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Time |
Title |
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Monday, October 15
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1:00pm-1:15pm
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Opening Remarks
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Monday, October 15
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1:15pm-2:00pm
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Keynote Session
Our Moment
The old asset management model is being disrupted, but so too is the trust and faith that citizens have in leaders and institutions across the globe. This confluence of factors presents both a rare challenge and a rare opportunity for the money management industry. Legg Mason CEO Joe Sullivan explains why industry leaders need to not only reinvent our business, but embrace a higher calling for why we are in it.
Joseph Sullivan, Chairman & CEO, Legg Mason
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Monday, October 15
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2:00pm-3:00pm
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Connecting the Technology Dots: Empowering Advisors to Improve Outcomes
With all the buzz about technology changing the way our industry does business, this session examines what is really happening on the front lines. What are financial advisors doing to leverage technology today, and what will it take to get them to connect all the technology dots in the months and years ahead? Our panelists are leaders at companies that support advisors and their clients by creating integrated systems and platforms that include financial products, software solutions, and platform technology. Hear firsthand about their efforts to build an ecosystem that enhances the advisor’s ability to provide personalized advice across an entire household portfolio, the challenges they’ve encountered along the way, and what they are doing to encourage advisor adoption.
Moderator:
Jack Sharry, Executive Vice President, Chief Marketing Officer, LifeYield
Panelists:
Jess Liberi, Head of Product, eMoney Advisor
Eric Lordi, Managing Director, Head of Goals-Based Platform, Morgan Stanley Wealth Management
Jud Mackrill, Chief Marketing Officer, Carson Group
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Monday, October 15
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3:00pm-3:30pm
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Solutions Spotlight
In this fast-paced session, two of our Annual Conference sponsors will offer quick-hitting "TED Talk"-style presentations that focus on timely topics pertinent to our conference theme. Prepre to be engaged and entertained!
Trends Impacting Asset Managers - What Does it Mean for You?
Robert Cirrotti, Managing Director, Head of Investments and Managed Accounts, BNY Mellon's Pershing
Enabling Frictionless Advice Delivery
Robert Klapprodt, President, Vestmark
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Monday, October 15
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3:30pm-4:00pm
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Networking Break
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Monday, October 15
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4:00pm-5:00pm
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Reinventing the Client Experience: Industry Perspective from Millennial Advisors
Each generation has its own quirks and predilections. That’s an important consideration for financial advisors, whether they are focused on working with millennial clients – or on attracting and retaining younger professionals as part of their practices. In this session, hear straight talk from a panel of millennial advisors on where they think advisors typically get it right in working with millennial clients and advisory team members and, more importantly, where they get it wrong. This session will provide valuable insight into how millennial advisory professionals are reshaping the financial advice profession – everything from the nature of that advice to how it is delivered to clients, and how it is paid for.
Moderator:
Fred Gabriel, Editor, InvestmentNews
Panelists:
Zachary Garber, Vice President, Client Advisor, Alex Brown, A Division of Raymond James
Kyle Merino, First Vice President - Investments, Financial Advisor, Wells Fargo Advisors
Mandy Sessler, Financial Advisor, Clintsman Financial Planning
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Monday, October 15
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6:30pm-9:00pm
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Opening Reception at The George W. Bush Presidential Library and Museum
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Tuesday, October 16
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7:00am-8:00am
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Networking Breakfast
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Tuesday, October 16
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8:00am-9:00am
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ON FIRE: The 7 Choices to Ignite a Radically Inspired Life
In 1987, John O’Leary was a curious nine-year old boy. Playing with fire and gasoline, John created a massive explosion in his home and was burned on 100% of his body. He was given a 1% chance to live. His epic story of survival was first told in Overwhelming Odds, a book written by his parents, and that book encouraged Mr. O’Leary to embrace his miraculous recovery and share it with the world. Today, he is a bestselling author and motivational speaker, teaching more than 50,000 people each year how to live inspired. His emotional story, laced with unexpected humor and authenticity, is an inspirational reminder that our lives have much less to do with what happens to us, and much more to do with how we react to the circumstances we find ourselves in.
John O’Leary, Author & Motivational Speaker
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Tuesday, October 16
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9:00am-9:45am
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Executive Spotlight: What Lies Ahead for Wealth Management
In a wide-ranging discussion, Craig Pfeiffer and senior broker-dealer executives explore the converging forces reshaping the wealth management landscape. Topics include: the key challenges in positioning a firm for sustainability and long-term success, how firm value propositions and operating models must evolve as new forces come into play, attracting the next generation of talent to our industry, the steadily growing impact of data, and maintaining a client- and solutions-oriented focus.
