Minneapolis, MN | March 19-21, 2014

Minneapolis, MN | March 19-21, 2014
WHAT YOU WILL LEARN AT THE
AUM Academy
During the course of AUM Academy, you will learn the essentials of
creating, nurturing and growing your investment advisory business as
an investment advisor representative (IAR) with Gradient Advisors. You
will learn effective prospecting and practice management techniques to
help you capture your share of the market as an investment advisor.
Take a proactive approach to your practice and your independence.
Stay ahead of your competition, regulation and a shifting paradigm in
the financial services industry.
Gradient Advisors is an independent, privately-owned SEC registered
investment advisor dedicated to its investment advisor representatives
(IAR). Attend the AUM Academy and you will learn more about our
progressive platform designed for entrepreneurial-minded investment
advisors. We will explore the tools, training and professional resources
you need to gather assets under management. Whether you are a new
investment advisor or a veteran you will walk away with real-world
techniques to help you successfully position yourself as a trusted
advisor in your marketing campaigns and build credibility in your
appointments.
Discover Gradient’s:
•
Proven Portfolio Analysis Review Service
•
Proven prospecting media
•
Turn-key client appointment process
•
Financial and investment planning software
•
State-of-the-art technology solutions
•
Progressive portfolio management and performance reporting
•
Ongoing investment training
•
Full-service back-office support
gradientadvisors.com | 877.885.0508
Gradient Advisors, LLC, an SEC Registered Investment Advisor
For advisor use only.
Itinerary
Wednesday, March 19
5:15PM
5:30PM - 7:00PM
7:00PM
SHUTTLE DEPARTS HAMPTON INN FOR GRADIENT CENTER
COCKTAIL RECEPTION AT GRADIENT CENTER
SHUTTLE DEPARTS GRADIENT CENTER FOR HAMPTON INN
Thursday, March 20
7:00AM - 7:30AM
7:30AM
8:00AM – 9:00AM
CONTINENTAL BREAKFAST AT HAMPTON INN
SHUTTLE DEPARTS HAMPTON INN FOR GRADIENT CENTER
INDUSTRY FORECAST AND GRADIENT FINANCIAL GROUP OVERVIEW
Chuck Lucius, CLU, CHFC, MSFS, CEO and Founder of Gradient Financial Group, LLC
• Financial services and how you fit in
• Successful entrepreneurship
• Building wealth, not commissions
9:00AM - 9:30AM
GRADIENT W ELCOME
Jeff Foley, CFP®, MSM, President, Gradient Advisors
• The Gradient Financial Group family of companies
• Leverage your team and resources
9:30AM - 9:45AM
9:45AM - 10:45AM
BREAK
BUILDING YOUR BUSINESS: 5 KEYS TO GATHERING ASSETS
Jeff Foley, CFP®, MSM, President, Gradient Advisors
• How to run your business like a business, mechanize your prospecting, master positioning
power, perfect your appointments and stay in the “clean plate club.”
10:45AM - 11:45AM
KONNEXME INTRODUCTION
Rob Nelson, Chief Information Officer, Gradient Financial Group, LLC
• A comprehensive total business management system
• Stay connected with your clients and prospects
• Building your image and brand
11:45AM - 12:45PM
12:45PM - 1:15PM
LUNCH AND TOUR OF GRADIENT CENTER
GRADIENT GUT CHECK
Jeff Foley, CFP®, MSM, President, Gradient Advisors
1:15PM - 2:15PM
TOOLS YOU CAN USE
Mark Walsingham, VP of Marketing, Gradient Advisors
Adam Estall, CFP®, Case Central Manager
• Case Central and the KonnexME Software Suite
• Gradient sales systems
• Portfolio Analysis Review process
2:15PM - 2:30PM
BREAK
2:30PM - 3:30PM
THE ADVISORY APPOINTMENT PROCESS
Dave Leflar, VP of Marketing, Gradient Advisors
• How to prepare and what to present
• Follow this proven process to gather 100% of a prospect’s assets
3:30PM - 4:30PM
ECONOMIC OUTLOOK AND MARKET FORECAST
Wayne Schmidt, CFA®, MBA, Chief Investment Officer
Mike Binger, CFA® Senior Portfolio Manager
• Market forecast
• Focus on what YOU can control
• The “Do's and Don'ts” of investing
4:30PM - 5:00PM
CHOOSING THE W RIGHT STRATEGIES FOR YOUR CLIENTS
Nate Lucius, Managing Director, Gradient Investments
• The Wright Investment Strategy: Our Proprietary 3-Axis Control System
5:00PM - 7:00PM
COCKTAIL RECEPTION AND DINNER AT GRADIENT CENTER
7:00PM
SHUTTLE DEPARTS GRADIENT CENTER FOR HAMPTON INN
Friday, March 21
7:00AM - 7:30AM
7:30AM
8:00AM - 8:45AM
CONTINENTAL BREAKFAST
SHUTTLE DEPARTS HAMPTON INN FOR GRADIENT CENTER
THE ADVISORY ACCOUNT PROCESS
Dave Leflar, VP of Marketing, Gradient Advisors
• Simplifying the asset transfer process
• Protecting your advisory business (common mistakes)
8:45AM - 10:15AM
THE W RIGHT PORTFOLIO SOLUTIONS
Wayne Schmidt, CFA®, MBA, Chief Investment Officer
Mike Binger, CFA® Senior Portfolio Manager
• The foundation of the investor
• Controlling volatility with tactical asset allocation strategies
• Covered calls to meet income needs
• Stock selection, you can’t avoid it
• Investing like the Super Endowments
• Bond laddering strategies your clients are NOT familiar with
• Grow your practice with our CFAs
10:15AM - 10:30AM
BREAK
10:30AM - 11:30AM
THE PARADIGM SHIFT FROM PASSIVE TO ACTIVE MONEY MANAGEMENT
Hanlon Investments, Andrew Hanlon, Regional Wholesaler
• How to reduce volatility and potentially increase returns using Hanlon’s active
management strategy
11:30AM - 12:00PM
YOUR NEXT STEPS
Jeff Foley, CFP®, MSM, President, Gradient Advisors
• Establish your task list for the next 30, 60 and 90 days
• Receive personalized tools you can immediately use upon returning to your office, including
appointment materials and consumer brochures
12:00PM
CLOSING AND BOXED LUNCH
12:30PM
SHUTTLE DEPARTS FOR MINNEAPOLIS AIRPORT (MSP)
AUM Academy
REGISTRATION FORM
March 19-21, 2014
TRAVELER INFORMATION
Gradient Center
4105 Lexington Ave N, Arden Hills, MN 55126
