Agenda

The Essential Conference for the Financial Advice Community

Wednesday, June 12

7:15 AM | All day

Registration Opens


7:15 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall with Showcase Stages I – II


9:00 AM | 2 Hours

GENERAL SESSION I


11:00 AM | 30 Minutes

Break


11:30 AM | 1 Hour

Breakout Session I


12:30 PM | 1 Hour 30 Minutes

Lunch and Network with Showcase Stages III – V


2:00 PM | 1 Hour

Breakout Session II


2:00 PM | 2 Hours

Workshop Session I


3:00 PM | 1 Hour 30 Minutes

Networking Experience with Showcase Stages VI – IX


4:30 PM | 1 Hour

Breakout Session III


4:45 PM | 30 Minutes

Showcase Stage X


5:20 PM | 30 Minutes

Showcase Stage XI


5:30 PM | 2 Hours

Reception in the Exhibit Hall with Showcase Stage XII


Thursday, June 13

7:15 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall with Showcase Stages XIII – XIV


8:30 AM | 2 Hours 30 Minutes

GENERAL SESSION II


11:00 AM | 30 Minutes

Break


11:30 AM | 1 Hour

Breakout Session IV


12:30 PM | 1 Hour 30 Minutes

Lunch and Network with Showcase Stages XV – XVII


2:00 PM | 1 Hour

Breakout Session V


2:00 PM | 2 Hours

Workshop Session II


3:00 PM | 1 Hour 30 Minutes

Networking Experience with Showcase Stages XVIII – XXII


7:00 PM | 4 Hours

Closing Night Celebration


Friday, June 14

8:00 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall with Showcase Stages XXIII – XXIV


9:15 AM | 1 Hour

Breakout Session VI


10:15 AM | 30 Minutes

Break


10:45 AM | 1 hour 15 minutes

GENERAL SESSION III


General Session

main stage speakers

Workshop

hands-on sessions

Breakout Session

educational sessions

Showcase Stage

powerful + concise talks

Wednesday, June 12

7:30 AM | 1 Hour 30 Minutes

Breakfast in the Exhibit Hall


7:55 AM | 20 Minutes Showcase

Showcase Session I

Life Beyond the Classroom: How You Can Improve the Financial Education of America’s Youth

Show Details

A 2015 study by the Financial Industry Regulatory Authority found that credit scores among young adults improved in states with mandatory financial education. But in most states, it’s not a requirement. How do we fill the gap? Fortunately, there’s a national movement to improve financial literacyand members of our industry are leading the charge. Financial advisors are uniquely positioned to impact this issue and many firms want to get involved and are looking for ideas and best-practice examples to get started. Find out how you can take action to help build stronger financial futures.

Mark Tibergien, Chief Executive Officer, Advisor Solutions, BNY Mellon | Pershing

The "Whys" and "Hows" of Accessing China’s Rapidly Growing Stock Market

Show Details

Chinese equities are rapidly becoming a critical component in today’s global asset allocation models. Join our experts who will outline why this market is so important and how you can gain access via Stock Connect—a program that has drastically lowered the barrier to participating in the country’s stock markets for offshore investors.

Moderator: Peter Oellers, Director, Trading Services, BNY Mellon | Pershing
Craig Feldman, Managing Director, MSCI
Stephanie Keppenne, Director, BNY Mellon


8:20 AM | 20 Minutes Showcase

Showcase Session II

Giving Back with Pro Bono Financial Planning

Show Details

The Foundation for Financial Planning (FFP) is the nation’s only nonprofit organization solely devoted to supporting the delivery of pro bono financial planning. FFP connects financial planners to people in needincluding wounded veterans, domestic violence survivors, low-income seniors, people with cancer, and many morehelping them improve their finances and their lives. During this session, you will learn more about pro bono financial planning, including how you can get involved. Whether you’re a CFP® interested in volunteering, a company hoping to engage as a partner, or a student curious about incorporating pro bono as you work towards your CFP credential, this session will give you the introduction you need to take that first step.

Jon Dauphiné, ESQ., CEO Foundation for Financial Planning
Ben Harrison, Managing Director and Head of Business Development, Advisor Solutions, BNY Mellon | Pershing

The ETF Landscape: Trends and Outlook

Show Details

In this session Jeff will share his thoughts on the fast-changing ETF industry, recent trends, future opportunities, and ways to prepare for your future ETF plans. The session will cover how regulations, distribution channels, technology and global macro –economic themes are shaping the ETF industry, how the ETF industry is innovating with different strategies, and provide an overview of the next generation of ETFs for active management. 

Jeffrey McCarthy, Global Head of Exchange Traded Products, BNY Mellon 


9:00 AM | 1 Hour General Session

Welcome and BNY Mellon | Pershing Strategy

Welcome and Strategy Presentation

Jim Crowley, Chief Operating Officer, BNY Mellon | Pershing       

Solutions Discussion
Moderator: Tom Sholes, Chief Strategy Officer, BNY Mellon | Pershing
Ram Nagappan, Chief Information Officer, BNY Mellon | Pershing
Claire Santaniello, Managing Director, BNY Mellon | Pershing


10:00 AM | 1 Hour General Session

Strategic and Operational Leadership and Working Together

In 2006, the Ford Motor Company suffered a devastating 12.7 billion dollar loss. At the time, Ford had witnessed a downgrade in its stock - value and brand. However, under the leadership of a newly appointed president and CEO, Alan Mulally, the organization saw a remarkable return to profitability and was later in fact the only American car manufacturer to not accept a bailout from the United States government. With Mulally’s vision and commitment, Ford was able to recommit itself to quality, develop a comprehensive strategy and implement a new sense of identity. His renowned leadership skills transformed Ford into one of the world’s leading automobile companies and the #1 automobile brand in the United States. Mulally expounds on his strategic leadership and inspires audience members to explore their own set of skills as they apply to and enhance their organization.

Moderator: Todd Gibbons, Chief Executive Officer of Clearing, Markets and Client Management, BNY Mellon
Alan Mulally, American engineer, business executive, and former President and Chief Executive Officer of the Ford Motor Company

Introduction by Brian Ronayne, Senior Vice President, National Sales Director, Liquidity Management Division, Federated Securities Corp.


11:30 AM | 1 Hour Breakout

Breakout Session I

Delayed Gratification in 2019

Show Details

The year 2018 was the worst for the financial markets since the “Great Recession” a decade ago, driven lower by a host of fears: divided government amidst Washington chaos, uncertain monetary policy from the Federal Reserve, an ongoing trade and tariff skirmish with China, geopolitical risk, and slowing economic and corporate profit growth. The confluence of politics, economics and financialmarket performance has never been more important, so please join Phil Orlando, as Federated’s Chief Equity Strategist returns to share his candid views on what all of this collectively means for investors.

Philip Orlando, Senior Vice President, Chief Equity Strategist, Federated Investors, Inc.

Sponsored by Federated Investors, Inc.

Driving Gender Balance: How Can Your Firm Explore Opportunities for Female Leaders and Advisors?

Show Details

Women control approximately half of personal wealth in the U.S., yet comprise only 23% of CFP professionals. Meanwhile, our industry faces an acute talent shortage because most firms lack systematic practices for recruiting and developing people. This expert panel will illuminate the talent gap and propose solutionsfor the profession, for growth-minded advisory firms, and for individuals seeking a meaningful career.

