The 13th Annual Western Non-Traded REIT & Retail Alternative Investment Symposium | Information Management Network | 6 December 2017 | St. Regis Monarch Beach, 1 Monarch Beach Resort N, Dana Point, CA 92629, US

The retail alternative investment industry, Non-Traded REITs and BDCs in particular, have posted strong returns over recent years. However, with regulatory headwinds, the industry has not been without its challenges and it continues to evolve at a dynamic rate.

The Department of Labor's (DOLs) Fiduciary Rule and NASAAs consideration of concentration limits add to the challenges the industry faces on the distribution side. What are the implementation challenges of the Fiduciary Rule for Independent Broker/Dealers (IBDs) and how can they be overcome? What is the anticipated impact of concentration limits as they currently stand on the industry?

What has been the impact of FINRAs Regulatory Notice 15-02 since it became effective earlier this year? What post-FRN 15-02 structures are working? How are product sponsors and IBDs addressing new requirements in all facets of their business? How can they work better together to overcome challenges in this new environment?

Against this backdrop of change, another private equity giant has entered the Non-Traded REIT market. What are the implications of this for the current status quo? Will we see more such firms enter? Are wire-houses finally going to make a determined bid to enter this market sector?

2017 Speakers:

Bill Acheson
Cfo Gwg Holdings, Inc.

Jeremy Anton
Mergers & Acquisitions, BMO Capital Markets

Robert Antonio
Founder & President Antonio Financial Group

Mark Atchity
President & Ceo,jcc Advisors, Llc

Catherine Bowman
Partner the Bowman Law Firm, Llc

Brian Buehler
Partner & President Triton Pacific Capital Partners, Llc

Eduardo Ciuffo
Investment Research Associate Commonwealthfinancialnetwork

Alice Connaughton
Shareholder Greenberg Traurig, Llp

Anya Coverman
Director of Government Affairs & General Counsel Investment Program Association

Donald Deans
Managing Director & Cpa/pfs Deans Consulting, Llc

Joseph Delaney
Ceo J.v. Delaney & Associates

William Dioguardi
Chief Executive Officer Four Springs Capital Trust

Chris Dobbin
President, Securities Transfer Corporation

Martin Dozier
Counsel Alston & Bird Llp

Greg Drose
S.v.p. Business Development Umb Fund Services

Peter Fass
Partner Proskauer Rose, Llp

Alan Feldman
Chief Executive Officer Resource

Joe Filberto
Cio Candace Shira Associates, Llc

Kevin Gannon
Managing Director Robert a. Stanger & Co., Inc.

Taylor Garrett
Managing Director Orchard Securities

C. Coy Garrison
Special Counsel U.s. Securities & Exchange Commission

James Gerkis
Partner Proskauer

Larry Goldsmith Jr
Senior Managing Director Fbr & Co.

John Grady
Partner Dla Piper

Neil Greene
Senior Vice President / Due Diligence Newbridge Securities

Tony Grego
Associate Executive Director Adisa—alternative & Direct Investment Securities Association

Jilliene Helman
Chief Executive Officer Realtymogul.com

Jim Hibbert
Managing Director Noble Street Advisors

Howard Hirsch
General Counsel-securities Griffin Capital Company, Llc

Steve Kantor
CEO, S2K Partners

Robert R. Kaplan Jr.
President Hc Government Realty Trust, Inc.

Samuel Kardon
Associate Proskauer

Jeffrey Karsh
Ceo Streitwise

Susan Kelly
Director, Investment Management and Research Commonwealth Financial Network

Janis Kerns
Of Counsel Nelson Mullins Riley & Scarborough Llp

Brett Klein
Managing Director & Head of Alternative Products Colony Northstar, Inc.

Michael Komenda
Assistant General Counsel, Vereit; Counsel to Cole Capital Cole Capital

Luke Lee
Ceo Inspired Healthcare Capital

Rosemarie Leong
Due Diligence Officer Sandlapper Securities, Llc

Justin Milberg
Chief Operating Officer Resource Liquid Alternatives

Michael Miller
Retail Broker-dealer Sigma Financial Corporation

Kirk Montgomery
General Counsel & Chief Compliance Officer Cnl Credit Platform

Mitch Morrison
Registered Principal Westpark Capital

Brian Nelson
Principal Nelson Brothers Professional Real Estate

Glenn Mueller
Real Estate Investment Strategist, Managing Director, Black Creek Group

Daniel Oschin
Chief Operating Officer Shopoff Realty Investments, L.p.

Lauren Prevost
Partner Morris, Manning & Martin, Llp

Thomas Puricelli
Managing Director Houlihan Lokey

Mark Quinn
Director of Regulatory Affairs Cetera Financial Group

Carl Riley
Shareholder, Greenberg Traurig, LLP

Craig M. Porter Rollins
Wealth Advisor Ljcooper Wealth Advisors

Aaron Rosen
Svp, Co-portfolio Manager Lcm Investment Management

William Shopoff
President Shopoff Realty Investments L.p.

Chris Stambaugh
Partner Dla Piper

Larry Steinberg
Financial Quarterback Financial Architects

Darryl Steinhause
Partner Dla Piper

Frank Tauches
Executive Vice President, Ap Holdings, Inc. American Portfolios Financial Services, Inc.

Rosemarie Thurston
Partner Alston & Bird Llp

Tim Toole
President and Ceo Northstar Securities, Llc

Brent Vannorman
President Trilinc Global, Llc

Jerry Verseput
President Veripax Financial Management, Llc

Darren Whissen
President Atomi Financial Group

Rob Woomer
Evp, Capital Markets Peachtree Hotel Group

2017 Sponsors and Partners:

GOLD:
• Conestoga International, LLC
• DLA Piper
• Proskauer

SILVER:
• Alston & Bird
• Nelson Brothers
• Nelson Mullins
• NorthStar Securities
• Phoenix American Financial Services, Inc.

BRONZE:
• Bowman Law Firm, LLC
• Buttonwood Investment Services, LLC
• FBR
• GT GreenbergTraurig
• GWG
• Houlihan Lokey
• MacDonald Realty Group
• Morris, Manning & Martin, LLP
• Noble Street Advisors
• PeachTree Hotel Group
• Realty Mogul
• Resource
• Securities Transfer Corporation
• Shopoff Realty Investments
• UMB| Fund Services

ASSOCIATION SUPPORTER:
• ADISA Alternative & Direct Investments Securities Association
• IPA Investment Program Association

MEDIA:
• Bestattorneys Online
• Institutional Real Estate American
• Institutional Real Estate, Inc.
• Real Assets Adviser
• Real Estate Alert
• The DI Wire
• Wealth Adviser