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Ana-Alyse Castelluccio
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Asset International/Strategic Insight
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Sponsors:

Access Data

BrightScope, Inc.

Gemini Fund Services, LLC

UMB Fund Services

Strategic Insight
Fund Trends Conference 2013

Creating Opportunity through Collaboration

June 25-26, 2013
Pier 60, Chelsea Piers
New York, NY
About | Agenda | Speakers | Venue

Speakers

 

George AylawrdGeorge Aylawrd
President and Chief Executive Officer,
Virtus Investment Partners

George Aylward is president, chief executive officer and a member of the board of directors of Virtus Investment Partners, Inc. (NASDAQ: VRTS), a multi-manager asset management company that offers a broad range of investment capabilities for institutional and individual clients, including the Virtus Mutual Funds. Mr. Aylward successfully directed the transition of Virtus to an independent public company with its spin-off in 2008 and is driving the firm's strategy to create growth and enhance long-term shareholder value. Mr. Aylward joined Virtus' predecessor, Phoenix Investment Partners (PXP), in 1996, and advanced through increasingly responsible posi¬tions in corporate finance. From 2002 to 2004 he was chief of staff to the chief executive officer of PXP's parent. He returned to PXP as chief operating officer in 2004 and president in November 2006, and became president, chief executive officer and director of Virtus at its spin-off. Prior to joining PXP, Mr. Aylward was employed in the financial services group of PriceWaterhouse LLP. Mr. Aylward holds a Bachelor of Science degree in accounting from the University of Connecticut and a Master of Business Administration from the University of Massachusetts. He earned the Certified Public Accountant designation and is a member of the American Institute of Certified Public Accountants. He serves on the Board of Directors of The University of Connecticut Foundation.

 

Ron BaronRon Baron
CEO, CIO, Portfolio Manager, Trustee,
Baron Funds

Ron founded Baron Capital in 1982 and has 43 years of research experience. From 1970 to 1982, Ron worked for several brokerage firms as an institutional securities analyst. From 1966 to 1969, Ron worked at the U.S. Patent Office as a patent examiner, while attending George Washington University Law School. From 1965 to 1966, Ron worked at Georgetown University as a teaching fellow in biochemistry. Ron graduated from Bucknell University with a B.A. in Chemistry in 1965.

 

 

Dennis BowdenDennis Bowden
Senior Research Analyst,
Strategic Insight

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.

 

 

Bill Brady Bill Brady
Senior Vice President and Manager of Business Development,
Capital Group

Bill Brady is a Senior Vice President and manager of Capital Group’s Business Development Team. His group manages relationships with the key broker-dealers, insurance companies, global banks and DC record keeping firms.

Bill serves on the board of American Fund Distributors. He has been with Capital Group for 10 years and has 28 years of investment industry experience. Prior to joining Capital, he managed the western retirement plan sales division for Manulife Financial.

Bill is resides in Indianapolis with his wife, Jennifer, and is the proud father of four boys.

 

 

William J. Burrow William J. Burrow
Senior Vice President,
Jackson National Life Distributors LLC

Bill Burrow is senior vice president of National Sales Development at Jackson National Life Distributors LLC, the marketing and distribution arm of Jackson National Life Insurance Company®. In this role, he oversees the Retirement and Wealth Strategies Group, the Seminar Systems Unit® and the Professional Sales Development Group. Each unit is dedicated to helping financial professionals educate their clients, stay up to date on trending financial topics and build their businesses.

Mr. Burrow brings more than 18 years of financial services experience to his role at Jackson. He previously served as senior vice president of fixed products distribution at John Hancock Financial Services where he was responsible for the sales and marketing of retail and institutional lines of business. Prior to that, Mr. Burrow was general manager of John Hancock’s U.S. college savings business. He also served as executive director of the U.S. division’s national accounts department, maintaining the broker-dealer home office relationships for all lines of Manulife business in the United States. He also brought his expertise to the annuity wholesale and marketing arm of Manulife Financial and Manulife Wood Logan.

Mr. Burrow earned a bachelor’s degree in business administration from the University of Washington. He holds FINRA series 7, 24, 51 and 63 registrations. Mr. Burrow has also served as a Certified Public Accountant

 

 

Thomas W. ButchThomas W. Butch
President and Chief Executive Officer,
Ivy Funds Distributor, Inc.

