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7:30 AM Pacific Time
Registration and Breakfast Courtesy of:

8:00 AM Pacific Time
Pre-Conference Discussion: What Product Sponsors & IBDs/RIAs Need to Know About Age-Based Investors: Millennial & Baby-Boomer Investing in Retail Alternative Products

Millennials represent the next big wave of retail investor and they are significantly different to prior generations, forcing a change amongst product sponsors and financial advisors vying for their business. This session explores the different approaches to and considerations for product sponsors and IBDs/RIAs attempting to tap into the two biggest generations in US history – Baby Boomers and Millennials.

  • How do Millennials differ to Baby Boomers and Generation X in their investment priorities, preferences, behaviors and expectations?
  • Millennial investment habits: How are they changing the rules of alternative investment?
    • Reg A+
    • Online inventory/bypassing brick and mortar financial firms
  • What are Millennials investing in and why? Baby Boomers? What are the key features of retail alternative investments that attract – and disengage – these two investor groups? What can product sponsors learn from this?
  • The use of technology and social media to reach, interact with and retain Millennials and Baby Boomers
  • Generating trust, loyalty and brand awareness amongst Millennial investors

Maksim Netrebov

Maks Financial Services

Glenn Mueller

Real Estate Investment Strategist, Managing Director
Black Creek Group

Daniel Joyce

Senior Investment Specialist
WestPark Capital

Kevin Finkel

Resource Real Estate
8:45 AM Pacific Time
Pre-Symposium Workshop Concludes
8:50 AM Pacific Time
Welcome from IMN
8:55 AM Pacific Time
Chairpersons’ Opening Remarks

Rosemarie Thurston

Alston & Bird LLP

Peter Fass

Proskauer Rose, LLP
9:05 AM Pacific Time
End of Year Market Update & State of the Retail Alternative Investment Industry Address
  • How is the composition of the retail alternative investment market changing? What is the market’s current state of ‘health’? Can we expect to see products and/or sponsors dropping out of the market in 2017? New ones taking their place?
  • How has FRN 15-02 affected the market in the past 8 months? What post-FRN 15-02 structures are working/not working? What has been the rate of new product registration?
  • Are there/will there be industry trends in moving from commission-based products to managed accounts?
  • Share class trends and outlook
  • Non-Traded REIT & BDC sales: 2016 volumes and 2017 outlook against backdrop of industry headwinds
  • New market participants: Will we see more private equity giants enter this market? What are the implications of this for the current status quo? Are wire-houses finally going to make a determined bid to enter this market sector?

Kevin Gannon

Managing Director
Robert A. Stanger & Co.
9:50 AM Pacific Time
An Interview With a Real Estate Economist Is the Bubble About to Burst? The 2017 Macroeconomic & Investment Outlook for the Retail Alternative Investment Industry
  • Is the US headed for another recession? Where are fundamentals?
  • Interest rates, tax reform and anticipated monetary policy: What can we expect from the new Administration?
  • What will be the subsequent impact on business credit? On commercial real estate (CRE) finance and asset classes? Is the CRE market in the ninth inning? What is the 2017 market outlook?
  • Is Brexit a positive development for US CRE? What opportunities does it open/close in European CRE? What impact is China’s slowdown having on the US markets? What is the 2017 outlook for global economic/political instability?
  • What can we learn from the current investment strategies of endowments? Large asset managers?
  • All things considered, what is the alternatives investment outlook for 2017? How much should retail investors be putting into non-correlated assets?