Moderator: Anna D'Amico, Director, Global Client Relationships, BNY Mellon | Pershing 
Margaret Dechant, Partner and Chief Executive Officer, 6Meridian
Theresa Gralinski, CMO, InvestmentNews

How Do You Assess Your Business's Value? Hint: It's More Than Just Finances

Show Details

Many firms get fixated on a potential M&A deal's value, but they fail to recognize factors that can support or undermine success for both parties. This esteemed panel of experts will explore the M&A trend in advisory, divulge key value drivers of a business, explain how to prepare for a potential deal, and reveal ways to assess culture's role in inorganic growth opportunities. Prepare for a highly interactive session: Bring your best questions.

Moderator: Ben Harrison, Managing Director and Head of New Business Development, Advisor Solutions, BNY Mellon | Pershing
Shirl Penney, President, Founder, CEO, Dynasty Financial Partners
Peter J. Raimondi, Founder, CEO, Dakota Wealth Management, LLC
Daniel B. Seivert, Managing Partner, CEO, Founder, ECHELON Partners

How Will You Ensure the Relevance of Advice for Future Generations?

Show Details

Generations Z, A, B and C are on their way—data-driven, tech-savvy, socially focused and demanding to be engaged on their own terms. Tomorrow's advisors will need to redefine their value propositions and how they communicate and serve to remain relevant. In this session, experts will discuss concepts that will have a real impact: Services of the Future, Technology of the Future, and Being Experience—and Advice-Focused.

Moderator: Gabriel Garcia, Managing Director, Advisor Solutions, BNY Mellon | Pershing 
Scott Klososky, Founding Partner, Future Point of View

Innovation and Technology: Unlocking The Power of Collateral

Show Details

Technology is revolutionizing how firms mobilize and optimize collateral to deliver full value to the balance sheet. Join panelists as they discuss how to be more nimble in navigating the demands placed on collateral including regulatory mandates, capital, liquidity and margin requirements.

Moderator: Victor O’Laughlen, Digital Business Lead, BNY Mellon Broker-Dealer Services

The Courage to Change: Insights Behind Piper Jaffray’s Decision to Transform Its Business

Show Details

Firms challenged to remain strong and grow in today’s environment will learn how a century-old firm took a fresh look at its business and made a bold decision to transform. What trigger signaled change was needed? How did the leadership team and board align on the strategy? What guidance did Piper need to make its decision? And what is the quantifiable impact of Piper’s decision? Get a behind-the-scenes look into Piper’s courageous decision to pursue a new strategy.

Moderator: James Roundtree, Director, Global Client Relationships, BNY Mellon | Pershing 
Shawn Quant, Chief Information Officer, Piper Jaffray


12:30 PM | 1 Hour 30 Minutes

Lunch in the Exhibit Hall


12:40 PM | 30 Minutes Showcase

Showcase Session III

4 Pillars of Sustainable Investing

Show Details

Continuing Education: CFP IWI

Interest in Environmental, Social and Governance (ESG) investing in the United States is accelerating. In fact, ESG investing now accounts for one out of every four dollars under management in the U.S. and total assets grew 38% in the last two years. By attending this session you’ll learn how to incorporate the core tenets of ESG into your investment advisory process with your clients.

Andrew Parry, Head of Sustainable Investing, Federated Investors, Inc.

Sponsored by Federated Investors, Inc.

Yield, Diversification and Downside Protection for Your Fixed Income Allocation

Show Details

Learn about the search for yield in a changing interest rate environment. Hear from our fixed income investment experts as they highlight how the BNY Mellon Investment Management teams manage both the long and short end of the yield curve in today’s market cycles.

Moderator: Liz Young, CFA, Director of Market Strategy, BNY Mellon Investment Management
Louis D'Anella, Senior Product Specialist, Insight Investment
Ed Von Sauers, Portfolio Manager, Dreyfus Cash Investment Strategies

Sponsored by Dreyfus | BNY Mellon


1:15 PM | 30 Minutes Showcase

Showcase Session IV

A Modern Value Investing Framework

Show Details

This session will highlight some of the pitfalls of traditional value metrics (i.e., low Price/Book or low Price/Earnings), particularly as they relate to sectors of the economy where they aren't particularly applicable. However, a focus on free cash flow preserves basic value investing principles and has still proven to be robust. Additionally, this session will touch on how traditional value metrics (P/B, P/E, P/S) are used to construct value benchmarks by Russell, Morningstar, etc. This in turn, has led to Smart Beta or "Factor Weighted" products that are utilizing these metrics as well. 

Adam Barth, Director of Research, Gotham Asset Management

Sponsored by Gotham Asset Management

Fear and Loathing in Fixed Income

Show Details

The discussion about interest rates and credit risk surely ensues uncertainty when it comes to fixed income. This session will cover current market events and debunk many of the myths that exist in the prevailing “narrative." Additionally, there will be discussion on the real implications for fixed-income markets with an in-depth look at the risks and potential opportunities.

Paul McGinn, Senior Vice President and Fixed Income Client Portfolio Manager, First Trust

Sponsored by First Trust


1:50 PM | 30 Minutes Showcase

Showcase Session V

How Successful Families Approach Money

Show Details

Family members often have different investment styles and risk tolerances—and talking about money across generations can be challenging and stressful. In this session we will discuss how an advisor can help facilitate successful conversations to define financial visions and educate younger family members.

Jean Dunn, CFP®, Vice President, Client Loyalty Insights Leader, T. Rowe Price

Sponsored by T. Rowe Price

The Future of U.S. and Global Markets: Are You Seeing the Full Picture?

Show Details

Get a glimpse into potential changes in the U.S. economy, Federal Reserve policy, and the geopolitical landscape that matter to your business today.

Matt Forester, Chief Investment Officer, BNY Mellon | Lockwood


2:00 PM | 2 Hours Workshop

Workshop Session I

Building a Business to Last: It All Comes Together at Our Strategy and Planning Workshop

Show Details

Firms must continually invest in their business strategy and plan, whether launching a new business or refreshing an existing practice. The industry is evolving at lightning speed and businesses are shifting priorities. The companies that enjoy enduring success have core values that remain fixed and extend their code of guiding principles throughout the culture while their business strategies evolve and adapt to a changing industry. Learn how the fundamentals of the strategic planning process can help you create an enduring business in maturing industry. This session is tailored for RIA firms. If you have a written strategic plan, please bring a copy with you. 

Moderator: Barbara Novak, Vice President, Senior Practice Management Consultant, BNY Mellon | Pershing 
Lisa Crafford, Vice President of Relationship Management, BNY Mellon | Pershing 

High Beam Leadership Workshop—Strategies for Investing in Digital Transformation

Show Details

Where should your firm invest next? Data, predictive analytics, artificial intelligence and machine learning are forecasted to have the most significant impact on the industry. Come learn how to assess micro and macro trends determine business need, ROI and create a thoughtful investment strategy to digitally transform your business. Scott Klososky will take you step by step through the high beam leadership planning process, helping you to define an action strategy and plan.

Scott Klososky, Founding Partner, Future Point of View


2:00 PM | 1 Hour Breakout

Breakout Session II

Elder Financial Abuse is a Growing Issue: What Are You Doing to Address It?

