Kitces IAR CE Day

Michael Kitces is the Head of Planning Strategy for Buckingham Wealth Partners, a private wealth management and advisor TAMP platform based in St Louis, MO, that oversees approximately $50 billion of client assets.

In addition, he is a co-founder of XY Planning Network, AdvicePay, New Planner Recruiting, fpPathfinder, and FA BeanCounters, the former Practitioner Editor of the Financial Advisor Success podcast, and the publisher of the popular financial planning industry blog Nerd’s Eye View through his website Kitces.com, dedicated to advancing knowledge in financial planning. In 2010, Michael was recognized with one of the FPA’s “Heart of Financial Planning” awards for his dedication and work in advancing the profession.

Adam is an Associate Financial Planning Nerd at Kitces.com. He previously worked at a financial planning firm in Bethesda, Maryland, and as a journalist covering the banking and insurance industries. Outside of work, he serves as a volunteer financial planner and class instructor for non-profits in the Northern Virginia area. He has an MA from Johns Hopkins University and a BA from the University of Virginia.

Leila Shaver, the founder of My RIA Lawyer, is a securities lawyer who has dedicated her 10+ year career to helping independent financial advisers and firms navigate the legal complexities of the financial services world. With a comprehensive range of services, including RIA and broker-dealer registration, ongoing broker-dealer and RIA compliance, contract drafting, mergers and acquisitions, private fund set-up and more, Leila and her team are committed to providing both legal and compliance services to their clients.

Leila started My RIA Lawyer after working as an associate attorney at a law firm that did not value her and her desire to practice law her way. With a passion for the securities industry and a commitment to making a difference, Leila has built a successful business by focusing on the needs of her clients and providing personalized services.

Despite facing challenges, Leila has persevered and has become a voice to lead the financial services industry into the next generation. With a belief in the negative impact of over regulation on financial services companies and their investors, Leila is passionate about her work and is determined to make a positive impact in the industry.

Terria Heng has spent her career in financial regulatory compliance. She started out as a compliance consultant at a boutique compliance firm assisting breakaway brokers in transitioning from wirehouses to the independent RIA space. Terria was also a financial examiner at the Texas State Securities Board for 6 years. At XY Planning Network, Terria is the Head of Consulting Services, where she supports CCOs with understanding their day-to-day compliance obligations.

Emil J. Ali is a partner at McCabe & Ali, LLP where he represents registered investment advisors and broker dealers in complying with SEC, State, and FINRA obligations. He also helps advisors break away from wire houses and form their own advisory firms, while ensuring compliance with the Broker Protocol, negotiation of promissory notes, and any FINRA arbitrations.

Emil routinely represents investment advisors in examinations before the SEC and state securities regulators. McCabe & Ali LLP's national practice allows them to service advisors of all sizes across the U.S. Emil previously worked for the United States Department of Labor (DOL), Employee Benefits Security Administration where he focused his time on issues related to the Employee Retirement Income Security Act (ERISA). His experience at the DOL allows him to help clients understand the complex provisions of ERISA, including fiduciary obligations.

Chris Stanley is the Founder of Beach Street Legal LLC, a law practice and compliance consultancy for investment advisers and financial planners. In this role he provides legal advice and compliance counseling related to federal and state securities laws, SEC rules and regulations, RIA mergers & acquisitions, investment management compliance, RIA registration, and general corporate legal matters. Most recently he served as General Counsel for Loring Ward (now integrated into Focus Partners Advisor Solutions), a turnkey asset management provider headquartered in San Jose, California. He also previously served as Loring Ward's Chief Compliance Officer, as well as Chief Legal Officer and Chief Compliance Officer for the SA Funds – Investment Trust, a mutual fund family advised by Loring Ward. Chris received his J.D. and M.B.A. from Santa Clara University, and his B.A. from Boston College. He has also passed the FINRA Series 7 General Securities Representative and Series 24 General Securities Principal examinations, as well as the NASAA Series 66 examination. He is admitted to the State Bars of California, Missouri, and the District of Columbia.