Phil Owens

Senior Vice President, Advisory & Consulting
Green Street Advisors

Glenn Mueller

Real Estate Investment Strategist, Managing Director
Black Creek Group
10:15 AM Pacific Time
Morning Networking Break Courtesy of:

10:45 AM Pacific Time
Regulatory Update: A Practical Guide for Broker/Dealers & Product Sponsors
  • DOL implementation:
    • Do practices/documentation need to change? If so how?
    • BICE contracts: What should they look like to protect IBDs?
  • NASAA:
    • Concentration limit guidelines: What is the latest? When can we expect the final ruling? What will it likely be and what is the anticipated impact on Non-Traded REITs? What can the industry do to get involved?
    • What else is on NASAA’s radar?
  • SEC:  Proposed section 2704 regulations limiting wealth and estate transfer

Alice Connaughton

Morrison & Foerster LLP

Kirk Montgomery

Kirk Montgomery Law, LLC

Robert Bergdolt

DLA Piper LLP (US)

Tony Chereso

President & CEO
Institute for Portfolio Alternatives

Drew Dornbusch

Director of Product Development
NorthStar Asset Management Group
11:30 AM Pacific Time
Retail Alternative Investment Product Sponsor CEO/President Panel
  • How was 2016 for you and how optimistic are you for 2017 in the current market climate?
  • How are you preparing for April’s DOL Fiduciary Rule implementation deadline? How do you anticipate this impacting the retail alternative investment industry in the short and long term? What are the opportunities and challenges in a post-FRN 15-02/DOL Fiduciary Rule era?
  • What new product structures are you considering in response to FRN 15-02 and the DOL? How are you determining fee structures? Will you change your distribution methods based on your products? If so, how? Who are your targeted investors?
  • Is NASAA’s concentration limit guideline the final nail in the coffin for Non-Traded REITs?
  • How committed are you to staying the course in the Non-Traded REIT/BDC/interval fund market? What will alternative investment products look like in the next 2-5 years? Will there be more interval funds? NAV REITs? What can we learn from past market events?
  • Will we start seeing alternative investment products appropriate for robo-advisors? What else needs to be addressed to broaden the appeal of alternative investment products to retail investors?
  • What can we expect from new market entrants (product sponsors)? To what degree will the entry of brand name funds be a game-changer for the industry? How will fee structures change?

Rosemarie Thurston

Alston & Bird LLP

Suneet Singal

Founding Principal/Chairman
First Capital Real Estate Investments

Charles Schreiber

KBS Realty Advisors

Leonard Silverstein

President & COO
Preferred Apartment Communities

Alan Feldman

Chief Executive Officer

William Shopoff

Shopoff Realty Investments L.P.

Bruce Batkin

President & CEO
Terra Capital Partners, LLC
12:30 PM Pacific Time
Broker/Dealer Perspective: Managing the Practical Implementation of the DOL Fiduciary
  • How are you interpreting the rules/business applications of the DOL Fiduciary Rule? What impact will it have/is it having on your business?
  • How are you managing implementation? What challenges are you encountering and how are you addressing these? The ‘Best Interest Contract’ (BIC) Exemption: what will it take to comply? What will contracts look like?
  • How will Broker/Dealers need to modify their alternative investments platform in adherence with the DOL ruling?
  • Does the Independent Broker/Dealer (IBD) model still work for alternative investments? Will you stop selling commission-based products to RIAs? What do you estimate the overall cost of compliance to be? Will IBDs need to go to the advisory account model?
  • How do IBDs pivot to make up for lost revenue in this regulatory environment?
  • What are your expectations in a post-DOL market environment?

Tony Grego

Associate Executive Director

Frank Tauches

American Portfolios Financial Services, Inc.