Show Details

Elder financial abuse is on the rise, as are demands that financial institutions do something about it. Get proactive by learning about recent FINRA rules that address this complex, emotionally charged topic, and how leading firms are striving to address their clients' concerns and needs.

Moderator: Jim Roth, Managing Director, Global Client Relations, BNY Mellon | Pershing 
Thomas Halloran, President, Voya Financial Advisors, Inc.
Kathleen Johnson, Senior Practice Management Consultant, BNY Mellon | Pershing 
Kerry O'Brien, Western Regional Assistant Director, Federal Trade Commission 

Find Out What Winning Strategies Leading Firms Are Using to Serve High-Net-Worth Investors

Show Details

A strategic panel discussion of innovative leaders from our industry-leading wealth platform. Attendees will gain direct insights into the direction of the high-net-worth marketplace and how firms are building strategies to meet the needs of today's investors.

Moderator: Marc Butler, Chief Operating Officer, BNY Mellon | Albridge
Katie Swain, Director of Global Strategy and Product Management, BNY Mellon | Pershing
Emily Wirgin, CFP®, Managing Director, Financial Focus Group, LLC

How Well Are You Harnessing Digital Technology to Personalize the Client Experience?

Show Details

Find how forward - looking advisors are reshaping their practices and delivering new forms of value by employing new technologies to personalize and optimize the client experience. An expert panel will let you in on secrets of top advisors who are leveraging technology tools to develop client personas, automate client interactions, make life planning more collaborative, and mine client data for sharper insights into profitability.

Moderator: Marissa Herr, Technology Client Engagement, BNY Mellon | Pershing 
Brian Cullen, Head of Professional Software, Morningstar
Aaron Klein, Chief Executive Officer, Riskalyze
David Zimmerman, President and Chief Executive Officer, First Citizens Investor Services

Objectives-Based Investing Calls for a Different Set of Metrics: How Are You Gauging Your Success?

Show Details

With objectives-based investing, success is measured by how well a portfolio helps the investor meet long-term goals. But, which metrics matter the most? A panel of experts will share their perspectives on relevant tools and measures, and how you can use both to have investment performance conversations with your clients.

Moderator: John Goodheart, Managing Director, Trading Services, BNY Mellon | Pershing
Steve Fox, Senior Client Analytics Manager, Capital Group
Brendan O'Neill, Director of Advisory Solutions, Lockwood Managed Account Solutions, BNY Mellon | Lockwood

The Comeback Kid: Why Cash is an Asset Class Again, Capture Assets with Cash

Show Details

In the past few years, the Federal Reserve has given new life to money market mutual funds and other cash products by raising rates from essentially zero. Now policymakers are suggesting rates will be steady for some time. It’s tempting to view this development negatively. But there is a substantial silver lining. Steady rates return liquidity products to their historical role of providing solid, often above-inflation returns with relatively low risk, fortifying investor portfolios.

Paige Wilhelm, Senior Vice President, Senior Portfolio Manager, Head of Prime Liquidity Group, Federated Investors, Inc.

Sponsored By Federated Investors, Inc.

Want the Ultimate RIA Ecosystem? Here's Your Blueprint

Show Details

Where should you start to build the ultimate RIA turnkey solution? Peers and industry experts will share case studies about their investments and successful integrations with Pershing, and tell how they've successfully harnessed our data using Application Programming Interfaces (APIs). You'll also learn about their strategies for encouraging advisors to adopt these solutions.

Moderator: Christina Townsend, Head of Advisor Solutions Platform Strategy, BNY Mellon | Pershing 
Joel Bruckenstein, Financial Services Technology Journalist & Consultant 
Jennifer W. Kirksey, Managing Director, Tolleson Wealth Management
Spenser Segal, CEO, ActiFi


2:25 PM | 30 Minutes Showcase

Showcase Session VI

ETF Spotlight Talk: Relative Value Strategies to Express Your Conviction

Show Details

The financial news is continually consumed with a discussion of the relative value of one asset class compared to another; growth vs. value, emerging markets vs. developed market, etc. Today’s savviest investors are developing strategies that express their views and conviction on these macro-themed market opportunities, and it’s setting them apart from the pack. This session will explore new and innovative ways to gain access to these institutional-style relative value strategies in accessible, cost-effective ways.

David Mazza, Managing Director and Head of Product Development, Direxion

Sponsored by Direxion

Outcome-Oriented Investing in the Mainstream

Show Details

Outcome-oriented investing has moved from being an innovative approach toward supporting a core business need for holistic financial advice that incorporates lessons from behavioral investing within a goals-based advice framework. For some advisors, meeting clients’ needs involves ESG strategies; for others it means benchmark unaware income or deaccumulation strategies supporting millennials or retirees, respectively.

Peter Franco, Senior Product Manager, Institutional Software, Morningstar
Alex Riedel, Director, Portfolio Specialist, Morningstar Investment Management

Sponsored by Morningstar


3:00 PM | 30 Minutes Showcase

Showcase Session VII

Exploring the Impact of Trumponomics

Show Details

This presentation explores outcomes of central bank policy as a result of the global financial crisis. The presentation also provides perspective on potential outcomes of the Trump legislative agenda. The presentation concludes with how these themes will impact investors. At the end of the session, participants will be able to articulate how the reaction to the global financial crisis created unintended consequences, and what those consequences are. Participants will also be able to present the upside and downside risks of the legislative agenda and discuss how those coupled with current central bank policy will affect investors.

Kristina Hooper, CFP®, CAIA, CIMA®, ChFC®. Chief Global Market Strategist, Invesco

Sponsored by Invesco

See the Future of Tamarac’s Comprehensive Platform for RIAs

Show Details

This session will offer a sneak peek into the future functionality of the award-winning Tamarac platform. Attendees will see how Tamarac’s capabilities digitize and streamline the complete client lifecycle and provide the most comprehensive platform available to RIAs. Attendees will have the opportunity to see the future of RIA technology and how a truly integrated and open platform can empower RIAs to provide a superior level of service to their clients.

Cameron Sheehan, VP, Practice Management Consultant, Envestnet | Tamarac

Sponsored by Envestnet


3:35 PM | 30 Minutes Showcase

Showcase Session VIII

High-Impact and Meaningful Investor Experiences

Show Details

Investors expect the same type of experience they enjoy as consumers. They want accessible, easy-to-use digital offerings that will give them a full view of their financial portfolio and the ability to effortlessly manage and move their money. Powered by digital tools and technology, this session will explore how financial institutions can take immediate action to enhance the investor experience, maintain loyalty and drive growth.

Rich Keltner, Director of Product Management, Fiserv

Sponsored by Fiserv

What Should I Look for in an Opportunity Zone Fund?

Show Details

This session will cover how to find the right managers, describe why manager selection is key including manager investment structures, fees, risks and investment periods. Joining CAIS will be an Opportunity Zone Fund Manager who will present on their background, the market landscape, and potential long-term benefits of Opportunity Zones.

Nicholas Millikan, Director of Research at CAIS 
Sean Morris, Managing Director at CIM Group, L.P.

