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MAY 6-9, 2019


MAY 6-9, 2019

Learn. Advocate. Advance.

IPASummit 2019 is the place for policy action! Meet with members of Congress on Capitol Hill, learn direct insights from the SEC, FINRA and NASAA and hear due diligence updates from leading asset managers from across the PDI industry. Don’t miss the year’s best opportunity to make a positive impact on the important issues impacting REITs, BDCs, Qualified Opportunity Zone funds, interval funds and direct participation programs. Register today and be a part of the future of retail alternative investments.

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IPA: A Unified Industry Voice — (VIDEO)

Registration Fee:

  • Member: $999
  • Non-Member: $1,500
  • Broker-Dealer/RIAs  – Complimentary (Please see travel policy.  Multiple sponsors have agreed to cover the costs of registration, hotel and flight as a bona fide due diligence expense.)

Who Should Attend?

  • Asset Managers
  • Broker-Dealers
  • RIAs
  • Due Diligence Professionals
  • Industry Partners

Hotel / Location:

Fairmont Washington D.C. Georgetown
2401 M. Street, NW | Washington, DC 20037

Room block discount has ended.
Please contact hotel directly for reservations at 1-866-540-4505.


Use Your Voice to Advance PDIs!

  • Meet with members of Congress on Capitol Hill to raise positive awareness of PDIs
  • Participate in current policy discussions through active dialog with regulators and legislators
  • Gain direct insights from leaders at the SEC, FINRA and NASAA on the latest regulatory issues affecting the PDI industry
  • Hear expert analysis on the 116th Congress – including over 100 new members –  and the impacts of a Democratic-led House of Representatives

In-Depth Product Education & Due Diligence Support

  • Due diligence symposium designed by broker-dealers, for broker-dealers
  • Fund updates from senior executives representing over a dozen asset managers
  • Early-stage review of Qualified Opportunity Zone funds and new regulations
  • Expanding use of PDI products on independent RIA platforms



The IPA is honored to welcome our distinguished keynote speakers as they address the important regulatory issues impacting the PDI community.

Robert W. Cook

President and CEO
Topics Include:
  • Regulation Best Interest
  • FINRA360 initiative progress
  • FINRA examination findings 
  • FINRA rules on senior investors
  • Small firm guidance
  • Cybersecurity measure

Hester Peirce

Securities and Exchange Commission
Topics Include:
  • Regulation Best Interest
  • E-delivery and electronic processing
  • Accredited Investor definition in Reg. D offerings
  • SEC Proxy Process
  • Roundtable Insights

Michael S. Pieciak

NASAA Board of Directors
Topics Include:
  • Regulation Best Interest
  • State fiduciary proposals
  • E-Signature and the NASAA statement of policy
  • Cyber security measures for firms
  • NASAA’s senior protection model act
  • Current NASAA initiatives



The IPASummit Due Diligence Symposium is a unique opportunity to leverage the insights of key executives from several product sponsors in a convenient, information-based format. Open to broker-dealer professionals and RIAs, this year’s Due Diligence Symposium will feature a close examination of the expanding platforms of IPA sponsor members. This value-add format offers critical analysis of Lifecycle and NAV REITs, BDCs, Interval Funds and Direct Participation Programs.



THURSDAY, MAY 9 | 9 - 12 PM

QOZs, RIAs, OpsTech

At IPA Summit 2019 attendees can collaborate with their peers in group discussions designed specifically to address some of the industry’s most important topics. Three distinct interactive workshops – on Qualified Opportunity Zones, the RIA Community and Operations Technology Solutions – offer participants a unique opportunity to be on the leading edge of these important conversations.


Qualified Opportunity Zones

We’ll leverage our collective expertise to carefully examine the newest tranche of regulations from the IRS and consider best practices for QOZ funds.  Tax attorneys and accountants, due diligence providers, asset managers and compliance professionals are encouraged to actively participate in this collaborative forum.

SESSION #1: In the Zone: Assessing the Latest Guidance on QOZs

Qualified Opportunity Zones represent the most comprehensive expansion of tax advantaged investment opportunities in a generation. This session will review the latest rules and guidance from the IRS and update participants on the IPA’s advocacy initiatives. Leading coalition partners will discuss how QOZ funds are being implemented and what we might expect going forward.

SESSION #2: Considerations for Managing Client Investment in QOZ Funds

This facilitated discussion will explore a wide range of considerations for managing the investment of client assets into Qualified Opportunity Zone funds. We will identify best practices and areas where further resources may be warranted. Discussion topics will include:
  • Rules and qualifications for structuring a QOZ fund
  • Capital raise and deployment considerations
  • Managing investor timelines for recognizing capital gains
  • Client profiles and suitability
  • Considerations for investor liquidations and exit
  • Tax reporting needs of investors
  • Sales practices
  • Education resources and advisor training



Operations Technology

We’ll continue our industry efforts to standardize agreement language, streamline business operations and strengthen technology platforms. Operations professionals, including: broker-dealer operations and compliance staff, financial technology service providers, transfer agents and custodians are encouraged to participate in this collaborative forum.

