RIA Compliance and Practice Management Blog

Top Registered Investment Adviser Industry Conferences for Advisors to Attend

Posted by RIA in a Box

Mar 20, 2018 10:51:41 AM

top RIA industry conferences to attend in 2018 and 2019To stay on top of the latest industry trends and education topics, advisors at registered investment adviser ("RIA") firms have many options to turn to online. You can read blogs, view webinars, and listen to podcasts just to name a few. So why should should an advisor spend the time and money to attend an industry conference? While it likely does not make sense to attend every industry event out there, finding the right conference for you to attend can have a meaningful impact on your firm and individual professional development! 

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Are you looking for a comprehensive list of all upcoming RIA industry conferences? Be sure to check our frequently updated RIA industry conference listing page.

Here are three reasons why advisors at RIA firms of all sizes may want to consider attending an industry conference:


For many advisors, this is by the far the most compelling reason to attend a conference. While attending conference, one has the exposure to industry experts, often in an intimate space, for a concentrated period of time. No matter how seasoned you may be in the industry, you can always learn something new from not only the speakers and experts at the event, but from your peers alike. Be sure dissect the agenda prior to registering for an event. Make sure the content and sessions are valuable to you and your firm so you can bring home meaningful skills and knowledge. 

Network with Peers

Working in a small business can often be isolating. Your industry peers are likely much more of a valuable resource than a competitor in these settings. While you may feel alone, there are over 30,000 RIA firms located across the country of varying sizes and specialties. It's likely a number of your fellow attendees have previously confronted business challenges you may presently be facing and willing to share their experience to help you. Perhaps one of your peers has recently been through a regulatory audit and can help you better understand the regulatory examination process. Not only can you learn from others around you, but you might be able to help a peer based on your own experiences.

See What Is New

Take the time to visit with the vendors in the exhibit halls. Learn what new RIA industry technology is new, trending, and available. You have the ability to compare and contrast various products, weigh costs, and benefits and access solutions for your organization. Vendors often have a vast knowledge of the RIA space and can often be a great resource and ally. Most are more than willing to point you the right direction should their solution not be the right fit for your particular situation.

Top RIA Industry Conferences to Attend

So what conferences should you attend? Here is our quick list of the top 5 industry conferences for financial advisors to consider investing in:

This is one of the largest industry conferences out there and will attract thousands of advisors that custody with Charles Schwab. But even if your firm doesn't custody with Charles Schwab, you won't find a more extensive vendor exhibit hall if you're looking to explore the latest industry technology and asset management trends. This event is generally hosted in the fall each year and will be held October 28-31, 2018 in Washington, D.C.

This event continues to grow in size each year and will similarly attract thousands of advisors that custody with TD Ameritrade. More so than most industry custodian conferences, there is a large focus on technology at this event and visiting the "Veo Village" is a terrific opportunity to see many new emerging technologies entering the RIA industry. This event is generally held in January or February of each year and was recently held in Orlando, Florida. Details for the 2019 conference will follow shortly.

This is the national conference for the Financial Planning Association and attracts thousands of advisors with a particular concentration of those holding the Certified Financial Planner ("CFP") professional designation. Here you'll get a mix of thoughtful educational sessions offering CFP continuing education credits, industry networking, and a robust exhibit hall. This year's event will be held October 3-5, 2018 in Chicago, Illinois.

This annual event generally held in January or February and is the RIA industry's leading technology conference. If you're interested in taking a deep dive into all the technology options a firm could possibly utilize, this is the event to attend. You'll also gain access to leaders of many of the industry's top technology companies. This is an ideal event for your firm's Chief Operations Officer or other team members who help oversee your firm's technology to attend. Next year's event will be held January 29-February 1, 2019 in Dallas, Texas.

Given that we are a regulatory compliance software and services company, we can't forget to highlight the industry's top compliance-focused event. Unfortunately, you just missed this year's event which was recently held in Washington, D.C., but no other RIA compliance conference will provide the depth of learning and access to senior leadership from the Securities and Exchange Commission ("SEC"). This is an ideal event for your firm's Chief Compliance Officer ("CCO") to attend.

While we've highlighted a few of the top industry events above, there are a number of RIA industry conferences that are worth further exploring. In particular, a number of the industry's leading technology vendors are now regularly hosting annual events that provide extensive training to ensure your firm is getting the most out of your systems. You can find the latest list of upcoming conferences on our conference listing page.

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RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

Topics: RIA Operations, RIA Technology

RIA in a Box LLC is not a law firm, investment advisory firm, or CPA firm. RIA in a Box LLC does not provide legal advice or opinions to any party or client. You should always consult your relevant regulatory authorities or legal counsel if applicable.

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