Starting Your Own RIA Firm (Members Only) (Ended)
Are you currently considering or interested in exploring the possibility of starting your own investment management, advisory and/or consulting business? The Professional Development Advisory Group has assembled an all-star panel of entrepreneurs and service providers to offer insights to the process and guidance on how to get started. Panelists will discuss the challenges and benefits of starting an RIA, comment on the impacts of the current market and regulatory environments, and share their reasoning for starting their own firm. Attendees will also have an opportunity to ask the panelists questions at the end of the event.
Additional topics to be covered include:
- Factors to consider when contemplating starting an RIA
- What steps should one take to begin the process?
- General issues and questions that may arise
- Resources available to assist with different aspects and challenges
Moderator: Jenifer Aronson, CFA - Managing Partner, Mosaic Fi, LLC
Chris Abraham - Founder, CVA Investment Management
Gautam Dhingra, CFA - Founder, High Pointe Capital Management
Robert Finely, CFA, CFP - Principal, Virtue Asset Management
GJ King, President - RIA in a Box
(member pricing underwritten by CFA Chicago)
Attire: Business CasualMenu: Light Snacks & beverages
Registration: Register online below
4:30 - 5:00 pm - Registration and Networking
5:00 - 6:30 pm - Program and Q&A
Hosted by: Professional Development Advisory Group
Jenifer Aronson, CFA, is Managing Partner with Mosaic Fi, LLC. Aronson has over 20 years of experience with some of Chicago's most recognized investment firms, including Northern Trust and UBS Brinson Partners. Most recently, Aronson worked with family offices and ultra high net worth individuals advising them on their investment portfolios, tax and estate planning, and other financial related matters. Aronson received a B.S. degree in Business Administration from the University of Arizona and an M.B.A. in Finance and Economics from the University of Chicago. Aronson holds a Chartered Financial Analyst designation, is a member of the CFA Institute and a member of the CFA Society Chicago. She is a member of the Steering Committee for the CFA Women Advisory Group and the co-chair for the CFA Professional Development Advisory Group.
Chris Abraham, CFA, founded CVA Investment Management in 2014. Prior to founding CVA, he served as an Assistant Portfolio Manager on the Small and Small/Mid Cap Value teams at NWQ Investment Management, a subsidiary of Nuveen Investments. Before NWQ, Abraham worked in the Private Client Group at Andersen Tax. He has also spent time at Ariel Investments, Mercer Investment Consulting and Intel Corporation. Abraham received his M.B.A from the University of Chicago, Booth School of Business and his B.A. in Economics and minor in Accounting from the University of California, Los Angeles. He also holds the Chartered Financial Analyst designation and is a member of the CFA Institute and the CFA Society Chicago. Abraham is an Eagle Scout.
Gautam Dhingra, CFA, founded High Pointe Capital Management to create and manage global and multi-asset portfolios. Under his leadership, the firm built an enviable investment performance record. High Pointe grew in size from $1 million at inception to $1 billion at its peak, and its clients included some of the largest institutional investors in the country.
Dhingra started his investment career at Hewitt Associates, an advisory firm specializing in working with Fortune 500 clients. He designed Hewitt's asset allocation and asset-liability management models, performed due diligence on both traditional and alternative asset managers, and led the team that developed the firm's 401k plan consulting practice. Dhingra has written and published articles on various investment topics in publications such as Pension Investment Handbook. He has been quoted widely by various media outlets including Reuters, CNN, Fox Business, BBC, National Public Radio, and Chicago Tribune, and he has been profiled in the Wall Street Transcript on multiple occasions.
Dhingra served as a Lecturer of Finance at Northwestern University's Kellogg School of Management for two years. In this volunteer role, he designed and taught an MBA level course entitled The Business of Investing. He is a Chartered Financial Analyst (CFA) and a member of the Economic Club of Chicago. Over the years, he has volunteered his time to bring excellence to the investment profession though his work with various CFA organizations including serving as Chairman of CFA Society Chicago during 2013-2014 and serving on its Board of Directors for six years. He was also selected to be on the Board of Regents for CFA Institute's Financial Analysts Seminar for a three-year term. Dhingra holds a Ph.D. in Finance from the University of Florida.
Robert P. Finley CFA, CFP, Principal of Virtue Asset Management, is a CFA® charterholder and a Certified Financial Planner™ certificant with 14 years of experience. Robert most recently managed over $375 million in assets for high net worth individuals as a Senior Portfolio Manager.
Finley grew up in Glenview, Illinois and graduated from Indiana University with a Bachelor of Science degree in Business, Finance major. He started his career in Wealth Management at LaSalle Bank, managing money for high net worth individuals, business owners, foundations and endowments. In 2007, LaSalle Bank was purchased by Bank of America and the Wealth Management department was integrated with U.S. Trust. In April 2013, Finley moved to TIAA-CREF's Trust department as a Senior Portfolio Manager. He launched Virtue Asset Management, an independent asset management company, in 2016.
In addition to his professional certifications, Finley is also a member of American Mensa and the National Association of Personal Financial Advisors (NAPFA). He lives in Barrington, Illinois with his wife and two children.
GJ King is President at RIA in a Box. King previously worked in the investment management division of Goldman Sachs serving as a trusted advisor to a select group of high net worth entrepreneurs, families, and foundations. King holds an MBA from the Graduate School of Business at Stanford University and a BA from Brown University where he graduated magna cum laude. At Brown, King was a member of the varsity basketball team and still plays regularly. He also previously held the Series 7 and 66 licenses. King is a Chicago native and currently resides just outside of Cleveland.
*Special Notes Regarding Fees:
Credit card is required to guarantee ALL reservations. Day-of-event registrations accepted on-site only if applicable and space available. There is a $5 surcharge for walk-ins. Visa, MasterCard, American Express, Discover and Diners Club are accepted. Cancellations accepted until 5:00 pm, January 25. If guests fail to cancel before the deadline and/or fail to attend the event they will be charged a $20 fee.
Members of any CFA society may attend at the CFA Society Chicago member rate. If you are only a member of CFA Institute, you do not qualify for the society member rate.
Content shared during CFA Society Chicago programs is not, and nothing in it should be construed as, an offer, invitation or recommendation of any specific financial services company or professional, or an offer, invitation or recommendation to sell, or a solicitation of an offer to buy, any securities in any jurisdiction. By registering for and attending this event, you acknowledge that any photographs that may be taken are the property of CFA Society Chicago and give your consent to their use in CFA Society Chicago's online and print business communications and marketing.