2022 Conference Program

Thursday, August 11, 2022

Time: 6:30pm

Stevenson Patio Meetup

We start our Roundup this year by gathering at the Stevenson College Patio to mingle, have a light buffet dinner, introduce ourselves, and then debate “The Question”. The first evening is an excellent icebreaker and welcome to the whole shebang. The Question changes every year and a lively conversation is encouraged. Bring your beverage of choice to share.



Friday, August 12, 2022

8:30am to 10:10am

Advisor’s Alpha

Chris Pettit, CFA

We will discuss the current state of the advice business and how trends are shaping our profession.  What does the research show clients want?  We will discuss the evidence of the quantifiable value advisors add to investment returns and client satisfaction.  Stricter regulations, downward pressure on fees, and technological innovations are forcing financial advisors to enhance their value by building deeper relationships with clients.  We will examine different models and discuss ways to improve our current models positioning ourselves at the forefront of change.  Come prepared to think about your future differently.

10:20am to 12:00pm

Navigating Turbulent Waters

Christian Newton

An interactive session covering investors’ and advisors’ current concerns including market volatility, inflation, Fed actions and interest rates, market prices for stocks and bonds in a rising interest rate markets.  We will address strategies to mitigate market challenges and investor skittishness.  Will the Fed’s higher rate policy to combat inflation lead to a recession? What will be the long-term effect of 2022 negative returns for stocks and bonds have on clients’ ability to achieve their financial objectives?  How do we support client behavior as the continuous news cycle and the overall state of the world is producing strong emotions?

1:30pm to 3:10pm

So, You Finally Bought Into Crypto, Now What? A Primer In Digital Asset Estate Planning

Jennifer F. Scharre, J.D.

What comes to your mind when you think of estate planning? Traditional assets are in the forefront of our attention, but as our lives become more online, owning digital property has become the norm. With these evolving needs, estate plans need to employ new strategies. While we help our clients plan for their homes, family heirlooms and other traditional assets, we need to start considering protection of their digital assets as well. From a legal perspective, digital property is like other kinds of property that can pass to designated parties through estate plans. Unlike traditional assets however, planning for digital assets requires special care due to the myriad laws, rules, and contracts. This presentation will explore California law surrounding estate planning for digital assets. Jennifer will also address practical issues that arise with respect to digital asset planning and a look towards the future trends.

3:20pm to 5:00pm

The Power of Benefit Plans: Financial Planning for Small Business Owners

Philip A. Pirio, AIF

Phil will outline tax-advantaged benefit plans available to business owners and high earning gig-workers. You can expect to learn how to identify small businesses that will benefit from these defined contribution and defined benefit plans, and how to implement them. Phil will also be joined by Edi Alvarez, CFP®, to explore how a financial planner can use the expertise of Third-Party Administrators to design, create, and implement plans that add value to small business owner’s financial plans. Using real case scenarios, we will be able to examine both the administrative and practical sides of implementing both kinds of plans to bring about better client outcomes.


Dinner at the USC Seymour Marine Discovery Center

On Friday night we return to the Seymour Discovery Center at the Long Marine Lab off campus to dine, schmooze and admire the scenery of the Santa Cruz coastline. This gives us more chances to talk and exchange ideas over food and wine. We provide the food, the space and the sunset. You provide the beverage, the witty conservation and the admiration of the sunset.



Saturday, August 13, 2022

8:30am to 10:10am

 Find, Hire, Train, & Retain

Caleb Brown, MBA, CFP®

When is it time to bring on a new employee? How can I find the right person? What can I do to keep them here? Whether you’re a solo practitioner looking to bring on your first new employee, or a large firm looking to hire your 100th, it is pivotal to understand what is needed to make the right hire. Each employee, and every role, in a functioning firm is an investment in the human capital that drives a business forward. And similar to the assets we advise on for clients, it’s important to do our due diligence on the investments to which we allocate our resources. Join Caleb Brown, CEO of New Planner Recruiting as he shares insights into the hiring process and beyond.

10:20am to 12:00pm

Yours, Mine, and Ours: An Overview of Divorce Financial Analysis

Karen D. Sparks, C.D.F.A.®, J.D.

Divorce can be difficult to navigate. The process of figuring out the dissolution of assets can be challenging. Moreover, poor planning during such a critical life juncture can leave clients with long lasting financial impacts. As planners, it’s imperative that we understand not only how to help clients avoid the many pitfalls a divorce can present, but also that we know the resources that are available to our clients, and how to identify areas where the experts need to get involved. Join Karen Sparks, CDFA®, J.D. as she provides an overview of divorce financial analysis topics, what we can do to help our clients as financial planners, and when we need to involve outside professionals. Be sure to wear your thinking caps, as we will be analyzing several real life case studies.

