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Wealth Management Program
The New York Institute of Finance's Wealth Management Program captures the best
practices and insights from corporate thought leaders and wealth management firms.
This modular suite of classes is designed to prepare client-facing professionals with the
knowledge and skills to meet and add value to wealthy individuals and families.
Attend the Wealth Management Program and explore: - Global Economic Impact on Wealth;
- Consultative Discussions and Recommendations; - Asset Allocation and Portfolio
Optimization; - Lending and Leverage; - Tax and Intergenerational Planning; - Maintaining
Good Relationships with Investment Clients;
New private bankers, new wealth advisers, brokers who are going to cover broader wealth
solutions, portfolio managers and other Product Specialists requiring an in-depth overview of
wealth management, and individuals working in the finance arena
Clients who register for this course will receive a complimentary 3 month subscription to the
Financial Times and FT.com. The Financial Times is the world's most respected financial
newspaper, providing a broad assessment on finance, business and the industrial sector.
Subscriptions will start within 6-8 weeks of the application process and are limited to one per
client. For questions about your subscription, call 800-628-8088 or email
firstname.lastname@example.org. U.S. enrollees only. (All non-U.S. enrollees will receive a subscription
to FT.com only.) Lunch included for all students taking day classes.
No advance preparation required.
An undergraduate degree or equivalent. Fluent in English. Knowledge of Microsoft Office
Suite.Component courses may have other specific Prerequisites.
Students will be able to:
. Understand the basics of global economics and the impact on wealth generation as well as
the risks to maintaining wealth.
. Examine the basics of client credit analysis, loan structures and regulations governing
lending in the US and how credit is used to leverage other wealth-generating instruments.
. Explore the basics of portfolio management using traditional asset classes.
. Identify appropriate risk and return parameters and how to explain asset allocation, diversifi
cation, and portfolio performance to clients.
. Understand the purposes of derivatives and alternative investment products for clients.
. Explore the complex world of tax and estate planning structures in the US and abroad.
. Learn to speak confidently and compellingly to clients about investments and their
individual portfolios, and to build solid, lasting relationships.
CPE Credits: 108.0
Instructional Method: Group-Live
Module 1 - Introduction to the Wealth Module 2 - Grow Wealth: Liquidity
Environment . Learn the importance of liquidity to
. This introduction paints the big picture of the wealthy clients and how financial
wealth environment and how it cycles through institutions typically meet those needs.
changes. . Examine the basics of client credit
. Learn the basics of global economics and how analysis, loan structures and
this impacts wealth generation as well as the regulations governing lending in the US
risks to maintaining wealth in all parts of the and fi nd out how credit is used to
world. leverage other wealth-generating
. Global Economy instruments.
. Economic Cycles . Client Profile
. Risk Factors . Types of Borrowers
. Impact on Wealth Creation & Retention . Leveraging Investments
. 5 C's of Credit
. Basic Approval Principles
. Risk Rating
. Major Types of Lending
. Lending Regulations
Module 3 - Grow Wealth: Asset Management Module 4 - Grow/Protect Wealth:
. Explore the basics of portfolio management Alternative Investments
using traditional asset classes. . Gain a broad understanding of
. Learn how to identify appropriate risk and return alternative investments, required by
parameters and how to explain asset allocation, many sophisticated investors to both
diversification and portfolio performance to diversity and optimize portfolios and
clients. reduce risk, as well as to enhance
. Risk/Return portfolio performance.
. Standard Asset Classes . Learn how to identify and position
. Asset Allocation & Optimization individual products to meet specific
. Securities Selections needs of clients.
. Performance . Increased interest to sophisticated
. Institutional differentiator
. Solutions: Hedge Funds; Private
Equities; Venture Capital;
Commodities; Real Estate
Module 5 - Protect Wealth: International Module 6 - Grow/Protect Wealth:
Estate Planning Derivatives
. Explore the complex world of tax and estate . Understand the dual purposes of
planning structures in the U.S. and abroad. derivatives products for clients, to
. Learn client situations requiring formal planning reduce investment risk as well as to
structures and which structures are best under enhance investment performance.
specific circumsances during life and after death. . Learn to identify and position
. Examine the resulting implications of not individual products to meet specific
planning, and how to have sensitive discussions needs of clients.
with clients and prospects . Enhancements to performance
. Estate planning instruments: during life; after . Hedges against loss
death . Solutions
. Role of insurance in estate and tax planning . Appropriateness and risks
. International issues
. Special Categories
Module 7 - Consultative Selling Skills to Module 8: AML (Anti-Money
Investment Clients Laundering)
. Learn how to maintain and grow business in an . What information must wealth
increasingly sophisticated, competitive and managers know about their clients'
volatile market. usual business and associates?
. Learn to speak confidently and compellingly to . Learn how to be aware of the signals
clients about investments and their individual of any money laundering activites now
portfolios, and to build solid, lasting relationships and in the future.
with investment clients.
. The consultative process
. Investments and the economic cycle
. Reparing a relationship
. Build an investment policy and asset allocation
. Sudden wealth
. Behavioral finance - an introduction
. Evaluate current investments and repositioning
. Review performance and progress
Elective 1 - KYC (Know Your Client) Elective 2: Corporate Finance and
. Learn to understand the total wealth picture of Financial Management Solutions for
clients and how to use this information to Wealth Advisors
ascertain investment appropriateness, to verify . Discover how to have comfortable
that the client meets the firm's standards and and confident business-focused
there is no impropriety that can harm the firm's discussions with clients by learning the
reputation. basics of corporate finance and
For more information regarding administrative policies such as complaints and refunds, please contact our offices at 212-