Thomas W. Butch is Executive Vice President and Chief Marketing Officer of Waddell & Reed Financial, Inc.; Chairman and President of Waddell & Reed, Inc.; and President and Chief Executive Officer of Ivy Funds Distributor, Inc. In these roles, he is responsible for managing Waddell & Reed’s broker/dealer subsidiaries, including sales of Waddell & Reed Advisors Funds, Ivy Funds and Ivy Funds Variable Insurance Portfolios (formerly W&R Target Funds), both through Waddell & Reed financial advisors and unaffiliated broker/dealers. He also is responsible for corporate and retail marketing, product management and for developing and managing strategic relationships. Butch joined Waddell & Reed in November 1999 from Stein Roe & Farnham, Chicago. During his five years at Stein Roe & Farnham, he served as president of the mutual fund division, and, previously, senior vice president and director of marketing. Prior to that, he was a first vice president at Mellon Financial Corporation in Pittsburgh, where he had a 13-year career. A native of Pittsburgh, Butch is a 1978 graduate of The Pennsylvania State University. He is a member of the board of directors of the Emerging Managers Group; the National World War I Museum and the Kansas City Sports Commission. He is the recipient of numerous industry awards and has spoken nationally and internationally on industry-related topics.

 

Carolyn ClancyCarolyn Clancy
EVP, FundsNetwork,
Fidelity Investments

Carolyn Clancy is executive vice president of Fidelity FundsNetwork™, the industry's largest open-architecture fund "supermarket" platform. Fidelity FundsNetwork enables investment management firms to offer their funds to Fidelity's individual and institutional customers across all of Fidelity's retirement and brokerage businesses. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries. Prior to assuming her current position, Ms. Clancy led marketing, product and business management functions across Fidelity for more than 12 years, with her work spanning all customer segments including individual and institutional investors, as well as workplace plan sponsors and participants. Most recently, Ms. Clancy led a cross-company initiative to develop "lifetime engagement" and workplace marketing strategies, advanced Fidelity's market leadership in individual retirement products, and oversaw the advancement of Fidelity's positions on retirement legislation in Washington, D.C. Prior to joining Fidelity in 1999, Ms. Clancy held various sales, marketing and business development positions for technology and manufacturing organizations, including A.W. Chesterton Company, Barry Controls, Loral Infrared and Imaging Systems/Honeywell, and Sanders Associates/Lockheed Company. Ms. Clancy received her Bachelor of Arts degree in business management from Assumption College in 1982, and her MBA from Babson College in 1989. She is on the Board of Trustees at Assumption College.

 

Corey Dillon Corey Dillon
SVP, Director of Advisory Services,,
ALPS, a DST Company

Corey Dillon, Senior Vice President & Director of Advisory Services As the Director of Advisory Services for ALPS, Corey is responsible for all open-end product management, and oversees all institutional sales in the variable insurance and defined contribution channels. Corey joined ALPS in 2007 to lead the firm's expansion into proprietary asset management, with a focus on delivering innovative open-end fund solutions to the variable insurance, retirement, and broker/dealer markets. During Corey's tenure, ALPS Advisors has been named one of the top ten fastest growing fund managers by Strategic Insight for three consecutive years (2010, 2011, and 2012), and the firm currently manages more than $9 billion. Previously, Corey served as Vice President and Director of Global Client Management for Janus Capital Group, where he was responsible for executive level relationship management and sales activity with intermediary clients and prospects in the insurance, sub-advisory, retirement, broker/dealer, and private banking channels. During his 14 year tenure at Janus, Corey also served as one of the firm's first external wholesalers and built the firm's first GIPS-compliant performance composites as a Performance Analyst. Corey is a graduate of Colorado State University, resides near Denver, Colorado, and is an avid triathlete.

 

Erin F. Donnelly Erin F. Donnelly
Founder,
EF Donnelly LLC

Erin Donnelly founded her consulting practice EF Donnelly LLC in November 2011. She is currently working with Nuveen Investments. Erin has 19 years experience in financial services. She spent 15 years with Merrill Lynch Global Wealth Management, holding leadership positions in managed asset products, global relationship management, product management and marketing. As Managing Director of Global Funds and Insured Solutions, she was responsible for ML’s US and offshore mutual funds, money market funds and exchange traded funds businesses in the Americas, Asia Pacific and EMEA. Erin was also responsible for leading the firm’s annuity and life insurance offerings. She spent the early years of her career in insurance and banking. Erin is a graduate of St. Joseph’s University in Philadelphia, Pa. She holds Series 7, 24, 63 and 65 licenses.

 

Don Froude Don Froude
President,,
Ameriprise Financial Services

Don Froude joined Ameriprise Financial in September 2008 as president of The Personal Advisors Group. He has significant experience and expertise in broker-dealer and institutional services, as well as wholesaling and product development. In this role, Froude is responsible for continuing to drive growth and productivity across our advisor force and leading the integration of Ameriprise Advisor Services, Inc.

