2023 Annual Conference & Trade Show

Why Go?

Designed for all industry professionals who sponsor, analyze, market, distribute or recommend alternative investments, ADISA's Annual Conference & Trade Show will feature key industry experts, educational panels and topical presentations.

  • Attend to receive timely regulatory updates, valuable compliance information, and to learn the latest on different investment products, programs and more
  • Continuing education credits will be available

  • Conference attendance is balanced, representing all sponsors, service providers and funding sources
  • Ample networking time will be available

Hotel & Travel

Hotel & Travel

All ADISA Annual Conference & Trade Show events will take place at:

The Cosmopolitan of Las Vegas
3708 Las Vegas Boulevard South
Las Vegas, NV 89109

PLEASE NOTE: ADISA's hotel room block at The Cosmopolitan is SOLD OUT!

Contact The Cosmopolitan directly (https://www.cosmopolitanlasvegas.com/ or 855.435.0005) for room availability.

*BEWARE of hotel reservation scams: There are several hotel reservation "pirates" who somehow get prior year(s) meeting attendance lists and then approach past attendees to reserve their hotel rooms, and in doing so, either steal credit card information or broker a non-refundable reservation with extra junk fees. Please note that ADISA does not call or send out emails to individuals to solicit hotel reservations. You should use only the link provided in our registration system to book your room. Please contact ADISA with any questions.


Educational Tracks

Educational Tracks

  • Fundamentals & Due Diligence
  • Impact Investing & Next Generation
  • Emerging Products & Hot Topics
  • Tax: 1031s & Opportunity Zones
  • Portfolio Management

Keynote Speaker

Keynote Speaker Barbara Corcoran

Barbara Corcoran

Shark on ABC's "Shark Tank"

Barbara Corcoran’s credits include straight D’s in high school and college and 20 jobs by the time she turned 23. It was her next job that would make her one of the most successful entrepreneurs in the country: She borrowed $1,000 and quit her job as a waitress to start a tiny real estate company in New York City. Over the next 25 years Barbara would parlay that $1,000 loan into a $5 billion real estate business, building the largest and best-known brand in the business.

Corcoran is the author of the best seller “Shark Tales: How I Turned $1,000 into a Billion Dollar Business!” and host of top business podcast “Business Unusual with Barbara Corcoran.”

Corcoran is a motivational and inspirational speaker. She is a frequent small business and real estate contributor on every major network. Corcoran has been an investor/Shark for the past 14 seasons on ABC’s four-time Emmy award winning show, Shark Tank. Follow Barbara on Twitter and Instagram @BarbaraCorcoran.



*Draft as of 10/2/2023


  • Monday, October 9
    12:00 PM - 1:30 PM
    Women's & Next Generation Luncheon

    Mont-Royal 1

    Featuring Kerri Walsh Jennings

    Professional Beach Volleyball Player
    Three-Time Olympic Gold Medalist
    One-Time Olympic Bronze Medalist

    Kerri Walsh Jennings is the most decorated professional female beach volleyball player in the world with 135 career wins, including three World Championship titles, three Olympic gold medals, one Olympic bronze, and 77 domestic AVP championships. Kerri is the co-founder of p1440, a non profit organization that uses beach volleyball as a vehicle for change to inspire those in our community to live their best lives. She was also named the Managing Partner for the Pro Volleyball Federation’s San Diego major league volleyball franchise that begins play in February 2024.


    1:45 PM - 2:50 PM
    (1) Fundamentals of Alts 101

    Nolita 1

    This session brings a noted cast of industry veterans to identify aspects of alternative investments and pass on their knowledge. We will examine typical varieties of offering structures and the corresponding related potential benefits and risks associated with investments in alts. Examples of topics covered will be the investment process of sales, suitability and required disclosures. Panelists will identify how certain rules and regulations apply to the various types of offerings and why due diligence is an absolute critical part of the process to identify potential risks. Alternative investments cover a wide variety of industry sectors, including but not limited to real estate, energy, equipment and commercial debt. This session will also address some of the legal, tax and regulatory issues surrounding alt offerings with some of the best minds in the industry!

    Session coordinator: Greg Mausz, Skyway Capital Markets

    Moderator: Greg Mausz, Skyway Capital Markets
    Participant: Charles Jensen, Inland Securities Corporation; Thomas Voekler, Williams Mullen; Jen Ricci, Overmoon

    (2) 1031 Nuts & Bolts

    Nolita 2

    A live tax return walk-through of a 1031 Exchange from start to finish! We will show the various forms, what actually gets reported, how to calculate new basis, and explore the implications of a full cycle program. The session will end looking at "rolling" from one DST into a new DST, particularly when it involves multiple properties. The session is not meant to make you a tax preparer but designed to give you basic knowledge of the process and tax reporting of a 1031 Exchange.

