Blog Article

The RIA industry’s guide to 2023 investment adviser compliance conferences

Jan 17, 2023

Find out which events made our list of compliance conferences for registered investment firms and chief compliance officers to attend in 2023.

It’s a new year, and registered investment advisers (RIA) can begin to add 2023 compliance conferences to their calendars!

Some investment advisers may look forward to the opportunity to network with industry professionals and connect in-person, with the chance to escape from the digital burnout. While others can take advantage of fully virtual conferences or hybrid options to stay on top of the latest industry trends and education topics from their home office. In this blog post, we list the top industry conferences for RIAs to attend in 2023.

2023 investment adviser conferences you don’t want to miss

  1. Orion Ascent (Feb. 27 – Mar. 2, 2023)

Orion, a great partner of ours, has turned their annual Ascent conference into one that pulls a large audience of engaged users. This event offers user-education courses and plenty of opportunities to connect with subject matter experts and leaders in the tech industry. This event will be held Feb. 27 – Mar. 2, 2023, in Orlando, Florida.

  1. Investment Adviser Association (IAA) Compliance Conference (Mar. 12 – 14, 2023)

Given that we are a regulatory compliance software and services company, we can’t forget to highlight the industry’s top compliance-focused event. 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. The IAA Compliance Conference is scheduled for Mar. 12 – 14, 2023, in Washington, DC.

  1. T3 Adviser (Mar. 13 – 16, 2023)

The spring 2023 T3 Adviser Conference is an ideal option for advisers looking for a true trade show experience with a tech-heavy focus. Tech vendors also use this event to connect and build integrations which benefit advisers. The T3 Adviser event is scheduled for Mar. 13 – 16, 2023, in Tampa, Florida.

  1. Morningstar Investment Conference (Apr. 25 – 27, 2023)

This event presents the latest developments in financial advice from the industry’s top minds. Attendees can discover new perspectives on the market and ideas to put into practice. Over 100 organizations from asset management firms to financial technology companies serving wealth management firms are featured in the exhibit hall, ready to answer your questions. This year’s event will be held Apr. 25 – 27, 2023, in Chicago, Illinois.

  1. Envestnet Advisor Summit (Apr. 26 – 27, 2023)

Although we’re still unsure if this year’s conference will take place in-person or online, the Envestnet Advisor Summit is sure to pack engaging keynotes and tech tool demos to help you grow your business and build client relationships. There’s no news yet about dates and locations, but regardless, we hope the on-demand option for online, self-paced participation is here to stay. Tentatively this event will be held Apr. 26 – 27, 2023, in Denver, Colorado.

  1. Inside ETFs/Inside WealthStack (May 21 – 24, 2023)

Inside WealthStack, is now fully run by Informa’s Mark Bruno and caters to financial advisers looking to grow their practices. The Inside ETFs conference, hosted jointly with WealthStack on May 21 – 24, 2023, in Hollywood, FL will feature over 2,000 ETF industry influencers and attendees.

  1. AICPA ENGAGE (Jun. 5 – 8, 2023)

This is considered the event for accounting and finance professionals ready for the next step. Attendees can select from 300+ sessions, earn 41.5 continuing education credits over 4 days of learning, and take advantage of opportunities to network and grow their professional community. Unable to attend in person? AICPA ENGAGE also allows attendees to access the conference online. As with previous years, AICPA ENGAGE is being held in Las Vegas, Nevada, and this year the event will be held Jun. 5 – 8, 2023.

  1. Riskalyze Fearless Investing Summit (Oct. 2 – 4, 2023)

Riskalyze’s Fearless Investing Summit brings together investment professionals to connect through advances in financial advice and technology in this three-day event surrounded by Utah’s mountain scenery. The event takes place on Oct. 2 – 4, 2023, in Miami, Florida. Network with attendees from all over the country, listen in on keynotes from industry experts and sports legends alike, and explore tech tools designed help to expand your firm’s growth.

  1. Schwab Impact (Oct. 24 – 26, 2023)

Schwab IMPACT will be even bigger and better now that TD Ameritrade is in the fold. Schwab has no limits when it comes to pulling top tier speakers and this year’s event is sure to be one for the books. This year’s event will be held Oct. 24 – 26, 2023, in Philadelphia, Pennsylvania.

  1. ComplyConnect Conference & Expo (TBD)

This inaugural conference, is co-sponsored by COMPLY’s portfolio of firms – ComplySci, NRS, RIA in a Box, Illumis and ITEGRIA. Regulatory and compliance professionals, industry leaders and technology experts from across the U.S. will have the opportunity to discuss current trends, industry best practices and the impact of recent SEC and Financial Industry Regulatory Authority (FINRA) regulations. Date and location to be announced shortly.

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.