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Welcome to the 2010 Dunham Institute
MAKE A DIFFERENCE

Welcome

Agenda

Speakers

Registration

Location & Directions

This Event is Sold Out!
If you would like to be added to our waiting list, please click on the Register Now button at the bottom of the page. You will be contacted if a spot becomes available.

Mark Your Calendars for May 5 and 6, 2010

The Dunham Institute brings together financial advisors who are passionately committed to growing their business for an educational forum packed with sales ideas, business development tools and practice management resources to help attract and retain clients. It's no wonder that many advisors who have attended the Dunham Institute have registered again and again to continue to build their skills.

The year's curriculum is focused on helping advisors Make a Difference – in their practice, in their community and in their personal lives. Join us at The Lodge at Torrey Pines in La Jolla, California on May 5 and 6, 2010.

Keynote Speaker – Dr. Harry Markowitz

We've attracted an outstanding group of speakers for this year's event and are thrilled to have our keynote speaker, Nobel Prize Economist Dr. Harry Markowitz, join us to discuss the Past, Present and Future of Portfolio Theory. You don't want to miss this!

To view the entire line-up of speakers, see the Agenda and Speakers pages.

Location

May 5 and 6, 2010
The Lodge at Torrey Pines
La Jolla, California

The Dunham Institute is pleased to return to The Lodge at Torrey Pines in La Jolla, California overlooking the Pacific Ocean and the 18th green of the famed Torrey Pines Golf Course.

* At the conclusion of this educational event, if eligible, you will earn Continuing Education credits.

Speaker	Topics
Keynote Speaker: Dr. Harry Markowitz	Portfolio Theory: Past, Present, and Future
Steve Barger	Top Critical Dimensions of All Successful Advisors
Roy D. Behren & Michael T. Shannon	The Dunham Monthly Distribution Fund: The Dunham Monthly Distribution Fund: Absolute return strategy with a goal of 12 monthly distributions
Max Bolka	How To Get Pre-Qualified Referrals Who Are Expecting Your Call
Salvatore M. Capizzi	Are You Prepared for the Possibility of an Impending Disaster? Keeping It Simple
Michael T. Carpenter	How to Help Turn Uncertainty & Risk Into Powerful Business Building Forces
Jeffrey A. Dunham	Dunham in the New Decade Keeping It Simple
David L. Holmes	Flight to Safety or are We Living in the Bubble?
Roger L. McNamara	Special Guest Speaker
Mary Grace Musuneggi	Make a Difference: Stepping Out, Stepping In, Stepping Up
Steven J. Oshins	How to Use Asset Protection Trusts to Help Attract and Retain High Net Worth Clients
Joseph J. Strazzeri, JD & Stephen J. Mancini, JD	The Language and Tools for Attracting & Working with Affluent Families in Today's Market
Tommy L. Tucker	Make a Difference: How to Establish Special Needs Trusts

Keynote Speaker:
Dr. Harry Markowitz

Topic: Portfolio Theory: Past, Present, and Future
Dr. Markowitz will take a look at financial theory prior to 1952, where financial theory is today, and what he foresees for the future.

Dr. Markowitz has applied computer and mathematical techniques to various practical decision making areas. In finance: in an article in 1952 and a book in 1959 he presented what is now referred to as MPT, “modern portfolio theory.” This has become a standard topic in college courses and texts on investments, and is widely used by institutional investors for asset allocation, risk control and attribution analysis. In other areas: Dr. Markowitz developed “sparse matrix” techniques for solving very large mathematical optimization problems. These techniques are now standard in production software for optimization programs. Dr. Markowitz also designed and supervised the development of the SIMSCRIPT programming language. SIMSCRIPT has been widely used for programming computer simulations of systems like factories, transportation systems and communication networks.

In 1989 Dr. Markowitz received The John von Neumann Award from the Operations Research Society of America for his work in portfolio theory, sparse matrix techniques and SIMSCRIPT. In 1990 he shared The Nobel Prize in Economics for his work on portfolio theory.

Steve Barger

Topic: Top Critical Dimensions of All Successful Advisors
After 30 years in the business and coaching some of the industry’s most recognized and honored professionals, Steve Barger has identified the top 10 common characteristics, traits and behaviors found in the most successful advisors. Learn how these characteristics separate top advisors apart from the pack, and how you can incorporate the same behaviors to take your practice to the next level.