Howard Davis

Cabot Lodge

Kimberlee Levy

General Counsel
Concorde Holdings, Inc.
1:15 PM Pacific Time
Concurrent Sessions: Choose ‘A’ or ‘B’
2:15 PM Track A
Deconstructing Interval Funds/Continuously Offered Closed End Funds/Daily NAV REITs: Innovation/Liquidity/Share Classes
  • How do interval funds, closed end funds and Daily NAV REITs compare in product structure/design? What are sponsors’ objectives with these products?
  • How flexible is a closed-end or interval fund as a “wrapper” for an investment product?  What opportunities and limitations does it pose for an issuer considering it? How to build in and enhance liquidity in an essentially illiquid product?
  • How are IBDs/RIAs looking at such products? What are the due diligence and compliance concerns?  How should IBDs/RIAs categorize them? Should they be treated more like a mutual fund or a non-traded REIT or BDC? 
  • Why should/shouldn’t IBDs/RIAs be adding these to their list of approved products? How do such products fit in an investor’s portfolio?
  • Let’s talk about share classes….
  • Interval fund innovation: What are new entrants doing that’s different? Are there any niches still left untapped? What do IBDs/RIAs want to see in such products?
  • What’s spurring asset flow? What’s driving this market overall? How many such funds can the market sustain?

Janis Kerns

Of Counsel
Nelson Mullins Riley & Scarborough LLP

Randy Agnew

Vice President Partner Strategy Alternative Investments
Cetera Financial Group

Lucas Johnson

Due Diligence Analyst
National Planning Holdings, Inc

Justin Milberg

Portfolio Manager, Diversified Income Fund

Todd Snyder

Managing Member
Snyder Kearney, LLC
2:15 PM Track B
Reg A+ / Reg D / Crowdfunding
  • How successful have Reg A+ and crowdfunding been within the retail alternative investment market? What has been the Broker/Dealer reception to such offerings? Will 2017 be the year that Reg A+ fully catches on? Why hasn’t it to-date? What can we learn from recent notable success stories/failures to launch?
  • What’s driving the current uptick in private placements? How are Broker/Dealers and RIAs viewing private placements? What types of product are getting sold? What’s not?
  • What are some of the unique features that make a private placement attractive to retail investors vs. other alternative products? What new features are appearing that the industry should be aware of? As Reg D is outside the remit of FRN 15-02, can we expect to see more product launches?
  • What are the key regulatory, due diligence, compliance and liability hot buttons for Reg A+ and Reg D? What should broker/dealers and advisors be aware of to protect themselves and their clients? How do advisors and investors determine if reporting provided is sufficient and what can they require of sponsors to get the information they need?

Peter Fass

Proskauer Rose, LLP

Dana Woodbury

Buttonwood Investment Services

Daniel Oschin

Chief Strategy Officer
Shopoff Realty Investments, L.P.

Brian Buehler

President & CEO
Triton Pacific Securities
3:00 PM Track A
Non-Traded REITs &BDCs
  • 2016 has been a tough year for Non-Traded REIT/BDC sales: What do you see as the overall health of these product markets? How has volatility in the credit/high yield markets impacted Non-Traded BDCs?
  • FRN 15-02/DOL Fiduciary Rule/NASAA’s concentration limits: What impact have these had on your business to-date and how are you addressing them? How does a BDC’s NAV as determined under the 1940 Act differ from a REIT’s “appraised value” for purposes of FINRA 15-02?  Does the REIT or BDC have an “advantage” in the calculation? What are the opportunities in a post-FRN 15-02/DOL Fiduciary Rule era for sponsors?
  • How are Broker/Dealers and RIAs currently viewing Non-Traded BDCs vs. Non-Traded REITs? Is there the same “shelf space” for each?  Why/why not? 
  • Does the BDC model lend itself easily to the non-traded structure, given the recent volatility and deviations that traded BDC share prices have experienced relative to their NAV? Are master-feeder BDCs and multi-share class BDCs the future, if approved by regulators? 
  • As a Non-Traded REIT sponsor, what further changes do you anticipate making as we head into 2017? Have you/are you revamping your compensation structure for Broker/Dealers? If so, how? What T-share type structures are working? What will ‘traditional’ Non-Traded REIT products look like going forward? T shares only? Will A shares survive? How quickly will they be absorbed into the market?
  • How optimistic are you for 2017 in the current market climate? What will the Non-Traded REIT/BDC product and industry look like in 2020?

