How to Use Commission-Free Annuities to Protect and Grow AUM
Tuesday, August 16, 2022
12:20 PM EDT | 9:20 AM PDT
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With more Commission-Free annuities available than ever before, many RIAs are discovering the benefits these solutions can provide not only to their clients, but also to their firms.
Join this session to learn how RIAs can use Commission-Free annuities to manage portfolio risk, helping protect and grow AUM. These strategies can help RIAs attract and retain clients and deliver better outcomes during accumulation and retirement.
Approval for 1 hour CE: CFP®, CFA®, CPWA®, CIMA®, CIMC®, RMA®, WMCP®, RICP®, CHFC®, FSCP®, CLU®, CHSNC®, CAP®.
The CFP Board® accepts the LIVE program for one hour of CE credit towards the CFP® certification. If you provide the required information during the webinar registration process and stay for the entire session we will report your attendance to these organizations. Investments & Wealth Institute® accepts this webinar for 1 hour of CE credit towards the CIMA®, CPWA®, CIMC®, and RMA® certifications. If you provide the required information during the webinar registration process and stay for the entire LIVE event we will report your attendance to IWI. If you watch the ON-DEMAND event please email us at [email protected] for the IWI® webinar ID to self-report your attendance.
Founder & CEO
DPL Financial Partners
David Lau is widely recognized as an innovator and disruptor in the financial services industry. He is a sought-after speaker, commentator and advisor by financial journalists, insurance carriers, RIA firms, fintech companies and others seeking insights on industry products, trends and best practices. His work has received coverage in The Wall Street Journal, Barron’s, CNBC, Wealth Management and other financial media. Currently, David is the CEO of DPL Financial Partners, the industry’s leading turnkey insurance management platform, which he founded in 2014 to bring Commission-Free, value-driven financial services products to the registered investment advisor (RIA) channel. DPL went to market in 2018; in that time, over 1,500 RIA firms have joined DPL to implement insurance and annuity solutions, from leading carriers, into their practices.
Prior to founding DPL, David was Chief Operating Officer of Jefferson National, now Nationwide Advisory Services, a leading innovator of tax-advantaged investing strategies for RIAs and fee-based advisors at broker-dealers. Earlier in his career, David served as chief marketing officer of E*Trade Bank and its predecessor TeleBank, the nation’s first internet bank, where he helped pioneer branchless banking.
Wade Pfau, Ph.D., CFA, RICP®
Professor of Retirement Income
The American College
Wade D. Pfau, Ph.D., is professor of retirement income in the Ph.D. in financial and retirement planning program, co-director of The American College Center for Retirement Income, and RICP® program director at The American College of Financial Services.
Pfau is a co-editor of the Journal of Personal Finance. He has spoken at national conferences of organizations for financial professionals such as the CFA Institute, FPA, NAPFA, AICPA-PFP, and AFS. He also publishes frequently in a wide variety of academic and practitioner research journals. He hosts the Retirement Researcher blog, and is a monthly columnist for Advisor Perspectives, a RetireMentor for MarketWatch, a contributor to Forbes, and an expert panelist for The Wall Street Journal. His research has been discussed in outlets that include print editions of The Economist, The New York Times, The Wall Street Journal, and Money Magazine.
Charles "Chuck" Failla, CFP®
Sovereign Financial Group, Inc
Chuck Failla is the Founder + CEO of Sovereign Financial Group, Inc., a NYC-based RIA. Chuck has been a financial advisor for more than 25 years. He started in the early 90s as a "cold calling cowboy" in NYC selling individual stocks. His practice then evolved to focus on financial planning and fee-based asset management. In 2019 Chuck “broke away” from Raymond James to form Sovereign which is an SEC Registered RIA with offices in NY, CT, PA and FL.
Chuck is also the Director of Sovereign Advisor Solutions (SAS)-- a division of Sovereign Financial Group, Inc. SAS helps advisors transition to RIA by offering a comprehensive plug and play solution for going independent.
Chuck's ties to the financial planning community run deep. He currently serves on the Board of Directors for the FPA of Connecticut and Chairs their Pro Bono / Public Outreach Committee.
Chuck received his degree in Finance from The University of Connecticut and completed his coursework for the CFP® certification with The American College. He resides in Connecticut with his wife, two children, black lab and cats. In his spare time, he enjoys all things outdoors -- on the weekends you will find him with his family hiking, camping, skiing, boating or just enjoying the trees while grilling in the backyard.
CEO and Founder
Robert Huebscher is the founder and CEO of Advisor Perspectives and serves as its editor-in-chief. He is a frequent speaker at industry conferences and has written extensively on topics including investment management, portfolio construction, financial planning and global economics.