Sr. Research Analyst
Tel: +1 212-944-4460
Tel: +1 (917) 664-3507
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Senior VP, Head of Investment-Only Distribution,
Franklin Templeton Investment Platform & Retirement Division
Yaqub is responsible for Franklin Templeton's defined contribution and variable annuity investment-only distribution strategy. In addition, he oversees a dedicated team of specialists focusing on the investment-only business. He has over 15 years of experience in financial services, with a focus on the corporate retirement markets. Prior to joining Franklin Templeton Investments in 2009, he served as managing director for Columbia Management's investment-only division, responsible for overseeing both the defined contribution and sub-advisory businesses. Prior to that, he was managing director and national sales manager for Trustar Retirement Services, and has held positions at MFS Retirement Services and Pruco Securities. Yaqub has a bachelor's degree from Boston University, and holds AIF and CRPC designations.
Managing Director, RIA and Family Office Distribution,
David oversees distribution efforts with RIA, Family Office, and Multi-Family Office firms. He and his team work with these firms and their advisors to provide superior investment advice and products, and also work with major custodians and platform providers to help them strategically partner with Nuveen and its affiliates. Prior to joining Nuveen, David was Managing Director with Charles Schwab, where he supervised the distribution efforts of Managed Accounts and Alternative Investments platforms to RIA, Family Office, Multi-Family Office, and Bank Trust firms. Before joining Schwab he worked at Prudential Financial and at PaineWebber. David is a member of the board of directors of the Investment Management Consultants Association. He holds the CIMA and AIFA designations. David has a BA from the University of Michigan and an MBA from San Francisco State University.
Richard Bernstein Advisors LLC
Richard is the CEO of Richard Bernstein Advisors LLC, which specializes in longer-term, style investing and asset allocation. Richard was previously chief investment strategist and head of Banc of America Securities-Merrill Lynch Investment Strategy Group, where was voted to the Institutional Investor All-America Research team 18 times. Prior to joining Merrill Lynch in 1988, he held positions at E.F. Hutton and Chase Econometrics/IDC. He is the author of "Style Investing - Unique Insight into Equity Management" (John Wiley & Sons). Richard has a B.A. from Hamilton College and received his MBA degree, with distinction, from NYU's Stern Business School.
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.
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.
Todd is president and cofounder of FT Solutions, which provides consulting, sales training, and technology to the financial services industry. He was previously director of sales at Coates Analytics, where he was responsible for all aspects of sales and client services, managing relationships with 75 asset managers and distributors such as Merrill Lynch and Morgan Stanley. 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.
Exec VP, Practice Management and Consulting,
Fidelity Institutional Wealth Services
David is responsible for leading the development of a comprehensive Practice Management program structured around helping advisors accelerate growth, streamline their operations and manage risk. Before taking his current position in August 2010, he served as executive vice president and chief operating officer for IWS beginning in September 2009. Prior to joining Fidelity in 2009, David managed certain operational functions and vendor relationships and served as chief legal and compliance officer for Post Advisory Group. Prior to that he spent eight years with Charles Schwab & Co.; before that he held positions with the Quellos Group, and the New York Stock Exchange Division of Enforcement. David received his BA from the University of Wisconsin and his JD from the University of Baltimore School of Law. He currently holds his Series 24 license and is a member of the State Bar of California.
COO, Global ETF Services Business,
BNY Mellon Asset Servicing
Steve Cook is the COO for the Global ETF Services Business. In that capacity Steve is responsible for all aspects of the industry leading product offering for the Exchange Traded Fund, Unit Investment Trust and Closed-End Fund businesses. This includes overseeing client relationships, business development, product development and strategy and technology enhancements globally. He is also a sought-after speaker at ETF industry events, and quoted in the press, as well as a contributor of articles and thought leadership pieces. From 2005-2009 Steve held the position of ETF Global Product Manager. He joined BNY Mellon in 1997 and is a graduate of the University of Richmond.
Michael De Feo
Senior VP, Manager of DCIO and Strategic Platforms,
As the manager of DCIO and strategic platforms, Mike is responsible for leading the firm’s sales efforts for 401(k) platforms and sub-advisory mandates. Mike started working in the financial services industry in 1991 and joined Nuveen in 2008. Previously, he served as a VP for senior consultant relations at Pioneer Investments. Prior to that, Mike worked at BISYS Retirement Services, Citizens Securities, Scudder Kemper Investment and Neuberger Berman. Mike received a B.A. from Roanoke College.