Steve Barger, founder The Barger Group. In many ways, Steve Barger literally helped create the modern brokerage industry. In the 1970’s, he invented the banking industry’s very first financial services Investor Center for Hawkeye Bancorporation. During the 1980’s, he led the marketing efforts of Shearson-Lehman Brothers, then moved on to direct business development and training for Smith Barney. As a senior executive with CitiGroup Financial Services in the 1990’s, he directed training and development for the largest financial services sales force in America. Today, he continues to mentor many of the financial industry’s leading advisors.

Mr. Barger understands the personal and professional challenges and opportunities faced by planners, consultants and advisors. His tools and systems have been proven to not only help novice advisors build their practices, but also to help veteran advisors elevate their practices to higher and higher levels. He is a nine-time distinguished instructor at the Wharton Business School Securities Institute.

The Barger Group was created to make Mr. Barger’s knowledge and resources base available to a growing group of advisors via the web. Using interactive technology, the company’s tools and services empower advisors to build stronger, more profitable, information-based relationships with their clients.

Roy D. Behren & Michael T. Shannon

Topic: The Dunham Monthly Distribution Fund: The Dunham Monthly Distribution Fund: Absolute return strategy with a goal of 12 monthly distributions

Roy D. Behren, age 49, came to Westchester Capital Management in 1994 from the U.S. Securities and Exchange Commission. After earning a B.S. in Economics at The Wharton School, he received a J.D. degree from the University of Miami Law School and an LL.M. degree in corporate law from the New York University School of Law. He then joined the SEC's New York Regional Office, where he worked as an enforcement attorney for seven years prior to starting his investment career at WCM. From 2004 through 2006, Roy served as a member of Redback Networks’ Board of Directors and its Audit Committee. He is a co-portfolio manager and is currently the Chief Compliance Officer for WCM, The Merger Fund and The Merger Fund VL.

Michael T. Shannon, age 43, joined Westchester Capital Management in 1996. He received a B.S. in Finance from Boston College and was subsequently hired by J.P. Morgan, where he worked in the firm's corporate finance, mergers & acquisitions and equity research departments. After a brief stint as Senior Vice President in charge of Mergers and Special Situations at D.E. Shaw & Co. from March 2005 to May 2006, he rejoined WCM. Mike, who holds a Chartered Financial Analyst certification, is a co-portfolio manager. Mike is a member of the New York Society of Security Analysts and the CFA Institute.

Max Bolka

Topic: How To Get Pre-Qualified Referrals Who Are Expecting Your Call
In this entertaining and inspiring talk, 28-year industry veteran Max Bolka will help teach us a very simple, sincere, non-manipulative and unobtrusive way to ask for referrals that leaves all parties feeling good. Best of all, it works! Max has built two nationwide services firms, both as a financial advisor as well as an industry coach.

Max Bolka is a 28-year veteran of the financial services industry. After three years in the Investment Banking business from 1982-85, Max started his own Nationwide Financial Consulting and Investment Services firm, conducting hundreds of dynamic & motivating financial seminars from New York to Hawaii and abroad.

Today he helps “build first-class financial advisors” by educating and inspiring them to increase both their level of professionalism and profits with his unique blend of wit, wisdom, vision and insight. Max teaches comprehensive and detailed approaches in just about every aspect of practice management; from goal setting and mission building, to business planning, sales, marketing, time management, stress reduction, the future of the financial services industry, and coping with market uncertainties.

Max’s presentations focus on both the inner qualities of success, as well as the outer skills required to take one’s business to the next level. He helps advisors acquire a new depth of understanding, empowering them to formulate & achieve their highest aspirations, both personally and professionally.

Salvatore M. Capizzi

Topic:	*Are You Prepared for the Possibility of an Impending Disaster?*
	*Keeping It Simple*

Salvatore M. Capizzi is Chief Sales & Marketing Officer of Dunham & Associates Investment Counsel, Inc. Mr. Capizzi is a seasoned industry veteran with over 26 years of financial services experience. He possesses a wealth of expertise in global sales and distribution leadership, marketing, business development and strategic planning. Mr. Capizzi also has substantial experience establishing startups and reengineering companies. He has consistently demonstrated his ability to develop and implement highly successful sales and marketing plans that have dramatically increased assets under management, and has identified and developed distribution channels that have substantially contributed to net income.

