June 24–25, 2014 / Chelsea Piers, New York


Earl BedermanVice Chairman of North America, Asset International President, Investor Economics
Earl Bederman has over 40 years of experience in executive positions in the financial services industry. His career responsibilities encompass economic analysis and forecasting, retail and institutional asset management, and consulting.

Earl’s belief that Canada’s financial services industry needed an organization to conduct fact-based measurement, competitive intelligence, and analysis of markets and trends led to the formation of Investor Economics in 1992. Investor Economics is now recognized as Canada’s leading provider of fact-based analysis of the retail financial services industry.

Through Investor Economics, Mr. Bederman consults to major participants in the retail financial services business, including banks, insurers, fund companies, brokerages, government and regulatory agencies. He is a lecturer and presenter at industry seminars and on behalf of clients in Canada and the United States, and makes television and radio appearances. Investor Economics research and reports are cited extensively in business and financial news media in Canada.

Mr. Bederman holds an undergraduate degree from the University of Toronto and an MBA from the Faculty of Administrative Studies at York University—now known as the Schulich School of Business—with a specialization in Finance. Following graduation Mr. Bederman lectured in the Finance Program at the Faculty. He is a past Board Member and Chair of the Canadian Foundation for Economic Education (CFEE).

Ed BernardVice Chairman of the Board of Directors,T. Rowe Price Group, Inc.Ed Bernard is vice chairman of the Board of Directors of T. Rowe Price Group, Inc., a member of the firm’s Management Committee, and chairman of the T. Rowe Price Mutual Funds and T. Rowe Price Funds SICAV. He oversees the firm’s distribution, client service, technology, and communications activities. Ed is also CEO of T. Rowe Price International Ltd, the firm's UK-based investment manager. Ed served as chairman of the Board of Governors of the Investment Company Institute, the national trade association for the mutual fund industry, from 2009 to 2011. Ed earned his B.A. from Brown University and his M.B.A. from New York University, Leonard N. Stern School of Business.

Sandra L. BoltonDirector, Investment Solutions,PershingSandy 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.

Dennis BowdenManaging Director of U.S. Mutual Fund Research,Strategic InsightDennis is Managing Director of U.S. Mutual Fund Research at Strategic Insight and leads SI’s U.S. fund distribution practice. In this role, Dennis contributes to SI’s research and advisory services focusing on the U.S. fund industry – with a particular emphasis on intermediary-sold fund distribution. Dennis earned his undergraduate degree in economics from Johns Hopkins University, and holds an MBA from NYU’s Stern School of Business.

John BoydVice President, Senior National Accounts Manager, Hartford FundsJohn Boyd joined Hartford Funds in 2013 as a Vice President and Senior National Accounts Manager. In this role, John is responsible for strategic relationships with major clearing firms and a group of leading private banks and TAMPs. Previously, John was Executive Director, Head of Bank & Trust Distribution at JP Morgan Asset Management, where he launched JP Morgan’s first-ever investment distribution channel serving the third party private bank, bank and trust segment. Prior to JP Morgan, John was with T. Rowe Price for 15 years where he was Director, Wealth Management Services in the Third Party Distribution division. In his role with T. Rowe Price, John led distribution to all intermediary wealth segments, including BD national accounts, RIA’s, Private Banks & Trust, TAMP’s, and clearing firms. John also served seven years with IBM in national account sales, and was a Full Lieutenant and Surface Warfare Officer in the U.S. Navy. John holds a B.S. in Aerospace Engineering from the University of Virginia.

Todd BuckPresident,Wheelhouse AnalyticsTodd has nearly 20 years of experience in the financial services industry and is a co-founder of Wheelhouse Analytics. He is the former Director of Sales and Service at Coates Analytics, LP. During his time with Coates Analytics, his clients included 75 top tier asset management firms and national broker dealers. Todd has served as Vice President of Managed Solutions for Merrill Lynch, where he spearheaded Separate Account sales in New York City and was the Eastern Divisional Sales Manager for Strong Capital Management specializing in Managed Accounts and Mutual Funds. Todd received a B.A. in Business Administration from Rowan University and currently resides in Sewell, NJ with his wife Monique and their young son Nathan.

