Sr. Research Analyst
Tel: +1 212-944-4460
SVP, Business Development
Tel: +1 203-595-3280
SINC 2010 thanks its sponsors:
|Strategic Insight National Conference
Evolving Opportunities in Fund Distribution, Product Innovation & Retirement Markets
|June 28-29, 2010
Pier 60, Chelsea Piers
New York, NY
|About | Agenda | Speakers | Venue | Photos | Video Highlights
Editor in Chief
PLANSPONSOR, PLANADVISER Magazines
Nevin is Editor in Chief of PLANSPONSOR magazine, its Web counterpart, PlanSponsor.com, the nation’s leading authority on pension and retirement issues, and of PLANADVISER magazine. He is also the creator, writer and publisher of PLANSPONSOR.com’s NewsDash, the industry’s leading daily source for information. Nevin joined PLANSPONSOR in 1999 as Executive Editor, and was promoted to his current position the next year. Previously he worked for 13 years at Wachovia Bank, where he led the defined contribution/recordkeeping businesses. Prior to Wachovia, Nevin worked with retirement plans at Northern Trust, where he developed the proprietary recordkeeping platform. A frequent and popular speaker at industry and trade conferences, he graduated magna cum laude with a BS in Finance from DePaul University, and in 1988 received his JD from DePaul.
CEO, Chief Investment Officer, Principal Advisor
Altfest Personal Wealth Management
Lewis J. Altfest, Ph.D., CFP, CFA, CPA/PFS, is CEO, Chief Investment Officer, and a Principal Advisor for Altfest Personal Wealth Management. He is also Associate Professor of Finance at Pace University’s Lubin School of Business. Lew was named one of the “Best Financial Advisers” in the country by Barron’s, as well as by Money, Worth, Mutual Funds and Medical Economics magazines, and the 2007 Charles R. Schwab IMPACT Award winner. His academic textbook, Personal Financial Planning (McGraw-Hill) is used at universities around the country. Lew was a founding member of the National Association of Personal Financial Advisors (NAPFA). Prior to starting his own firm, Lew was Director of Research for Lord Abbett & Co. and a General Partner.
Senior Research Analyst
Dennis is a Senior Research Analyst at Strategic Insight. He produces reports and articles on the U.S. investment management industry, with a particular emphasis on fund distribution. He joined the firm in 2007. Prior to joining Strategic Insight, Dennis worked at AllianceBernstein in their U.S. mutual fund area and also spent time with UBS as a financial advisor. Dennis earned his undergraduate degree in economics from Johns Hopkins University, and holds an MBA from NYU’s Stern School of Business.
Jason R. Ainsworth
Managing Director, Head of Advisor Solutions Group,
Jason Ryan Ainsworth, Managing Director, heads the Advisor Solutions Group in Intermediary Sales. He joined Neuberger Berman in 1998 and joined the Intermediary Sales Group as a director in the managed account group and subsequently worked as a National Sales Director until taking on his current role. Prior to joining the Neuberger, Jason worked at Van Kampen Funds as a vice president, and prior to that at Trevor Stewart Burton & Jacobsen as a national marketing coordinator. Jason earned a BBA in Finance at Texas A&M University.
Director, Advisory Products & Program Management,
Morgan Stanley Smith Barney
Marc is the Director of Advisory Products and Program Management for the Consulting Group. He has more than 20 years of experience in the asset management business, at firms such as Citigroup Asset Management, New York Life Investment Management and Oppenheimer Capital. He has sold, managed and run businesses in the retail, institutional and retirement areas.
Chris J. Brown
Founder and Principal,
Sway Research, LLC
Chris J. Brown is founder and principal of Sway Research LLC, a strategic market research firm serving the financial-services industry; Sway is a specialist in the defined contribution investment-only (DCIO) market, offering consulting, custom research and other services. Chris began his career 17 years ago working as a financial consultant for Smith Barney. He then served for 10 years as vice president and director of research at Financial Research Corporation, before founding FRC's retirement market research unit in 2003. Chris has authored dozens of in-depth research studies and forecasted trends in the DCIO, IRA rollover, and retirement income markets, and has become a sought-after commentator on industry trends; he’s been cited in numerous publications, including The Wall Street Journal, Financial Times and Investment News. He holds a BS in Business from Southern New Hampshire University, as well as NASD Series 7 and 63 licenses.
