Asset International/Strategic Insight
Asset International/Strategic Insight
Tel: (917) 664-3507
SIFT 2012 thanks its sponsors:
Morgan Stanley Smith Barney, Morgan Stanley Investment Management
Gregory J. Fleming is the President of Morgan Stanley Smith Barney and President of Morgan Stanley Investment Management. He joined Morgan Stanley in February 2010 as President of Morgan Stanley Investment Management and assumed the additional role of President of Morgan Stanley Smith Barney in January 2011. Prior to joining Morgan Stanley, he was a Distinguished Visiting Fellow of the Center for the Study of Corporate Law at Yale Law School. Before then, he served as President and COO of Merrill Lynch from June of 2007 to early 2009. From 2003 to 2007, he served as Executive Vice President and Co-President of Merrill's Global Markets and Investment Banking Group. Greg joined Merrill Lynch as an investment banker in 1992. He has also been a principal at Booz Allen Hamilton. Greg earned his bachelor's from Colgate University and J.D. from Yale Law School.
Senior Research Analyst,
Bridget is an analyst at Strategic Insight, where she specializes in research on retirement plans. Before joining SI in 2011, Bridget worked as analyst at NEPC, where she provided institutional investment consulting support for defined contribution plans. Her previous position was at Financial Research Corporation, where she focused on retirement and college savings research. Bridget has an MBA from Suffolk University in Boston, and a BA from the University of Connecticut.
Managing Director, Head, Strategic Relationship Group,
JP Morgan Funds Management
Lee is head of the Global Strategic Relationship Group for JP Morgan Asset Management's Funds Management Business. He manages the teams responsible for business and investment strategy coverage at national, independent and regional wealth management firms, and is a member of JP Morgan's Global Investment Management Advisory Council. Prior to joining the firm, Lee worked for PIMCO and was responsible for PIMCO's corporate relationship with broker/dealer executives and product management teams headquartered in the Americas. In his 19 years in investment management, Lee's previous experience includes positions at Allianz Global Investors, Delaware Capital Management, and Federated Investors. Lee holds an MBA from the University of Denver's Daniels College of Business, an MA from the University of Albany and was a PhD candidate at the University of Colorado.
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.
James D. Brockelman
National Sales Manager, Advisor Sold Defined Contribution
James is responsible for managing Putnam's Regional 401(k) Sales Directors, National Accounts Team, and Internal 401(k) Sales desk. He is also part of the senior management team for Putnam's defined contribution business and contributes to strategy across all components of service delivery. James has been in the investment industry since 1983, with an emphasis on the retirement marketplace. Prior to his current role he served in a number of capacities at John Hancock Wealth Management, including Executive VP, National Sales, for Retirement Plan Services. James earned his BA from Washington and Lee University. He is a frequent speaker on retirement at financial industry events.
Todd A. Buck, CIMA
President, Head of Business Development,
Todd is President and Co-Founder of Wheelhouse Analytics, a firm that provides consulting, sales training, and technology to the financial services industry. He was the Director of Sales at Coates Analytics, LP from 2005 until 2010. Coates Analytics provided asset and asset flow analytics and dashboard technology in the retail financial product distribution industry. Todd previously served as VP, Managed Solutions for Merrill Lynch, where he spearheaded all Separate Account sales in New York City, and before then as a Divisional Sales Manager for Strong Capital Management, where he was responsible for all Eastern U.S. sales in the broker dealer channel, and managed and trained a team of external wholesalers. Todd holds a B.B.A. from Rowan University
Senior VP, Head of RIA Division,
Franklin Templeton Investments
Pierre is senior vice president and head of the RIA division for Franklin Templeton, where he is responsible for expansion of services within the RIA marketplace for all Franklin Templeton products, and in addition he oversees a dedicated team of specialists focusing on independent investment advisors. He has 15 years of experience in financial services. Since joining Franklin Templeton in 2006, he has held a variety of roles working on product management, product development and corporate governance, most recently serving as director of the Fixed Income Product Management and Development Group, and director of the Regional Product Strategy Group. Prior to that he served as senior vice president, product manager for global core equities for Putnam Investments. Pierre holds a bachelor's degree from Hobart College.