Carolyn Clancy Executive Vice President,Fidelity Investments Carolyn Clancy is executive vice president of Fidelity FundsNetwork®, the industry’s largest open-architecture fund “supermarket” platform. With $1.2 trillion in assets (as of September 30, 2013) held in 20,000+ third-party funds offered by 700+ investment firms, FundsNetwork provides a comprehensive, high-integrity investment product offering to Fidelity’s clients. 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. As head of FundsNetwork since June 2011, Ms. Clancy oversees relationship management, product management and analytics, marketing programs, and servicing for all third-party investment firms and products at Fidelity. FundsNetwork enables the industry’s investment management firms to offer their products to clients across all of Fidelity’s distribution channels (retirement, registered investment advisors, retail/direct, broker/dealers, banks, family offices, and charitable). Before joining FundsNetwork, Ms. Clancy served in various executive roles over her previous 12 years at Fidelity. Most recently, she was in Fidelity’s Personal Investing business for seven years, with various roles over that period including leading all retirement/rollover products, college 529 plans, guidance tools (planning, asset allocation, etc.), and customer strategy and analytics teams. She also led Fidelity’s lifetime engagement strategies in conjunction with retirement plan participants of Fidelity’s Workplace Investing business. Prior to her time with Personal Investing, Ms. Clancy spent five years in leadership roles in product management/development and institutional marketing in Fidelity Workplace Investing’s tax-exempt/403(b) business. 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 holds her FINRA Series 7 and 24 licenses. She is on the Board of Trustees at Assumption College, and is actively involved in several philanthropic organizations.

Stephen ClarkePresident,Navigate Fund SolutionsStephen Clarke is president of Navigate Fund Solutions LLC, a wholly owned subsidiary of Eaton Vance Corp. He is responsible for leading and managing the development of net asset value (NAV)-based trading and exchange-traded managed funds (ETMFs). Before joining Eaton Vance, Stephen was a senior vice president of Old Mutual Asset Management, where he was responsible for overseeing a portfolio of institutional and alternative investment management affiliates for nearly 14 years. He previously served as marketing manager at United Asset Management, prior to its acquisition by Old Mutual. Earlier in his career, he held assurance consulting, business development and client service positions at Coopers & Lybrand, the Berkshire Companies and Putnam Investments. Stephen is a graduate of the University of Massachusetts and holds an MBA from the Wharton School at the University of Pennsylvania.

Bobby Colon Director, Product Partner Relations,Raymond James Bobby Colon joined Raymond James & Associates in 2006 as part of the Corporate & Executive Services Group. His duties included structuring & issuing equity linked notes, assisting the firm's investment banking and equity research corporate executives with their personal financial planning, facilitating directed share programs on IPOs, and consulting on concentrated equity positions owned by high net-worth retail clients. Bobby also served as a convertible securities trader for a brief period of time. In 2010, Bobby joined the Alternative Investments Group as a Product Specialist. His main responsibilities included advisor & client education, client case consulting, and internal sales & marketing of the firm’s alternative investments, structured products, and concentrated equity strategies. Towards the end of his time with the Alternative Investments Group, he operated in a special projects capacity and led a number of large scale projects. In 2013, Mr. Colon was appointed as Director of Product Partner Relations within the Private Client Group Investment Products division. In this role, he leads the Education & Marketing Partner program, relationship management functions, and the various contracts that govern Raymond James’s relationships with mutual fund and annuity companies. Bobby holds a B.S. in Finance cum laude from the University of South Florida as well as an MBA from the University of Florida’s Hough Graduate School of Business. Mr. Colon currently holds the Series 7, 55, 63, and 79 securities licenses and is a Chartered Alternative Investment Analyst (CAIA). Bobby currently participates with a number of charitable organizations including Academy Prep of St. Petersburg, Habitat for Humanity, and the American Heart Association.

Goshka FoldaSenior Managing Director,Investor EconomicsAs Senior Managing Director at Investor Economics, a premier Canadian research and consulting firm specializing in the financial services industry, Ms. Folda leads research initiatives for a wide variety of product and distribution topics. Ms. Folda advises major Canadian fund companies on issues covering a wide spectrum of industry interests, such as the relative success of advice distribution channels, new product development, U.S.-Canada market comparisons, and competitive trends among investment fund sponsors. Ms. Folda is a frequent speaker at industry conferences and seminars.