 

 

 

Bob Geppner Bob Geppner
Head of National Sales – US, Franklin Templeton Investments,,
North America Advisory Services

Bob Geppner is a senior vice president and national sales manager for North America Advisory Services. He manages seven divisional sales managers and the external wholesalers within the sales division. 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. Mr. Geppner has over 26 years of experience in the financial services industry. He joined Franklin Templeton Investments in 1987 as a wholesaler for the wirehouse/regional division. In 1997, Mr. Geppner assumed the role of Eastern national sales manager. Before joining Franklin Templeton, he worked as a retail broker with a national brokerage firm.

 

 

Andrew Gotfried Andrew Gotfried
Vice President and Director Mutual Fund Research & Marketing,
Raymond James & Associates

Andrew Gotfried is the Vice President of National Accounts at Eagle Asset Management. In this role he oversees and is responsible for the distribution of Separately Managed Accounts and Mutual funds for third party distribution.

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. During his tenure with Raymond James Financial Services he became the Regional Compliance Officer for the southeastern United States. In 2004 he assumed the role of Director of Private Client Group Compliance for Raymond James & Associates and in 2005 became the Director of Mutual Fund Research & Marketing for Raymond James Financial. As Director of Mutual Fund Research he managed third party asset manager relationships for both domestic and offshore mutual funds, 529 College Savings Plans and oversaw the client approved research recommendations on open-end mutual funds.

Andrew is a graduate of the University of Florida. He holds his Series 4, 7, 12, 24, 53 & 66 licenses and has obtained the designation of Certified Investment Management Analyst, CIMA®.

 

 

Doug Hanson Doug Hanson
Vice President, Investment Management Services Client Solutions,
Schwab

Douglas D. Hanson, CIMA® Vice President, Investment Management Services Charles Schwab & Co., Inc. Doug Hanson is Vice President of Schwab's IMS Client Solutions – Third Party Products Management. He is responsible for all aspects of Schwab's third party mutual fund platforms, including OneSource. Doug joined Charles Schwab in 1986 as a registered representative in the Boston, MA branch office. He served in various client service and supervisory capacities in Boston until relocating to Schwab's San Francisco headquarters in 1991. In that year, Doug participated in the initial development, testing, and implementation of Schwab's Mutual Fund OneSource® business; the industry's first no-transaction-fee mutual fund platform. Since then, Doug has performed a variety of roles including oversight of third party asset management relationships and serving as general manager for Schwab's mutual fund clearing business. Doug earned his B.A. in Business Administration in 1986, with a major in marketing, at Bryant University in Rhode Island. In 1991, he earned his MBA from the University of Massachusetts.

 

 

Simon Heslop Simon Heslop
Director,,
Commonwealth Financial Network

Simon serves as Commonwealth's director of asset management and has more than 18 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.

 

 

Jim LanghamJames Langham
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 including money market and offshore mutual funds, 529 programs, Donor Advised Fund products and IRAs. In addition, he is responsible for supporting fund distribution within all brokerage and advisory platforms at UBS and enhancing the FA and client experience as it relates to these businesses. Jim has over 20 years of industry expertise. Before joining UBS in September 2010, Jim spent over 16 years with Morgan Stanley, where he held various roles in the retirement, product development and investment product areas. Jim holds his Series 7, 66 and 24 FINRA licenses.

 

 

Sonia MataSonia Mata
Senior Research Analyst,
Strategic Insight

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. McCarthyFrank A. McCarthy
Senior Vice President,
Ameriprise Financial Services

Frank A McCarthy Frank A. McCarthy is employed by Ameriprise Financial Services, Inc. as Vice President and General Manager of the External Products Group. He has responsibility for the non-proprietary products offered through Ameriprise Financial Services, Inc., including mutual funds, 529 Plans, REITs, funds of hedge funds, structured products, syndicates, managed futures, annuities and brokered insurance. Before joining Ameriprise, Mr. McCarthy was President of TCF National Bank's affiliated broker-dealer, TCF Securities, Inc., 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 eighteen years in several capacities, starting as Claims Attorney and advancing to Chief Operating Officer. He serves as an advisory member of the Board of Directors for the Investment Program Association, the industry trade association for direct investment products including non-traded REITs. He also served for several years on the Board of Directors for both the Insurance Federation of Minnesota and the Consumer Credit Insurance Association, a national trade association. He holds a B.S. degree in Marketing from St. Cloud State University and a J.D. from William Mitchell College of Law.