Most recently, Mr. Capizzi served as CEO/Global Wealth Management for ThomasLloyd Group, where he was responsible for establishing sales and distribution in Europe and the Americas. He has also served in executive capacities with New York Life Investment Management, BlackRock Funds, Chase Manhattan Bank, and Shearson Lehman Brothers. At BlackRock, he served as Executive Vice President/Managing Director and was responsible for the startup and prominent growth of their mutual fund business. He is credited with developing the retail distribution platform there and substantially growing the complex during his eight-year tenure.

Mr. Capizzi received a BA in History from Baruch College.

Michael T. Carpenter

Topic: How to Help Turn Uncertainty & Risk Into Powerful Business Building Forces
Rather than fight or fear uncertain or volatile economic and market conditions, this program introduces the new, user-friendly, non-technical “Risk-Wise” Advisor method that financial advisors can use to help investors better understand and more effectively manage risk.

Michael T. Carpenter is a 35-year veteran of the investment business, Mike heads his own Boston based strategy, sales, and marketing consulting firm, CarpenterAssociates. His specialty is enhancing the impact, effectiveness and success of investment management firms, investment sales professionals and financial advisors in bull, bear & uncertain markets.

Mike’s writings and articles have appeared in national industry-wide publications and he conducts workshops and seminars around the country for investment professionals and/or their clients on a number of subjects including practical user-friendly ways to better understand and manage investment risk.

Mr. Carpenter has an outstanding reputation for helping individual investors make the most of challenging markets and helping financial advisors, investment marketing and sales professionals, and their firms, energize their business growth in any market conditions. He is nationally known for his creative sales and marketing methods, unique investment insights, business building, and presentation skills.

He has held senior, national distribution positions with firms including UBS/PaineWebber, John Hancock Financial Services, MFS, Transamerica Capital, and Rydex Global Advisors.

Jeffrey A. Dunham

Topic:	*Dunham in the New Decade*
	*Keeping It Simple*

Jeffrey A. Dunham is President and CEO of Dunham & Associates Investment Counsel, Inc. and Chairman of Dunham Trust Company. He also serves as a Trustee, President, and Principal Executive Officer of Dunham Funds. Mr. Dunham’s investment expertise spans more than 25 years, dating to when he started a family of private funds and built Dunham & Associates upon the premise of performance-based advisory compensation—a radical idea at the time—now a model for others. Beginning his investment career in 1977, Mr. Dunham acquired real estate for investors and his own account. As President of San Diego-based JAD Properties between 1979 and 1989, Mr. Dunham continued hands-on management of real estate holdings. Prior to becoming founding partner of Dunham & Associates, he was partner in the investment firm of McKewon Securities and worked with Enterprise Management Company, a venture capital affiliate of McKewon. Mr. Dunham earned a BS degree in Business Administration with an emphasis in Finance from San Diego State University.

David L. Holmes

Topic: Flight to Safety or are We Living in the Bubble?

David L. Holmes is the Chief Investment Officer of Dunham Trust Company since the sale of Adagio Trust Company to Dunham Trust Company on January 1, 2009. From 2000 through 2008, Mr. Holmes founded and built Adagio Trust Company headquartered in Reno, Nevada. Adagio was founded to provide a multi-family office private trust company model to wealthy clients that used proprietary separate account investment strategies and products created by Mr. Holmes. Prior to Adagio, Mr. Holmes was with Whittier Trust Company of Nevada from early 1995 through late 1999. In the nearly 5 years of his employment with Whittier, assets under his management grew from under $200 million to $1 billion. Prior to Whittier, he managed portfolios for high-net-worth clients for five years for Morgan Stanley’s Private Client Services Group in Los Angeles.

Roger L. McNamara

Topic: Special Guest Speaker
McNamara will discuss the ins and outs of current events that have led to today’s economic environment. He will share an overview of what he believes is the future of the financial services industry by showcasing what steps leaders should take in order to rebuild the American economy. McNamara's presentation will then focus on specific portfolio recommendations using goal based models for High Net Worth clients and provides tools and vocabulary to help financial advisors explain these models to their clients. McNamara’s unique presentation style infuses intangible concepts and ideas with down-to-earth humor and entertainment. He will leave the audience both laughing and more knowledgeable about the realities we face in today’s economy.