Deadline to register: February 26, 2014
For ticketing and airport security purposes, please enter your first name,
middle name, and last name as it appears on your valid government photo ID
Legal First Name
Legal Middle Name
Legal Last Name
Name of Agent Associated with
Preferred Name on Badge
Address
City, State, Zip
Cell Phone (required if flying)
Home Phone
Business Phone
Date of Birth
Gender
Email
Dietary Restrictions/Special Requests
Name of Marketer
FLIGHT INFORMATION *All flights must arrive by 3 p.m. Wednesday and depart no sooner than 3 p.m. Friday
I would like assistance booking my flight for a fee. Please contact: Gradient Registration at 800.407.4137 or email [email protected]. I
authorize my credit card to be charged for all costs associated with the flight. I acknowledge and agree that fees may be modified based on various
factors.
Departure City/Airport
Departure Date/Time
Return Date/Time
Airline
Frequent Flyer Number
Seat Preference
NOTE: Your flight information is required to complete your registration. If you book your own flight, please send your itinerary to:
[email protected].
TUITION INFORMATION
Tuition Fees: 1. $795 (includes flight and flight booking, transfers to and from airport, hotel, meals and training tuition)
2. $295 (no flight needed)
3. FREE (no flight, no hotel needed)
CANCELLATIONS/ADDITIONAL CHARGES: Additional charges for flights and hotel rooms may occur if you cancel after confirmations are made. If meetings
or green room time is scheduled outside of the event dates and/or pre-arranged group transportation, you will be charged for additional expenses.
PAYMENT INFORMATION
Credit Card Type: Visa MasterCard Discover American Express
Credit Card Number:
Expiration Date:
Name of Cardholder
Security Code: (3 digits on back/AMEX 4 digits on front)
Billing Address on card (if different than above)
TERMS AND CONDITIONS
I affirm that I am not an employee, manager or principal of any national marketing organization or wholesaler. I verify that my relationship with any financial entity is
limited to an individual financial service professional (“FSP”). I affirm that I am attending this training for the sole purpose of enhancing my insurance and/or financial
services practice. I affirm that I am not attending with the intent to disseminate in part or in whole the sales ideas I will be exposed to. I affirm that I am not a news
reporter, journalist or member of the media.. Prior approval is required if you are planning on bringing a guest or associate. I acknowledge that during the classroom
training, I may take notes; however, recording devices are prohibited. During the seminar presentation, note taking, video recording and audio recording are strictly
prohibited. I affirm that photo and video may be taken during the event by the staff of Gradient Financial Group, LLC and its affiliated member companies (“GFG”). I
hereby consent to the use of any such photo or video containing my image or likeness for GFG’s own promotional or marketing needs. I agree to not solicit, directly or
indirectly, any individual or entity that I meet at this training or at other GFG-sponsored events. All information provided to me by GFG shall be deemed “Confidential
Information,” irrespective of whether or not such information has been identified by GFG as such. I affirm that I will receive or have access to confidential, proprietary,
and/or non-public materials, information or software that is the exclusive property of GFG. I agree that I shall not disclose Confidential Information to any other person
or entity (including any Broker-Dealer or Registered Investment Advisory Firm with whom I am affiliated) or permit any agent, employee, or affiliate to use or disclose the
Confidential Information to any other person or entity. I agree that I will not use Confidential Information for any purpose other than for my relationship with GFG, and I
agree that all Confidential Information will ONLY be used for insurance, securities, or advisory business written through GFG. I agree that all Confidential Information will
immediately be returned upon the specific request of GFG. I agree that I am solely responsible for my own licensure and regulatory compliance. I agree that I will only
use the Confidential Information in a manner that complies with the applicable federal, state, and local laws and regulations, and I agree to comply with all applicable
federal, state, and local laws and regulations in all other manners. I acknowledge that GFG does not assume responsibility for or warrant the accuracy of any such
Confidential Information, whether for compliance purposes or otherwise. I understand that although the Confidential Information may include general information on
legal issues commonly encountered in the industry, I acknowledge that any such information provided by GFG is not legal advice and is being provided for self-help
purposes only. I understand and acknowledge that the unauthorized use or disclosure of any Confidential Information will cause irreparable damage to GFG, and I
acknowledge that GFG may seek and obtain injunctive relief against the breach – or threatened breach – of the disclosure of any Confidential Information by myself, my
agent or my affiliates, in addition to any other legal remedies that may be available.
SIGNATURE
Print Name
Signature
Date
Please fax or email your completed forms by Wednesday, February 26, 2014.
Attn: Gradient Registration
Fax: 888.213.4835
Email: [email protected]
Name of Business/Producer
Marketer
Registration Credit

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