1:30pm to 3:10pm

Business Owner Financial Planning: What Do You Need To Know?

Suzanne Daggert, BA, MS, CPA

Suzanne will discuss key areas of business financials that are important to recognize when working with small business owners. The discussion will focus on analyzing financial statements information, how to use them understand the owner’s business, and how to read between the lines to find areas where we can help facilitate stronger client outcomes. This presentation will feature a case study of a business as it moves from succession plan to a new owner. Suzanne will be joined by Edi Alvarez, CFP®, to present business scenarios that show the importance of understanding how a CPA and financial planner can work together to best serve clients. Highlighting when a small business owner needs to work with knowledgeable accounting professionals, and the importance of business basis and strategies to address business owner financial goals. Expect to have a new appreciation on how to read small business financials to create the best financial road map for your business owner clients.

3:20pm to 5:00pm

Know your Limits and (Sub) Limits!  Insurance Contractual Limits Advisors And Clients Need To Understand

Brian Trouette

Advisors work hard to guide their clients through cash flow management, wealth accumulation, and investment management. An equally important facet of our clients’ wealth is risk management. As we help our clients create a rewarding and fulfilling life, we need to ensure that they do not have gaps in their risk coverage. Insurance carriers often create insurance contracts that seem consumer friendly but hide internal limits that protect a carrier from large, catastrophic loss. We will review the major areas where this occurs and how the various types of sublimit compound to protect the insurance carrier instead of the consumer. We will also review how policies work internally and how to recognize contractual language.

Various Start Times

Saturday Social Events

Brew Cruz

We are back on board with Captain Annie on the unique 1989 school bus, the “Betty Jane”, to local breweries around the scenic Santa Cruz area. https://www.scbrewcruz.com/

Tickets are $75 per person and are available for purchase on the reservation form. Only 15 spots are available (the bus capacity) and will be filled on a first come first serve basis.

Activity Level: Approximate duration 4 hours. Pick-up will occur from Stevenson College Circle. Passengers are allowed to bring their own beer/wine/snacks and cooler on the bus to enjoy during the ride. Hard alcohol is not allowed. It is recommended to bring cash and/or contactless payment methods for purchasing additional libations and/or food at various breweries. 

Shakespeare at The Grove

A world premier of “The Formula” by Katheryn Chetkovich – inspired by Shakespeare’s “A Midsummer Night’s Dream”. This whip-smart comedy will have you thinking about those biochemical and cultural forces that shape our deepest, truest selves and desires. https://santacruzshakespeare.org/scs-summer-2022-productions/ 

This event is a short 15 min drive to The Audrey Stanley Grove in DeLavega Park to an outdoor theater. Tickets to the show are in addition to your conference fee. To warm us up after the outdoor play, we’ll have food, libations and good talk back at the dorms.

Tickets are $64 per person and are available for purchase on the reservation form. 

Activity Level: Approximate 90 minute duration. Since this is coastal California, please dress warmly (and you may wish to bring a blanket), as Santa Cruz evenings can become quite chilly. Bring your own food and/or beverage to picnic; experiencing full outdoor theatre experience! Concessions are on site at The Grove for snacks and beverages as well.

I Scream for Ice Cream

What is a visit to sun, sand, and surfing without checking out some of the incredible ice cream shops Santa Cruz has to offer? Cruise around Santa Cruz tasting three local favorites– Marianne’s Ice Cream, Cruz Creamery, The Penny Ice Cream, and Mission Hill Creamery.

Activity Level: Approximate duration 2 hours. We will be driving and walking—casual, layered, weather-appropriate clothing, sunglasses and flat walking shoes are suggested. Cash and/or contactless payment methods are available for purchasing your own scoop(s).



Sunday, August 14, 2022

8:30am to 10:10am

Working with International and Cross-Border Clients

Dr. Matt J. Goren, CFP®

This is an accessible introduction or review of how to address the issues of working with international and cross border clients.  It does not have to be overwhelming – resources are available to advisors who do not know the tax and other laws of multiple countries. Learn the difference between cross-border and domestic planning. Explore the phases of the expat move, traps and pitfalls, challenges, regulatory issues, differences in fact finding and presentation.  Several business models will be explored and we will learn about forums that support advisors.


Wisdom in Our Midst


This will be a free-wheeling session composed of Roundup participants exploring questions that have been submitted by the other participants on any planning-related topic.

Join Us!

  • Far West Roundup 2024

    August 8 - 11, 2024

    UC Santa Cruz

Roundup Flyer

Coming soon!

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