Michael Choate


Martin Dozier

Alston & Bird LLP

James Goedtke

SVP - Product Manager & Due Diligence Analyst
American Portfolios Financial Services, Inc.

Jim Manouse

Cheif Distribution Officer
Lodging Opportunity Fund, REIT

Tim Toole

President and CEO
NorthStar Securities, LLC

Steven L. Kantor

SK2 Financial
3:00 PM Track B
Battle of the 1031 Sponsors

With $1.5bln in projected growth, the 1031 market is expected to thrive. But with various product options, what do Broker/Dealers & RIAs need to know when considering what’s best for their retail investor clients? In this session we compare and contrast different products, addressing their pros and cons for retail investors through a ‘Battle of the Sponsors’ format. Among the points addressed are:

  • Product differentiation
  • Fee structures
  • Performance history
  • Liquidation/exits

Darryl Steinhause

DLA Piper

Tom Burns

Registered Principal
Crown Capital Securities

Suneet Singal

Founding Principal/Chairman
First Capital Real Estate Investments

Joseph Delaney

Registered SEC Broker-Dealer
J.V. Delaney & Associates
3:45 PM Pacific Time
Afternoon Networking Break Courtesy of:

4:15 PM Track A
Product Sponsor Closed Door Roundtable Discussion: Product Structuring & DOL Implementation

(Product Sponsors’ attorneys are also entitled to participate in this session.)

Pre-Registration is required. Please reach out to Catherine Miller at to register.

Jason Goode

Alston & Bird LLP

Steven Lichtenfeld

4:15 PM Track B
Broker/Dealer Closed Door Roundtable Discussion Keep Calm & Carry On: Trouble Shooting & How to Thrive in the Current Environment

Broker/Dealer Closed Door Roundtable Discussion: Trouble Shooting & How to Thrive in the Current Environment

We are pleased to offer a new closed door session for independent retail broker/dealers and RIAs. The purpose of this session is two-fold: Firstly it serves as an opportunity to troubleshoot common – and not so common – challenges facing Broker/Dealers and RIAs today. Secondly, we explore opportunities in the current market climate and examine ways that Broker/Dealers and RIAs can thrive. Questions from the floor are welcome and attendees are highly encouraged to submit questions/topics in advance. Participation is strictly limited to qualified attendees. To register and to submit discussion points, please email Submitted questions will remain anonymous. Suggested discussion points include:

  • “Reasonable Compensation”: What is it for alternative investments? How to determine?
  • How to interpret concentration limits? By state, sponsor or product?
  • What has been client response to their account statements since 15-02 came into effect? How has 15-02 impacted your business? How have you complied?
  • What opportunities does the current market environment offer Broker/Dealers and RIAs? How to take full advantage?

Neil Greene

SVP & Due Diligence
Newbridge Securities

Neal Nakagiri

President, CEO, CCO
NPB Financial Group, LLC
5:15 PM Pacific Time
Networking Reception Courtesy of:

6:15 PM Pacific Time
Day One Concludes
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Event Contacts for The 12th Annual Western Non-Traded REIT & Retail Alternative Investment Symposium


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Information Management Network - Privacy Notice

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  • Events & Conferences

    If you have registered for an event through a group website we may collect personal data including: name, job title, company, address, telephone number and email.

    This information is necessary so that we can complete your registration for the event and provide you with relevant event materials.

    We may also provide delegate details (e.g. name, email) to event sponsors who, subject to your consent, may contact you for their own advertising and marketing purposes.

  • Advertising & Marketing

    We use the personal data you provide us and which we collect from you to inform you about similar products and services which we provide. We may send you marketing communications that are sponsored by our partners and which are targeted to your interests based on information you have provided us such as job title, employer and/or industry. If you have consented to receive information from other Euromoney group companies, we may share your personal data with these companies so that they can fulfil your request to receive marketing materials in accordance with your preferences. We will not share your personal data with any third parties for their own marketing purposes unless you have provided your consent.

