panel Discussion Janet Bandera, Senior Vice President, National Advisors Trust National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference THURSDAY, MAY 24 3:45 PM - 4:45 PM What Every Advisor Needs to Know about Captive Insurance Companies [1 CE CFP credit hour] Peter Strauss, JD, The Strauss Law Firm This is an overview of the nuts and bolts of captive insurance companies and how they are utilized and implemented. The presentation explains “one of the most valuable, well‐kept secrets of the insurance industry for American businesses in the past 70 years.” Owners can send up to $1.2MM in tax‐free income to their captive insurance company, providing tax, estate planning, insurance and asset protection planning benefits. The presentation will provide information including, but not limited to, the following topics: What a captive insurance company is; The history of captive insurance companies; Pertinent IRS Revenue Rulings and Procedures; Type of risk captives can insure; Who makes a good captive candidate; How a captive is managed; The benefits from an estate planning, insurance, tax planning and asset protection planning perspective; Types of captives; How and where they are managed, owned and established; and specific examples of how a captive insurance company will benefit it’s owner(s) in terms of costs and savings. 3:45 PM - 4:45 PM Regaining Clarity During Regulatory Instability [1 CE CFP credit hour] Dan Bernstein, Director of Research & Development, MarketCounsel Join MarketCounsel’s Director of Research & Development, Dan Bernstein, as he surveys the day’s most pressing legal and regulatory issues affecting investment advisers. In this session, he will provide some much needed clarity on these new and proposed changes, their effect on investment advisers, and ideas for maintaining regulatory compliance. Attendees will gain a comfortable handle on the issues at hand, develop action items for maintaining compliance and perhaps, along the way, even identify some business opportunities amidst regulatory chaos. 4:45 PM - 6:00 PM Shareholder Business Meeting - This meeting is for shareholders of National Advisors Trust only. Robert Kaspar, Chairman of the Board, National Advisors Trust. 6:00 PM - 7:00 PM Cocktail Reception - Sponsored by Advisors Asset Management Please take a moment to toast Advisors Asset Management for sponsoring a wonderful cocktail reception. 7:00 PM - 9:00 PM Dinner and entertainment Join us by the riverfront for a special dinner featuring an authentic Maryland boil with a menu filled with the best cuisine the East Coast has to offer. Dining outdoors beside the Potomac River will give you an appetite for food and fun, and we've arranged for some terrific entertainment that is sure to leave you smiling. If you have special food requirements, vegan and non-seafood meals will be provided on request. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference FRIDAY, MAY 25 7:00 AM - 8:00 AM Full Breakfast Buffet 8:00 AM - 8:30 AM 2012 Conference Remarks Steve Janachowski, President and CEO, Brouwer & Janachowski; and Ron Ferguson, CEO, National Advisors Trust. 8:30 AM - 9:30 AM Guide to the Markets [1 CE CFP credit hour] Dr. David Kelly, Chief Market Strategist, JP Morgan Funds Management Dr. David Kelly, Chief Market Strategist of J.P. Morgan Funds, will share thoughts on the current economic landscape and discuss key drivers and trends taking place in the markets both domestically and globally. He will also provide perspective on the uncertainties and opportunities facing investors today, and explain the investment implications of current market events across asset classes. His comments will be followed by a Q&A. 9:30 AM - 10:30 AM What Principals Need to Know about the Changing RIA Technology Landscape Joel P. Bruckenstein, Technology Tools for Today (T3) Technology trends are fundamentally changing the advisor landscape, and altering the conventional wisdom with regard to practice management and IT provisioning. Technology is playing an ever larger role in the success of top RIA firms. More changes are on the way, and it is vital for RIAs to keep abreast of developments. Integration, mobility, mobile adoption, and advisors and the Cloud are just some of the timely technology topics that will be discussed. 10:30 AM - 11:00 AM Get to Know Our Sponsors and Network with Fellow Shareholders This is a great time to visit with our sponsors and learn about their excellent services and solutions. It's also a wonderful time to network with fellow shareholders and share best practices. 11:00 AM - 12:00 PM The Brain-Smart Approach to the Healthiest You Dr. Kelly Traver, Founder and CEO, Healthiest You It’s rare to find someone who doesn’t want to live a happy, healthy life. But wanting to live healthfully is one thing; doing it is quite another. Change can be a tricky process, so the more you know about it, the better. The brain is the command center of the human body, and if you change it, the body will follow. Dr. Traver teaches people how to retrain their brain so that it not only accepts healthy lifestyle changes, it embraces them. This session will explore: How your brain works; Why it is so difficult to change; The 12 Brain Principles that can empower you; The science behind the methodology; How knowing this can help your health; How this approach is different than other methods. 11:00 AM - 12:00 PM Operations Session - Hot Topics: Cost Basis and Alternative Investments Changes Laurie Bloom and Abbie Lankford, National Advisors Trust Key operations staff of National Advisors Trust will be on hand to discuss “hot topics” and address any questions you may have. Related topics will include the ever-changing cost basis regulations as well as alternative investment custody and our new approval process. Take this opportunity to share and learn what your fellow shareholders are doing to effectively incorporate National Advisors Trust into their practice model as well as stay current with industry changes. National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com 2012 National Advisors Trust Annual Shareholder Conference Friday, May 25 12:00 PM - 12:30 PM Lunch - Sponsored by Preferred Apartment Communities Please take a moment to thank Preferred Apartment Communities for sponsoring a wonderful lunch. 12:30 PM - 2:00 PM Panel Discussions: Lessons Learned from M&A and Internal Succession Transactions Kelli Cruz, Director of Custom Research, InvestmentNews Are you prepared for the succession and transfer of ownership of your firm? Most firms are not - which is one of the largest issues facing our industry. In this two-part session, Kelli Cruz from IN Adviser Solutions will present their recently released findings from their new succession planning study which will provide you with insights on how you can create a sustainable and transferable business. Ms. Cruz will then bring the research data to life by moderating two separate panel discussions with firms who have successfully undergone M&A transactions and internal succession transactions. The panelists will share their successes, challenges and lessons learned to help you prepare for your own firm’s succession and transfer of ownership. 2:00 PM - 2:30 PM Dessert and Conference Wrap-up Ron Ferguson, CEO, National Advisors Trust; and Steve Janachowski, President & CEO, Brouwer & Janachowski National Advisors Trust 8717 W. 110th St., Suite 700, Overland Park, KS 66210 913-234-8200 877-527-3476 www.nationaladvisorstrust.com