Moderator:
Craig Pfeiffer, President & CEO, Money Management Institute
Panelists:
Christian Mitchell, Vice President, Investment Products & Services, President & CEO, Northwestern Mutual Wealth Management Company
John Taft, Vice Chairman, Baird
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| Tuesday, October 16 |
9:45am-10:00am |
President's Update
Craig Pfeiffer, President and Chief Executive Officer, Money Management Institute |
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Tuesday, October 16
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10:00am-10:30am
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Networking Break
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Tuesday, October 16
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10:30am-11:30am
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Sales & Marketing: Session 1
Asset Managers as Partners in Sales and Marketing
Many asset managers have dedicated tremendous resources to assist in the marketing of their products to financial advisors and end consumers. This session focuses on how effective those efforts have been and reviews proven ways for asset managers to help advisors overall while fostering greater distribution of their products.
Moderator:
Bill Finnegan, Chief Marketing Officer, AMG Funds
Panelists:
Rodney Allain, Head of Retail Sales Desk and Business Development
Channel, Legg Mason
Michael Keenan, President, MFS Distributors
Matt Schiffman, Principal, Atom Analytics
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Tuesday, October 16
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10:30am-11:30pm
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Compliance & Regulatory: Session 1
The Compliance Challenges of Product Proliferation
This session focuses on the suitability and supervision challenges of new product sets. Topics include: the introduction of new or different types of investment products within managed programs (hedge funds, private equity, annuities), including specialized advisory vehicles (fee-based structures) and associated supervisory considerations; developments in mutual fund share class selection and disclosure requirements; considerations related to similar strategies implemented through different structures (mutual funds, active ETFs, SMAs); and considerations when fulfilling the cash asset allocation within managed programs.
Moderator:
Thad Ingersoll, Vice President, Compliance and Risk Liaison, Ameriprise Financial
Panelists:
Jennifer Klass, Partner, Morgan Lewis & Bockius
Michelle Logue, Chief Compliance Officer, Lockwood Advisors and Director of Compliance for Pershing LLC, a BNY Mellon company
Maureen Sheehan, Senior Counsel, Wells Fargo
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Tuesday, October 16
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10:30am-11:30pm
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Tools & Technology: Session 1
Blockchain – Holy Grail or Overhyped?
The term Blockchain has become ubiquitous in the financial press and at industry conferences. Is the attention warranted or is the hype overblown? This session surveys the current state of Blockchain usage in financial services, implementation successes and failures, and future challenges to adoption.
Moderator: Charles Smith, Executive Director, EY
Panelists:
Deva Annamalai, Director of Solution Consulting, Fiserv
Mark Rotzler, Director- Pershing Managed Account Technology, Pershing LLC
Ben Spiegelman, Corporate Development & Strategy, Symbiont
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Tuesday, October 16
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10:30am-11:30pm
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Product Solutions: Session 1
Products and Solutions to Enable Advisor Growth
Financial advisors face a host of daily challenges – wrestling with disparate systems, staying current with new products, and acquiring and nurturing new client relationships, to name a few. In this session, business leaders representing different sides of the advisory business focus on the tools their firms are developing to facilitate better client outcomes and advisor growth. The panel will also share their observations on the types of mindset and approach that help advisors achieve growth.
Moderator:
Travis Wilson, Regional Productivity Manager, Southwest Region, Senior Vice President, Business Development Group, Wells Fargo Advisors
Panelists:
Gary Carrai, Senior Vice President, LPL Financial
Tricia Rothschild, Chief Product Officer, Morningstar
Ann Senne, Head, Advice and Solutions Group, RBC Wealth Management
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Tuesday, October 16
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11:30am-12:45pm
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Networking Luncheon
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Tuesday, October 16
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12:45pm-1:45pm
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Sales & Marketing: Session 2
What Works and What Doesn’t…Success Secrets from Top Advisors
This FA panel provides an honest appraisal of whether old school techniques – like cold calling and seminar marketing – still work. The group will share the new strategies and tactics advisors are adopting to grow their practices in an increasingly crowded marketplace.
