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Event Detail

Starting Your Own RIA Firm: Infrastructure and Regulatory Requirements (Members Only) (Ended)

Date, Time, and Location:
Monday, April 23, 2018 (add this event to your Outlook Calendar)
4:00 pm - 6:00 pm
The University Club, 76 E. Monroe, Chicago, IL  60603   (Driving Directions)

Program Description:
This is the final event of a three part series on the topic of starting your own RIA. This event will focus on the infrastructure and regulatory requirements to start a firm. The presenters will all have their own unique perspective on what they see with their clients that are just starting their own RIA or in the beginning stages.

Learner Objectives:

  • Understand the regulatory requirements of owning your own RIA

  • Understand the legal aspects of owning your own RIA and/or Hedge Fund or Private Equity firm

  • Get a sense for the different systems needed to run an RIA effectively

  • What will your custodian and/or broker/dealer do for you?

Speakers:
Carson Booras - Vice President of Institutional Sales, TD Ameritrade Institutional
GJ King - President, RIA in a Box
Joseph Mannon - Shareholder, Vedder Price
Ravi Wadhwani - Illinois Regional Sales Director, Morningstar

Fee:
Members - FREE
Student Members - FREE
(member pricing underwritten by CFA Society Chicago)

CFA Institute Qualified Activity: Eligible for 1.5 credit hours

Attire: Business Casual

Menu: Light Snacks & refreshments

Registration: Register online below

Agenda:
4:00 - 4:30 pm - Registration and Networking
4:30 - 6:00 pm - Program

Hosted by: Professional Development Advisory Group

Speaker Bios:

Carson Booras is vice president of Institutional Sales for TD Ameritrade Institutional. His focus is twofold:  (1) To help Financial Advisors understand how being a Registered Independent Advisor (RIA) will allow them to not only serve their clients better, but will also allow them to run a better business; and (2) that TD Ameritrade takes pride in being the better custodial partner, and has numerous resources that can help build better businesses, grow assets, increase referrals, retain clients, and navigate the increasingly complex, yet powerful, technology landscape.

Booras has over 20 years of experience working within the Financial Industry and has been working directly with Financial Advisors for over nine years. Prior to joining TD Ameritrade in 2008, Carson worked at Charles Schwab where he built a fee based advisory practice. He graduated with a degree in Finance from St. Francis University. In addition, he holds a FINRA series 7, 66, and 63 licenses.

 

GJ 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.

 

 

Joseph Mannon is a member of Vedder Price’s Investment Services group. He focuses his practice on legal and compliance matters for investment advisers, mutual funds, closed-end funds and unregistered vehicles such as hedge funds, hedge fund of funds and other investment entities. He also counsels clients on issues relating to commodity trading advisers and commodity pool operators. 

Mannon has substantial experience in regulatory and compliance matters affecting investment advisers, including registration and marketing, such as compliance with Global Investment Performance Standards (GIPS), as well as in drafting compliance policies and procedures. He counsels advisers on trading agreements, including brokerage and derivatives agreements, conducts mock Securities and Exchange Commission (SEC) examinations and represents clients before the SEC and other regulators in examinations and investigations. 

Prior to rejoining Vedder Price, Mannon was the associate general counsel for one of the world’s largest hedge fund of funds advisers.  In 2000, Mannon served as a judicial extern to the Honorable John W. Darrah, U.S. District Court for the Northern District of Illinois. From 2001 to 2004, Mannon served as a staff attorney for the Division of Enforcement of the Securities and Exchange Commission. Mannon was awarded the Securities and Exchange Commission Chairman’s Award for Excellence in 2002. He is a frequent speaker on investment adviser compliance matters, and was selected for inclusion as an Illinois Rising Star by Super Lawyers Magazine in 2013, 2014 and 2016. Mannon was also ranked in the Legal 500’s Mutual/Registered Funds category in 2014

 

Ravi Wadhwani is the Illinois regional sales director for Morningstar’s Advisor Solutions Group, responsible for building relationships with startup and established RIAs. He focuses on solutions that help advisors build their practices by leveraging leading research, data aggregation and practice management technology. Prior to joining Morningstar in 2015, he worked for a Fortune 500 technology firm and specialized in cloud software & security.  Wadhwani holds a bachelor’s degree in economics from Miami University of Ohio and is starting graduate studies at the University of Chicago. 

 

*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, April 17. If guests fail to cancel before the deadline and/or fail to attend the event they will be charged a $20 fee.

Passport Program
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.

CFA Institute CE Qualified Activity
This program qualifies for credit under the guidelines for the CFA Institute Professional Development Program.

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.