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10:20 AM Eastern Time
Registration & Breakfast

8:00 AM Eastern Time
Pre-Conference Workshop: A Roadmap for Launching a Non-Traded REIT in the Current Market & Regulatory Climate
2013 was a strong year for capital-raising amongst Non-Traded REITs. Renewed end-investor interest invariably draws the attention of prospective product sponsors. This workshop will serve as an introductory guide to those looking to become a Non-Traded REIT sponsor. It is intended to provide the attendee with a roadmap of the fundamental considerations when launching a Non-Traded REIT.
* The basics for market entry in todays Non-Traded REIT space: Cost, timeframe, barriers * What would it take for a new Non-Traded REIT to work in the current economic climate? Is now a good time to enter? * Regulatory hot buttons * Product and fee structuring * Critical tax considerations: How to avoid losing REIT status & other key tax-related issues for product sponsors * Strategic product positioning * Product distribution: Buying vs. building the sales network; Pros & cons between a captive Broker/Dealer and Managing Broker/Dealer; How to penetrate the RIA network, wirehouses, Family Offices? * Publicly-Traded REITs entering the Non-Traded sector: Will name recognition result in product sales? * Is branding the way to go? Considering multiple product lines * Exit strategies: Critical business and legal issues *

Peter Fass

Proskauer Rose, LLP

Jason Goode

Alston & Bird LLP

Mitchell Morrison

Financial West Group

Gregg Bloomberg

CohnReznick LLP

Allan Swaringen

President & CEO
JLL Income Property Trust

Michael Weil

RCS Capital
10:20 AM Eastern Time
Pre-Symposium Workshop Concludes
Official Symposium Begins
10:20 AM Eastern Time
Welcome from IMN and Chairpersons’ Opening Remarks

Rosemarie Thurston

Alston & Bird LLP

Peter Fass

Proskauer Rose, LLP
9:10 AM Eastern Time
Opening Featured Presentation: The Profound Global Impact of Public Non-listed REITs and BDCs
Non-Listed REITs and BDCs are making a difference on Wall Street and in the global economy. In 2013 and over the past several years these blind pool companies have raised more capital than companies raising capital on the NYSE or Nasdaq. During this keynote session Nick Schorsch explores the reasons why this is occurring and the impact this shift has had on the global markets. Nick will compare the performance of and the significant increase in capital raised by these public, non-traded entities with the broader markets to illustrate the importance the companies have for not only the US but, more importantly, for the global economy.

William Kahane

Co-Founder & Partner
American Realty Capital
10:20 AM Eastern Time
Non-Traded REIT CEO Panel: 2013 in Review; Will 2014 Be Yet Another Year of Change? Continuing to Meet the Needs of an Evolving Market
* Was 2013 a good year for the Non-Traded REIT industry as a whole? What has been the impact on the industry of the liquidity events of the past 12 months? Are they better than ever or will they now be off the table due to the recent market correction? If the latter, what next? * How are you managing the evolving regulatory landscape? * With the current regulations on the horizon, what will be the future structure of Non-Traded REIT products? Will we see more multi-class deals? Will these be a game-changer opening up new distribution channels amongst RIAs, wire-houses and Family Offices? What will it take to fully penetrate these channels? * How are you preparing for rising interest rates? Other economic drivers? * Follow-on offerings: When should these be done? Will they ultimately be dropped? * What are the biggest challenges the industry is currently facing? What steps are you taking to address these? *

Rosemarie Thurston

Alston & Bird LLP

William Kahane

Co-Founder & Partner
American Realty Capital

Robert Aisner

President and Chief Operating Officer

Charles Schreiber

KBS Realty Advisors

Dan Gilbert

Chief Investment & Operating Officer / Chief Executive Officer & President
NorthStar Asset Management Group, Ltd. / NorthStar Real Estate Income II, Inc.

Alan Feldman

Chief Executive Officer
10:20 AM Eastern Time
2013 End-of-Year Non-Traded REIT Market Update
* Liquidity events: How did 2013 round out? How much of this money was reinvested into Non-Traded REITs? What can we expect in 2014? * Equity capital flows: A great start to the year, how did it round out? Why the surge over 2012 figures? * Can we expect to see many new market entrants next year? What are the drivers for/barriers to market entry at this time? What are the essential qualifications for a new sponsor to gain a foothold in todays Non-Traded REIT space? * What new and innovative products are currently in registration? Will new structures increase capital flows to Non-Traded REITs by opening up new distribution channels? * What must the industry do to evolve to the next level of investor and financial advisor penetration? What are the near-term and long-term growth prospects for the industry? *