Moderator:
Ron Fiske, Co-Head of Retail, Apex Clearing
Panelists:
Marie Moore, Managing Director, Family Wealth Director, The Moore Group, Morgan Stanley Wealth Management
John Nersesian, Head of Advisor Education, PIMCO
Bill Simonet, Managing Principal, Simonet Financial Group
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Tuesday, October 16
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12:45pm-1:45pm
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Compliance & Regulatory: Session 2
Digital Tools and Communications
This session focuses on keeping pace with the rapid evolution of digital tools and new methods of communication. Topics include: the evolution in how clients and advisors communicate (texting, videoconferencing); expectations of the modern-day investor (virtual assistants, digital storage solutions, self-service); and privacy and cybersecurity concerns, including new regulations (GDPR).
Moderator:
Sean Lawlor, Vice President, Product Strategy & Engagement, Envestnet
Panelists:
Scott Kirwin, Vice President & Associate General Counsel, Fidelity Investments
Elizabeth Marino, Counsel, Sidley Austin
Jack Sharry, Executive Vice President, Chief Marketing Officer, LifeYield
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Tuesday, October 16
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12:45pm-1:45pm
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Tools & Technology: Session 2
How Technology Can Help Firms Meet the Rising Demand for Alternative Investments
Demand for alternative investments has increased in recent years as investors seek new ways to achieve enhanced income and non-correlated returns. This session explores how the alternatives landscape has evolved, the operational challenges associated with alternatives, and how technology is making alternatives more accessible and transparent.
Moderator:
Parker Roy, Managing Director, Brookfield Asset Management
Panelists:
James Bruno, Managing Director, Morgan Stanley Wealth Management
Mike Huisman, Senior Director- Digital, DST
Zach Klehr, Executive Vice President, Fund Managment, FS Investments
Dan Vene, Co-Founder & Managing Partner, iCapital Network
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Tuesday, October 16
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12:45pm-1:45pm
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Product Solutions: Session 2
Digital Transformation: New Avenues for Growth
This panel explores digital transformation – what it is, and how digital products and solutions are transforming the day-to-day experience for the investor, the advisor, and the home office. The expert panel will review the host of new tools, including robotic process automation, artificial intelligence, and blockchain and the distributed ledger, and provide a realistic assessment of their potential to drive efficiencies and enable growth.
Moderator:
Anthony Perkins, Chief Information Officer, Investment Services, Fiserv
Panelists:
David Armstrong, Editor-in-Chief, WealthManagement.com
Eric Lordi, Managing Director, Morgan Stanley Wealth Management
Roger Paradiso, Head of Alternative Distribution, Legg Mason
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Tuesday, October 16
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1:45pm-2:45pm
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Sales & Marketing: Session 3
How Centralized Decision-Making Changes Intermediary Sales
The industry has observed a marked increase in centralized decision making, including the growing use of model portfolios, which has been mandated by various advisor networks. This session examines how this trend is impacting intermediary sales and what a switch to marketing to the home office rather than individual advisors entails.
Moderator:
Matt Goulet, Senior Vice President, Model Portfolios, Fidelity Investments
Panelists:
Stacy Bernstein, Head of Financial Intermediaries, American Century Investments
Thomas Jones, Head of Strategic Relationships, Columbia Threadneedle
John Moninger, Director of Retail Sales, Eaton Vance
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Tuesday, October 16
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1:45pm-2:45pm
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Compliance & Regulatory: Session 3
Regulatory Developments Impacting Investment Advisers
This session provides an overview of relevant regulatory initiatives affecting investment advisers. Topics include: a discussion of the Regulation Best Interest, Form CRS and Investment Advisor Interpretive Guidance proposals; an update on SEC enforcement cases and e-delivery/e-signature regulations; an overview of regulatory actions and guidance regarding crypto offerings; an update on applicable state regulatory initiatives; and an analysis of the tensions between state and federal regulations.
Panelists:
Jim Anderson, Partner, Willkie Farr & Gallagher
Susan Boccardi, Executive Director, JP Morgan
Jennifer Morton, Counsel, Shearman & Sterling
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Tuesday, October 16
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1:45pm-2:45pm
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Tools & Technology: Session 3
Tech-Enabled Advice for the Modern Advisory Practice
Today’s financial advisor must find scalable methods for delivering personalized experiences to clients while decreasing the costs of doing business. This panel reviews the evolving expectations of the modern-day investor, how advisors can use technology to drive growth, and the ways hybrid advice has helped many advisors reach new clients.