 

 

Dan Moorman Dan Moorman
Managing Director - Mutual Funds, ETPs, CEFs, UITs and 529 Plans / Product Marketing & Communications,
Wells Fargo Advisors, LLC

Dan Moorman is the Director of Mutual Funds, Exchange Traded Products, Closed End Funds, UITs, 529 Plans, and most recently, Product Marketing and Communications within the Investment & Advisory Products Group at Wells Fargo Advisors, LLC. In that role, he is responsible for those product lines and the support of advisory and financial product marketing and communication efforts.

Dan joined A.G. Edwards in 1995 as a member of the Managed Products department. Within that department, Dan served in a variety of positions, including Vice President of the Marketing Coordination Group, where he was responsible for overseeing the mutual fund and fund advisory sales and marketing division and the establishment and maintenance of relationships with mutual fund, annuity and life insurance companies. He held that role prior to assuming his current duties.

Dan earned his BS from the University of Missouri – Columbia and is a graduate from the Securities Industry Institute at the Wharton School. Dan is Series 6, 7, 24 and 63 licensed. He and his wife, Gretchen, reside in St. Louis with their two children.

 

 

Sandra MotuseskySandra Motusesky
Director, Investment Solutions,
Pershing

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.

 

Ryan Mullen
Senior Managing Director, National Sales,
MFS Investment Management

Ryan Mullen, CIMA, ARPC, is Senior Managing Director, National Sales, for the Investment Specialist Group (ISG) at MFS Investment Management®. Ryan's team is responsible for the distribution of MFS portfolios in four key channels: defined contribution investments, variable insurance products, separately managed accounts, and registered investment advisors. Ryan has held this position since 2006. He came to MFS in 1992 as a customer service representative and later served on the inbound marketing and insurance products sales desks. He joined the firm's wholesaling team in 1996 as Regional Manager in the Financial Advisors Division of MFS Fund Distributors, Inc. He became a Regional Vice President in 1998 and a Divisional Vice President for ISG in 2000. He was named a Senior Divisional Vice President in 2004. Before taking on his current position, he served as a Senior Divisional Vice President of the Financial Advisor Division, overseeing that group's wholesaling team in the Midwest. Ryan is a graduate of Hobart College, where he earned a bachelor's degree in economics. He holds the Certified Investment Management Analyst (CIMA) and Accredited Retirement Plan Consultant (ARPC) designations.

 

Avi NachmanyAvi Nachmany
Executive Vice President & Research Director,
Strategic Insight

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.

 

 

James D. Peterson James D. Peterson, Ph.D.
SVP, Chief Investment Officer,
Charles Schwab Investment Advisory, Inc.

James D. Peterson is Chief Investment Officer of Charles Schwab Investment Advisory (CSIA), overseeing all of the firm's activities. CSIA provides portfolio advisory services and research on investment managers to Charles Schwab & Co., Inc. (Schwab) clients and the advisors who serve them. The team is responsible for portfolio management of Schwab Managed Portfolios, a Schwab-sponsored wrap fee program with more than $16 billion in assets under management, and evaluates investment managers for a variety of Schwab lists, including the Mutual Fund OneSource Select List®, ETF Select List™, and Managed Account Select©.

Prior to joining Schwab in 1998, Peterson was a member of the finance faculty at the University of Notre Dame. Previously, Peterson served as a visiting assistant professor of finance at Indiana University, Bloomington, and visiting scholar at Ibbotson Associates, Chicago.

Prior to joining Schwab in 1998, Peterson was a member of the finance faculty at the University of Notre Dame. Previously, Peterson served as a visiting assistant professor of finance at Indiana University, Bloomington, and visiting scholar at Ibbotson Associates, Chicago.

Peterson earned his Doctorate of Philosophy in finance from Louisiana State University.

 

Bob RiceBob Rice
Alternative Investment Editor,
Bloomberg Television

Bob Rice is the Alternative Investment Editor at Bloomberg Television and the Managing Partner of merchant bank Tangent Capital. Additionally, Bob serves on boards of investment management firms with over $2 billion of assets under management, as well as Gust, the leading platform for seed stage companies and investors. Bob has been involved in Alternatives world for 30 years. After starting his career at the U.S. Justice Department, he worked on the early generations of derivatives as a partner at premiere Wall Street’s law firm Milbank, Tweed. He entered the private equity world via Wexford Capital, where he launched a 3D technology startup that later became the publicly traded Viewpoint, of which he served as CEO. In 2004, he founded Tangent, whose principals have raised and invested several billions of dollars for and in alternative funds and transactions. Bob has appeared on dozens of major media outlets around the world, and frequently presents at professional, educational, and business events on topics concerning successful strategies for rapidly changing environments. His latest book, The Alternative Answer: The Nontraditional Investments that Drive the World's Best Performing Portfolios, was published by HarperCollins.