Sponsored by CAIS


4:10 PM | 30 Minutes Showcase

Showcase Session IX

Pershing in 30: Unlock the Power of Our Wealth Management Solutions

Show Details

How deeply are you tapping into Pershing's product suite to guide clients throughout their financial journey? Three of our top experts will share the must-know investment, wealth, advisory and retirement solutions at your disposalso you can help clients build their wealth, pursue financial goals and achieve successful retirement outcomes.

Sarah Chain, Director of Managed Accounts, BNY Mellon | Pershing 
Laura Ryan, Product Consultant, BNY Mellon | Pershing 
Cheryl Tuosto, Product Consultant, BNY Mellon | Pershing

Truth and Consequences: Investing in the Longest Bull Market in History

Show Details

In a world where Central Banks seem to wield the greatest power, what can we expect as financial conditions slowly tighten? What starts a recession and where are the weak spots this time? We will discuss our outlook for the global economy and look at what’s already priced into markets. Finish the session better equipped to create more durable portfolios in this hyper-sensitive environment.

Liz Young, CFA, Director of Market Strategy, BNY Mellon Investment Management

Sponsored by Dreyfus | BNY Mellon


4:30 PM | 1 Hour Breakout

Breakout Session III

A Powerful Beginning: How to Reimagine the Client Onboarding Experience

Show Details

What does it mean to become "experience focused" when onboarding clients? This panel of experts will offer ideas for reimagining the client onboarding journey with a focus on creating easier, simpler client experiences, capturing data in new ways, and optimizing integration, while also leveraging paperless solutions, e-signatures and more.

Moderator: Tony Robbins, Vice President, Relationship Manager, BNY Mellon | Pershing
Tina Hollinger, Vice President, Sr. Product Manager, BNY Mellon | Pershing 
Dottie Hulvey, EVP, Chief Operating Officer, BBVA Securities
Jay Jumper, CEO, SIGNiX
Matthew Schlueter, President, Advisor Group

Bridging the Gap to the Next Generation of Advisors and Clients: Are You Doing Enough to Capture the Assets?

Show Details

A historic wealth transfer is underway in America. Are firms taking the right steps to build generational connections with clients? In this session, experts will provide ideas for engaging the next generation of clients, as well as share what leading firms are doing right now to attract and retain a new generation of advisors.

Moderator: Ben Wirtshafter, Vice President, Global Client Relationships, BNY Mellon | Pershing 
Jean Dunn, CFP®, Vice President, Client Loyalty Insights Leader, T. Rowe Price
Drew Hirschler, Senior Practice Management Consultant, BNY Mellon | Pershing 
Katie Swain, Director of Global Strategy and Product Management, BNY Mellon | Pershing

Fixed Income Portfolio Strategies: Navigating the Path Forward

Show Details

This session will give an overview of the driving forces behind the current bond market. Our panelists will discuss relevant fixed income strategies to position portfolios to maximize performance along with insights into the future of the market, with a focus on Fixed Income ETFs. Attendees will learn about the where, why and how regarding their fixed income/fixed income ETFs.

Moderator: Ron Hooey, Head of Sales Trading for Capital Markets, BNY Mellon Investment Management
Matt Forester, Chief Investment Officer, BNY Mellon | Lockwood
Tim Urbanowicz, CFA, Sr. Fixed Income ETF Strategist, Invesco

Growth Opportunities in the LatAm Wealth Management Industry

Show Details

Join your relationship team and our subject matter experts to get the latest updates on solutions to drive engagement and serve your Latin investors. This highly interactive Q&A session will cover views on the industry, what is happening with mutual funds, advisory solutions, managed accounts and much more.

Moderator: Dounia Brown, Vice President, BNY Mellon | Pershing
Rich Calvario, Director, Senior Solutions Manager, BNY Mellon | Pershing
Joel Hempel, Chief Operating Officer, BNY Mellon | Lockwood

RIAs: Which Regulatory Trends Should You Be Watching?

Show Details

What emerging regulatory trends are most critical for RIA firms? Join our experts as they discuss OCIE exam priorities such as digital assets, cybersecurity, and retail investors' matters, including fees, expenses and conflicts of interest, and more. You'll be better equipped to manage through upcoming changes, apply regulatory guidance, meet expectations, and envision where to go next.

Moderator: Nina Weiss, Director and Chief Compliance Officer, Advisor Solutions, BNY Mellon | Pershing
Daniel Bernstein, Chief Regulatory Counsel, MarketCounsel
Leigh Emery, Chief Compliance Officer, Dynasty

What Can Chaos Theory Tell You About the Future of the Financial Markets?

Show Details

How will today's economic, demographic and social changes impact tomorrow's markets–and your business? Join our experts as they explore how unpredictable, non-financial events around the world can impact market performance and, potentially, your own bottom line.

Moderator: Aaron Steinberg, Director, Prime Services, BNY Mellon | Pershing
Karl Dasher, CEO, North America & Co-Head of Fixed Income, Schroders


4:45 PM | 30 Minutes Showcase

Showcase Session X

Financial Planning as a Career: WHY and HOW to Become a CFP® Professional

Show Details

The demand for personal financial planning is greater than ever and the Bureau of Labor Statistics forecasts four times more job growth for financial planners than the national average for all other occupations. By becoming a Certified Financial Planner professional, you will distinguish yourself in this growing field as consumers and employers are increasingly seeking out CFP® certification as the most desired credential in financial planning.  Learn about the benefits of a financial planning career, the CFP® certification process, and career resources available on your path to becoming a CFP® professional.

Angela Caballero, CFP®, Wealth Advisor, Ashton Thomas Private Wealth 

 

Futurizing Core Portfolios: Leveraging Machine Learning for a New Sector Investment Reality

Show Details

Emerging technologies are reshaping global economies at a rapid pace, upending traditional industries and spawning new ones. This breathtaking pace of innovation, which the World Economic Forum calls the Fourth Industrial Revolution, is creating new investment opportunities—and “New Economies.” The cover the economic impact of the Fourth Industrial Revolution, and the New Economies it is giving rise to, will be vast. Leveraging natural language processing (NLP) and data science capabilities investors now have the ability to access solutions designed to capture the technological shifts of our modern economy, in a transparent and rules based way. Implementing these types of solutions into an asset allocation may be able to harness not on the power of sector investing, but also “Futurize” portfolios as we stand on the precipice of immense technological innovation within the Fourth Industrial Revolution.

Matthew Bartolini, CFA, Head of SPDR Americas Research, State Street Global Advisors

Sponsored by State Street Global Advisors


5:20 PM | 30 Minutes Showcase

Showcase Session XI

Fear and Loathing in Fixed Income

Show Details

The discussion about interest rates and credit risk surely ensues uncertainty when it comes to fixed income. This session will cover current market events and debunk many of the myths that exist in the prevailing “narrative." Additionally, there will be discussion on the real implications for fixed-income markets with an in-depth look at the risks and potential opportunities.

Paul McGinn, Senior Vice President and Fixed Income Client Portfolio Manager, First Trust

Sponsored by First Trust

Is Your Portfolio Upside Down?

Show Details

A timely exploration of the level of risk in portfolios today and the importance of downside protection. Learn how to avoid common mistakes and communicate the value of your portfolio management expertise to clients.