SESSION #1: Standardized Agreement Language

This facilitated group discussion will identify common clauses among various agreements and industry forms, and establish a working group to complete a catalog of language that IPA members can use to create:
  • Networking Agreement
  • Servicing Agreement
  • Custodian/Custodial Agreement
  • Selling Agreement
  • Transfer Agent Agreement
  • DTCC Agreement

SESSION #2: Adoption of E-Signature and Straight Through Processing

This discussion focuses on the current scope of E-Signature adoption by broker-dealers and RIAs and identify resources for further implementation. We will examine the new technology platforms that firms can leverage to increase efficiencies. We will also look at the advent of omnibus accounts on transfer agent platforms.

SESSION #3: Operations and Technology Strategies for Engaging RIAs

For this final session, we will join the RIA workshop to explore a wide range of considerations for engaging the different RIA segments. Topics for discussion will include:
  • Data sharing
  • Electronic submission of documents
  • Product structure effects on E-signature
  • Valuation of positions
  • Client reporting
  • Billing of client accounts


Evolving RIAs

We’ll explore the unique needs of today’s RIA and showcase winning strategies to make meaningful client connections.  Asset managers, industry service providers and financial technology firms are encouraged to participate in this collaborative forum.

SESSION #1: Segmentation of RIA Practices

Our initial session will review the different types of RIA practices and offer relationship management guidance. We’ll identify market segments based on assets under management (AUM), practice types, use of PDI products and number of advisors. By understanding the nuances of each type of practice, attendees will come away better equipped to engage RIA firms.

SESSION #2: Sales and Marketing Strategies for Engaging RIAs

This facilitated discussion will explore a wide range of marketing strategies for engaging different RIAs. Topics for discussion will include:
  • Use of Portfolio Diversifying Investments
  • Product structure considerations
  • Due diligence requirements
  • Education needs
  • Different needs of independent and corporate RIAs
  • Targeting different RIA segments

SESSION #3: Operations and Technology Strategies for Engaging RIAs

New technology platforms are improving operational efficiencies and easing customer relationship management functions. This discussion will identify best practices and areas where further resources may be warranted. Topics for discussion will include:
  • Data sharing
  • Electronic submission of documents
  • Product structure effects on E-signature
  • Valuation of positions
  • Client reporting
  • Billing of client accounts

Workshop Only Registration:

Discounted registration is being offered for participants who wish
to only attend the workshops on Thursday, May 9.

  • Member: $499
  • Non-Member: $799



Spend an immersive afternoon meeting with members of Congress on Capitol Hill, discussing our industry’s top legislative priorities.
Don’t miss this unique opportunity to raise positive awareness of PDIs.


U.S. Capital Markets Regulation



U.S. Tax Policy




What to Expect?

See our IPASummit 2018 Recap!

2018 RECAP

TRAVEL POLICY (Broker-Dealer and RIA Attendees Only):

Broker-Dealers and RIAs are complimentary to attend and qualify for complimentary hotel accommodations and transportation-related expenses (up to $500 applicable to air, train or car travel) for up to 2 BDs per firm / 1 RIA per firm.  IPA will cover a maximum of 3 rooming nights based on qualified event attendance per person. You will be notified by IPA Staff if more than 2 representatives have registered from the same firm.


Within 48 hours of submitting the Participation Contract you will receive information on how to book your travel. IPA will cover up to $500 in flight cost. Should a flight exceed this amount, the IPA is notified for approval and may supply you with other flight options.

Hotel Rooming Policy:
IPA will be providing the Fairmont Hotel with a rooming list. Charges will only be incurred for incidentals, additional rooming beyond 3 days or if you do not show up/cancel your room. Your room must be cancelled 72 hours prior to your arrival date for no charge to be incurred. If you must cancel, please notify Tracy Mesterharm at 202-548-7188.

** IMPORTANT ** Hotel, airfare, and similar charges are paid for by IPA Sponsor members as part of a qualified due diligence event, based on the understanding that registrants will attend all event sessions and other activities as may be specified. IPA reserves the right to instead charge these amounts, or a portion thereof, to the credit card of any registrant who does not adhere to announced attendance requirements. It is the IPA’s expectation that attendees will participate in a majority of the event sessions. Please note you will be contacted prior to any amounts being charged.

IPASummit and Due Diligence Symposium Attendance Requirements:

  • Monday, May 6, 2019– 6:00 p.m. – 7:30 p.m. ET; Due Diligence Opening Reception  – please plan to arrive no later than 5:30 p.m. ET
  • Tuesday, May 7, 2019 –7:00 a.m. ET – 7:00 p.m. ET; Due Diligence Symposium
  • Wednesday, May 8, 2019 – 7:00 a.m. ET – 11:30 a.m. ET; IPASummit General Session and Hill Day meetings ** There will also be a reception that evening starting at 5:30 p.m. ET
  • Thursday, May 7, 2019 – 7:00 a.m. ET – 12:00 p.m. ET; – Please plan your flight departure no earlier than 3 p.m. ET