    Session coordinator: Mark Kosanke, Concorde Investment Services

    Presenters: Mark Kosanke, Concorde Investment Services; Brian Fritz, Inland Securities Corporation

    (3) An Update on Artificial Intelligence -- Beyond Chat GPT

    Nolita 3

    Hear the latest developments in artificial intelligence and how the technology is being used in the asset management and wealth management industry. A panel of fund managers and industry service providers will speak about how Chat GPT and AI are being used or plan to be used in their businesses.

    Session coordinator: Mat Dellorso, WealthForge

    Participant: Andrew Nelson, Nelson Kuiper; Joe Fraiman, Overmoon

    3:00 PM - 4:00 PM
    (4) Practical, Pragmatic Approaches to QOZs

    Nolita 1

    Following years of successful fundraises, the start of new developments and quality sponsors providing tax-advantaged offerings to meet investor capital gain needs, the Opportunity Zones Transparency, Extension and Improvement Act, an act that would extend the quickly approaching 202 deadline, lingers. While the hold period for a Qualified Opportunity Zone (QOZ) fund is 10-years or more, the rise in interest rates may have affected the economics of the deals. Additionally, dislocated credit markets may make it difficult to refinance projects before April 2026. This panel will dive into how sponsors are navigating the rising rate environment, executing business plans to meet expectations set, and planning for the future -- pre- and post- extension approval.

    Session coordinator: Jessica Correnti, Peachtree Group

    Moderator: Jaxon Harrop, DFPG Investments
    Participants: Jay Frank, Cantor Fitzgerald; Alex Samoylovich, CEDARSt Companies; Erik Hayden, Urban Catalyst; Greg Friedman, Peachtree Group


    (5) Energy Assets in the Future

    Nolita 2

    The world has been positioning itself for a broader array of energy assets to ensure we have enough safe, clean, economical energy to meet the ever-growing demand. In addition to traditional energy sources, renewables like hydro, wind, solar and biomass are actively contributing to our power sources. Energy investors need to understand the different strategies and opportunities to profit from a greater array of energy exposure.

    Session coordinator: Jeff Shafer, CommonGood Capital

    Moderator: Jeff Shafer, CommonGood Capital
    Participants: Michael Underhill, Capital Innovations; Rino Sbriglia, e2companies; Bill Shopoff, Shopoff Realty Investments

    (6) Financing Real Estate Properties in Current Rate & Lending Environment

    Nolita 3

    Interest rates declined during the COVID-19 pandemic, then began rising in 2022 as the Federal Reserve initiated a series of rate hikes to address inflation concerns. Despite optimistic forecasts and recent positive economic indicators, uncertainty lingers around when the Fed will opt to lower borrowing rates, posing a challenge for real estate buyers seeking viable options to secure financing for property acquisitions and development. This panel discussion on capital markets brings together a diverse group of experts in finance and investment to explore the current financing landscape and discuss how real estate investment companies are navigating today's dynamic lending environment.

    Session coordinator: Bill Shea, Carter Funds

    Moderator: Kyle Kadish, Advantage Wealth Solutions
    Participants: Aaron Wessner, Cantor Fitzgerald; Raymond Davis, Red Oak Capital Holdings; JD Davis, Carter Funds; Steve Case, Bourne Financial Group

    4:15 PM - 5:00 PM
    Conference Kick-Off

    Belmont 4 & 8
    5:00 PM - 6:00 PM
    General Session I: Industry Updates

    Belmont 4 & 8

    ADISA Around the Alts Industry Sector Reports

    General big picture performance: Mike Kell, iCapital
    Drill down on 1031s: Taylor Garrett, Mountain Dell Consulting
    Review of energy: Matthew Iak, U.S. Energy Development Corporation
    Drill down on real estate and more: Kevin Gannon, Robert A. Stanger & Co.

    6:00 PM - 7:00 PM
    Welcome Cocktail Reception & Exhibition

    Exhibit Hall
  • Tuesday, October 10
    8:00 AM - 9:00 AM
    Breakfast & Exhibition

    Exhibit Hall

    8:00-8:30 am -- Membership Committee Meeting (designated table in Exhibit Hall)
    8:30-9:00 am -- Impact Investing Committee Meeting (designated table in Exhibit Hall)

    9:00 AM - 9:55 AM
    General Session II: Legislative & Regulatory Update

    Belmont 4 & 8

    Participants: ADISA Legislative & Regulatory Co-Chairs John Grady, ABR Dynamic Funds, and Catherine Bowman, The Bowman Law Firm, along with Joe Price, FINRA, and Andrew Hartnett, Iowa Insurance Division

    9:55 AM - 10:30 AM
    General Session III: Economist

    Belmont 4 & 8

    "Commercial Real Estate Market Overview"
    Speaker: Randy Anderson, PhD, Partner, Real Estate at Apollo


    10:30 AM - 10:45 AM
    Break & Exhibition

    Exhibit Hall
    10:45 AM - 11:35 AM
    (7) Distribution Policies: How Offering Distributions are Set and Managed

    Nolita 1

    This session will explore the fundamentals of distribution policies for different product structures and asset classes. We will discuss the various inputs that are utilized to set distributions and how those variables change over time. Finally, we will discuss communication of distributions with advisors and investors.