Keith Allaire

Managing Director
Robert A. Stanger & Co., Inc.
11:05 AM Eastern Time
Morning Refreshments

10:20 AM Eastern Time
2013 – The Year of Non-Traded REIT Liquidity Events: Who Were the Winners?
* Who have been the winners of this years spate of liquidity events? How have the shareholders faired? What can we learn from these recent liquidity events? * When is a good time to list? What is the case for early exits? *Examining the dynamics of Non-Traded REITs merging with affiliate Traded REITs: What are the advantages and disadvantages of this as an exit strategy for sponsors and shareholders? How to value both sides of the transaction? Public vs. non-public shareholders who is getting the better deal?
* Are certain types of Non-Traded REITs better suited to particular exit strategies? What are the pros and cons of the other exit strategies for sponsors and shareholders? How are sponsors managing conflicts of interest? * Internalization fees: Still a dirty phrase? * To what degree can we expect to see more exits in 2014? Of what type? *

Peter Fass

Proskauer Rose, LLP

Jim Ryan

SVP, Relationship Management
Cole Capital

Glenn Mueller

Real Estate Investment Strategist, Managing Director
Black Creek Group

Daniel Adams

Goodwin Procter, LLP

Michael Weil

RCS Capital

Scott Crowe

Global Portfolio Manager
Resource Real Estate
10:20 AM Eastern Time
Critical Regulatory Updates for the Non-Traded REIT Industry: The Latest from FINRA, the SEC, NASAA & Blue Sky
The following panel tackles the implications of various key regulations/proposed legislation for product sponsors and retail distributors in the Non-Traded REIT industry. In doing so, we will identify the timeline of new regulations and also the likelihood of particular regulation actually being enacted. Among the points to be addressed are:
* An update on Regulatory Notice 12-14: What information needs to be listed on financial statements? When will this be implemented? Prior-performance disclosure: What will new tabular information look like? * New Rule 506(c): How will this be enforced? * NASAA recently proposed guidelines: Will they bring the Non-Traded REIT industry to a more institutional level? * Where are regulators going with enforcement actions and Notice to Members? *

Alice Connaughton

Morrison & Foerster LLP

Kirk Montgomery

Kirk Montgomery Law, LLC

Joseph Price

Senior Vice President, Corporate Financing/Advertising Regulation

Seth Weiner

Morris, Manning & Martin, LLP

Richard Paley

Executive Director and Chief Compliance Officer, Carey Financial, LLC, Executive Director and Associate General Counsel
W.P. Carey, Inc
1:10 PM Eastern Time
Concurrent Sessions: Choose ‘A’ or ‘B’
2:10 PM Track A
Track A: Examining the Business Case for Non-Traded REIT Sponsors to Launch Non-Traded BDCs
There have been several new launches of Non-Traded BDCs (Business Development Companies) over the past 12 months and significant buzz now surrounds this industry. Several Non-Traded REIT sponsors have already branched into Non-Traded BDCs. What is the business case for others to do the same? We attempt to answer that question in this session. Among the discussion points are:
* A brief overview of BDCs: Structures; pricing/valuation; costs; timeframes; barriers to entry, etc.* Why are several Non-Traded REITs among those who have launched Non-Traded BDCs? Are Non-Traded REITs particularly well-positioned for the Non-Traded BDC product? If so, why? Will name recognition result in product sales? Product distribution: Are there key synergies with the Non-Traded REIT product that can be exploited? * What are the main investment strategies behind Non-Traded BDCs? * Is now a good time to enter this market? What are the key considerations? *What are the regulatory hot buttons? Main compliance issues? * Exit strategies * What impact are Non-Traded BDCs having on the Non-Traded REIT space?

Tony Grego

Associate Executive Director

James Goedtke

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

Peter Budko


Sean Hickham

Vice President of Fund Management
CNL Financial Group

Robert Hoffman

Executive Director, Fund Strategy
Franklin Square Capital Partners

Frank Muller

Chief Executive Officer
Behringer Securities
2:10 PM Track B
Track B: Preparing for a Liquidity Event – What’s on the Sponsor’s To-Do List?
In this panel we look at the steps that Non-Traded REIT sponsors need to take in the run up to a liquidity event. Among the discussion points are:
* What are the business and legal considerations when choosing which exit strategy to undertake? * Internalization without a fee * Roll-Up Rules and other charter provisions * Tax and sponsor compensation issues * Handling investor flow-back *

Robert Bergdolt

DLA Piper LLP (US)

