David J. Bauer
Casey, Quirk & Associates
David, a founding partner of Casey, Quirk & Associates, has been in the investment management industry since 1989 as a consultant and portfolio manager. His consulting experience encompasses all major functional areas (business management, investment management, and distribution). David has co-authored several industry research papers, including Target-Date Retirement Funds: The New Defined Contribution Battleground (2009). Prior to Casey Quirk, David was a Director at Barra Strategic Consulting Group, where he worked with investment management clients as a management consultant, and RogersCasey, where he was a pension consultant. Prior to that he worked for Greenwich Associates, Bankers Trust Investment Management and Playtex Products Inc. David earned an M.B.A. from Duke University’s Fuqua School of Business and holds a B.A. in Economics from Tufts University.
Sander M. Bieber
Partner, Financial Services
Sander M. Bieber regularly advises boards of directors of U.S.-registered investment companies and independent directors to investment companies, and represents investment companies, investment advisers, broker-dealers, fund administrators, and other financial services institutions in regulatory and general corporate matters. He has been with Dechert since 1981. Sandy has a BA from Princeton University and a law degree from Case Western Reserve University. He is a member of the American Bar Association and the District of Columbia Bar, and has been listed since 2008 in The Best Lawyers in America for his work in mutual fund law.
Managing Director, Global Product Strategy & Development
Goldman Sachs Asset Management
Glen Casey is a managing director in Goldman Sachs Asset Management (GSAM) responsible for product strategy and development, coordinating new product introductions and third-party sales support initiatives globally with a specific focus on GSAM’s mutual fund offerings. He also serves on the GSAM New Products Committee. Glen joined Goldman Sachs in 1997 as a vice president and head of strategic planning for the US third-party distribution business; he was named managing director in 2007. Prior to joining Goldman Sachs, Glen was a senior consultant with Cerulli Associates, where he directed research and strategic consulting efforts for financial institutions for four years. Earlier in his career, Glen spent eight years with Fidelity Investments in various financial and business planning positions. Glen received a BS in Accountancy from Bentley College and a MS in Finance from Boston College.
VP, Innovative Simplicity-Retirement Income
Mark J. Foley is vice president of Innovative Simplicity for Prudential’s Institutional Income Innovations Group. In this role he is responsible for the construction and oversight of products and solutions designed to deliver a retirement paycheck to working Americans enrolled in employer-sponsored plans. Previously, Mark was the senior product manager for Prudential Retirement’s asset allocation products and selected equity funds. Earlier, he oversaw stable value products and asset allocation and equity product management at CIGNA, and was director of guaranteed products at MetLife. Mark got his bachelor’s degree from Rutgers University, and is a CFA charterholder.
Mark N. Fortier, CFA
Head, Product & Partner Strategy,
AllianceBernstein Defined Contribution Investments
Mark is responsible for developing and supporting AllianceBernstein's defined contribution product solutions for plan sponsors and intermediaries, as well as for establishing strategic partnerships and integrated solutions with recordkeepers, insurance companies, investment managers, and investment consultants. Previously, he was a senior portfolio manager focused on DC products for the AllianceBernstein Blend Solutions team. Prior to joining the firm in 2007, Mark was Senior VP and Chief Technology Officer for Diversified Investment Advisors, overseeing technology, investment solutions and participant communications. Mark received a BA from Columbia University and an MBA from NYU’s Stern School, and he is a CFA charterholder.
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.
Director, Mutual Fund Research & Marketing
Raymond James & Associates
Andrew Gotfried is the vice president and director of the mutual fund research & marketing department for Raymond James & Associates in St. Petersburg, Florida. In this role, he oversees the relationship management with mutual fund companies that distribute throughout the broke-dealers of Raymond James Financial. In addition, he is responsible for providing client approved research recommendations on open-end mutual funds that are available through Raymond James. Andrew began his career in 1993 with Barnett Investments as an Investment Professional and then in 1998 joined Raymond James Financial Services as a Compliance Advisor; he has been in his current role since 2005. Andrew is a graduate of the University of Florida.
Regional Vice President
John Hancock Retirement Plan Services
Richard is a Regional Vice President with John Hancock Retirement Plan Services, where he is responsible for the NY Metro Region. He has over 19 years of experience working in various capacities with large and well-known plan record-keepers, consulting firms and turnkey service providers. Prior to joining John Hancock, Richard ran his own institutional retirement plan consulting firm, which advised major mutual fund companies on distributing their products in the retirement plan market. Previously, he led the NY office of RSM McGladrey Retirement Resources. Richard is an expert in retirement plan design to maximize tax deductions, ERISA regulations and fiduciary responsibility.