    Session coordinator: Jenniffer Daigle, Eagle Point Credit Management

    Moderator: Jacob Heidkamp, FactRight
    Panelists: Joseph Roth, Eagle Point Credit Management; Ben Hilgers, Ashford; Andy Wang, Passco Companies

    (8) Part II: To 506(b) or Not to 506(b), That is the 506(c) Question

    Mont-Royal 1

    Take a deeper dive into the session that was standing room only at the Spring Conference! We will provide an overview of both offering types and then take a case study approach to explore the compliance and due diligence challenges and market opportunities that are causing broker-dealers to make the switch to 506(c) programs. Receive valuable and actionable information to better understand how to make the change and effective ways to educate your back-office team and financial advisors. We will leave time for Q&A, so bring your questions!

    Session coordinator: Heidi Wheatley, KNPRE 1031

    Moderator: John Grady, ABR Dynamic Funds
    Participants: Dave Laga, DFPG Investments; Amy Arnold, Concorde; Kimberlee Levy, Concorde

    11:45 AM - 12:35 PM
    (10) How to Approach DSTs in a Low Yielding Real Estate Environment

    Nolita 2

    Join us for an interactive discussion among industry experts as they offer their perspectives on how to navigate the selection and utilization of DSTs in a low yielding environment. Our panelists will focus on the importance of due diligence, asset class selection and diversification. Also covered will be positioning opportunities and product trends within the tax-advantaged real estate investment solution marketplace.

    Session coordinator: Christine Petersen, Inland Securities Corporation

    Moderator: Catherine Bowman, The Bowman Law Firm
    Participants: Matt Fries, Cetera Financial Group; Nati Kiferbaum, Inland Private Capital Corporation; Joe Nugent, Effective 1031 Planning; Brian Sanborn, NexPoint

    (11) New Products

    Nolita 3

    ADISA explores the newest entrants to our space. In investigative style, we unpacked some of the investment products as they vie for attention -- this session will feature several new entrants into the space: wine funds, fractionalized collectibles/music royalties, and more. Be part of the critique as we find out more on how the new products stack up as investment opportunities.

    Session coordinator: John Grady, ABR Dynamic Funds

    Investigator: John Grady, ABR Dynamic Funds
    Participants: Alex Samoylovich, CEDARSt Companies; Elle Williams, Vint; Brian Aleksa, Oxford Funds; Sumit Saraf, TradeBacked

    (9) Real Estate: Challenges and Opportunities, Outlook for 2024

    Nolita 1

    Leading real estate managers discuss challenges and opportunities within the current economic landscape. How have weakening fundamentals, higher cost of capital, and uncertainty impacted the acquisition, ownership, disposition and investment potential for real estate? Is investment methodology changing to adapt and support portfolio sustainability and growth? What asset classes are anticipated to produce outsized returns in the future and why? We will provide relevant and specific takeaways that advisors can use in discussions with clients and in making investment decisions.

    Session coordinator: Christy Hutchison, Shopoff Realty Investments

    Moderator: Bryan Mick, Mick Law
    Participants: Zach Forman, Apollo; Aaron Wessner, Cantor Fitzgerald; Bill Shopoff, Shopoff Realty Investments; Dominic Vaccaro, Burlington Capital

    12:35 PM - 1:45 PM
    Lunch & Exhibition

    Exhibit Hall

    12:40-1:10 pm -- Legislative & Regulatory Committee Meeting (Nolita 1)
    12:40-1:10 pm -- Marketing Committee Meeting (Nolita 2)
    1:10-1:40 pm -- Diversity & Next Generation Committee Meeting (Nolita 3)

    1:45 PM - 2:35 PM
    (12) RIA Peer-to-Peer Panel

    Nolita 1

    This panel will focus on key aspects of dealing with alternatives in an RIA practice. The panel will draw upon experiences of RIA firms and industry partners to provide a perspective on the opportunities and challenges faced in offering alternatives in an RIA practice.

    Topics to be covered include education and training, sourcing of credible fund managers, understanding spectrum of product features, and screening/due diligence of available investment offerings. Discussion of regulation and "pain points" faced by RIAs, acting as fiduciaries in the private wealth channel, will also be addressed. This session will offer an opportunity to ask questions on any aspect of alternatives in an RIA practice.

    Session coordinator: Craig Covington, DAI Securities

    Moderator: Rizwan Ibrahim, Accretive Wealth Management
    Participants: Brian Conneely, Peak Capital Solutions; Richard Hilson, Hilson Consulting; Jonathan Sterling, Saretsky Hart Michaels + Gould; Brad Bolnick, GCB Private Wealth

    (13) A Bridge Over Troubled Water: Examining DST Structures in a Rising Interest Rate Environment

    Nolita 2

    With DST equity sitting on shelf an average of 239 days, it is important to conduct due diligence updates on open programs. In this session, hear from due diligence experts on what to examine and monitor in this challenging environment. Topics covered will include bridge financing terms, shorter-term mortgage loans (interest rates resettling, loans expiring), and the impact of a rising cost environment on certain asset classes. Time will be allotted for Q&A, so come prepared!

