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2018 May Quarterly Program
Maggiano's Little Italy Bellevue
10455 NE 8th St
Bellevue, WA 98004
United States
(425) 519-6476

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Thursday, May 17, 2018, 11:30 AM - 3:00 PM PDT
Category: Events

Register for the May Quarterly Program

Gain access to local and global insights about financial news and trends by attending FPA Quarterly meetings. Join us this May to take a break from the office and have a light lunch with colleagues while learning something new. Learn more about the sessions and speakers below.

Online registration is now closed. We will be accepting walk-in registrations. 


Registration Rates:

Members: $55
Non-Member: $70
Board Member: $27.50


Sessions & Speakers: 

Managing Taxable Investments: Techniques for Mitigating Tax Costs in Investing

Stewart Martin of Active Index Advisors will share the impact taxes can have on investments and the techniques that can be applied to maximize after-tax returns.

Stewart is a Senior Vice President and Portfolio Specialist at Natixis Global Asset Management – US Distribution. Stewart is responsible for working with the field distribution team focused on establishing relationships in the Western United States. As an Active Index Advisors® Portfolio Specialist, he serves as a conduit between distribution and portfolio managers. Prior to joining Natixis, he served as an external wholesaler with the Davis Funds. Mr. Martin received his BA in political science from the University of Kansas and is Series 7, 24, and 31 licensed.

Stewart's session is designed to educate participants on the impact taxes can have on investments and the techniques that can be applied to maximize after-tax returns. The course also compares and contrasts the taxation of different investment vehicles, and looks at the effects of higher tax rates put in place for 2013 and beyond.

Learning Objectives Include: 

  • Understand tax results of investing
  • Discuss how taxes may impact mutual fund investments
  • Compare and contrast common investment vehicles

Cyber Security for Financial Advisors

David Morris is the Chief Technology Officer for CyberSecurity for the State of Washington Office of CyberSecurity.

The Washington State Office of Cyber Security was created in 2015 in response to ever-increasing threats to individual privacy, infrastructure stability, and preserving the continuity of commerce in the event of a cyber-attack. The office is a part of Washington Technology Solutions (WaTech), the state agency responsible for central information technology services and policy for all state agencies. David manages the Computer Emergency Readiness Team (CERT), Cyber Threat Intelligence Program (CTIP), and Digital Forensics Services (DFS). These teams provide proactive cyber defense, network assessments and incident response for organizations on the State of Washington government network. This group is comprised of professional cyber incident responders, forensics experts, and code analysts. Together they form a focal point for reporting, containment, and recovery of cybersecurity incidents.

Learning Objectives Include:

  • Learn about the threats to advisers and their clients posed by the electronic hacking of email, computer networks, and mobile devices
  • Understand the challenges involved in protecting against hacking attempts
  • Become familiar learn about solutions available to protect adviser and client data and communications between advisers and clients

Artificial Intelligence in Asset Management and Financial Advisory

Rick Roche is a Managing Director at Little Harbor Advisors, LLC. Rick has more than 36 years of experience in investment management and the financial advisory distribution channel. Since 1991, Rick has provided consulting services to major financial companies and personally trained thousands of financial sales professionals in customer loyalty marketing, capital market trends, and investor behavior. He is a member of the Society of Quantitative Analysts and a compulsive counter—he is viewed as a “Light Quant/Analytical Translator”.

Rick will present the latest trends in quantitative model development. The educational series, Model Behavior: AI, Big & Small Data in Quant Models, is an insider’s look into the opaque yet disruptive world of quantitative investing and the emergence of artificial intelligence, machine learning, big and small data.

Learning Objectives Include:

  • Overview of the latest trends in the use of quantitative models
  • Understand computerized trading algorithms and artificial intelligence in investment management
  • Learn how asset managers are deploying these and other advanced mathematics to investment management and trading strategies