Director of Sales,
Todd’s responsibilities include all aspects of Sales and Client service for Coates Analytics. Todd is a popular public speaker at National Sales Meetings, and also conducts frequent sales training sessions and consults on the various components of the Coates Distribution Management System. His clients include asset management firms and he regularly works with our Coates’ distribution partners, Merrill Lynch, Wells Fargo and many others. Todd is a Certified Investment Management Analyst (CIMA) and has held senior sales positions at Merrill Lynch, Strong Capital Management and other firms. He holds a B.A. in Business Administration from Rowan University.
Executive V.P, Director of Investments and Retirement Division,
Jim is executive vice president and director of the Investments and Retirement Division (IRD) at Hartford Life, a subsidiary of The Hartford Financial Services Group. He was appointed to his current role in June 2009. IRD consists of Hartford’s annuity, mutual funds and retirement plans businesses. Davey was previously executive vice president of Employer Markets at The Hartford, which included the Retirement Plans Group and the Group Benefits Division. Prior to that, Davey was senior vice president of the Retirement Plans Group. Prior to joining The Hartford, Davey served in various management roles at Merrill Lynch. Davey has a B.S. in marketing from King’s College.
Sr. Managing Director, Defined Contribution and Sub-Advisory Relationships
Richard is responsible for directing AllianceBernstein’s business development activities with insurance companies and 401k administrators, as well as providing overall support for AB’s defined contribution client development activities. He took on his current responsibilities in 2010 after leading the company’s defined contribution product strategy and institutional DC business units for nearly two years. Previous positions at AllianceBernstein included head of retirement and college-savings business for the firm’s mutual funds organization, and head of global marketing and product management.
Prior to joining Alliance in 1995, Richard held positions at First Chicago Corp. and The Boston Consulting Group. He has degrees from the University of Wisconsin and Harvard Business School.
Senior V.P., National Sales Manager,
As Sr. Vice President and National Sales Manager for Prudential Investments, Jim oversees the company’s sales managers, wholesalers and sales desks. Jim joined the firm in 2007. Prior to Prudential, Jim spent 11 years at Columbia Funds, where he was divisional manager for three years and a wholesaler for eight. He began his career at John Nuveen & Co., where he spent six years as a wholesaler. Jim received a B.A. in economics and political science from Villanova University.
Glenn A. Dial
V.P., National Sales Manager, Defined Contribution Investment Solutions Business
Glenn is a 19-year veteran of the retirement plan industry and helped create leading edge concepts such as the “Target Date Compass.” He has written articles or been quoted in such publications as The ASPPA Journal, Defined Contribution News, PLANSPONSOR, Employee Benefit News and others. Prior to joining JPMorgan, Glenn held senior management positions with Merrill Lynch, Ceridian and ADP. Glenn holds the AIF and PRP credentials, as well as Series 7 and 26 licenses. He earned a BSBA in Finance from the University of Central Florida and an MBA from Rollins College.
Managing Director, Global Investment Solutions,
Merrill Lynch Global Wealth and Investment Management
Erin is managing director and head of global funds and insurance for Merrill Lynch Global Wealth and Investment Management. She is responsible for the firm’s domestic and offshore mutual fund, money fund and exchange traded funds businesses in the Americas, Asia Pacific and EMEA. Erin is also responsible for leading the firm’s annuity and life insurance offerings. Erin joined Merrill Lynch in 1996 and has held leadership positions in managed asset products, global relationship management, product management and marketing. Prior to joining Merrill Lynch, she worked in insurance and banking. She received a BA from St. Joseph’s University in Philadelphia and holds Series 7, 24, 63 and 65 licenses.
Senior Research Analyst
Loren is a Senior Research Analyst at Strategic Insight, where he produces research on the U.S. investment management industry and frequently consults with SI clients, especially in the areas of distribution, marketing and ETFs. He has been with the firm since 2007. Prior to joining SI, Loren was a business journalist and author, having worked at Institutional Investor magazine, Business 2.0, and other publications. He has degrees from Johns Hopkins University and Columbia University.
Eric J. Freedman
Chief Investment Officer, Head of Consulting Research Group,
CAPTRUST Financial Advisors
Eric is CAPTRUST's Chief Investment Officer, a member of the firm’s Executive Committee and the head of the Consulting Research Group. In his role, Eric is charged with asset allocation research and tactical decision-making as well as directing CAPTRUST's investment vehicle and manager selection efforts. Prior to joining CAPTRUST, Eric worked for Franklin Street Partners as a Senior Portfolio Manager and the Goldman Sachs Group as a Vice President in its Equity Derivatives and International Equities businesses. Eric has a BA with honors in Economics from Colgate University, and an MBA from the Wharton School of the University of Pennsylvania. He also holds Series 3, 7, 63, and 65 designations.