      Session coordinator: Heidi Wheatley, KNPRE 1031

      Moderator: Mike Packman, KNPRE 1031
      Participants: Jacob Heidkamp, FactRight; David Sengstock, Mick Law; Karlton Kleis, Arete Wealth Management

      (14) Structured Products and the Retail Investor

      Nolita 3

      Structured credit has consistently delivered higher yields with lower default rates than traditional corporate credit investments. Will the trend continue or is this time different?

      Session coordinator: Linda Cobelo, Preferred Capital Securities

      Moderator: Linda Cobelo, Preferred Capital Securities
      Participants: Mike Gregson, Fulcrum Point Fixed Income Group; Mark Whyman, iCapital; Josh Soffer, Prospect Capital

      2:45 PM - 3:35 PM
      (15) Impact Investing in the Real World

      Nolita 1

      As impact investing expands to UHNW and UNW private investors, there is a significant opportunity for advisors and other professionals to engage and grow their business while helping these clients reach their impact and financial goals. Hear from experts who have real world experience working with investors in the impact space on how you can effectively communicate the opportunities and build compelling portfolio offerings. Our speakers will discuss the demographic and market conditions driving the increased demand for impact investment offerings and share real world case studies of how they have worked with clients to identify opportunities and leverage capital to secure meaningful financial and impact returns.

      Session coordinator: Elizabeth Burdette, SignatureFD

      Moderator: Elizabeth Burdette, SignatureFD
      Participants: Igor Tsukerman, Eureka Wealth Solutions; Paulina Stannard, Corient; Solomon Halpern, Highlander

      (16) The Use of Alternatives to Power Your Practice for the Great Wealth Transfer

      Nolita 2

      A recent industry study indicated that 70% of heirs plan to change their financial professional when they inherit. $84 trillion will move over the next 25 years and 22% of it will likely occur in the next decade (Cerulli Report 2021). Advisors are looking for ideas to help increase intergenerational client retention and build upon their referral network in order to take advantage of the greatest wealth transfer in history. The use of alternative investments in challenging markets can create great opportunities for advisors to strengthen client retention but also grow their client base and AUM. This session will focus on how some of our top advisors are achieving this and provide an opportunity for attendees to ask questions.

      Session coordinator: Alex Anderson, Time Equities

      Facilitator: Alex Anderson, Time Equities
      Participants: Amy Fosbenner, Fosbenner Financial; Ron York, Foresight Financial Partners; Jason Kolinsky, Kolinsky Wealth Management

      (17) Oil & Gas

      Nolita 3

      This is a session not to be missed for those interested in exploring alternative investment opportunities within the E&P sector of the energy value chain. The session will explore the economics and tax advantages of multiple oil/gas focused strategies and structures that include drilling. QOF/QOZ programs that focus upon E&P, Sect. 1031 eligible royalty acquisition programs and non-traded oil/gas focused hedge funds. The session will also explore the current headwinds facing these energy-related program strategies (i.e. inflation, high interest, ESG, and political challenges) and what ADISA members need to consider from a Reg BI perspective when sourcing, reviewing and approving these non-traded products for due diligence purposes.

      Session coordinator: Brad Updike, Mick Law

      Moderator: Sam Irvani, Waveland Capital Group
      Participants: Jack Hollander, Hollander Law Office; Shanna Keavney, Texakoma; Chad Willis, iStick Capital

      3:35 PM - 4:00 PM
      Break & Exhibition

      Exhibit Hall
      4:00 PM - 4:50 PM
      (18) Dispelling the Myths of the NAV REIT

      Nolita 1

      Leading real estate managers discuss features and characteristics of perpetual life NAV REITs. They will also discuss how a perpetual life NAV offering fits and benefits an investor's portfolio. Compare the benefits of a perpetual life vs. DST and traditional non-traded REITs. Real estate solutions for the RIA channel. Panelists will discuss economic cycles and how perpetual life benefits investors through the various cycles (growth participation in the long-term holding of the asset). Lastly, they will discuss tax benefits, fee structure and liquidity.

      Session coordinator: Flavia Samper, Burlington Capital

      Moderator: Craig Merkt, Calton & Associates
      Participants: Dominic Vaccaro, Burlington Capital; Jeff Daly, Versity Invest; David Leavitt, ElmTree Funds

      (19) Private Equity Deep Dive

      Nolita 2

      Join us for a discussion on private equity, how to include this important asset class in a portfolio and a deep dive on due diligence done by sponsors with respect to deal sourcing, strategies, valuation, operation and ongoing due diligence.