Mark Peterson, Director of Investment Strategy and Education, Blackrock

Sponsored by Blackrock


5:30 PM | 2 Hours

Welcome Reception in the Exhibit Hall


5:55 PM | 30 Minutes Showcase

Showcase Session XII

Portfolio Model Compliance

Show Details

With the proliferation of passive investment, the abundance of turnkey model portfolios ("model marketplaces") and broker-dealers move into fee-based business models, the pressures to scale investment management and service creates cost pressures that might limit margin expansion. In this session, methods, insights, and solutions for RIAs, bank broker-dealers and independent's to manage the strategic initiatives in building wealth management will be covered.

Franklin Tsung, CEO, BlackCrown
Ted Tsung, CEO, AppCrown

Sponsored by AppCrown

The Dos and Don’ts of Implementing Digital Advice

Show Details

Thinking through the options, initial target market, and implementation process to accommodate your clients, advisors and home office can be overwhelming. Hear best practices and risk factors to consider when planning your digital advice offering to achieve your strategic objectives, including target market, client journeys, and a successful roll-out for both internal and client adoption.

Simon Roy, President and CEO, Jemstep
Jennifer Valdez, VP of Client Services, Jemstep

Sponsored by Jemstep


Thursday, June 13

7:15 AM | 1 Hour 30 Minutes

Breakfast in the Exhibit Hall


7:30 AM | 20 Minutes Showcase

Showcase Session XIII

Better Client Conversations Through Better Client Reporting: How Are You Preparing for Meetings?

Show Details

Client review meetings shouldn’t be stressful – they should be an opportunity for advisors to add value and deepen relationships. Find out how advisors can take advantage of performance reporting to present clients with a more holistic picture of their wealth and demonstrate the value that a trusted advisor can deliver.

Natasha Horn, Vice President, BNY Mellon | Albridge
Victor Nieves, Product Consultant, BNY Mellon | Pershing 

Lose the Paper, Keep the Trail: Proven Strategies to Streamline Your Business Processes

Show Details

Find out how clients successfully eliminated many paper-and time-intensive processes and streamlined their operational workflows, thanks in part to Pershing's document management system.

Moderator: Jay Lind, Director, Global Client Relationships, BNY Mellon | Pershing
Susan Frigerio, Manager, Business Process Improvement, Associate Vice President, Benjamin F. Edwards


7:55 AM | 20 Minutes Showcase

Showcase Session XIV

Improving Client Experience Beyond Just Great Service and Technology

Show Details

An increasingly competitive landscape for financial advisors is driving more and more of us towards not just giving great financial planning advice, but trying to craft a better experience for clients, upgrading technology tools and reinvesting into client service. But the reality is that a true client experience goes beyond “just” technology and service; instead, it’s about actually staging an experience for clients in which they go through a transformation. In this session, we explore what a real “client experience” is, how it differs from just great service and technology, the current state of the “financial planning experience”, and what it takes to transform the advisor’s own business to provide a great client experience in the future!

Michael Kitces, MSFS, MTAX, CFP®, CLU, CHFC, RHU, REBC, CASL

Tailoring Risk Return Profiles with Structured Products

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“One size fits all” doesn’t work any better for your clients’ finances than their wardrobes. Discover how advisors can differentiate themselves by using structured products to customize clients’ risk return profiles within their portfolios.

Adam Friedman, Director, BNY Mellon Capital Markets, LLC 
Matthew Reilly, Director, BNY Mellon Capital Markets, LLC 


8:30 AM | 30 Minutes General Session

State of the Industry

Moderator: Maura Creekmore, Managing Director, BNY Mellon | Pershing
Charlie Scharf, Chief Executive Officer, BNY Mellon


9:00 AM | 1 Hour General Session

Future Proofing Your Business

A panel of women leaders including industry experts and prominent clients will discuss technology, developing next gen and millennial talent, competition and personal stories of their rise to success.

Moderator: Carol Massar, Bloomberg
Valerie Brown, Executive Chairman, Advisor Group, Inc.
Catherine Keating, CEO, BNY Mellon Wealth Management
Megan Smith, Entrepreneur, Engineer, 3rd U.S. Chief Technology Officer and Former Assistant to the President, CEO shift7

Introduction by Tracy Hopkins, Chief Operating Officer of Dreyfus Cash Investment Strategies,Vice President of BNY Mellon Investment Adviser, Inc. and The Bank of New York Mellon,Executive Vice President of Dreyfus Cash Solutions/BNY Mellon Securities Corporation


10:00 AM | 1 Hour General Session

A Conversation with Simon Sinek

 

 

Introduction by Tracy Hopkins, Chief Operating Officer of Dreyfus Cash Investment Strategies,Vice President of BNY Mellon Investment Adviser, Inc. and The Bank of New York Mellon,Executive Vice President of Dreyfus Cash Solutions/BNY Mellon Securities Corporation


11:30 AM | 1 Hour Breakout

Breakout Session IV

5 Reasons Why Annuities Are an Important Part of Your Investment Offering

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Fixed index annuity sales and variable annuity assets hit record highs in 2018. In this session you'll hear retirement experts detail five observations why annuities are so hot and how they could potentially help heat up portfolios.

Moderator: Laura Delaney, Vice President, Global Strategy & Product Management, BNY Mellon | Pershing 
Jason Berkowitz, Chief Legal and Regulatory Affairs Officer, Insured Retirement Institute (IRI) 
Jim Mullery, Chief Sales and Distribution Officer, Prudential Financial
Hans Schemmel, Director, Retirement, Insurance-based and Cash Management Solutions, BNY Mellon | Pershing

Cybercrime and Privacy: How to be a Defender

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In this session, experts will explore key industry trends and threats impacting the ways wealth management firms need to prepare to be cyber ready defenders. Cybercrime is today's biggest risk to financial markets. Emerging technologies like AI, Machine Learning, Cryptocurrency, Chatbots and virtual engagement methods like Voice Assistants offer incredible opportunity but also introduce new risk. All of this rapid change exists against the backdrop of an increasingly complex framework of privacy and cyber-related regulatory compliance requirements. Learn practical solutions and best practices on how to become more aware, how to prepare and be a threat hunter not a victim.

Moderator: Michelle Feinstein, Head of Technology Client Engagement, BNY Mellon | Pershing  
Maria-Kristina Hayden, Lead, Cyber Wargames & Global Engagement, BNY Mellon
Justin Hectus, Chief Information Officer and Chief Information Security Officer, Keesal, Young & Logan
Jodi Pinedo, Senior Managing Counsel, BNY Mellon | Pershing

Get Up to Date on the Economic Trends and Opportunities Impacting LatAm Investors

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The economic and geopolitical events that influence Latin American investors also impact people who invest in this region from abroad. Get up to date on the major 2018 issues that have shaped the investor climate, and gain insight into what the future might hold for related investment opportunities.

Moderator: Tim Walsh, Relationship Manager, BNY Mellon | Pershing 
Anupam Damani, CFA, Portfolio Manager and Head of International and Emerging Markets Debt Sector Team, Nuveen a TIAA company
Jeffrey Rosenweig, Director of the John Robson Program for Business, Public Policy, and Government at Goizueta Business School of Emory University

What's on the Mind of the Regulators? An Intimate Conversation with Key Industry Leaders

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What's top of mind for the SEC? Which regulatory trends are most critical? This high-profile discussion is designed to help decision-makers see what's around the next turn. Engage with experts to get answers to critical legal and compliance questions regarding cybersecurity, enforcement actions, privacy regulation, cryptocurrency and retirement regulation.