    Each of the Euromoney group companies that may contact you is a data controller in relation to the personal data that you have agreed to share with them. If you have any questions or concerns, you may contact the individual company, or us – using the contact details set out in the “Who We Are” section.

    You can opt out from receiving such materials at any time.

    The personal data we may use for advertising and marketing purposes includes your name, email address, job title, phone number, company name/employer, geo location, postal address and data collected using cookies and other similar technology (Please read our separate Cookies Policy to find out more about which cookies we use, how they work and how you can control your cookie options).

    Marketing materials are sent electronically, by post and we may occasionally call you.

  • Online Targeted Advertising

    We use targeted advertising on our websites to display advertisements that are relevant to what we believe are your interests. In order to deliver relevant advertisements, we use third parties to deliver cookies that collect information about your IP address and how you interact with our sites (e.g. browsing information, which articles you have read etc.). This data is used by the third parties to determine which advertisements may be of interest to you.

    We may also share your personal data with third parties to deliver targeted advertising to you on other websites (e.g. Twitter Tailored Audiences or Facebook Custom Audiences). This could include your email address, cookie data, and information obtained from third parties. Third party cookies may also be used to enable us to target advertisements to you on other websites that you visit.

  • Lead Generation and Scoring

    We occasionally use the services of trusted third parties in order to ensure that the personal data we use for advertising and marketing purposes is accurate and up-to-date. To do this, we transfer personal data of individual leads (such as name, email, job title, location and phone number) to these third parties who conduct research to verify the data – primarily against public information.

    We also use algorithmic software technology to help us improve the quality and relevance of marketing activities. The personal data analysed by the software includes email address, phone number, job title, address, purchase history and account information. This allows us to provide meaningful offers that are relevant to your specific profile.

  • Surveys, Market Research & Customer Feedback

    We want to understand the needs of our readers and customers. We may therefore use the information you provide us – including your name and contact details – to contact you to request your feedback, or to participate in our customer and market research.

  • Public forums, message boards and blogs

    Some of the pages on our group websites may include message boards, blogs or other facilities for generating content from users. Any information that is disclosed in these areas becomes public information and you should always be careful when deciding to post any personal data. User generated content is also subject to our site Terms & Conditions.

  • Business or Asset Sale

    If we sell a business or assets we may need to disclose your personal data to the prospective buyer of such business or assets.

    If Euromoney, or any of our group companies is sold or sells our assets or is acquired by a third party, then personal data about our customers will be acquired by that third party. A transfer of your personal data in these circumstances would be necessary so that the services you have contracted for can still be delivered, or so that you can continue to enjoy the benefits of our free products and services. You will receive notice if a new controller assumes responsibility for your personal data.

  • Additional Third Party Disclosures

    We may disclose your personal data to other third parties in the following situations:

    • To third party partners who help us by providing services such as technology, marketing, advisory or other services. These third parties only receive encrypted data and may only process personal data to provide those services to us.
    • Where we are required by law or regulation to do so. In each case we will seek, where practicable, to minimise the amount of data that is disclosed.
    • If required to protect the rights and interests of other users and/or Euromoney and its affiliates (including our employees, agents and contractors), or as otherwise set out in our Terms & Conditions. This may include exchanging information with other companies and organisations for the purposes of fraud protection.
  • Email Tracking

    We may include small pixel tags (small image files) within the emails we send you in order to determine whether our emails are opened and/or whether the hyperlinks inside our emails are clicked through. We may also collect browser, location and the device used to engage with our email communications. This information allows us to better understand whether we are meeting our users’ needs and how we can improve our communications. No other information is collected. You can opt out of receiving our direct marketing emails either by following the instructions in each email, or by contacting us (see the “Who We Are” section of this Privacy Notice).