      Session coordinator: Michelle Moore, Axxes Capital

      Moderator: Ray Joseph, Axxes Capital
      Participant: Brian Buehler, Triton Pacific Securities

      (20) Short Termism and Investor Expectations

      Nolita 3

      Short-termism refers to an excessive focus on short-term results at the expense of long-term interests. Short-term performance pressures on investors can result in an excessive focus on their parts on quarterly earnings, with less attention paid to strategy, fundamentals, and long-term value creation. Financial intermediaries have shown an increasing short-term outlook in recent years. There's also an attendant tension with the owners of the money being managed, who often require a long-term investment view (a retirement fund, for example). As a result of this misalignment of interests between the two groups, significant losses for investors can arise. Transaction costs aggravate this problem -- because a short-term outlook often drives high portfolio turnover, this can lead to high transaction costs, reducing returns to investors. Learn about these complications and mitigation and communication strategies to minimize the effects.

      Session coordinator: Michael Underhill, Capital Innovations

      Moderator: Jeff Shafer, CommonGood Capital
      Participants: Peter Magnuson, Osaic; Jayanta Sen, UNLV

      5:00 PM - 6:00 PM
      General Session IV: Keynote Speaker Barbara Corcoran

      Belmont 4 & 8
      6:00 PM - 7:15 PM
      Cocktail Reception & Exhibition

      Exhibit Hall

      Sponsored by: 

    • Wednesday, October 11
      7:30 AM - 9:00 AM
      Breakfast & Exhibition

      Exhibit Hall

      8:00-8:30 am -- Conference Planning Committee Meeting (designated table in Exhibit Hall)
      8:30-9:00 am -- Education & Publications Committee Meeting (designated table in Exhibit Hall)

      9:00 AM - 10:00 AM
      General Session V: Don Trone

      Belmont 4 & 8

      "Godfather of Fiduciary"

      Don Trone, BCF™ is the CEO of the Center for Board Certified Fiduciaries (CBCF), which is affiliated with the Wake Forest University – School of Professional Studies. CBCF is offering the first executive education certificates in fiduciary studies and awards the peerreviewed BCF (Board Certified Fiduciary) mark.

      Don also is one of the Co-founders of 3ethos, which conducts original research in the field of Behavioral Governance (BG). BG is the follow-on to Behavioral Finance, except now the focus is on how the behaviors of key decision-makers impact the quality of their decision-making outcomes.

      Don was the founding CEO of fi360; founder and President of the Foundation for Fiduciary Studies; and the first person to direct the Institute for Leadership at the U.S. Coast Guard Academy.

      In 2015 Don was named by Investment Advisor magazine as the “Father of Fiduciary” and one of the 35 most influential people in the financial services industry. In 2003, he was appointed by the U.S. Secretary of Labor to represent the investment counseling industry on the ERISA Advisory Council, in 2007 he testified before the U.S. Senate Finance Committee on fiduciary best practices; and in 2015 he testified before the U.S. Department of Labor against the proposed DOL Rule.

      Don is a graduate of the U.S. Coast Guard Academy (Class President), and served for ten years on active duty, most notably as a long-range search and rescue helicopter pilot. He is a fourtime recipient of the Sikorsky Helicopter Rescue Award. He has a Master’s from The American College and has completed post-graduate studies in theology from the Pittsburgh Theological Seminary and Trinity Episcopal Seminary.


      10:10 AM - 11:00 AM
      (21) Evolution of Custodians: Mergers, Technology and Updates

      Nolita 1

      Join us for a discussion on the evolution of custodians over the last several years, including updates on the recent merger between TD Ameritrade and Schwab. We will dive into some of the questions regarding that merger that still linger for sponsors, RIAs, and broker-dealers. This panel will explore when it is most appropriate to utilize a large clearing house such as Schwab, and when a third party alternative investment focused custodian would be more beneficial. The session will highlight important updates on how technology is impacting processing times and capabilities of both large and small custodians.

      Session coordinator: Michelle Thomas, CNB Custody

      Moderator: Matt Podolsky, Phoenix American
      Participants: Adam Kipnes, Charles Schwab; Jason DeBono, NuView Trust; Michelle Thomas, CNB Custody

      (22) Interval Funds: The Golden Age of Credit

      Nolita 2

      Private credit is uniquely well-positioned to capitalize in the current environment. Credit conditions have tightened significantly due to higher interest rates as well as with banks having pulled back after Silicon Valley Bank. When traditional lenders pull back, we can race in.

      Private credit solutions can provide capital gain opportunities that other yield instruments (such as money market funds, CDs or treasuries) cannot, boasting your clients' potential returns.

      Fund structure matters. Quarterly redeeming funds may better protect your investors' dollars as well as provide the opportunity to benefit during a market downturn.