Roger L. McNamara, Economist and Author. Roger McNamara’s unique background combines his hands-on experience as an economic consultant for major international corporations together with academic research to help advisors and investors understand how current economic conditions influence the global economy and the individual investor's portfolio.

For over 20 years, Roger McNamara has helped advisors explain complicated economic and portfolio recommendations to their clients using simple, yet effective analogies and definitions. He has authored four books and regularly offers colorful commentary in several national publications.

Mary Grace Musuneggi

Topic: Make a Difference: Stepping Out, Stepping In, Stepping Up
Strategies for stepping out of your comfort zone, stepping into your clients' lives, and stepping up the abundance in your life and your business.

Mary Grace Musuneggi, CLU, ChFC, CFS, RFC. For over 30 years, Mary Grace Musuneggi has focused her efforts on helping individuals and small business owners develop comprehensive strategies to help them achieve their financial goals. As an award winning entrepreneur, she is President & CEO of The Musuneggi Financial Group. She is also a financial educator, author and motivational speaker; and she lectures on financial planning and lifestyle issues.

Throughout her career, she often met women who were facing challenges that greatly affected their lifestyles and dramatically changed the quality of their lives. Mary Grace designed and founded a life planning program to help these women work towards an abundant, balanced and successful life. Single Steps Strategies was designed to empower women through information and education.

Mary Grace was honored in 1998 by being selected as one of the 50 Best Women in Business by the Commonwealth of Pennsylvania. In 2003 she was the recipient of the Lifetime Circle of Honor Award from Veravest Investments for her work in the financial planning industry. She is the recipient of the "Make the Connection Award" given by the National Association of Women Business Owners. In 2009, she was chosen by the Zonta Club as a Rose Day Award Honoree for her outstanding leadership and service in the business community.

Steven J. Oshins

Topic: How to Use Asset Protection Trusts to Help Attract and Retain High Net Worth Clients

Steven J. Oshins is a member of the Law Offices of Oshins & Associates, LLC in Las Vegas, Nevada. He is rated AV by the Martindale-Hubbell Law Directory and is listed in The Best Lawyers in America®. He has been named one of the Top 100 Attorneys in Worth, one of Southern Nevada’s Best Lawyers in In Business Las Vegas, one of the Best Lawyers in America in the Trusts & Estates category in The American Lawyer, one of the Best Lawyers in America in the Tax Law category in Corporate Counsel, named Nevada Super Lawyer in the Wills, Trusts & Estate Planning category in Nevada Business Journal, named Nevada Super Lawyer in the Estate Planning & Probate category in Las Vegas Life and named Mountain States Super Lawyer in the Estate Planning & Probate category in Law & Politics.

Steve has been very active in helping get some of the most valuable trust and creditor protection laws passed in Nevada. In the 2001 legislative session, he co-authored Nevada’s charging order law for limited liability companies and limited partnerships, making the charging order the exclusive remedy for a judgment creditor under Nevada law. He co-authored a change to that law in the 2003 legislative session that enhanced the 2001 version of the Nevada law. In the 2005 legislative session, Steve authored Nevada’s 365-year rule against perpetuities law that now allows people to set up 365-year dynasty trusts in Nevada. He authored a law creating a new form of business entity called the Restricted LLC and Restricted LP in the 2009 legislative session making Nevada the first state to offer these favorable laws that allow for significantly higher valuation discounts than are allowed under any other state law.

Joseph J. Strazzeri, JD & Stephen J. Mancini, JD

Topic: The Language and Tools for Attracting & Working with Affluent Families in Today's Market
What is affluent? Are affluent clients unlike other clients? Should the process for dealing with an affluent client be different? Understand the critical importance of a collaborative team and a collaborative process, why affluent clients have a unique concept of money, the notion of "it is not what it's about", third party credibility, "shining the light"; and the value of proper referrals and referral protocols - all considering the difference in today's unique marketplace.