International Transfers

Some of the Euromoney group companies are based outside the European Economic Area (EEA). If you have consented to being contacted by our group companies, then the transfer of your personal data will be made according to the terms of an international data sharing agreement that contains obligations approved by European data protection regulators. Any of our group companies that receive your personal data will be co-controllers of that data, which means they may determine how they process your personal data – although they may only use it for the purposes for which it was shared, unless you are informed of new or additional processing activities.

We may also transfer personal data to third party service providers as described in this Privacy Notice which are located outside the EEA. Where we conduct these transfers, we take all steps necessary to ensure that your data is treated securely and in accordance with applicable privacy legislation, either by only sending your personal data to jurisdictions that provide an adequate degree of legal protection for your data or by imposing approved contractual terms on these third parties.

Retention Periods

We have a data retention policy that ensures we don’t use or store your personal data for longer than necessary. We consider the following issues to determine retention periods:

  • Guidance from the UK Information Commissioner or other regulatory agency, or industry best practice recommendations;
  • The business rationale for collection and expiry of the purpose for which personal data was collected;
  • Our ongoing ability to ensure the accuracy of the data; and
  • Legal and regulatory requirements.

We may occasionally need to keep personal data for either shorter or longer periods than specified in our retention policy. In such circumstances, application of the retention period to the data will be temporarily suspended. The suspension of an applicable retention period will be carried out in a manner that respects the rights and interests of all persons concerned.

How You Can Set Your Data & Privacy Preferences

You can use our Preference Centre to select the topics that are of interest to you so that we can send you publications and information about our products and services that are especially relevant to you. You can also choose the channels we use to contact you (email, phone, post, etc.) and can also opt-out of receiving marketing communications.

Your Rights

You have certain rights in relation to your personal data which include the following:

  • Access & Portability

    You may request access to any personal data of yours for which Euromoney is responsible as controller. Unless there are legal or regulatory reasons for not doing so, we will confirm whether we process any of your personal data and if we do, we will provide you with the following information: the purposes of the processing, the categories of personal data, any recipients of your personal data, the applicable retention period and the data source. Copies of your personal data will be made available to you in a structured, machine-readable format.

    You may also request that we transfer the personal data that you have submitted to us, to another controller, where it is technically feasible for us to do so.

    If you have consented to our processing of your personal data, or if we are processing your personal data in order to fulfil our contractual obligations to you, then you can submit a request that we transfer your personal data to another data controller.

  • Rectification, Restriction, Objection

    You have the right to request that Euromoney rectify any errors in the personal data that we process. In some circumstances, you may also be able to ask for the erasure of personal data, and/or request that the processing of your personal data be restricted. You may also object to the processing of your personal data for sales or marketing purposes.

  • How to Exercise Your Rights

    To exercise any of these rights, please contact us by post or email at the following addresses:

    Euromoney Institutional Investor PLC
    8 Bouverie Street
    London, EC4Y 8AX
    United Kingdom


    Web form: Complete Subject Data Request Form

    We may need to check your identity prior to processing a request.

    Euromoney will do our best to respond to any questions and address any of your concerns. You are also able to register any complaints regarding the processing of your personal data directly with the UK Information Commissioner.

Protecting Your Data

Euromoney is committed to keeping your personal data secure and we will take appropriate technical and organisational measures to protect your personal data from loss, unauthorised use, disclosure or destruction. Although we do our best to protect your personal data, we cannot guarantee that any transmission of data is without risk. We have therefore implemented information security policies and rules, staff training on information security, and technical measures to ensure the integrity of data that we have under our control.

All our employees, contractors and data processors (i.e. those third parties that process personal data on our behalf) are required to keep such data confidential and not to use it for any purpose other than the performance of services we have requested.

Third Party Sites

Our site may contain links to other websites – including, for example, providers of payment processing services. Euromoney is not responsible for the privacy and data collection practices of third party sites and we therefore recommend that you review the privacy policies and terms of service of each site you visit.

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