Moderator: Joan Schwartz, Chief Legal Officer, BNY Mellon | Pershing

Where Do Alternative Investments Fit in Your Strategy for Volatile Markets?

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If late 2018's market volatility rekindled your interest in the potential in alternatives, you're not alone. Join a group of investment experts to learn why alternatives are back in the spotlight, and how advisory practices might benefit from putting the "hedge" back into hedge funds.

Moderator: Lisa Lewin, Sales and Relationship Management Prime Services, BNY Mellon | Pershing 
Jeff Fischer, Investment Analyst, The Motley Fool
Larry Holzenthaler, Investment Strategist, Symphony Asset Management
Jeremy Sagi, CIO, Arena Capital Advisors

Where is Financial Advice Heading Next? Experts Explore 5 Critical Trends

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Technology has long been disrupting the advisory business–but there's an entirely new breed of revolution heading our way. Be ready for it by hearing how technology is driving convergence across business models and how generational preferences will reshape the art of financial planning.

Moderator: Christina Townsend, Director and Head of Advisor Solutions Platform Strategy, BNY Mellon | Pershing 
Michael Kitces, MSFS, MTAX, CFP®, CLU, CHFC, RHU, REBC, CASL


12:30 PM | 1 Hour 30 Minutes

Lunch in the Exhibit Hall


12:40 PM | 30 Minutes Showcase

Showcase Session XV

Bonds Are Different: Resolving the Active vs. Passive Debate

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Research indicates that passive strategies may make sense for equities, but it tells a different story for bonds. This session offers the many reasons why active management makes sense for bonds, and why active is especially important in today’s environment, which is marked by low starting yield and rising rates.

Anmol Sinha, Senior Vice President, Strategist, PIMCO

Sponsored by PIMCO

Unconstrained Bond Funds–Bad Idea or Good Idea Poorly Executed?

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Much fanfare greeted the launch of the Nontraditional Bond Fund category. However, the performance experience disappointed many investors. Was the launch of the asset class a bad idea or a good idea poorly executed? This session will re-visit what drove interest in Unconstrained Fixed Income strategies; explore the dynamics of the Nontraditional Bond Fund category; analyze key attributes of top quartile managers and discuss the lessons learned to increase the likelihood of success when using the strategy in client portfolios.

Chris Wilson, CFA, Senior Client Portfolio Manager. Voya Investment Management

Sponsored by Voya Investment Management 


1:15 PM | 30 Minutes Showcase

Showcase Session XVI

Kickstarting the Velocity of Your Wealth Management Business

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Join Xtiva as they offer the additional leverage and opportunity embedded in the performance of wealth management front offices. Drawing on proprietary research, terabytes of anonymized metadata data, and a unique market perspective informed by over two decades of experience, the session will identify the huge front-office performance opportunity, discuss how the modern WealthTech ecosystem is reaching a new maturity to help unlock new pathways to increased velocity that drives revenue and eliminate profit leakages.

Jeff Marsden, Chief Product & Strategy Officer, XTIVA

Sponsored by XTIVA

Millennials to Boomers: Better High-Net-Worth Planning by Generation

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This session will offer the opportunity to learn about generational investing attitudes and the unique experiences that imprint and influence each generation’s money and investing habits. Fresh and data-driven insights will be shared into the factors that determine how each generation makes investment decisions. Lastly, the session will share recent insights from two custom case studies of over 6,000 American investors, and will include guidance from successful financial advisors who have turned these insights into action. Topics include the defining traits of the past three generations; how these traits translate into distinct financial attitudes and behaviors; financial and emotionally acute life events and clear steps you can take to more effectively connect with prospects and existing clients in each generation and life stage.

Mike Van Wyk, Vice President of Client Insights, American Funds by Capital Group

Sponsored by American Funds by Capital Group 


1:50 PM | 30 Minutes Showcase

Showcase Session XVII

Financial Wellness

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This session will share Envestnet's mission in empowering financial advisors with the tools needed to deliver better financial outcomes for their investor clients. An overview on the components of Envestnet's Financial Wellness solution (planning, budgeting, investing, managing credit and protecting) will be discussed.

Sean Lawlor, Vice President of Product Strategy, Envestnet

Sponsored by Envestnet

The Past, Present and Future of Retirement Planning

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What are the key issues and concepts of retirement planning that are relevant today? How has retirement legislation/policy making affected retirement strategies? Attendees will learn the critical background and elements needed to recommend the best retirement strategies and solutions to investors.

Katherine Roy, Managing Director, Chief Retirement Strategist and Head of Individual Retirement, J.P. Morgan Asset Management
Hans Schemmel, Director, Retirement, Insurance-based and Cash Management Solutions, BNY Mellon | Pershing


2:00 PM | 2 Hours Workshop

Workshop Session II

Compliance Keeping You Awake at Night? Learn About Your Resources at the Compliance Toolset Workshop

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Ready to tackle your toughest compliance challenges? Take part in this practical workshop, where you'll learn about resources such as Technology Compliance Toolkits, the New Reports Center, Items for Attention, Anti-Money Laundering, Department of Labor tools, and more. You will join with colleagues in small working groups to learn best practices and create a plan to put these powerful resources into action.

Moderator: Stacy Weber, Vice President, Global Client Relationships, BNY Mellon | Pershing
Regina DeGennaro, Director, BNY Mellon | Pershing
Drew Hirschler, Senior Practice Management Consultant, BNY Mellon | Pershing
Lauren Lezak, Director and Managing Counsel, BNY Mellon | Pershing 
Shawn Rodgers, Vice President, Technology, BNY Mellon | Pershing 

Transform Your Wealth and Advisory Business at this Interactive Workshop Using Pershing’s Powerful Technology and Financial Solutions

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It’s never been more important to distinguish your business and position your firm for success than in today’s competitive marketplace. This workshop will focus on the distinct financial needs of your clients over their life stages, illustrating solutions and products that can deepen relationships and provide needed advice at each stage. Showcasing our comprehensive product suite, Pershing subject matter experts will help you navigate the challenges and increasing complexities that clients face.

Moderator: Janet Kelly, Sr. Practice Management Consultant, BNY Mellon | Pershing 
Tina Nuppnau-Singh, Vice President, Global Client Relationships, BNY Mellon | Pershing 
Tom Sholes, Chief Strategy Officer, BNY Mellon | Pershing


2:00 PM | 1 Hour Breakout

Breakout Session V

Disruptive Trends Are Reshaping Wealth Management–and Your Opportunities

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The wealth and advisory space is expanding. Regulatory pressures, competition and investor demands are intensifying. Fortunately, firms can now take advantage of technological breakthroughs to maintain an advantage. Join this powerhouse panel to find out how technology, innovation and outsourcing are reshaping the wealth management industry and your business opportunities.

Moderator: Mike Partnow, Director, Global Strategy and Product Management, BNY Mellon | Pershing
Dale Brown, Chief Executive Officer, Financial Services Institute 
Marc Butler, Chief Operating Officer and Managing Director, BNY Mellon | Albridge
James Patrick, Group President PMC, Envestnet

From ETFs, ESG and UMAs, Learn How These Investment Solutions Can Help Clients Achieve Better Outcomes

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The pace of innovation has never been quicker–from sustainable investments and ETFs to alternatives, and from active and passive management to UMAs. Join us for a look at the trends in investments and portfolio management and discuss creative ways to build and manage portfolios that can help investors reach better outcomes.

