At L.M. Kohn, our primary objective is to treat our advisors and representatives as clients by creating a framework of Independence, Stability and Accessibility they need to succeed as independent business owners. Providing assistance and guidance to help our advisors avoid the pitfalls of non-compliance is a major component of what we do. But where most compliance teams at other RIAs and Broker-Dealers can seem to confine their reps, ours works with our advisors to keep them compliant and in-the-know of the latest regulations and threats to their businesses by offering the tools and resources to succeed.
In line with this philosophy, every year L.M. Kohn hosts our Annual Compliance Meeting. This year’s meeting takes place from September 6-7 at the Hilton Cincinnati Airport Hotel and covers a variety of essential topics that reps need to know. Topics discussed will include Industry trends in compliance and technology, current thoughts on investment allocations by asset types, cyber security risks, issues dealing with seniors, issues dealing with client family members suffering from substance abuse, and of course REG BI compliance. Presentations will be made senior staff, leading Investment firms, as well as from federal and state agencies. We will also have a motivational speaker who is a renowned mountain climber, to talk about the training, preparation and process to achieve success. We owe a special thank you to our sponsors this year: First Trust Advisors Ltd, First Eagle Investments, Zacks Advisor Tools, Dimensional Advisors, Sammons Retirement Solutions, RBC Custody & Clearing, First Trust Advisors, Mench Financial Investments and Fidelity Investments, who all help bring this year’s event to fruition.
Besides the educational component, attendees will also have the opportunity to network with other L.M. Kohn advisors during a private dinner at the Hofbräuhaus Brewery and Restaurant in Newport, Kentucky, sponsored by First Trust Advisors.
“Our Annual Compliance Meeting is one of the highlights of our year,” said L.M. Kohn President Carl Hollister. “The top tier presentations and breakout sessions will cover crucially important information that our reps need to be aware of to make their businesses successful.”
“I’ve found the annual meeting to be a valuable opportunity to meet other advisors and talk to them about how they run their practices to get new ideas for my own,” said L.M. Kohn rep Larry Andreano of The Tatlan Group (Grand Rapids, Michigan). “Being an independent advisor, it’s an asset to have access to a network of peers. I have friends with independent practices who use a different custodian firm, and they don’t have any affiliation with other reps.”
To learn more about our Annual Compliance Meeting or any of the other advantages reps receive when they partner with L.M. Kohn, contact us.