Managing Director, Head of US Retail Distribution,
Allianz Global Investors Distributors
John serves as the head of US Retail Distribution for Allianz Global Investors Distribution. He has overall accountability for the operating results of AGI's US Retail business and his Sales and National Accounts teams are responsible for distribution of a range of asset management products. Prior to this role, he was Chief Operating Officer of AGID. Prior to joining Allianz Global in 2008, he spent 20 years at Merrill Lynch, where his roles included Managing Director, Co-Head of the Merrill Lynch Insurance Group, and Head of Relationship Management in the Distribution and Business Development Group. John earned his BA from Rutgers University and his MBA from Rutgers Graduate School of Business.
Executive VP, Personal, Workplace and Institutional Services, and Head, FundsNetwork,
Carolyn is an executive vice president for Personal, Workplace and Institutional Services, a division of Fidelity Investments. She also is head of FundsNetwork®, Fidelity's proprietary platform for partnering with mutual fund companies that distribute funds through all of Fidelity's distribution channels, with almost $1 trillion in combined assets. Prior to assuming her current position, Carolyn led marketing, product, and business management functions at Fidelity for more than 12 years across all customer segments from individual and institutional investors to workplace plan sponsors and participants. Most recently, she led the cross-company initiative to develop lifetime engagement and workplace marketing strategies. Prior to joining Fidelity in 1999, Carolyn held various sales, marketing and business development positions for high technology and manufacturing organizations for over 16 years. She earned her BA from Assumption College and her MBA from Babson College.
Managing Director, National Sales Manager - U.S. Private Client Group,
Joe is the National Sales Manager for the U.S. Private Client Group, with sales responsibilities for National Wirehouses (ex BoA/ML), Regionals, Independents, RIAs and PC&I. Prior to assuming his current role in 2009, he was Head of Merrill Lynch GWM International Sales, where he was responsible for BlackRock's sales organization covering Merrill Lynch Latin America, Europe, Asia, Middle East and US NRC. Previous to that, Joe was the head of GWM Global Strategic Sales & Client Service. Prior to joining BlackRock in 2000, he was a Vice President at Scudder Investments in Chicago, where he managed the internal sales group, selling mutual funds, variable annuities and qualified plans to Wire/Regional Broker Dealers and Financial Institutions.
Sr. Managing Director and Head of Global Consulting,
For over a decade, Daniel has led the development of Strategic Insight's Global fund research and consulting effort, and is widely sought after for presentations, discussions, and his perspective on the global asset management industry by associations, academia, regulators, the media and management boards of the firm's over 250 clients worldwide. He has written extensively on the fund industry, including various books on Asia, the Middle East and Global Fund Distribution. He regularly conducts product and distribution master classes for CEOs and heads of asset management worldwide. Daniel is a member of Institutional Investors' US Advisory Council, has master's degrees in politics, history and law, and speaks seven languages.
Senior Research Analyst,
Loren is a Senior Research Analyst at Strategic Insight, where he produces research on the U.S. investment management industry and heads the firm's ETF and closed-end fund research He frequently speaks at conferences and to the press. 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.
Peter J Gosselin
Managing Partner, Co-Founder,
Gosselin Consulting Group
Peter is a Managing Partner and Co-Founder of Gosselin Consulting Group. Peter has spent the last 16 years of his career working extensively with large- and mega-sized institutional Defined Contribution plan sponsors in the areas of fiduciary oversight, investment policy design, manager monitoring/selection, and plan pricing/financing. Peter serves as the firm's Chief Investment Officer and leads its investment research and selection committee. He is a frequent speaker at industry events. Before founding Gosselin Consulting, Peter served as Principal, Senior Director and Manager of Investment Services at Mercer Outsourcing; prior positions included Senior Vice President / Senior Investment Specialist at Putnam Investments. Peter has earned the Accredited Investment Fiduciary® (or AIF®) professional designation from Fiduciary360.
Stephen A. Haswell
Senior Managing Director, Head of Global Sales,,
MFS Investment Management
Stephen is a senior managing director and head of global sales for MFS International Ltd. (MIL), a subsidiary of MFS Investment Management® (MFS®). In this role, Steve is responsible for all of the international retail external sales teams. He is based in Boston. Prior to his current role, Steve was a senior managing director – Americas and oversaw the firm's non-US distribution efforts throughout the Americas. Previously, he was managing director – continental Europe and was responsible for MFS' institutional and retail distribution in continental Europe. He joined MFS in 1994 and has worked within the financial services industry since 1990. Steve is a graduate of DePauw University and attended the Olin School of Management at Babson 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 and mutual fund research 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.