Moderator: Brendan O'Neill, Director of Advisory Solutions, Lockwood Managed Account Solutions, BNY Mellon | Lockwood
Sarah Chain, Director of Managed Accounts, BNY Mellon | Pershing
Walter Davis, Alternatives Investment Specialist, Invesco 
Ethan Powell, Founder, Impact Shares

Know How to Respond When Investors Ask Six Tough Questions Regarding ETFs

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Learn the critical questions most often asked by ETF investors–and the best ways for advisors to respond by tapping into an ever-growing range of ETF offerings.

Moderator: Joseph Baricevac, Relationship Manager, BNY Mellon | Pershing

Managed Accounts for Non-U.S. Clients: Learn About the Construction and Implementation of Model Portfolio Solutions

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Are you prepared to meet the investment needs of your clients? Our panel of experts will discuss their global markets perspective, asset allocation and portfolio construction, as well as successful implementation of fee-based investment programs for LatAm advisors and investors.  

Moderator: John Ward, Managing Director, BNY Mellon | Pershing
Gilbert Addeo, President and Chief Operating Officer, Investment Placement Group
Matt Forester, Chief Investment Officer, BNY Mellon | Lockwood
Carlos Gadala-Maria, Chief Executive Officer and President, VectorGlobal WMG

Managed Accounts Technology: How Can It Help You Accelerate Advisory Growth?

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Having advisory solutions once was a competitive advantage – now it's an absolute necessity. As advisors' roles continue to expand, there's even greater pressure to transition to an advisory-based practice and evolve your investment offering. Find out how you can accelerate and fine-tune your move into advisory and navigate industry trends impacting advisory through Pershing's technology solutions, integrated managed account tools and comprehensive services.

Moderator: Rob Cirrotti, Managing Director and Head of Investment and Managed Account Solutions, BNY Mellon | Pershing 
Joe Barone, Director of Managed Accounts, BNY Mellon | Pershing
Marissa Cleaveland, Manager, Advisory & Trading Services, Wealth Management Group, Securian Financial
Ryan Dahm, Vice President of Lockwood Managed Account Solutions, BNY Mellon | Pershing 

What Is Your Strategy for Incorporating Impact Investing Into Your Firm's Offering?

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Impact investing continues to grow in importance in the industry as individuals begin to invest according to their own personal morals and philosophies. In this session, you'll learn strategies for incorporating Environmental, Social and Governance (ESG) factors into portfolio design in ways that can optimize investment performance as well as social impact.

Moderator: Joel Hempel, Chief Operating Officer, BNY Mellon | Lockwood
Erika Karp, Chief Executive Officer and Founder, Cornerstone Capital
John Mannix, CEO, Baldwin Brothers


2:25 PM | 30 Minutes Showcase

Showcase Session XVIII

A Modern Value Investing Framework

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This session will highlight some of the pitfalls of traditional value metrics (i.e., low Price/Book or low Price/Earnings), particularly as they relate to sectors of the economy where they aren't particularly applicable. However, a focus on free cash flow preserves basic value investing principles and has still proven to be robust. Additionally, this session will touch on how traditional value metrics (P/B, P/E, P/S) are used to construct value benchmarks by Russell, Morningstar, etc. This in turn, has led to Smart Beta or "Factor Weighted" products that are utilizing these metrics as well.

Adam Barth, Director of Research, Gotham Asset Management

Sponsored by Gotham Asset Management

Using Big Data to Seek Consistent Alpha in Inconsistent Markets

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The explosion of data–‘Big Data’–is determining winners and losers in every sector of our economy and has made its way into the field of investment management. With the exponential increase and digitization of data changing the way we share and consume data, there is great importance in transforming this data into useful insight in an effort to make more informed decisions. While Big Data has the potential to make us better investors, it is critical that we separate useful information from artificial noise. This discussion will be on seeking value from the volume in a data rich world.

Sam Shapiro, Client Portfolio Manager, Goldman Sachs Asset Management

Sponsored by Goldman Sachs Asset Management


3:10 PM | 30 Minutes Showcase

Showcase Session XIX

A Roadmap to Blockchain

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There is currently a lot of hype about blockchain networks, in part because of the meteoric rise—and subsequent decline—of Bitcoin, a cryptocurrency supported by a public blockchain network. However, bitcoin is only one use case among many for this new technology.  Blockchain networks have myriad applications with the ability to increase efficiency and reduce costs, potentially disrupting the current investment landscape and creating new opportunities.  This session will cover the evolution of blockchain and cite use examples across multiple industries—ultimately highlighting why it is important to understand blockchain from a fundamental investing perspective.

Annelise M. Docel, CFA, William Blair

Sponsored by William Blair

Macro Market Perspectives

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This session will analyze a wide range of economic and market data that can help investors navigate through a possible turning point in the business cycle. The following timely questions will be addressed: Will the Fed pause extend the business cycle? Can we trust the recessionary signal of an inverted yield curve, or is it distorted by QE? When will the next recession begin, and how severe will it be for the economy and for markets? How should investors position in this environment?

Brian Smedley, Senior Managing Director and Head of Macroeconomic and Investment Research, Guggenheim

Sponsored by Guggenheim


3:45 PM | 30 Minutes Showcase

Showcase Session XX

How to Be a Better Borrower: Winning the Bank Financing Game

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Bank Financing is changing the landscape of M&A for the wealth management industry. In this presentation you will learn how to become a better borrower and create freedom and flexibility to grow your business or plan for your succession. Here is what you will take away from our session today: Learn the structural considerations of the different types of financing for M&A. Understand how to best prepare and position your enterprise for bank financing. Master the steps for a successful acquisition.

Aaron Hasler, Managing Partner, Skyview Partners

Sponsored by Skyview Partners

Reevaluating Risk: Now is the Time

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In the wake of the financial crisis, investors cheered soaring risk-asset returns and plummeting volatility. But, now, even vigilant investors may have hidden hazards threatening their portfolios’ security. Find out why now is the time to reevaluate risk in your portfolios and take a fresh look at asset classes that may be overlooked which present interesting opportunities.

Marc Dummer, Portfolio Manager, Principal Global Investments

Sponsored by Principal Global Investments


4:20 PM | 30 Minutes Showcase

Showcase Session XXI

How Billion-Dollar Advisory Firms Use Sleeves to Deliver Customized Advice

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As the world of financial advice continues to grow and evolve, advisory firms are increasingly going through a series of challenges in the growth race. The firms that have recognized the stages and grown to over $1 billion in assets are using flexible advice delivery with sleeve level accounting to provide exceptional client value. Can your firm incorporate sleeves to help grow faster with flexible advice and mitigate risk? This session will explore a variety of investment portfolio scenarios across some of the largest and respected wealth management firms and how they use sleeve level accounting as building blocks to manage and deliver customized advice. This session will cover current portfolio management challenges and provide you with insight on how to overcome and grow your firm with scale and efficiency.

Nichlaus Thacker, Senior Vice President of Business Development, Vestmark, Inc.