Ms. Folda also leads the Investor Economics expanding insurance industry research practice, through which she advises major Canadian life insurance companies on strategic and tactical issues.

Prior to her association with Investor Economics, Ms. Folda was an economist and strategic planning analyst with a major Canadian financial institution.

Ms. Folda graduated with distinction from the Warsaw School of Economics’ Master’s Program in her native Poland, and holds a Baccalaureate designation from Lester B. Pearson College of the Pacific in Victoria, British Columbia.

George C.W. GatchCEO, Global Funds Management,J.P. Morgan Asset ManagementGeorge C.W. Gatch is CEO of J.P. Morgan Asset Management’s Global Funds Man­agement business, which has operations in more than 30 countries and over $450 billion in assets under management. He is also CEO of J.P. Morgan Funds, the U.S. fund complex he launched in 2005 and managed for the last decade, doubling its market share and bringing it to its current status as one of the top fund complexes in the nation.

George currently serves as a member of the operating committees of J.P. Morgan’s global Asset Management and global Investment Management businesses, which collectively have $1.5 trillion in assets under management.

Insti­tutional Investor has twice named Gatch “Fund Leader of the Year” – in 2006 for overseeing the largest mutual fund merger in U.S. history (J.P. Morgan and Banc One); and in 2011 for overseeing J.P. Morgan Funds’ leap in assets to become the first bank-owned funds complex to break into the Top 10. In 2012, Gatch was inducted into the inaugural Mutual Fund Industry Awards Hall of Fame, established by Fund Director Intelligence and Fund Industry Intelligence to recognize continued excellence in the mutual funds industry.

An employee of J.P. Morgan since 1986, George was previously president and CEO of Japan's DKB Morgan, a mutual fund joint venture be­tween J.P. Morgan and Dai-Ichi Kangyo Bank. Prior to his time in Japan, he established J.P. Morgan Asset Management’s sub-advisory and institutional mutual funds businesses.

Gatch obtained his bachelor of arts in political science and economics from Washington University in St. Louis, Missouri. He now serves on the Executive Committee and the Board of Governors for the Invest­ment Company Institute (ICI) and he is Chairman of the ICI Audit Committee. He also serves on the board of directors for the Cathedral School of St. John the Divine and on the investment committee of The Cathedral Church of Saint John the Divine in New York.

Doug HansonVice President, Investment Management Services Client Solutions,Charles Schwab & Co., Inc.Douglas D. Hanson, CFP®, CIMA® Vice President, Asset Management Client Solutions Charles Schwab & Co., Inc. Doug Hanson is Vice President of Schwab’s IMS Client Solutions – Third Party Mutual Funds. He is responsible for all aspects of Schwab’s third party mutual fund platform including OneSource®, the industry’s first no-transaction-fee mutual fund service. Mr. Hanson 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 service. Since then, Mr. Hanson 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. Mr. Hanson earned a bachelor’s degree in business administration at Bryant University, and an MBA from the University of Massachusetts. He holds Series 7, 9/10, 24, and 63 securities registrations, and holds the Certified Financial Planner (CFP), and Certified Investment Management Analyst certification (CIMA) designations.

Ben HunekeManaging Director and Head of Investment Solutions,Morgan Stanley Wealth ManagementBen Huneke is a Managing Director and head of Investment Solutions for Morgan Stanley Wealth Management. He is responsible for external asset manager relationships and product management and distribution for mutual funds, exchange-traded funds, closed-end funds, annuities, insurance, unit investment trusts and 529 plans.

Mr. Huneke held previous roles within Morgan Stanley Wealth Management as Chief Operating Officer of Investment Products & Services and Head of Strategy and Business Management. He serves as a member of the Management Committee for Morgan Stanley Wealth Management.

He holds an AB from Princeton University and an MBA from Columbia University.

Yariv ItahManaging Partner,Casey, Quirk & AssociatesYariv Itah is Casey Quirk’s Managing Partner, responsible for executing the firm’s business operations and strategy. As Managing Partner, he focuses on maintaining the firm’s position as the world’s leading advisor to the investment industry, growing the firm’s talent pool, and expanding its knowledge advantage. He oversees the firm’s senior leadership and Business Strategy Committee, and he sits on the Thought Leadership committee.

