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    Amid, the COVID-19 crisis, the safety and well-being of our members, guests, volunteers, and staff are of the utmost importance to us.  With a state of emergency being declared state and nationwide, we have postponed all live events until further notice.  Take good care, stay safe and be well.   

    Online Series: How Fiduciary Advisors Can Optimize After-Tax Outcomes with PPLI / PPVA

    September 16, 2020
    12:00 PM - 1:00 PM
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    Webinar Details to follow


    $20.00 CFA Atlanta Namebadge

    $0.00 Member Ticket | Advanced Registration Required

    $0.00 Guest Ticket | Advanced Registration Required

    In today’s competitive investment landscape, PPLI and PPVA structures are increasingly being utilized by Ultra High Net Worth and Family Office clients, as well as their advisors, as a tax-efficient vehicle for making certain investments, as well as a means to improve clients' long term investment and planning outcomes.

    While these products have been in existence for several decades, recent developments in this marketplace have helped to make PPLI and PPVA a much more client-friendly, as well as advisor/asset manager-friendly solution. 

    Learn how these structures can be used to provide tax efficiency, improve investment optionality, and deliver “Structural Alpha” to the balance sheets of your clients.

    Presentation Outline:
    ❖ Overview of the fiduciary standard
    ❖ Brief history of the marketplace
    ❖ Statutory guidelines
    ❖ Marketplace overview
    ❖ Investment flexibility
    ❖ Applications with clients
    ❖ Key Takeaways/Action Steps 

    Presented by Rick Roche, CAIA and David C. Reynolds, CFP

    Rick Roche is a Managing Director at Little Harbor Advisors, LLC. Little Harbor Advisors (LHA) is a sponsor of quantitative investment strategies. Rick has 38 years’ experience in investment management and is a committed lifelong learner.

    Rick is also the founder of Roche Invest AI, LLC. Roche Invest AI is a consultancy that specializes in research, integration, and promotion of AI, Machine Learning, and utilization of alternative investment data in the investment management industry.

    Roche Invest AI advises on the diffusion and propagation of quantitative investment strategies powered by machine learning, Big Data, and Natural Language Processing.

    He holds Series 3 (Commodities), 7, 63, and 65 licenses. Rick earned his Chartered Alternative Investment Analyst (CAIA) charter designation in 2014.

    Rick is a Member of the New York Alternative Investment Roundtable (NYAIR) and the Society of Quantitative Analysts -SQA (2017-18). He earned a B.A.-History from the University of Dayton.

    Rick Roche has consulted 95 major financial companies and has personally trained 74,500 financial sales professionals in customer loyalty marketing, capital market & product trends, and investor behavior.

    From 4Q 2017 thru 4Q 2019, Rick was the featured speaker at 51 FPA Association (CFP) chapters, CAIA chapters, or CFA Society events. His Machine Learning in Investment Management presentation has been enthusiastically received by hundreds of credentialed advisors, analysts, and financial advisors.

    He has a unique ability to synthesize large amounts of academic and technical research and translate into actionable intelligence.   His extensive investment background, encyclopedic command of market theory, and staccato delivery have earned him the Top-Rated Speaker rating.

    Rick and his wife have two grown sons. He’s a fitness enthusiast with a focus on strength conditioning and endurance. He’s coached youth soccer and been an active volunteer in his local community. From 1977 to 1980, Rick served two terms in the Massachusetts Legislature representing Springfield, MA.

    David Reynolds is Director, Business Development for Spearhead, a financial services firm based out of Wellington, FL.

    In addition to supporting the firm’s more broad business development initiatives, he focuses on working with private clients, as well as 3rd party wealth management firms, asset managers, insurance professionals, and other private client advisors regarding the structuring and implementation of PPLI and PPVA solutions, as well as the underlying investment chassis.

    He holds Series 3, 7, 34, and 63 licenses. David earned his CERTIFIED FINANCIAL PLANNER™ designation in 2016. 

    Spearhead is a privately held financial services firm exclusively focused on providing premier wealth management and administration solutions to ultra-high net worth investors, family offices, and private placement markets.  The firm strives to provide long-term value to clients on an after income and estate tax basis by combining balance sheet risk management techniques with investment strategies.

    Qualifications: Ihr Professional Learning | CFA Institute Competency Framework Skill = Regulatory compliance + Structuring & Due Diligence

    1hr CFP Credit Approved

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