Director, Global Head of Segment Marketing & Practice Management,
Kim Guimond Dellarocca is responsible for the strategic marketing and practice management plan development for Pershing’s broker-dealer, advisor and hedge fund business units. This includes the development marketing and practice management programs to help bring customers to Pershing, and help those already with Pershing to manage and grow their businesses more effectively.
Prior to joining Pershing in 2005, she spent nearly 10 years at Fidelity Investments, where she managed segment marketing programs for the retail, 401(k) and RIA businesses. Prior to Fidelity, she held marketing positions at Standard & Poor’s and Thomson Financial Services. Kim earned a BA from Emmanuel College and an MBA from Boston University.
Sr. Vice President, Director of Advisory Services,
Corey is Senior Vice President & Director of Advisory Services at ALPS. He joined ALPS in 2007 to lead the firm’s expansion into proprietary open-end mutual fund management, with a focus on mutual fund solutions for the variable insurance, retirement, and broker/dealer markets. In this role, Corey is responsible for product management and national account functions for the ALPS-Advised mutual funds, as well as overseeing relationships with sub-advisors. Previously, Corey was Vice President and Director of Global Client Management for Janus Capital Group.
Managing Director, President, National Sales & Marketing,
Bill Dwyer has served as managing director, president — National Sales and Marketing since September 2009. Bill is responsible for the management, satisfaction, retention and recruitment of LPL’s advisors. He joined LPL in July 1992 and served in a variety of roles, managing director for branch development and president of Independent Advisor Services in February 2007. Prior to joining LPL, Bill spent eight years as an investment representative at various firms. He serves as vice chair of the Financial Services Institute Board of Directors. He is also a member of the boards of directors of the Securities Industry and Financial Markets Association and serves on its Private Client Services Executive Committee. He received his B.A. from Boston College, and and holds NASD Series 3, 7 and 63 licenses.
President & CEO,
Transamerica Retirement Management
As President and CEO of Transamerica Retirement Management (TRM), a business unit within AEGON Americas’ Individual Savings and Retirement Group, Phil oversees the business’s mission to deliver education, products and advice to help people decide when to retire and how to do it. TRM delivers its services through several internal AEGON channels and through third-party institutional channels. Phil began his career at AEGON in 1996. Since then, he has worked in various management positions for AEGON/Transamerica. Prior to being charged with the creation and establishment of TRM, he was the President of Transamerica Capital, which distributed annuities, mutual funds, and life insurance through the bank, broker/dealer, and financial planning channels. Before joining AEGON, Phil practiced law with a focus on civil litigation. He received his bachelor’s from Gustavus Adolphus College and his JD from William Mitchell College of Law.
Mark N. Fortier
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.
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 from Tufts University, an MBA from Columbia University, and is a CFA charterholder.
Director of Solutions & Client Marketing,
TD Ameritrade Institutional
Kate Healy is director of Solutions & Client Marketing for TD Ameritrade Institutional, with responsibility for the marketing of all investment, technology and practice management solutions, including publishing the quarterly practice management magazine, Advisor Solutions. She is also responsible for supporting the firm’s Advocacy initiatives, client marketing and sponsorship sales to support client events and is a key member of the firm’s Women’s Leadership Initiative. Prior to joining TD Ameritrade, Kate was Vice President- IRA Product for Merrill Lynch. Kate spent nearly a decade supporting financial and estate planning services at Prudential and the MetLife Broker Dealer Group. She began her career with various roles in finance and marketing in the insurance industry. Kate holds a B.A. from Rutgers College.
Director, Asset Management
Commonwealth Financial Network
Simon serves as Commonwealth’s director of asset management and has more than 17 years of industry experience. He is primarily responsible for overseeing Asset Management at Commonwealth. He manages the PPS Select portfolios and sets policy for the asset allocation decisions and for the Commonwealth model portfolios. He is a member of the Investment Committee and is heavily engaged in market forecasting, manager selection, and due diligence. Prior to joining Commonwealth, Simon served as a partner at Greystone Financial Advisors, LLC, and as a director of quantitative analysis at Fidelity Investments. Simon has a BS in Electrical Engineering from Union College and an MBA from Northeastern University. He is a CFA charterholder.
