Scottsdale Financial Advisor Forum: Applying the Next Wave of Index-Based Strategies


Advancements in index-based investing are bringing financial advisors a range of sophisticated solutions once exclusively available to institutional investors. From dynamic risk management tools and cutting-edge fixed income strategies to single- and multi-factor combinations, the indexing toolkit continues to expand.

Sam Stovall, Chief Equity Strategist at CFRA, will open the event by assessing opportunities in equities and fixed income at the market, sector, and industry level in the wake of midterm elections.

Featured speaker, Zvi Bodie, Professor Emeritus at Boston University, will round out the conversation with key takeaways from his books, Worry Free Investing and Risk Less and Prosper.

Industry practitioners will discuss:

  • De-risking retirement portfolios with tactical ETF strategies that can help advisors
    participate in the upside while protecting the downside
  • How to implement single- and multi-factor approaches in client portfolios
  • Actionable innovations in fixed income indexing that may offer financial advisors greater
    flexibility in reacting to opportunities and challenges

A complimentary event for financial advisors.

Accepted for 3-hour CFA®, CFP®, and CIMA® credits

The Westin Kierland Resort & Spa, Scottsdale, AZ

12:00 PM – 12:30 PM



12:30 PM – 12:55 PM

Keynote SPEAKER: Market Outlook


Sam Stovall, Chief Investment Strategist, CFRA


12:55 PM – 1:20 PM



Craig Lazzara, CFA, Managing Director and Global Head of Index Investment Strategy, S&P Dow Jones Indices


1:20 PM – 2:00 PM

Why Factors Matter in portfolio allocation


Moderator: Craig Lazzara, CFA, Managing Director and Global Head of Index Investment Strategy, S&P Dow Jones Indices



·         Grant Engelbart, Director of Research and Senior Portfolio Manager, CLS Investments

·         John Feyerer, Director of Equity ETF Product Strategy, Invesco

·         Sean Kommerstad, President, Two Rivers Capital

·         Vijay Vaidyanathan, Chief Executive Officer, Optimal Asset Management




2:00 PM – 2:40 PM

STRATEGIES to mitigate downside risk in equities

Moderator: Michael Mell, Senior Director, Custom Indices,
S&P Dow Jones Indices



·         Jim Pritchard, Partner and Western Division Director, WEDCO

·         Rick Cortez, Co-CEO, Broadmark Asset Management

·         Rob Mooney, Portfolio Manager, The Omega Group, UBS


2:40 PM – 3:00 PM




3:00 PM – 3:40 PM


fireside chat with zvi bodie, author of “worry free investing and risk less and prosper”



3:40 PM – 4:20 PM

Innovations In Goals-Based Wealth Management


Moderator: Christine Lubieniecki, CFA, Regional Director,
Fund Advisors



·         Gary Allen, Principal, Prudent Investor Advisors

·         Kevin Root, Managing Member, Oak Root LLC

·         Ben Thomason, Executive Vice President, Vestwell




4:20 PM – 5:00 PM

fixed income etfs: Which risks matter most


Moderator: Jason Giordano, Director of Fixed Income, S&P Dow Jones Indices



·         Simeon Hyman, CFA, Head of Investment Strategy, ProShares

·         Clint Pekrul, CFA, Chief Equity Strategist and Head of Research, Peak Capital Management

·         Jerry Holly, Portfolio Manager, Investment Solutions Group, State Street

·         Ricardo Santamaria, Vice President, The Curtis Group, Morgan Stanley



5:00 PM – 6:00 PM

Closing remarks & Networking reception


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