Joseph J. Strazzeri is Principal and Founder, Strazzeri Mancini LLP, practicing in Estate Planning, Business Succession, Charitable Planning, Asset Protection and Retirement Issues; Former Partner, Law Office of N. Munro Merrick; Principal of The Founders Group, a Business Strategies Collaborative; Mediator for ARBITRATIONWORKS (A.W.), a California Dispute Resolution Corporation; Level II Arbitrator for State of California, Department of Consumer Affairs, Contractor State License Board through A.W.; Former chair for the planned giving committee Sharp Healthcare Foundation; California B-licensed General Contractor; and Real Estate Developer.

Approved provider for Continuing Education through the State of California Department of Insurance. Speaker for Continuing Education for financial professionals including Certified Public Accountants, Attorneys, Fiduciaries, and Financial Planners. Adjunct Faculty Member of the Estate and Wealth Strategies Institute at Michigan State University. Fellow at the Southern California Institute. Instructor for Estate and Trust Education Resources—Exam Prep Course for the State Bar of California Certified Specialist Exam in Estate Planning, Trust and Probate Law.

Co-author, "Generations — Planning Your Legacy," 1999; Co-author, "Strictly Business — Planning Strategies for Privately Owned Businesses," 2002; Co-author, "Giving — Philanthropy for Everyone." 2002 Course Manuals for State of California Department of Insurance for approved Continuing Education: Trust Fiduciaries; Basic Estate Planning; Family Limited Partnerships; Advanced Estate Planning, Charitable Remainder Trusts and Asset Protection—Offshore Planning. Course materials on Irrevocable Life Insurance Trusts for the Academy of Multidisciplinary Practice, accredited by the Estate and Wealth Strategies Institute at Michigan State University.

Stephen J. Mancini. Former Partner Stacer & Mancini. Principal of the Founders Group, a Business Strategies Collaborative. Principal and Founder, Law Office of Stephen J. Mancini, APC, specializing in Estate Planning, Business Succession, Charitable Planning, Asset Protection and Retirement Issues. Principal & Founder: Law Firm of Strazzeri Mancini LLP.

Instructor for the Academy of Multidisciplinary Practices, courses accredited by the Estate and Wealth Strategies Institute at Michigan State University; Instructor, Paralegal Courses; Speaker for Continuing Education for Financial Professionals, including Certified Public Accountants, Attorneys, and Financial Planners.

Co-author "Giving — Philanthropy for Everyone" published by Quantum Press; Co-author, "Active Monitoring: An Alternative Strategy to Improve Alternate Valuation Results", CCH Journal of Practical Estate Planning; Co-author, "The Uniform Acts: What Are They? What am I Supposed to Do with Them? Why Should I Bother?", National Network of Estate Planning Attorneys; and Course materials on Irrevocable Life Insurance Trusts for the Academy of Multidisciplinary Practices, courses accredited by the Estate and Wealth Strategies Institute at Michigan State University.

Tommy L. Tucker

Topic: Make a Difference: How to Establish Special Needs Trusts

Tommy L. Tucker is President and Chief Trust Officer for Dunham Trust Company and serves as a director. Mr. Tucker joined the company in April 2000 and has over 26 years of trust administration experience with a reputation for placing the highest emphasis on client service. He has worked for several financial institutions in Reno and Las Vegas, Nevada and in Oregon. Mr. Tucker earned a BA at Knox College and holds a MA from Pacific Coast Banking School, Trust Division. In addition, Mr. Tucker has completed coursework in a variety of trust-related areas, including Fiduciary (1041), Gift (709) and Estate Tax (706) preparation and filing. He is a former president and current member of the Reno Estate Planning Council and is active in several civic and charitable organizations.

Comments by presenters are provided for informational and educational purposes only and do not reflect the views and opinions of Dunham & Associates and its affiliates.

Biographies were provided by speakers.

The information presented should not be construed as legal, accounting or tax advice from Dunham & Associates Investment Counsel, Inc. Please consult with your professional legal and/or tax advisor.

Investing in a mutual fund involves risks, including the possible loss of principal. Investors should consider the investment objectives, risks, charges and expenses of the Dunham Funds carefully before investing. For this and other important information about the Dunham Funds please speak to your financial advisor or call Dunham at (888) 3DUNHAM (338-6426) to request a current prospectus and read it carefully before investing.

Please call us at (800) 442-4358 with any questions!

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Attendance open only to Financial Associates with Dunham & Associates selling agreements in place.

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