Senior V.P., Director of Defined Contribution Investment,
MFS Investment Management
Matthew Gannon is Senior Vice President and Director of Defined Contribution Investment (DCI) for MFS Investment Management, where he is responsible for overseeing the firm’s DCI business development through its retail and institutional channels. Matt assumed his current position in January 2008. Most recently Matt had been Director of Dealer Relations, responsible for MFS’ business relationships with national and regional broker dealers, independent dealers, banks, and insurance companies. Matt first joined MFS in 1987 and has worked in numerous positions. For nine years, from 1995 to 2004, he served as Director of Strategic Alliances and Dealer Relations for MFS Retirement Services, Inc. Matt has en education degree from Tufts University.
Managing Director, head of Strategy Research for Product Strategy and Business Intelligence,
Scott is head of Strategy Research for Product Strategy and Business Intelligence in J.P. Morgan’s Funds Distribution Group. He leads the firm's product research and development activities as well as product positioning initiatives. Additionally, he oversees the analysis of the distribution team’s sales and marketing efforts, providing insight around the company’s go-to-market strategies and campaigns. An employee of JPMorgan since 2003, he previously worked in due diligence in the Retail Banking division, where he oversaw research for managed account and brokerage. Prior to joining JPMorgan, Scott was a consultant for Mercer Management Consulting and Cambridge Technology Partners, where he focused on the financial services and consumer products industries. Scott holds a BS in electrical engineering from Tufts University, an MBA from Columbia University, and is a CFA charterholder.
Robert M. Geppner
Senior V.P., National Sales Manager,
Franklin Templeton Distributors
Bob Geppner is a sr. vice president and the national sales manager for U.S. Advisory Services. He manages eight divisional sales managers and the external wholesalers within the sales division, and additionally oversees the DCIO and SMA distribution. Mr. Geppner also has an active role in the development of relationships with broker/dealer home offices. His responsibilities include coordinating and expanding the sales of all Franklin Templeton products. Bob has more than 26 years of experience in the financial services industry. He joined Franklin Templeton in 1987 as a wholesaler for the wirehouse/regional division, and in 1997 assumed the role of Eastern national sales manager. Before joining Franklin Templeton, he worked as a retail broker with a national brokerage firm.
Michael E. Goss
Executive Vice President,
Fiduciary Investment Advisors, LLC
Mike is the Executive Vice President of Fiduciary Investment Advisors, LLC (FIA). Prior to founding FIA, he was a Senior VP and PRIME Consultant at UBS Financial Services. Mike is often quoted in the press and has been recognized within the industry numerous times; most recently, in 2010 he made 401kWire’s list of the 40 Most Influential Advisors in Defined Contribution and top 10 Most Influential in the Large Plan category. He is a member of the Government Finance Officers Association and a founding member of the Connecticut Public Pension Forum. Mike received a B.A. from Boston College and an MBA from Babson College, and holds the PRP designation.
Director, National Sales Manager,
Robert is National Retail Sales Manager responsible for managing client relationships with broker dealers, financial advisors, banks and registered investment advisors. Robert, based in Chicago, has over 14 years of experience in building and managing retail sales teams. Most recently he served as Executive Director, Head of National Sales and Key Account Management for the national wirehouse & major bank channel of Van Kampen Investments. There, he successfully integrated the firm's multi-product distribution platform into one client-centric sales team focused on better servicing financial advisors in the wirehouse and major bank channel. Robert has a BA from University of Iowa and has FINRA series 7, 63 and 24 licenses.
Managing Director, Head of Global Strategic Relationship Group,
JPMorgan Asset Management
Jed is the head of JPMorgan Asset Management's Global Strategic Relationship Group, where he manages the sales teams and businesses that deliver the firm's mutual funds, separate accounts and alternative investments to broker-dealers, insurance companies, asset managers, banks and registered investment advisors. Jed is on the Operating Committee for the J.P. Morgan Funds. An employee since 1996, he has held numerous positions throughout the firm in business management and sales. Prior to joining JPMorgan, Jed spent two years at Kramer Levin. He holds a B.A. in politics from Ithaca College, a J.D. with honors from Brooklyn Law School and is a member of the New York State Bar.
Managing Director, Advisory Products Group,
Wells Fargo Advisors
Ian is the Managing Director of the Advisory Products Group at Wells Fargo Advisors, where he heads the firm’s various managed account product lines. He has over 20 years in the financial services industry, and has served in senior positions at several investment firms and industry advisory boards. Prior to joining Wachovia, Ian was Senior V.P. and Director of Managed Accounts, Mutual Funds and Unit Investment Trusts at UBS; Managing Director of Investment Consulting Services at RBC Dain Rauscher; and with Merrill Lynch for 12 years before that. He holds a B.S. in Finance from Fairleigh Dickinson University, as well as the CFA and CFP credentials.