Chief Investment Officer, Blend Strategies & Defined Contribution
Seth became CIO of Blend Strategies in 2002, and launched a range of style-blended and asset allocation services that have become a significant portion of the firm’s assets. In June 2008, he was appointed to head up AllianceBernstein’s newly-formed Defined Contribution business unit. Seth is also responsible for overseeing research on dynamic asset allocation, inflation protection, and risk mitigation strategies. From 1994 to 2002, Seth was CIO for Emerging Markets Value Equities. Prior to Bernstein, Seth worked as a senior associate at Booz, Allen & Hamilton from 1986 to 1990 and taught economics in China from 1983 to 1985. He earned a BA from Princeton University and an MPhil in economics from Oxford University.
Managing Director, Investment Manager Services Division, and President, Advisors' Inner Circle (AIC) Funds
Phil serves as Managing Director in SEI’s Investment Manager Services division and is responsible for leading the division’s thought leadership program (the SEI Knowledge Partnership). As President of the AIC funds, a $15 billion mutual fund family, Phil leads all aspects of the funds’ day-day operational, legal and compliance activities as well as product development and distribution matters for the trust. Phil joined SEI from Citco Mutual Fund Services where he served as general counsel. Prior to Citco, he served as Vice President and Senior Counsel at OppenheimerFunds. Phil received his J.D. from Creighton University School of Law, cum laude. He received his Masters in Securities and Financial Regulation from Georgetown University with distinction.
Senior Research Analyst
Sonia has been with SI since 1998. She consults with clients, presents on product-related topics, and provides analysis, commentary and editorial support for SI publications. She has written and contributed to SI reports on a range of fund industry trends, including developments in various product segments, product innovation, “packaged” advice, defined contribution plan investments, and other areas. Sonia holds a Master’s in International Affairs from Columbia University’s School of International and Public Affairs, where she concentrated in international finance and business, and a BA in Economics from St. Stephen's College, Delhi.
Head of Global Defined Contribution
State Street Global Advisors
As a senior managing director of State Street Global Advisors and Head of Global Defined Contribution, Kristi is responsible for building out competitive defined contribution offerings. Prior to joining SSgA, Kristi worked at BlackRock, where she most recently served as Managing Director and Head of the US Defined Contribution business. Kristi joined Barclays Global Investors in 2005 as Head of US Transition Services. Previously Kristi worked at Goldman Sachs in various sales and management roles. Kristi has earned a BA in political science from Davidson College and an MBA from Stanford Graduate School of Business.
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.
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.
Principal, U.S Mutual Funds Marketing, Canadian and U.K. Products
Based in St. Louis, Steve has overseen U.S. mutual funds marketing since 2008. He also runs Edward Jones’s Canadian division (a role he took on in 2003) and U.K. products and services (a role he assumed in 2007). Seifert began his career at Edward Jones in 1989 as a financial advisor in Somerset, Ky., became a principal in 1999 and took on various leadership role in advisor training.
Steve has degrees from Millikin University and the Kellogg Management Institute at Northwestern University.
Director, US Mutual Funds
Merrill Lynch Global Investments & Wealth Management
Peter, head of U.S. Funds for Merrill Lynch Global Wealth Management, is responsible for growing and managing mutual fund offering and business framework across all the firms’ channels and platforms, including retail brokerage, advisory platforms, US Trust and ML Edge. He joined Merrill Lynch Global Wealth Management in 2008 from Blackrock and formerly Merrill Lynch Investment Managers, where he held a variety of roles supporting the mutual fund business. Pete graduated from Rutgers University with a degree in Business Economics and holds his Series 7, 66 and 24 FINRA licenses.
Head of Product Management and Marketing
Chris is the head of product management and marketing for Columbia Management Investment Advisers, LLC. In this role, he oversees all product management and product development for the entire product line across the retail and institutional channels and coordinates the marketing efforts for the firm. Chris joined the firm in 2010 and has been a member of the investment community since 1987. Prior to joining Columbia, Chris was managing director and head of investment product management at Putnam Investments. Previously, he held various management positions at Putnam, including director of the defined contribution investment-only business. Prior to that, he was a portfolio manager at BEA Associates and CS First Boston Investment Management. Earlier in his career, he was with Brown Brothers Harriman & Co. Chris earned a BA from Dartmouth College and an MBA from NYU’s Stern School of Business.
Managing Director, Retirement Income Consulting
Tamiko heads retirement income consulting for Strategic Insight, supporting clients in the insurance and asset management industry with research, analysis and writing, with an emphasis on trends in the variable annuity industry and particularly living benefit design and other product innovations. As an industry observer, she frequently comments to the media and speaks at conferences. Before SI, Tamiko served as editor of Annuity Market News (now Retirement Income Reporter) and worked at other publications. She’s a graduate of Cornell University.