Sr. VP, Head of Strategic Relationships,
Wells Fargo Funds Management
As head of the Strategic Relationships team, Patrick’s responsibilities include developing the business strategy for Broker-Dealer, Private Bank & Trust, and DCIO market segments, and executing the strategy using the investment sales and relationship management teams. Patrick has worked in the financial services industry for more than 15 years, having been with Strong Capital Management prior to joining Wells Fargo Funds Management. Patrick received his BS from the University of Wisconsin-Madison and MBA from Marquette University. In addition, he holds the CIMA designation and the Series 6, 7, 24, 63, and 65 licenses.
Jeffrey G. Klepacki
Senior VP, Head of Third Party Distribution
Jeffrey, who joined Delaware Investments in December 2009, is responsible for third-party broker/dealer distribution activities to wirehouses, regional and independent firms, as well as key account management with major distribution partners. Klepacki has more than 17 years of financial services experience, including an extensive wholesaling background. Prior to joining Delaware, he worked with Allianz Global Investors, where most recently he served in a dual role as national sales manager and director of retirement solutions. Prior to Allianz, Jeffrey worked with Bloomberg Financial Markets for four years as a member of the analytics service desk. He earned his B.A. from Rutgers University. Jeffrey is also a three-time Olympian as a member of the U.S. Rowing Team.
Director, Investment Partner Sales and Management, Retirement Plans Group
The Hartford Financial Services Group
Jyoti is the director of sales and management of Investment Partner relationships for the Retirement Plans Group of The Hartford. In this role, she is responsible for the DCIO distribution strategy focusing on driving 401(k), 403(b) and 457 sales through strategic investment partnerships, and for overall relationship management with all investment partners offered within Hartford’s retirement products. Jyoti has been with The Hartford for 21 years and has held many different roles from relationship management and product development to fund management and marketing. Jyoti has been in her current role since March 2008 and holds her Securities 6 & 26 licenses.
Jim is Head of Mutual Funds for UBS Financial Services and is responsible for the growth and management of the mutual fund business as well as money market and offshore funds, 529 plans, and IRAs. In addition, he is responsible for supporting fund distribution within all brokerage and advisory platforms at UBS as well as enhancing the FA and client experience as it relates to these businesses. Jim has nearly 20 years of industry expertise. Before joining UBS in September 2010, Jim spent over 16 years with Morgan Stanley Smith Barney, where he held various roles in the retirement, product development and investment product areas. Jim holds his Series 7, 66 and 24 FINRA licenses.
Executive Director, Retirement Income and Fund Services – Mutual Funds,
UBS Financial Services
Senior Research Analyst,
Sonia has been with SI since 1998. As Associate Director, U.S. Research, Sonia 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.
Frank A. McCarthy
V.P., General Manager, External Products Group,
Ameriprise Financial Services
As VP 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 Co. for 18 years in several capacities, including Chief Operating Officer. Frank holds a B.S. from St. Cloud State University and a J.D. from William Mitchell College of Law.
As founder and CEO of kasina, Steven has overseen the company's growth to an influential financial-services sector strategy consulting firm; kasina focuses on distribution through consulting, research, and benchmarking data. He founded kasina in 1999 after running the financial services e-business consulting practice at McGladrey & Pullen, LLP. Steven is a sought-after speaker, participating in the ICI, NICSA, and other organizations, and is frequently mentioned in business and trade media such as The Wall Street Journal, CNBC, BusinessWeek, and numerous other trade publications.
Exec VP, Advisory and Brokerage Consulting Services,
John is responsible for LPL’s advisory and brokerage platforms, as well as a team of consultants who support LPL Financial advisors with product and platform expertise. The advisory and brokerage consulting services teams provide client strategies, practice management advice, information, and suggestion on platforms and products available to meet a broad range of client needs. In addition, he leads the firm’s wealth management services, which provide advice and solutions for HNW and ultra-HNW client opportunities. John joined LPL Financial after 12 years at UBS Financial Services, where he served as the national consulting director for investment solutions (IS managed and alternative investments). John holds a BS from Kutztown University. He holds the CPWA, IMCA and AIF designations, and has his Series 6, 7, 9, 10, 63, and 65 licenses.