Executive Director, Retirement Income and Fund Services – Mutual Funds,
UBS Financial Services
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.
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.
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 V.P. 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 from Drexel University, and holds FINRA series 7, 24 and 63 licenses and the CIMA designation.
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.
Managing Director - Mutual Funds, ETFs, 529s and UITs / Product Marketing & Communications,
Wells Fargo Advisors
Dan Moorman is Managing Director of Mutual Funds/UITs/529s/ETFs and, most recently Product Marketing and Communications at Wells Fargo Advisors. Dan has 18 years of industry experience. He joined A.G. Edwards in 1995 as a member of the Managed Products department. Within that department, Dan served in a variety of positions before assuming his current duties with Wells Fargo Advisors. Dan earned his BS from the University of Missouri – Columbia, and holds his Series 6, 7 and 63 licenses.
Director, Investment Solutions,
Sandy Motusesky is a Director for Pershing, a BNY Mellon company, where she leads the Investment Solutions team in the Product Management and Development group, responsible for the development and enhancement of investment offerings for our customers. These offerings include Subscribe, an annuity platform; FundVest, a no-transaction-fee mutual fund platform; alternative investments and Pershing’s ETF Center. Prior to Pershing, she led TD Ameritrade’s Mutual Fund and ETF divisions, where she managed fund family relationships and new product development for both individual investors and registered investment advisors. Prior to that, Sandy was responsible for the marketing and management of various investment offerings at Goldman Sachs Asset Management, Morgan Stanley and Merrill Lynch. She earned a B.S. from The College of New Jersey and her MBA from Fairleigh Dickinson University.
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.
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.
Director, Advisory and Brokerage Investment Products,
Cetera Financial Group
Kian Rafia is the director of advisory and brokerage investment products for the Wealth Management Division of Cetera Financial Group. Kian joined Cetera in 2010 and focuses on growing its advisory investment product shelf and deliver products to help financial professionals grow their business and expand their product offerings. Prior to joining Cetera, Kian was a senior analyst with LPL Financial, where he was responsible for the strategic and tactical product development efforts for its advisory platform; he also served as their key relationship manager for product development and day-to-day over-sight of the SMA and UMA platforms. Before LPL he was director of product marketing for Lord Abbett & Co. Earlier in his career he was a principal for Think Strategy Capital Management. He earned his bachelor's degree from The Ohio State University.
Executive V.P., Retirement Platform Development,,
David is responsible for building out LPL's retirement platform, implementing new services and technology, and furthering the integration of technology platforms used by LPL Financial advisors to support their retirement plan business. Prior to joining LPL Financial in 2011, he served as vice president and general manager over retirement strategies and solutions for Ameriprise Financial (formerly American Express Financial Advisors), where he was responsible for marketing all retirement products and strategies to advisors and consumers. Earlier, he was vice president of strategic planning and business development for both Ameriprise and the American Express Company. David earned a BS from the University of Maryland and an MBA from Cornell University, and holds Series 7 and 24 licenses.
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. 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.
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.
Paul David Schaeffer
Managing Director, Strategy & Thought Leadership,
Paul David Schaeffer is Managing Director, Strategy and Thought Leadership at Forward Management, a San Francisco-based investment management and mutual fund company. Prior to joining Forward Management, he served as president of ReFlow, a provider mutual funds with tools to improve performance by managing the impact of shareholder flows. Previously, Paul was Managing Director of the Investment Manager Services Group at SEI, a provider of operating services to mutual fund, alternative investment and separate account management organizations. Other past positions include managing partner of Investment Counseling, Inc., Chief Operating Officer of Harris Bretall Sullivan and Smith, and President and Chief Operating Officer of Act III Publishing. Paul is well known in the financial services industry as a business strategist, speaker and author.
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.