 

Andrew RogersAndrew Rogers
CEO,
Gemini Fund Services

As Chief Executive Officer of Gemini Fund Services, LLC, Andrew Rogers oversees all areas of Gemini, including Fund Administration, Fund Accounting, Transfer Agency and Shareholder Servicing, Client Services, and Legal Administration. Andrew 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 addition to his Gemini responsibilities, Andrew is 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. for almost 4 years, where he was responsible for approximately 60 funds, onshore and offshore, with approximately $40 billion in assets. Andrew graduated from the State University of New York at Albany in 1991 with a Bachelor of Science in Accounting and has completed all four parts of the CPA examination.

 

Jeremy RossJeremy Ross
Head of Sales,
BrightScope

Jeremy is Head of Sales at BrightScope. He is responsible for driving adoption of BrightScope's industry leading suite of products and services that drive more effective sales and retention strategies for top financial institutions by leveraging an unparalleled fusion of proprietary data, analytics, and engineering expertise. His efforts are focused on seamlessly leading organizations into the next generation of sales, distribution, and client service by integrating all data across the enterprise to create real-time actionable intelligence that is available on demand. Jeremy is a dedicated community volunteer as a member of the Susan G. Komen for the Cure Board of Directors and former Chair of the San Diego Race for the Cure, raising over $1 million annually in the battle to end breast cancer. He received his bachelor's degree from Washington University in St. Louis in Finance and Marketing.

 

Paul David SchaefferPaul David Schaeffer
Managing Director, Strategy & Thought Leadership,
Forward Management

Paul David Schaeffer is formerly 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.

 

 

Scott SteinScott Stein
Managing Director,
J.P. Morgan Alternative Asset Management

Mr. Stein is a managing director of J.P. Morgan Alternative Asset Management and is responsible for business development and strategy in the U.S. as well as participates in investment analysis, research and due diligence. Prior to this role, Mr. Stein was based in London, responsible for establishing and managing J.P. Morgan Alternative Asset Management's Institutional business in Europe, Middle East and Asia. Prior to assuming this role in October 2001, Mr. Stein was manager of product development beginning in July 1995 and was responsible for origination and structuring for alternative investment products. During much of this time Mr. Stein was also responsible for J.P. Morgan Alternative Asset Management’s marketing, sales and distribution. Since joining the former Chase organization in 1988, Mr. Stein also completed the Corporate Finance Program and worked in Capital Markets. Mr. Stein received a B.A. in management from Hofstra University and an Executive M.B.A in finance from New York University. He holds the Chartered Financial Analyst (CFA) designation and is a member of The CFA Institute.

 

Peter ThatchPeter Thatch
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.

 

 

Sue Thompson
Managing Director,
BlackRock

Sue Thompson, Managing Director, is Head of the Institutional Asset Management/RIA Channel, overseeing the firm's sales efforts with asset managers, ETF Investment Strategists, registered investment advisors and family offices. Prior to joining BGI in 2007, Ms. Thompson was a principal at Vanguard, heading the national sales team focused on national full service brokerage firms. She joined Vanguard in August 1999 as Senior Counsel, specializing in tax law and structured products. Prior to joining Vanguard, Ms. Thompson was an attorney at Orrick, Herrington & Sutcliffe, LLP in California, specializing in public finance. Ms. Thompson received her B.A. in Accounting from the University of Washington and J.D. from the University of California, Davis. She is also a C.P.A. and holds her Certified Investment Management Analyst (CIMA) designation through the Investment Management Consultants Association in conjunction with the Wharton School at the University of Pennsylvania.

 

Tamiko TolandTamiko Toland
Managing Director of Retirement Income Consulting,
Strategic Insight

Tamiko Toland is Managing Director of Retirement Income Consulting at New York-based Strategic Insight, an Asset International company. Through the Annuity Insight service, she monitors trends and key issues on VAs and retirement income, providing commentary and analysis for client firms. Annuity Insight also offers timely information and research on VA-related documents filed with the SEC and maintains a database of changes to VAs and Standalone Living Benefits (SALBs). She is also the author of a large scale report on the SALB market. Before joining Strategic Insight, Tamiko was editor of Annuity Market News (now Retirement Income Reporter), a SourceMedia publication. Tamiko has also written freelance articles on financial topics for the CFA Institute and Investment News.

 

 

Paul M. WeisenfeldPaul M. Weisenfeld
Managing Director, Director of Funds,
Morgan Stanley Wealth Management

Paul is a Managing Director at Morgan Stanley Wealth Management, 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.