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.
National Sales Manager,
Putnam Retail Management
In his role as National Sales Manager, John is responsible for managing Putnam’s wholesaling efforts and driving sales results within retail distribution in the U.S. This effort covers all channels, including brokerage firms, financial planners, and financial institutions. In addition, he is responsible for overseeing inbound telemarketing and the internal wholesalers. During his Putnam career, John has held a variety of sales and sales management positions, including Wholesaler, Head of Retail Telemarketing, Channel Leader of Insurance Products Sales, and others. John joined Putnam in 1988. He currently holds his Series 6, 7, 24, 51, and 63 licenses. He received his BBA from University of Notre Dame.
Senior VP 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.
Gemini Fund Services
As President of Gemini Fund Services, LLC, Andrew oversees all areas of Gemini, including Fund Administration, Fund Accounting, Transfer Agency and Shareholder Servicing, Client Services, and Legal Administration. He is also responsible for business development, including the conversion of existing mutual and hedge funds to Gemini and assisting in the formation of new funds. In Andrew is also currently President of four fund families, as well as Treasurer and Assistant Officer for numerous mutual fund families. Prior to joining Gemini, Andrew was Vice President, Compliance Officer and Accounting Manager at JP Morgan Chase and Co., where he was responsible for approximately 60 funds, onshore and offshore, with approximately $40 billion in assets. Andrew received his BS from the State University of New York at Albany, and has completed all four parts of the CPA examination.
Mike is a Managing Director at BBH and Head of the Offshore Relationship Management and Business Development group located in Boston. He has 19 year of industry experience, having spent one year at Investors Bank and Trust, and the past 18 years at BBH. Mike works with global fund managers to develop customized service models to support funds in multiple jurisdictions, maintained by trading and operations teams located in multiple locations, and distributed on a global basis.
Managing Director, Investor Services and Markets,
Brown Brothers Harriman
V.P., Head of Americas Product Development & Strategy,
Goldman Sachs Asset Management
Rachel heads Goldman Sachs Asset Management’s mutual fund product development and product strategy for the Americas. She first joined Goldman Sachs in 1998 as a summer associate and joined the firm full-time in 1999. During this time, she has led the launch of over 50 commingled vehicles in the U.S. and Brazil additionally; she has communicated GSAM's strategy in Fixed Income, Asset Allocation, and REITs to third party clients. Rachel received her BA from Brandeis University and her MBA from the J.L. Kellogg School of Management at Northwestern University.
VP, National Sales Manager,
Lou Sideropoulos is a VP and national sales manager overseeing the broker/dealer, independent advisor and registered investment advisor divisions at Columbia Management Investment Distributors. Prior to his current role, he served as the national sales manager for the independent advisor division. Lou joined the firm in 1997 and has been a member of the investment community since 1990. Prior to joining Columbia, he was the national sales manager for the Colonial Sales Desk, and prior to that he held various positions at Putnam Investments and The Boston Company. Lou received his BS from Curry College, and he holds the Series 6, 7, 24, 26, 51, 63 and 66 licenses.
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
Managing Director, Global 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.
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.
Director, Solutions Management,
Sue serves as Solution Director of SEI's Distribution solution responsible for development and management and in client service supporting distribution clients. She joined SEI Investments in 2003, as Product Manager assisting SEI investment management clients in evaluating product development and marketing initiatives. Prior to SEI, Sue worked for Deutsche Bank in a variety of product management roles, and also worked for Fidelity Investments Institutional Services division and Deloitte. Sue received her bachelor’s degree from the University of Delaware and MBA from Loyola College. She is a CPA and a Certified Financial Planner.
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.
Michael S. Wytiaz
Senior VP, Broker Dealer Channel,
Western & Southern Financial Group
Mike brings more than 20 years of financial services expertise to connect third-party broker-dealer firms and financial planners with high-value client risk management solutions. Charged with expanding variable annuity distribution, Mike leads his team of regional vice presidents and internal reps to provide customized solutions. He has previously held sales vice president, sales leadership and wholesaler development roles with several leading financial services firms. Mike is a graduate of Robert Morris University, and holds the CFP designation and Series 6, 7, 24 and 63 licenses.