TOPICS & SPEAKERS

RIA M&A through the Client’s Lens: Lessons from Sellers on Fiduciary Duties, Conflicts, and Continuity



This panel brings together RIA principals who have sold their firms to larger acquirers to share candid lessons from the sale and integration process. Panelists will explore how buyer selection, deal structure, earn-outs, rollover equity, and post-closing incentives intersect with fiduciary duties and potential conflicts of interest. They will also discuss client communication, continuity of advice, changes in fees, personnel, technology, and investment platforms, and what they would do differently to protect clients throughout an ownership transition.

Rush Benton, CFA (Moderator)

Gorman Jones

Managing Partner

Click here for biography

Allan Horner (Panelist)

EP Wealth Advisors

Financial Advisor

Click here for biography

Craig Reed, CFA, CFP® (Panelist)

CAPTRUST

Principal

Click here for biography

Paul Urbanek (Panelist)

Rockefeller Capital Management

Managing Director

Click here for biography

The Irrevocable Trust’s Edit Button: Using Nonjudicial Settlement Agreements to Update Trusts

Irrevocable does not always mean unchangeable. This session will examine how nonjudicial settlement agreements (NJSA’s) can provide a practical way to clarify or update certain trust provisions—often without formal court proceedings—when family circumstances, laws, fiduciaries, or administrative needs have changed. Attendees will learn when an NJSA may be appropriate, what limitations apply, and the practical and fiduciary issues advisors should recognize.

Tennessee’s Tax Blind Spot: Avoiding Franchise & Excise Tax Surprises



Tennessee’s franchise tax on net worth and excise tax on business earnings can create unexpected filing and payment obligations for business owners and investors. This session will examine where clients commonly get tripped up—including entity formation and restructuring, ownership changes, exemptions, and business activity across state lines—and show advisers how to recognize warning signs, ask the right questions, and coordinate with tax professionals before surprises arise.

Diversification Revisited: The Case for Liquid Alternatives



Alternative strategies are playing an increasingly important role in client portfolios, but they can differ substantially in liquidity, tax treatment, and implementation. This session will explore the role liquid alternatives can play in portfolio diversification and examine how tax-aware implementation may improve after-tax outcomes for taxable investors.

2026 ANNUAL SYMPOSIUM SPONSORS

LEGACY SPONSOR

SAVE THE DATE

Let's stay in touch!