Upcoming Events

Level III Ethics Workshop

Professions can only exist within an industry when those acting with transparency, integrity, candor, and trust reach a critical mass. Come join Erik Johnsen, CFA, CIPM, CPA as he analyses CFA Institute’s Code of Ethics and Standards of Professional Conduct and its relationship to the Asset Manager Code within the Level III CFA Curriculum.      This discussion will follow CFA Institute’s Learning Outcome Statements for 2025 Level III CFA Curriculum Volume 5, Module 1-4: Describe the structure of the CFA Institute Professional Conduct Program and the disciplinary review process for the enforcement of the CFA Institute Code of Ethics and Standards of Professional Conduct. Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each standard. Demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by interpreting the Code and Standards in various situations involving issues of professional integrity. Recommend practices and procedures designed to prevent violations of the Code and Standards. Evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct. Explain how the practices, policies, or conduct does or does not violate the CFA Institute Code of Ethics and Standards of Professional Conduct. Explain the purpose of the Asset Manager Code and the benefits that may accrue to a firm that adopts the Code. Explain the ethical and professional responsibilities required by the six General Principles of Conduct of the Asset Manager Code. Determine whether an asset manager’s practices and procedures are consistent with the Asset Manager Code. Recommend practices and procedures designed to prevent violations of the Asset Manager Code.

Vanguard’s Advisor’s Alpha®: Past, present, and future (WR Speaker Series)

Twenty-five years ago, Vanguard developed the Advisor’s Alpha framework to help advisors improve client and practice outcomes by focusing on what clients want and what advisors can control. Vanguard’s research has shown that relationship-based services often lead to increased retention and referrals, ultimately growing business. Join us for this exclusive webinar presented by Vanguard’s Chris Pettit, that will provide: A reflection on the evolution of the Advisor’s Alpha framework over the past 25 years. The evolution of the advice industry alongside Advisor’s Alpha. Opportunities for advisors and their clients today. Chris Pettit, CFA, CFP®, CAIA® , is a senior manager in Vanguard Investment Advisory Research Center creating thought leadership in the areas of investments, wealth management, and behavioral coaching. Prior to his current role, Mr. Pettit was a senior investment director in Vanguard Portfolio Review Department, where he led a team in oversight and manager search focused primarily on active taxable fixed income and domestic growth funds and managers. He joined Vanguard in 2013 and began working in the Portfolio Review Department in 2014. Mr. Pettit earned a B.B.A. from the University of San Diego and an M.B.A. from Arizona State University. He also is a CFA®, CFP, and CAIA charterholder. Register Here

Private Equity’s Second Act: Exploring Today’s Secondaries Market and Tomorrow’s Trends

Private Equity’s Second Act: Exploring Today’s Secondaries Market and Tomorrow’s Trends The private equity secondaries market has emerged as a significant, yet often underappreciated, segment of the broader private markets. This session will offer a comprehensive overview of the landscape, covering traditional LP-led and GP-led transactions as well as the growing role of direct secondaries. As the market continues to evolve, a solid understanding of these structures is increasingly important for financial professionals and advisors alike.   Join us as we welcome  James Gamett  and  Matt Kelsay  with Sweetwater Private Equity.     To view the Speaker's bios -  click here! Virtual Event Tuesday, August 19th 1:30 - 2:30 pm (AZ) Download Flyer Register Here

24th Annual Summer Baseball Social

Join us for networking, food and drinks behind the waterfall in centerfield at 5:30 PM. After the reception, we all sit together to watch the game. Please bring friends and colleagues to this family-friendly event that is an annual tradition in the CFAOC! Download Flyer Register Today!

FUTURE PROOF FESTIVAL 2025

  Future Proof brings together the world's most influential financial advisors and LPs to drive the wealth management industry forward. Don't miss your chance to learn cutting-edge strategies, discover emerging trends, and build game-changing partnerships that will take your business to new heights. Rub shoulders with decision-makers in asset management, fintech, and financial services who are revolutionizing the wealth management landscape. Seize this unparalleled opportunity to unlock new business potential, explore collaborations, and join the ranks of the industry's most groundbreaking visionaries. National media, industry publications, top podcasts, and influential financial influencers will flock to Future Proof, and they're eager to share your story. Capitalize on this unique chance to elevate your brand, attract attention, and forge powerful relationships with media powerhouses that will propel your business into the spotlight. Secure discount registration today! Register by August 14. Register Here!