Sponsored by Vestmark, Inc. 

Targeted Solutions Based on Client Needs

Show Details

Join this session to discover how to implement software into your practice and demonstrate your value to your clients.

Matt Hartford, Account Manager, MoneyGuide

Sponsored by MoneyGuide


4:55 PM | 30 Minutes Showcase

Showcase Session XXII

Digitizing Your Practice for the Next Generation of Investor

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As the $30 trillion intergenerational wealth transfer continues to heat up, advisors need to understand a newer generation of investors. Tech savvy, socially responsible, and always connected, the investors of tomorrow are managing their money in ways not seen in past generations. So, how do advisors connect, build, and maintain relationships in a changing marketplace? This session will unpack the biggest trends and how advisors can gain new clients leveraging digital marketing, social media, and content.

Alex Cavalieri, Head of Marketing, CION Investments

Sponsored by CION Investments 

Why You Need to Improve Your Client Experience Right Now

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With client expectations continuously shifting, advisors are facing the pressure to offer a comprehensive client experience—one where clients not only understand their total financial picture, but one where they also are made to feel unique in their interactions with their advisor. Learn how with technology, you can stay on cutting edge of innovation and build better relationships that ultimately scale your business.

Todd Bertucci, SVP of Enterprise Development, Orion Advisor Services, LLC

Sponsored by Orion Advisor Services, LLC


7:00 PM | 3 Hours General Session

Closing Night Celebration


Friday, June 14

8:00 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall


8:15 AM | 30 Minutes Showcase

Showcase Session XXIII

Advisor M&A Strategies – A Roadmap for Success

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The market for mergers and acquisitions of advisor practices continues to see increased deal activity every year on the back of unprecedented market conditions, an aging advisor population, increased competition and pressure on fees, more compliance than ever before, and a reasonable expectation that a massive amount of advisors will be retiring over the next decade. This session looks back at deal activity in 2018 to provide the most current and interesting trends related to advisor valuation, financing, succession, and exit planning best practices. Industry experts will share key observations and provide answers to the industry’s most frequently asked questions.

David Grau Jr., Founder and CEO of Succession Resource Group
Dustin Mangone, Managing Partner, Director of Advisor Services, PPC Loan

Sponsored by PPC Loan

U.S. Real Estate as an Asset Class: Why it Makes Sense to Include Real Estate into a Financial Portfolio

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This session will share how direct real estate investment reduces portfolio volatility and increases expected returns as shown by real estate prices historical data.

Lisandro Videla, VP of Distribution, Prodigy Network

Sponsored by Prodigy Network/Flex Funds


8:50 AM | 20 Minutes Showcase

Showcase Session XXIV

How Can You Access Global Equity Markets Without Leaving the US? Take a Deeper Look at BNY Mellon's Depositary Receipts

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$4 Trillion AUM is now benchmarked to the MSCI EAFE and EM Indices, as investors strive for international diversification. But did you know that overseas markets can be accessed–up to 98% of MSCI ACWI–through DTC-eligible Depositary Receipt securities in U.S. dollars? Whether you're already investing globally or just exploring options, you'll gain insights and practical ideas in this session.

Emily Bush-Brown, Director, Depositary Receipts, BNY Mellon

Review and Present the Impact of the Updated FATF Risk Based Approach to AML in Securities

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The FATF Risk-based Approach Guidance for the Securities Sector was updated in October 2018. Additionally, regulators and bodies like the FATF around the world are talking about the need for innovation to manage financial crime risk. This session will review the updated guidance and how technology can support compliance with the updated perspective and also cover how innovation can help manage risk effectively. Also, it will focus on accurate detection and operational efficiency in the context of a risk based approach.

Andrew Davies, Vice President, Global Market Strategy, Financial Crime Risk Management Solutions, Fiserv

Sponsored by Fiserv  


9:15 AM | 1 Hour Breakout

Breakout Session VI

Advisors: Harness the Power of Institutional Investment Strategies

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Where is the big money going? How can you leverage relevant trends in your practice? A panel of institutional investors will share insights into the data points that drive their allocation models and investment decisions–and reveal what their due diligence looks for.

Moderator: Lisa Lewin, Sales and Relationship Management Prime Services, BNY Mellon | Pershing 
Casey Wamsley, Senior Vice President, Infinity Capital 
Anthony Wicklund, CFA, CAIA, Managing Director, Portfolio Manager, Wilshire Associates 

Broker-Dealers: Which Regulatory Trends Should You Be Watching?

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What emerging regulatory trends are most critical for broker-dealer firms? A team of industry experts digs into sales practice, operational, market and financial risks–with an eye toward helping you adapt to upcoming changes, apply regulatory guidance, meet expectations, and determine where to go next.

Moderator: Mitch Bell, Director, Global Client Relationships, BNY Mellon | Pershing  
Erinn Ford, President and Chief Executive Officer, KMS Financial Services
Joan Schwartz, Chief Legal Officer, BNY Mellon | Pershing 

Can Model Portfolios Help You Meet Investor Demands More Effectively? Find New Ways to Add Value in Today’s Environment

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As investor demands evolve, asset managers are seeking new ways to add value. In this session you'll learn how model portfolios and new delivery methods can serve as a dynamic springboard for your practice.

Moderator: Rob Coira, Director of Product Management and Managed Accounts, BNY Mellon | Pershing 
Sharika Cabrera, Executive Director, Investment Specialist, Multi Asset Solutions, J.P. Morgan Asset Management 
Aaron Gilman, Chief Investment Officer of IFP Asset Management
Brendan O'Neill, Director of Advisory Solutions, Lockwood Managed Account Solutions, BNY Mellon | Lockwood

Enhanced Mutual Fund Share Class Screening - Making it Easier to do Business and Comply with Regulations

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Join us as we sort through the alphabet soup of mutual fund share classes. Our panel will discuss the current regulatory environment as well as the challenges associated with share class selection for both firms and advisors. The panel will also provide an overview of the Pershing tools available to help simplify the process and increase efficiency.

Moderator: Sibel Macfarlan, Vice President, Global Strategy and Product Management, BNY Mellon | Pershing
Rich Calvario, Sr. Practice Management Consultant, BNY Mellon | Pershing
Brendan Sullivan, Mutual Fund, Annuity and 529 Plan Operations, BNY Mellon | Pershing 
Kjirsten Zellmer, Director SFS Business Operations, Securian

Maintain Your Edge: How Will You Provide Leading Solutions?

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Investors are facing new challenges and complexities every year, which is poised to make financial advice more critical than ever. Find out what two industry heavyweights see on the horizon for advice-oriented advisors, from comprehensive wealth management to digital delivery.

Joel Hempel, Chief Operating Officer, BNY Mellon | Lockwood
Robert Eaton, Managing Director, Head of US Business Development, Aladdin Wealth Tech at BlackRock

Your Access to Alternative Investment Options is About to Get Better

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What factors have changed regarding alternative investments this past year and what hasn't? A powerhouse panel explores the reasons why advisors and RIAs now can take advantage of new alternative investment offerings and opportunities that feature non-institutional, lower price points.

Moderator: Justin Fay, Director of Global Strategy and Product Management, BNY Mellon | Pershing  


10:45 AM | 1 Hour 15 Minutes General Session

A Conversation with Steve Nash