Brian Jones

CFO and Assistant Secretary
RCS Capital Corporation

Jason Myers

Clifford Chance US LLP

Brad Thomas

The Intelligent REIT Investor
3:00 PM Track A
Track A: The CIO/Acquisition Perspective - What’s Hot and What’s Not? A Look at the Investment Potential of Different Asset Classes for 2014
* Given the level of equity raised, are some asset types getting overheated? If so, which? Triple Net Retail? Multi-family? Have values peaked in these asset classes? * What yield trends are you seeing? How are you addressing rising interest rates in your investment strategies? * What asset classes will be up and coming in 2014? Based on what drivers? In what markets? Is there a willingness to take on more risk? * How are retail investors currently viewing the different asset classes? Risk? What are their yield expectations? * What opportunities does international real estate offer? * In a competitive market, how are you sourcing and winning the best deals? Where do you see the greatest opportunities in real estate in the next 2-5 years and why? *

James Gerkis


Todd Jensen

Chief Investment Officer & EVP
American Realty Capital Healthcare Advisors, LLC

Ashish Khatana

Executive Vice President, Acquisitions and Development
Shopoff Realty Investments

Michael Mayer

Managing Member & CEO
Associated Ventures

Jonathan Mehlman

Executive Vice President and Chief Investment Officer
American Realty Capital Hospitality Trust
3:00 PM Track B
Track B: Real Estate Valuation Best Practices: Perspectives from Outside the Non-Traded REIT Industry
* Where do valuations currently stand? * What does Fair Value mean in this market? * Assessing valuation methodologies for portfolios and individual properties: Valuing performing vs. non-performing assets vs. distressed debt * Due diligence in valuation * Retail price vs. Auction price for non-performing assets *

David Roberts

Goodwin Procter LLP

Michael Straneva

Ernst & Young LLP

John Dixon

Founder/Chief Executive Officer
John Dixon & Associates, Inc.

Mark Henshaw

Managing Director, Forensic and Valuation Services
Grant Thornton LLP
10:20 AM Eastern Time

All Attendees Reconvene for the Closing General Sessions
4:10 PM Eastern Time
Facilitating Effective & Compliant Sales & Communication Practices
In this session we address key steps and tips for educating reps on effective and compliant practices for selling Non-Traded REITs to retail investors. We address the key points for reps to understand and methods for how to best communicate these. We also discuss methods for fostering a strong ongoing rep-client relationship.
  • Ensuring investor suitability
  • Effectively utilizing key product information: What can/cant sales literature say?
  • Utilizing social media in sales and marketing practices
  • Point of sale disclosures: What can/cant registered representatives say?
  • Disseminating follow-on information on products that are closed
  • Ongoing client communication best practices
  • Registered representative obligations for post-sale product monitoring/due diligence
  • Registered representative vs. Broker/Dealer liabilities

Mark Quinn

Director of Regulatory Affairs
Cetera Financial Group

Michael Pagano

EVP, Chief Compliance Officer
1st Global

Robert Antonio

Founder & President
Antonio Financial Group

Joseph Price

Senior Vice President, Corporate Financing/Advertising Regulation

Richard Paley

Executive Director and Chief Compliance Officer, Carey Financial, LLC, Executive Director and Associate General Counsel
W.P. Carey, Inc
5:00 PM Eastern Time
Broker/Dealer Executive Perspective Panel: Assessing the Non-Traded REIT Product Against the Backdrop of an Evolving Market and Regulatory Climate
* How have you viewed this years liquidity events? What is your perspective on early exits vs. the more traditional long holding period? What are you looking for in terms of offering periods and follow-on offerings? What are optimum sales and life cycles? * What trends have you noticed in Non-Traded REIT sales amongst your advisors over the past 12 months? What are you expectations for 2014? * How are client-advisor dynamics changing? What are the drivers? How about Broker/Dealer - Non-Traded REIT sponsor relations? Are you asking for more from product sponsors than you were previously? * Where does real estate fit into retail investors portfolios today? What is the appropriateness of real estate as a fixed income replacement in the current market? * There are more products than ever challenging Non-Traded REITs: How do Non-Traded REITs compare as an investment to these other alternatives? How much of a portfolio should consist of alternative investments? 3%? 5%? * How do you anticipate this impacting retail sales of Non-Traded REITs? Private placements?*

Tom Voekler

Managing Partner, Business
Kaplan Voekler Cunningham & Frank, PLC

Kevin Keefe

Executive Vice President
Advisor Group

Frank Tauches

American Portfolios Financial Services, Inc.

Mike Bendix

DFPG Investments, Inc.
10:20 AM Eastern Time
Networking Drinks Reception

10:20 AM Eastern Time
Symposium Day One Concludes
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Event Contacts for Ninth Annual Western Non-Traded REIT Industry Symposium


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Information Management Network - Privacy Notice

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This Privacy Notice was updated on 23 May 2018

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    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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