Moderator:
Kyle Simpson, Director, FS Investments
Panelists:
Yanni Bousnakis, Head of Investment Solutions, Cetera Financial Group
Bob Conchiglia, Vice President, Advisory Sales, SS&C
Lori Hardwick, President & Founder, AI Labs
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Tuesday, October 16
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1:45pm - 2:45pm
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Product Solutions: Session 3
Innovation on Advisory Platforms
This session looks at advisory product trends, with an eye to the hidden risks – and opportunities – you can’t afford to ignore. The panel will review the changing roles of ETFs, MFs, SMAs, UMAs and take a closer look at some of the new types of alternative investments that are worth a second look in today’s rapidly evolving product marketplace.
Moderator:
Rich LaVoice, Executive Vice President Retirement Distribution Strategy, Symetra
Panelists:
Carl Katerndahl, Executive Vice President, Nuveen
Kevin Osborn, Executive Vice President, Wealth Management Solutions, Envestnet
Scott Stolz, Senior Vice President, Raymond James
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Tuesday, October 16
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2:45pm-3:15pm
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Networking Break
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Tuesday, October 16
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3:15pm-4:15pm
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Sales & Marketing: Session 4
Generation Next: How Will Our Industry Pivot to Meet the Needs of Younger Investors?
The wealth management industry must reinvent itself to meet the needs of an increasingly diverse population. This expert panel looks at proven steps to enable diversity among the advisor population and what it will take to make our profession attractive to new, previously untapped, sources of talent.
Moderator:
Estee Jimerson, Managing Director, Head of Asset Manager Distribution & Engagement, Envestnet
Panelists:
Kate Healy, Managing Director, Generation Next, TD Ameritrade
Matthew Kocanda, Wealth Manager, Financial Professionals Practice Group, Balasa Dinverno Foltz
Patty Quinn McAuley, Director of Marketing, Clark Capital Management Group
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Tuesday, October 16
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3:15pm-4:15pm
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Compliance & Regulatory: Session 4
Compliance, Regulation and the Modern-Day Financial Advisor
This session focuses on the evolution of the financial advisor’s role and the relevant regulatory initiatives affecting investment advisers. Topics include: an overview of goals-based planning and financial planning and the regulatory guidance relating to asset aggregation services; supporting a multi-generational practice; and considerations for millennial vs. senior clients.
Moderator:
Anna Pacewicz, Director and Counsel, Morgan Stanley Wealth Management
Panelists:
Matthew Girandola, Consultant, ACA Compliance
Rose Palazzo, Head of Financial Planning, Morgan Stanley Wealth Management
Ted Angus, Executive Vice President, General Counsel, AssetMark
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Tuesday, October 16
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3:15pm-4:15pm
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Tools & Technology: Session 4
Reducing the Operating Friction Between Tech/Ops and Distribution and Product Teams
Product platform decisions have downstream impacts on technology and operations infrastructure. This panel will examine how back offices can best partner with diligence and business development teams to minimize time and effort in bringing new products to market.
Moderator:
Dan Sinclair, Managing Director, Separately Managed Accounts, SEI Investments
Panelists:
Vilas Mhatre, Managing Director, Investment Products and Services, Morgan Stanley Wealth Management
Maree Moscati, Chief Executive Officer, Copytalk
Nick Nolan, Director, Solutions Consulting, SS&C Advent
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Tuesday, October 16
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3:15pm-4:15pm
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Product Solutions: Session 4
Is Your Advisory Platform Vulnerable to Market Volatility Risk?
This panel will discuss platform risks tied to market volatility and possible approaches to reduce their impact. Specific topics include how well traditional alternative investments will hold up in a bear market, the ways that best-in-class advisors are reworking their portfolio risk management strategies, and why the emergence of hybrid robo-advisors is a plus. The panelists will offer advice on positioning your advisory business against these risks and taking advantage of new opportunities that emerge.
Moderator:
Gary Gallagher, Senior Vice President, Fidelity Investments
Panelists:
Gregory Lai, Principal, Lead Portfolio Manager, Affinity Investment Advisors
Michelle Mikos, Senior Director, ETF Due Diligence, Invesco
Steve Snyder, Senior Vice President, Investment Product Management, LPL Financial
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Tuesday, October 16
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4:15pm-5:15pm
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Beyond the Sustainable Investing Echo Chamber: Intersections with the Broader Sea Change in Financial Services
Not a day goes by without a new announcement about the rapid rise of sustainable investing; the game board is set and the pieces are moving. But, with a larger sea change already under way in financial services, the raft of ESG developments are not taking place in a vacuum. Numerous forces – behavioral finance, changing demographics, a rethink of MPT, and technological innovation, to name a few – are converging. The implications for how the industry will approach client recruitment and retention, portfolio construction, and product distribution in the future are profound, and still coming into view. This session examines the emergence of sustainable investing in the context of the other major trends impacting financial services. Panelists representing different perspectives on the advisory continuum will weigh in on shifting client demands, emerging tools, and how big a force sustainable investing will prove moving forward.