      Session coordinator: Michelle Moore, Axxes Capital 

      Participants: Parker Roy, Axxes Capital; Mike Terwilliger, BC Partners Credit; Miguel Sosa, Bluerock

      (23) The Case of Alts in a 5% CD Environment

      Nolita 3

      Nearly 40 years ago, certificates of deposit were considered great investments. The average annual percentage yield (API) on a one-year CD was over 11%. In 2000, average CD rates were at 4.58% for a 6 month CD, 4.93% for a year, and 5.44% for five years. Yet, through these cycles, alternative investments as a portion of a diversified investment portfolio have shown steady growth.

      In recent years, average rates on CDs were under 1%, but they've started to climb back up with the onset of federal rate hikes. Bankrate's June 7, 2023, rate survey data shows the average one-year CD has an APY of more than 5%.

      Given the new cycle we are in, this session will explore the performance of alt investments in prior high interest rate cycles and the role alternatives can play and how we can serve investors in the more current higher interest rate climate.

      Session coordinator: Mark Petersen, Lighthouse Life Capital

      Participants: Mark Petersen, Lighthouse Life Capital; Nick Duren, Crescent Securities Group; Brian Kasal, FourStar Wealth Advisors; Fred Baerenz, AOG Wealth Management

      11:10 AM - 12:00 PM
      (24) Broker-Dealer Advisor Council

      Nolita 1

      Meet the Regulator: Join us for a Q&A with Rob Briscoe from FINRA’s Corporate Finance Department, covering 5123 filings, how FINRA perceives 506(b) vs. 506(c), marketing materials, and red flags that prompt inquiries from his department.

      Session coordinator: Mark Atchity, Cabin Securities

      Presenter: Rob Briscoe, FINRA

      (25) RIA Advisory Council

      Nolita 2

      Join the RIA Council (RIA and DUALs only) for an open discussion on best practices for offering alternatives as an RIA. Share your ideas and key topics of interest for future ADISA meetings and conference sessions.

      Session coordinators: Craig Covington, DAI Securities; Rizwan Ibrahim, Accretive Wealth Management


      (26) Sponsor Roundtable

      Nolita 3

      Sponsors discuss the latest hot topics and concerns, as well as off suggestions on future programming in a closed-door session for sponsors only. All sponsors are welcome to attend.

      Session coordinator: Jade Miller, Bourne Financial Group

    Attending Companies

    Attending Companies

    As of 10/2/2023

    *Indicates exhibiting company



    Please note: There are several "companies" who are attempting to sell ADISA 2023 Annual Conference & Trade Show attendee lists, as well as past ADISA Conference attendee lists. These companies are strictly scams; ADISA only permits Diamond & Platinum exhibitors access to the full attendee lists.



    ABR Dynamic Funds

    ACTIV Capital Strategies

    Alliance 160

    Alston & Bird

    *Alternative Investment Exchange (AIX)

    Aspen Legacy

    Baker & McKenzie LLP

    Beverly Park Group

    Bryan Cave

    Buttonwood Due Diligence

    CAIA Association

    Charles Schwab

    Chicago Atlantic Digital Mining

    *CNB Custody

    Cobalt Capital

    Colliers Securities

    CommonGood Capital


    *Concept Capital Markets

    Connect Media

    Corbin Capital Partners

    Crockett Investigations

    Delio Group

    *Directed Trust Company

    *DLA Piper


    *Equity Advisor Solutions

    Exemplar Capital

    Eyeballs Financial

    Factright, LLC

    Financial Services Institute Inc.


    Gladstone Companies

    *Great Lakes Fund Solutions

    Green Vista Capital

    Greywater Capital

    Hana Solutions

    Healthcare Property Investors




    Investment Net

    IPA - Institute for Portfolio Alternatives


    Jita Ventures


    Katipult Technology

    Kutak Rock

    Laganza Capital


    LRT Company

    MacDonald Family of Companies

    Madison Capital Group

    MGL Consulting

    *Mick Law

    Moran Reeves Conn PC

    Morris Manning & Martin


    Nelson Mullins

    North Capital Private Securities

    NuView Trust

    Opal Group

    *Orchard Securities - MBD

    Oxbow Industries

    OZ FundHub

    *Patrick Capital Markets

    *Peak Capital Solutions

    Pender Capital

    *Phoenix American


    *Preferred Capital Securities

    Real Assets Adviser - Institutional Real Estate Inc.

    Robert A. Stanger & Co., Inc.

    Rock Quarry

    RW Capital Partners

    Saretsky Hart Michaels + Gould

    *Securities Transfer Corporation

    Seyfarth Shaw

    SJI Properties

    *Skyway Capital Markets

    Snyder Kearney

    Spotlight Marketing Communications

    *Socotra Capital

    Sorensen Entity Services

    *STRATA Trust Company

    *The Bowman Law Firm

    The DI Wire

    The Hateley Firm

    The Walters Institute


    Tobin & Company Securities

    Troutman Pepper Hamilton Sanders

    *UMB Bank, Institutional Banking


    *Venture.Co Holdings


    Wealth Management Real Estate

    *Williams Mullen




    Broker-Dealers, RIAs, Family Offices, Registered Reps

    1776 Wealth LLC

    AAG Capital, Inc.