Senior V.P., Head of Managed and Retirement Solutions,
Janney Montgomery Scott
Francis J. (Frank) McAleer, Jr., CIMA is a Senior Vice President and Head of Managed and Retirement Solutions at Janney Montgomery Scott LLC. In his role, Frank leads the strategic direction of internal distribution and marketing initiatives of Janney’s managed account offering, mutual funds and retirement planning efforts. He joined Janney from Constellation Funds Group & BHR Institutional Funds, where, as Executive Vice President and Managing Partner, he was responsible for the oversight of all distribution channels. With over 20 years of distribution experience, he has held senior level positions with Old Mutual Asset Management, Merrill Lynch Investment Managers and Fidelity Investments. Frank received a B.S. in business administration and accounting from Drexel University, and holds series 7, 24 and 63 licenses and the CIMA designation.
Frank A. McCarthy
V.P., General Manager, External Products Group,
Ameriprise Financial Services
As Vice President and General Manager of the External Products Group, Frank McCarthy has responsibility for the non-proprietary products offered through Ameriprise Financial Services, including mutual funds, 529 Plans, REITs, funds of hedge funds, structured products, syndicates, managed futures, annuities and brokered insurance. Before joining Ameriprise, Frank was President of TCF National Bank’s affiliated broker-dealer, TCF Securities, from 2000-2003; from 2003 to August 2004 he was Chief Operating Officer and General Counsel for TCF Investments and Insurance Group. Before TCF he was employed by North Central Life Insurance Company for 18 years in several capacities, including Chief Operating Officer. He serves as an advisory member of the Board of Directors for the Investment Program Association. Frank holds a B.S. degree in Marketing from St. Cloud State University and a J.D. from William Mitchell College of Law.
Executive Vice President & Research Director,
Avi, Executive Vice-President, is also the Research Director and co-Founder of Strategic Insight, an Asset International company. Today he oversees 100+ studies the firm publishes annually – from innovations among U.S. funds and variable annuities to lessons and developments in the global asset management business. In addition, Avi regularly consults with many of SI's clients. In his public role as an industry observer, Avi frequently comments to the media and has become a sought-after speaker in both U.S. and international forums. Avi received his MBA degree, with distinction, from NYU's Stern Business School.
Patrick E. Oberlander
Director of Corporate Retirement Plans,
UBS Financial Services
Patrick is an Executive Director of UBS Financial Services and currently serves as Director of Corporate Plans within 401k and Institutional Consulting, Wealth Management Solutions. In that capacity he oversees corporate retirement plan product development and business. Prior to joining UBS Financial Services in 2007, Patrick worked in various capacities in the retirement plan business, including Sr. Vice President and Director of Retirement Services for McDonald Investments (1995 to 2007), Regional Retirement Sales Representative for Transamerica (1992 to 1995), Regional Retirement Sales Representative for CIGNA (1988 to 1992), and various home office positions with CIGNA (1976 to 1988) and Travelers. Pat currently holds Series 7, 26, 63, and 66 securities licenses.
Executive V.P., Head of Marketing, Investments and Product,
Wells Fargo Funds Management
Andrew is an executive vice president responsible for marketing, investments, and product development for Wells Fargo Funds Management. Andrew has been with Wells Fargo since 1992, holding various positions, including portfolio manager and head of products and investments. Prior to joining Wells Fargo, he was controller for Norwest’s Investment Management and Trust group. Earlier in his career he was manager of Financial Planning and Analysis for The Pillsbury Co. Andrew has a bachelor’s degree from the University of Pennsylvania and an M.B.A. from the University of Michigan. He also has the CFA designation and is a member of the CFA Institute.
Senior V.P., Director of Marketing,
With over 30 years of experience in the securities industry, Norlyn is nationally recognized for her tactics to nurture the sales efforts of financial advisors. At Cadaret, Grant she helps ensure that the firm’s representatives have robust sales and marketing campaigns and numerous training tools. Norlyn began her career working for a municipal bond house and later worked for a regional broker/dealer in New York City. Prior to joining Cadaret, Grant & Co. in 1986, she launched a successful mutual fund training program for life insurance agents. Norlyn is a trustee of Lions Eye Bank of Delaware Valley.