Moderator:
William (Bill) Burckart, President, The Investment Integration Project (TIIP)
Panelists:
Kelly Major Green, Institutional Consultant, Graystone Consulting A Business of Morgan Stanley
Phil Palanza, Senior Research Analyst, State Street Global Advisors
Mark Sloss, CEO, Regenerative Investment Strategies
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Tuesday, October 16
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5:15pm-6:30pm
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Networking Reception
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Tuesday, October 16
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6:30pm-9:00pm
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MMI/Barron's Industry Awards Dinner
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Wednesday, October 17
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7:00am-8:00am
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Networking Breakfast
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Wednesday, October 17
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8:00am-9:00am
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Due Diligence Panel: The Gatekeeper Perspective
In this timely session, due diligence heads from different channels talk frankly about the evolution of the due diligence process at their firms, changing requirements and hot spots, and what they are looking for today in manager and fund candidates. Discussion topics include: the trends and sectors getting their attention in this later stage of the market cycle, the changing fee landscape and how it plays into evalutions, how the ability to get similar exposures across different types of investment vehicles impacts the process, and the top challenges research teams face in dealing with fund managers.
Moderator:
Keith Glenfield, Managing Director, Head of Investment Products, Bank of America, Merrill Lynch
Panelists:
Erina Ford, Mutual Fund Research, Raymond James
Govind Kilambi, Alternative Investments, Due Diligence Executive, Merrill Lynch
Jeff Raupp, Chief Investment Officer, Brinker Capital
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Wednesday, October 17
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9:00am-9:30am
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Solutions Spotlight
In this fast-paced session, two of our Annual Conference sponsors will offer quick-hitting "TED Talk"-style presentations that focus on timely topics pertinent to our conference theme. Prepare to be engaged and entertained!
Moving to Unified Managed Households
Bryan Sachdeva, Director, Consulting Services, Portfolio Management, CGI
The New Era of Asset Management: Rethinking Old Paradigms
Lee Kowarski, Vice President, SS&C/DST Systems
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Wednesday, October 17
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9:30am-10:30am
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The Future-Ready Workforce: Challenges & Strategies
Conceptually, it’s easy to agree that attracting, engaging, and inspiring diverse talent – and different ways of thinking – are critical to the future of our industry. Putting this theory into practice isn’t as easy. This session will provide a leadership perspective on the practical realities of building and retaining a truly diverse workforce in today’s rapidly changing financial services marketplace. The panelists will share their personal experiences, offer a candid assessment of the relevant issues, and discuss the strategies that forward-looking firms are employing to move the needle on diversity and build a “future-ready” workforce.
Moderator:
Cheryl Nash, President, Investment Services, Fiserv
Panelists:
Noreen Beaman, Chief Executive Officer, Brinker Capital
Joanne Courtenay-Hooey, Vice President, Human Resources & Communications, North America, Galderma Laboratories
Michael Pratt, Managing Director, Head of Human Resources, Voya Investment Management
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Wednesday, October 17
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10:30am-11:00am
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Networking Break
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Wednesday, October 17
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11:00am-12:00pm
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Redemption in PyeongChang: A Tale of Teamwork
The U.S. women's hockey team won gold in PyeongChang in a thrilling 3-2 shootout victory over archrival Canada. The win ended 20 years of frustration on the Olympic stage for the U.S. women and provided sweet redemption after what was viewed as a collapse four years earlier in Sochi. Along the path to gold, the women overcame not only the weight of expectations, but a variety of other challenges, including a gamble to achieve equitable support, a move to Tampa, Florida which started with riding out a hurricane in a hotel lobby, and the complete turnover of the coaching staff. Members of the team will share the inspiring story of how they bounced back from defeat, overcame obstacles on and off the ice, and persevered as a team to cement their legacy.
Moderator:
John Moninger, Director of Retail Sales, Eaton Vance
Panelists:
Hannah Brandt, 2018 Olympic Gold Medalist, U.S. Women’s Hockey Team
Nicole Hensley, 2018 Olympic Gold Medalist, U.S. Women's Hockey Team
Kendall Coyne Schofield, 2018 Olympic Gold Medalist, U.S. Women’s Hockey Team
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Wednesday, October 17
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12:00pm
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Closing Remarks
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Headquarters Hotel - Hyatt Regency Dallas