    Accretive Wealth Management

    Advisors On Call

    AGES Financial Services

    AIRE Advisors

    Alan B. Lancz & Associates

    Alexander Capital

    Alliance Global Partners

    Alpha Investing

    Alpha Wealth Funds

    Alternativ Wealth

    American Portfolio Financial Services

    American Trust Investment Services, Inc.

    Ameritas Investment Corp.

    Andalusian Wealth Management

    Angel Rock Advisors

    AOG Funds

    AOG Wealth Management

    Archer Investors

    Arete Wealth Management

    Arkadios Capital


    Aspen Capital Management

    Asset Preservation Strategies

    Asset Strategy Advisors, LLC

    Aurora Securities

    Ausdal Financial Partners

    Avantax Investment Services

    Avantax Wealth Management


    BAF Advisors Corp

    Bangerter Financial

    Bardi Co.

    Benchmark Investments, LLC

    Berthel Fisher & Co.

    BlueBird Advisory

    Blue Summit Financial Group

    Bolton Global Capital

    Bourbon Financial

    Broadstreet Global Advisors

    C2M Securities

    Cabin Securities

    Cabot Lodge Securities, LLC

    Calton & Associates Inc

    Cambridge Investment Research

    Camelback Wealth Consultants

    Canyon Pacific Financial Services

    Cape Securities

    Capital Innovations, LLC

    Capital Management Analytics

    Capulent, LLC

    Catalyst Wealth Management

    Centaurus Financial

    Cetera Financial

    CFG Wealth

    CI Private Wealth

    Clear Stream Advisors

    Coastal Equities

    Colliers Securities

    Colorado Financial Service Corporation

    Concorde Asset Management, LLC

    Concorde Investment Services, LLC


    Crawford 1031 Advisors

    CreativeOne Securities

    Crescent Securities Group Inc

    Crosspoint Financial, LLC

    Crown Capital Securities

    DAI Securities

    Darren Moss Wealth Management

    Da Vinci Family Life Offices, LLC

    Dempsey Lord Smith, LLC

    DFPG Investments

    D.H. Hill Securities

    Doceo Wealth

    Dsts 1031 Investments

    DST Investment Advisors

    Dwyer Financial

    Eagle Wealth Management Group LLC


    Emerson Equity LLC

    Endurance Financial

    Equifinancial LLC

    Espinoza Private Wealth Management

    Eureka Wealth Solutions

    Exclusive Financial Resources

    Fiduciary Architects LLC

    Financial Architects

    FNEX Capital, LLC

    Fosbenner Financial

    FourStar Wealth Advisors

    Frontier Wealth Strategies

    GCB Private Wealth

    Golden Eagle Securities Inc

    Golden State Wealth Management

    Great Point Capital LLC

    Green Vista Capital

    Harbour Investments

    Harris Investment Advisors

    Hartfield Financial & Insurance Services

    HBKS Wealth Advisors

    Hedged Private Wealth

    Herbert J. Sims & Co.

    High Country Capital Management

    High Speed Alliance

    Highlander Wealth Services, LLC

    Hughes Wealth Management

    IBN Financial Services

    IDB Capital Corp

    IHT Wealth Management

    Independent Financial Group

    Infinity Financial Services

    Innovation Partners

    Innovative Advisory Group

    Institutional Securities Corporation

    Integrity Brokerage LLC

    Interactive Wealth Advisors

    International Assets Advisory, LLC


    Irvine Advisors

    ISC Group

    John-Luke Financial

    JRL Capital Advisors

    Kalos Financial

    Karas Partners

    Kingsview Asset Management

    Kingswood U.S.

    Kolinsky Wealth Management

    Kovar Wealth Management

    Landolt Securities Inc

    Lazari Capital Management

    Legacy Wealth Management

    LightPath Capital, Inc.

    Lionchase North America

    Lion Street Financial

    Lovell Wealth Management

    LPL Financial

    M Stevens

    Madison Avenue Securities

    Madrona Financial

    McDermott Investment Services

    Me Financial

    Mehta Services Company

    Merchants Capital Trust

    Metric Financial

    Moloney Securities Asset Management LLC

    Money Concepts Capital Corp.

    Money Managers, Inc.