Ian J. Scott
VP, Customer Solutions,
Ian has over 20 years of experience in Big Data and analytics in both academic and business contexts. For the past ten years, he has focused on the application of analytics to improve sales performance, particularly in asset management distribution. In 2011 he joined Lattice Engines, a sales intelligence company. Prior to joining Lattice Engines, Ian served as CTO for Angoss Software, where he was responsible for setting technology strategy. During his career, Ian has conducted quantitative risk assessment for UBS and also worked for CFM, a Paris-based hedge fund. During his academic career he was a faculty member at the University of Wisconsin, Madison. He also held research positions at the CERN particle accelerator (Switzerland), and at the Stanford Linear Accelerator Facility (California). Ian holds a Ph.D. in Physics from Harvard and a B.Sc. from McGill.
Head of Product & Business Development,,
Ben joined WisdomTree as the Director of Product Development in January 2007. Prior to joining WisdomTree, Ben was a VP at Morgan Stanley Investment Management responsible for product management and development for the mutual fund and closed-end fund products business. Ben was also the Director of Product Development at ProFund Advisors, and was responsible for the early development of the ProShares leveraged and inverse ETF products in addition to other funds and projects at the company. He also held a position as Senior Consultant in the Financial Services Practice at PriceWaterhouseCoopers, and worked on a number of engagements in the asset management industry including the development of the iShares platform. Ben is a graduate of Columbia College, Columbia University.
Key Accounts Manager, Mutual Funds & ETFs,,
Steven is the Key Accounts Manager for Mutual Funds & ETFs at TD Ameritrade. He is responsible for all aspects of asset manager partner relations, as well as helping to support their sales and marketing efforts at the firm, on both the Institutional and Retail Platforms. He currently manages TDA's Premium Advisor Resources Program. His entire 32-year career has been in financial services, working in various sales, marketing, and branch development roles with firms such as US Trust, Nationwide Insurance, and Royal Alliance Associates. Prior to joining TDA, he was a consultant at an executive search firm in New York City specializing in private wealth management. Steven earned his bachelor's from Trinity College in Connecticut.
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.
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.
Senior V.P., Head of Sales and Business Development,
ING Investment Management
Jake Tuzza is Head of Sales and Business Development for ING Investment Management. He has over 15 years of experience in the investment industry and is responsible for the distribution of ING's investment solutions including mutual funds, SMAs, offshore funds, close-end funds and sub-advisory services. He leads the sales and business development teams covering the national broker dealers, private wealth and advisory, RIAs and bank trusts. Prior to this role, Jake was Head of Business Development responsible for the firm's relationships at major financial institutions and the placement of ING's investment solutions, and was responsible for ING's structured fund business. Prior to joining ING Investment Management in 2002, Jake worked as an equity analyst for a hedge fund and worked on on the institutional fixed income trading desk at Merrill Lynch. He received his B.S. from Philadelphia University and his M.B.A. from LaSalle University. He holds the CIMA designation and FINRA Series 24, 7, 51 and 66 licenses.
Paul M. Weisenfeld
Managing Director, Director of Funds,
Morgan Stanley Smith Barney
Paul is a Managing Director at Morgan Stanley Smith Barney, serving as the Director of Funds. He has been with MSSB and its legacy entities for more than 10 years. Paul's current responsibilities include oversight of the firm's Domestic and Offshore Mutual Funds, Exchange Traded Funds, Money Market Funds as well as 529 Plans businesses, a combined program that comprises over $400B in assets. Prior to his current role, Paul was the Chief Operating Officer for Citigroup's Global Wealth Management (Smith Barney and Citigroup Private Bank) Investment Products, which included Funds, Insurance, Annuities and Alternative Investments. He previously was the COO for GWM Alternative Investments following several years as the Director of Alternative Investments for Smith Barney. Paul received his BS from Cornell University, and his JD from Benjamin N. Cardozo School of Law.
Head of Mutual Fund Shareholder Services
Michael J. Woodall is the Head of Mutual Fund Shareholder Services, for Putnam Investments, where he is responsible for providing an array of client services to advisors, broker dealers and shareholders. Prior to his current role, Michael led Putnam's Enterprise Services and Business Planning and Development. He is a recognized industry leader with experience building, reengineering and running profitable operations for Mutual Funds, Private Equity, and other businesses. Michael has extensive involvement in all aspects of the business partnering with; CEO, CFO, Investments, Distribution, Marketing, Legal, Technology and Clients. His leadership experience includes working Chairing the Board of Directors for the National Investment Company Service Association (NICSA). Michael held senior management positions at First Data Corp., Allmerica Financial and Fidelity Investments. He is a graduate of Northeastern University.