Dan is an authority on strategies for financial institution and financial advisors to attract high net worth clients and build deeper client relationships. He writes a weekly column on financial issues for the Globe and Mail, Canada’s leading national newspaper. In 2002, Dan took a hiatus from his consulting business to serve as CEO of one of Canada’s largest broker-dealers, with over 3,500 advisors; two years later, he successfully led its sale to a large mutual fund company.
In 2009, Dan had three of the top 10 articles published by Horsesmouth, the widely read practice management website for US financial advisors. He is the author of the book Getting Clients Keeping Clients: The Essential Guide for Tomorrow’s Financial Advisor. Dan holds an MBA from the Harvard Business School and since 1992 has been a faculty member in the MBA program at the Rotman School of the University of Toronto.
Senior vice president and Director, Advisor Resource Group,
MFS Investment Management
Bill is a senior vice president and director of the Advisor Resources Group of MFS Investment Management. The objective of the Advisor Resources Group is to strengthen MFS’ relationships with, as well as provide a single MFS point of contact for the analytical teams at key distributors in all channels and third-party platforms.
Bill joined MFS in March 2005 after 21 years with Merrill Lynch, where he started as a financial consultant. He held various positions in the sales, marketing and business relationship areas of Merrill’s mutual fund and asset management business, and ultimately became first vice president and director of non-proprietary mutual funds. He has a degree from Boston University.
Chairman and CEO,
Sincere & Co.
Richard founded his marketing/distribution firm in 1997 after holding senior positions at Fidelity Investments, National Westminster Bank, and Citibank. Sincere & Co. distributes institutional mutual funds to the independent fee advisor market, and advises investment management firms on how to best tap the independent RIA marketplace. Richard writes a bi-monthly column for NAPFA Advisor, and serves on the advisory boards of two financial publications, the Journal of Wealth Management and Inside Money (insidemoney.org). Richard earned his Bachelor of Arts degree in 1975 from the University of Wisconsin at Madison and his Master of Management degree in 1982 from Northwestern University's J.L. Kellogg Graduate School of Management.
Managing Director, Head of Sales and Distribution,
Jim serves as Managing Director responsible for sales and distribution for RidgeWorth Investments. He oversees all marketing, sales and client service efforts for RidgeWorth Capital Management. Jim most recently served as Executive V.P. and Director of Sales for AIM Distributors Inc. Over his 15-year career at AIM he was in leadership roles overseeing institutional, platform and retail sales activities.
Jim began his career in financial services in 1986. He has a wide range of investment experience, including roles selling life insurance, as a research analyst and as a wholesaler for various mutual funds, annuity and retirement products. He received a B.S. in business administration from Valparaiso University, and holds the CFP and CIMA credentials.
Senior Vice President, Investment Client Services,
ING U.S. Retirement Services
Marianne Sullivan is senior vice president and head of Investment Client Services for ING, a role in which she oversees the team responsible for selecting and monitoring retirement plan investments for all of ING’s markets. She previously headed up the Company Stock Management area. Sullivan has been with the ING family of companies since 1990. Prior to that, she was assistant vice president in the Corporate Financial Services Group for Bank of New England. Sullivan has a B.A. with honors from the University of New Hampshire and an M.S. in Finance with high distinction from Bentley College, and is a graduate of the Williams College Trust School. She also holds Series 7, Series 24 and Series 63 FINRA licenses.
Senior V.P., Head of ETF Product Management,
Don Suskind, CFA, is a senior vice president in the Newport Beach office and head of the exchange-traded fund (ETF) product management team, which is responsible for PIMCO's ETF business globally. He also serves as a vice president of the PIMCO ETF Trust. He was previously on PIMCO's StocksPLUS product management team, and prior to joining PIMCO in 2004 he provided merger and acquisition advisory services. He has 12 years of investment experience and holds an MBA from the Wharton School of the University of Pennsylvania and an undergraduate degree from the University of Virginia.
Jeffrey A. Wilk
VP, Product Management,
MetLife Broker-Dealer Group
Jeff is responsible for leading all disciplines within the MetLife Broker-Dealer Group's Product Management area for the full suite of roughly $100 billion in assets in investment, advisory and variable products. He has direct responsibility for the group’s product portfolio, including product development, clearing and advisory Platforms, strategic relationships, due diligence, and other duties; his responsibilities extend to the entire MetLife Broker-Dealer Group, representing MetLife Securities, New England Securities, Tower Square Securities, and Walnut Street Securities. Jeff also serves as chairperson for the Broker-Dealer's Investment Product Committee. Prior to his current role, he ran Strategic Marketing for the Broker-Dealer Group as the Chief Marketing Officer.