    Multiple Financial Services

    Murchison Trust

    Mustard Seed Financial


    New Frontier Wealth Management

    NexTrend Securities

    Ni Advisors

    Nobles & Richards


    Oak Tree Securities

    Orchard Securities - CTT


    Padovani Asset Management

    Paul M. Wendee & Associates, LLC

    Perinttra Capital

    Petra Capital Properties

    PIH Investments

    Preservation Capital Group

    Provident Wealth Advisors LLC

    Purshe Kaplan Sterling Investments

    Qubera Wealth Management

    Ratio Wealth Group

    RCM Investments

    RD Heritage Group

    Redmount Capital Partners, LLC

    Renovate Financial Planning

    Reshape Wealth

    Retirement Solutions

    Revolution Capital

    Ridgegate Financial

    Right Source Capital Company

    Rudwall Wealth Management


    Saratoga Hills Group

    Saxony Securities

    Season Investments


    Sensus Wealth Management Group

    Sequent Real Estate + Wealth Management

    ShareNett Securities

    SignatureFD LLC

    Silicon Valley Wealth Management Solutions

    Simons Financial Network

    SkyOak Capital Inc

    Springlake Partners

    ST Global Markets USA

    Steven Yeh & Associates

    Stonecrest Capital Markets

    Stone River Capital

    Strategic Wealth Planning

    Tactive Wealth

    TCFG Wealth Management


    Thaynes Capital

    The Strategic Financial Alliance

    Third Seven Capital

    Trustmont Financial Group, Inc.

    United Planners Financial Services of America

    Uplifting Capital

    US Capital Investment Management

    Vestech Securities

    Vienna Asset Management

    Vistia Capital

    WD Wealth

    WealthForge Securities

    Western International Securities

    Whitehall-Parker Securities


    Woodbury Financial Services, Inc.

    Wychick Investment Advisors Inc

    Zermatt Securities



    *AEI Capital Corporation

    AmeriCan Multifamily Alliance Group

    Apollo Global Management

    Arax Investment Partners

    ARCTRUST Private Capital

    Arden Group


    Axxes Capital

    *Baker Tilly

    *Barrow Shaver Resources

    *BC Partners Advisors

    Beacon Real Estate Group





    *Bourne Financial Group

    *Bridgeview Real Estate

    Burlington Capital

    *CAI Investments

    *Caliber Companies

    *Cantor Fitzgerald

    *Capital Square

    *Carter Funds

    *CedarSt. Companies

    CIM Group

    Code 2

    *Concept Capital Markets

    *Core Pacific Advisors


    *Cove Capital Investments

    Covenant Royalties

    *Croatan Investments

    *CWS Investments

    *DealPoint Merrill

    *DLP Capital

    Eagle Point Credit Management

    EcoVest Capital

    *ElmTree Funds


    Everest University Housing

    *ExchangeRight Real Estate

    *Flatirons Asset Management

    *Four Springs TEN31Xchange

    GK Real Estate

    Graceada Partners

    *Great Oak Funding

    Green Vista Capital

    Griffin Capital Company

    *Hamilton Point Investments

    *Hines Securities

    Hyperion Realty Group

    IDEAL Capital Group


    *Inland Real Estate Investment Corporation

    *Inspired Healthcare Capital

    John Henry Oil

    *Juniper Square

    Kennedy Lewis Investment Management

    *KNPRE 1031

    *Lateral Investment Management

    *Legendary Capital

    *Legion Capital Corporation

    Lighthouse Life Capital

    Loci Capital

    MacKenzie Capital Management

    *Makaan Investment Group

    *Manufactured Housing Properties

    *MCI Megatel Capital Investment

    MDS Energy Development

    Mercer Street Partners

    *Mewbourne Oil Company

    MLG Capital

    *Montego Minerals

    *Moody National Companies

    *Mountain V Oil & Gas

    *NAI Legacy

    *Net Lease Capital



    Oxford Funds


    Pacific Oak

    *Passco Companies

    *Peachtree Group

    Pinnacle Partners OZ Investing


    *Red Oak Capital Holdings

    Renaissance Growth Partners

    *Resource Royalty


    Sandy Bay Partners

    *S.T.L. Resources

    *Seedbrite Ventures

    *Shopoff Realty Investments


    Snapbox Self Storage

    *Sovereign Partners

    *Southwestern Asset Management

    *Starboard Realty Advisors

    StarPoint Properties

    *S.T.L. Resources

    *Storage Units Income Fund II


    *Texakoma Resources

    The Empire Group

    *The True Life Companies

    *Time Equities

    Tri-Land Properties, Inc.

    *Trilogy Real Estate Group

    *Triton Pacific Securities

    Urban Catalyst

    USG Realty Capital

    *U.S. Bank

    *U.S. Energy Development Corporation

    *Versity Invest


    *Walton International Group

    Waveland Energy

    *Webb Creek Management Group

    West 4 Capital

    *White River Private Capital Management

    Y Street Capital





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    Exhibitor Info

    Exhibitor Information

    Exhibitor Schedule

    Set-Up Hours:

    • Sunday, October 8, 1-6 pm
    • Monday, October 9, 8 am-4 pm

    Show Hours:

    • Monday, October 9, 6-7 pm
    • Tuesday, October 10, 8 am-7:30 pm
    • Wednesday, October 11, 7:30-9 am

    Tear-Down Hours:

    • Wednesday, October 11, 9:15 am-12 pm

    *All exhibitor materials must be removed by 12 pm.

    Exhibitor Schedule

    All exhibitors need to send a current, high-resolution logo to Jennifer Fitzgerald, ADISA's Director of Marketing & Communications.