This course provides a practical overview of due diligence for Delaware Statutory Trust (DST) offerings, with a focus on identifying potential red flags and independently evaluating an investment opportunity. Participants will learn how to review financing, underwriting assumptions, property conditions, rent rolls, master leases, reserves, and other key areas that can affect a DST’s performance. The course also covers the importance of property visits and independent underwriting, including how to compare sponsor projections with historical financials, appraisals, market data, and property management insights. Participants will also explore how artificial intelligence can be used as a supplemental due diligence tool, along with the risks and limitations of relying on AI-generated information. Through a hypothetical case study, the course demonstrates how discounted cash flow analysis, stress testing, and sensitivity analysis can be used to evaluate an acquisition and identify where a deal may be vulnerable.
This course provides an overview of Section 1031 exchanges, Delaware Statutory Trusts (DSTs), and the current state of the 1031 investment market. Participants will learn how exchanges into DSTs work, including the key deadlines, structural requirements, and restrictions that come with the DST structure. The course also compares traditional DSTs with 721 UPREIT strategies and reviews several product variations currently available in the market. The presentation then looks at current market activity, including capital flows, asset types, projected yields, sponsor concentration, and the growing use of 721 features. By the end of the course, participants will have a better understanding of the DST market and the factors to consider when evaluating these strategies for clients.
This session will provide advisors with a practical introduction and deeper dive into the structured notes market. We'll explore how these investments are constructed, the problems they are designed to solve, where they may fit within a client portfolio, and how advisors are incorporating structured note strategies into their practices. Advisors will leave with a foundational understanding of the asset class and a framework for evaluating when structured notes may be appropriate.
Timed agenda:
Introduction to CAIS (3 minutes)
Structured Investments Market Trends (3 minutes)
Components of a Structured Note (5 minutes)
Structured Notes in Portfolio Construction (4 minutes)
Types of Structured Notes
Growth Notes & Dual Directional Notes (4 minutes)
Yield Notes & Contingent Yield Examples (4 minutes)
Protection Notes: PPNs & CDs (3 minutes)
Auto-Callable Yield Note: Sample Terms & Scenarios (5 minutes)
Historical Outcome Analysis (5 minutes)
The Bank's Role in the Structured Notes Process
· Deal Structuring & Issuance (3 minutes)
· What Impacts Pricing (4 minutes)
Key Investment Risks (3 minutes)
Questions (4 minutes)
This course provides Investment Adviser Representatives (IARs) with a practical understanding of Outside Business Activity (OBA) rules and their role in identifying, mitigating, and disclosing conflicts of interest. Grounded in fiduciary duty under the Investment Advisers Act of 1940 and applicable SEC, NASAA, and state regulations, the course covers key requirements including prior notice, firm approval, compensation considerations, and regulatory disclosures. Participants will learn how OBAs intersect with fiduciary obligations, when activities may create material conflicts, and how to deliver clear, “full and fair” disclosures to clients. The course also distinguishes OBAs from private securities transactions and clarifies common exemptions, equipping IARs to act in the best interests of their clients while maintaining regulatory compliance.
Overcoming Estate Planning Hesitancy: How Financial Advisors Can Guide Clients Toward Action
Death is an unavoidable fact of life. Planning for death, however, not so much. Despite the many benefits of estate planning, clients still avoid this task, risking additional administrative costs, increased tax liabilities, and future family disagreements about their final wishes. In this webinar, Shelitha Smodic, CFP' shares insights from the latest research on why people hesitate to plan for their estate. This session explores the psychological and practical barriers that lead to estate planning hesitancy and provides tools advisors can use to help guide clients through these challenges. Attendees will learn how factors like mortality salience, life transitions, and even travel can create windows of opportunity for engagement in estate planning. Additionally, behavioral framing techniques, conversation starters, and tools for making estate planning more approachable and relevant for clients in different phases of life will be discussed.
Join us for an insightful session where attendees will discover why private markets present unique investment opportunities. Learn how to evaluate the advantages and challenges of private market investments, gain tools for comparing offerings and understanding fund structures, and identify key questions to ask when considering these opportunities for clients.
This course provides investment advisory representatives with a comprehensive overview of retirement accounts commonly used in the United States. It covers the various types of retirement accounts, their tax implications, regulatory environment, and strategies for effective retirement planning. The course is designed to enhance the advisors' knowledge, enabling them to better assist clients in achieving their retirement goals while adhering to regulatory and ethical standards.
Oxford - Investment Opportunities in Collateralized Loan Obligations (CLOs)
This course provides financial professionals with a clear, practical understanding of Collateralized Loan Obligations (CLOs) and their role in today's investment landscape. Participants will explore how CLOs are structured, managed, and analyzed, with a focus on the unique opportunities and risks associated with CLO equity. Through data-driven insights and a real-world case study, the session highlights how CLO investments can enhance portfolio diversification and generate income. By the end of the course, attendees will gain the knowledge and confidence to better evaluate and discuss CLO strategies with clients and colleagues.