Moderators

David D. Spaulding, DPS, CIPM

Forum Moderator

John D. Simpson, CIPM

PERFORMANCE ATTRIBUTION REPORTING: WHAT ARE OTHER FIRMS OFFERING TO THEIR CLIENTS

Michael Margulis

CHALLENGES WITH OVERSEEING ADVISORS' PERFORMANCE

Inaugural Meeting of The Broker Dealer Symposium

Wednesday, November 16, 2022

8:45 – 9:00 A.M.

CONTINENTAL BREAKFAST/WELCOME

9:00 – 10:45 A.M.

MEMBER INTRODUCTIONS AND “AROUND THE HORN”

10:45 – 11:00 A.M.

MORNING BREAK

11:00 – 12:00 P.M.

PERFORMANCE ATTRIBUTION REPORTING: WHAT ARE FIRMS OFFERING TO THEIR CLIENTS

Slide Deck (PDF)

John D. Simpson, CIPM, The Spaulding Group

12:00 – 1:00 P.M.

LUNCHEON

1:00 – 2:00 P.M.

OPEN DISCUSSION: MEMBER CHALLENGES & QUESTIONS

2:00 – 3:00 P.M.

CHALLENGES WITH OVERSEEING ADVISORS’ PERFORMANCE

Slide Deck (PDF)

Michael Margulis, Ameriprise Financial

3:00 – 3:15 P.M.

AFTERNOON BREAK

3:15 – 4:15 P.M.

NEW SEC MARKETING RULE: WHAT TO BE PREPARED FOR

David D. Spaulding, DPS, CIPM, The Spaulding Group

4:15 – 5:00 P.M.

OPEN DISCUSSION: MEMBER CHALLENGES & QUESTIONS

5:00 P.M.

END OF DAY WRAP-UP

November 16, 2022

Wednesday

9:00 AM – 5:00 PM ET

LOCATION

Omni San Diego Hotel

675 L Street

San Diego, CA 92101

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