Yariv also advises complex, global asset management firms worldwide. His areas of functional focus include growth planning, economic alignment and ownership structures, investment quality assessment and global distribution design. Yariv’s geographic expertise includes the Americas and Japan.

Yariv has been an officer at Casey Quirk since its foundation in 2002. Prior to joining Casey Quirk, he was an Associate at Ernst & Young in Tel Aviv. A military veteran, Yariv served as a paratroop squad commander for three years. Yariv has lived on five continents and communicates in four languages. He is a certified public accountant, holds an economics degree from the University of Tel Aviv, and received his MBA from the School of Management at Yale University.

Jason KingHead of Product Development,InvescoAs the manager of Product Strategy & Development at Invesco, Jason King is responsible for product strategy and development for both the US retail and institutional product lines. Mr. King is responsible for working with all of Invesco’s internal stakeholders to develop and execute Invesco’s product development activities for open-end and closed-end mutual funds as well as collective trusts and private placements. He joined Invesco in 2004. Prior to joining Invesco, Mr. King worked for Fidelity Investments in both FIIS and FIRSCo. He earned a MA from Southwest Texas State University and a BA from the University of Arkansas.

James LanghamManaging Director, Mutual Fund Products Wealth Planning and Fund Services,UBS Financial ServicesJim Langham Executive Director, Wealth Planning and Fund Services, Mutual Fund Products UBS Financial Services Inc. Jim is Head of Mutual Fund Products for UBS Financial Services and is responsible for the growth and management of the mutual fund business including domestic and offshore mutual funds, money market 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 retirement, product development and investment product management roles. Jim holds his Series 7, 66 and 24 FINRA licenses.

Scott LavelleDirector, Investment Advisor Research,PNC Asset ManagementScott Lavelle is Director of Investment Advisor Research. In this role, Lavelle is responsible for the Investment Advisor Research Group, which is responsible for the evaluation, selection and monitoring of investment solutions on the Choice, MAP, MAS, Vested Interest and PNC Investments platforms. In addition, IARG performs operational and counterparty risk analysis. Lavelle is a member of the Portfolio Construction Committee and chairs the Investment Advisor Research Committee. His focus is on delivering a platform of best in class investment products. Lavelle joined PNC as an Investment Portfolio Analyst in the Investment Advisor Research Group where he was responsible for due diligence on prospective and current investment managers across equity, fixed income and alternative strategies. He also participated extensively in a number of strategic projects. Prior to joining PNC, Lavelle was an Investment Analyst at Sage Financial Group where he was responsible for manager due diligence and asset allocation modeling. Lavelle also managed fixed income and equity portfolios at Wells Fargo Wealth Management. He began his career as an equity trader in 1998. Lavelle received a B.S. in Finance from Boston College in 1998. He has earned the Chartered Financial Analyst (CFA) designation, and also holds the Chartered Alternative Investment Analyst (CAIA) and Financial Risk Manager (FRM) designations.

Robert LearyPresident of Asset Management,TIAA-CREFRobert Leary is President of TIAA-CREF Asset Management in the Office of the CEO at TIAA-CREF and a member of the firm’s Executive Management Team.

Joining TIAA-CREF in 2013, Mr. Leary is responsible for all aspects of TIAA-CREF’s Asset Management business, including its strategy across investments, distribution and operations. He leads a management team that continues to build on Asset Management’s strong investment performance, history of innovation and client focus across all channels of distribution.

Mr. Leary began his career as a lawyer for White & Case in New York, but then moved into the financial services arena with J.P. Morgan & Co., where he led the development of fixed-income derivative applications and investment strategies for pension plans and other investment managers. In the course of more than 20 years in the industry, he helped build AIG Financial Products’ investment business and led all of its client-facing businesses from marketing to distribution globally, and later was CEO at ING Investment Management Americas and ING Insurance U.S. At ING U.S. he was responsible for the investment management, retirement, insurance and annuity businesses, as well as operations, IT, and marketing in the U.S.

Mr. Leary serves on the board of AmeriCares, a nonprofit, global health and disaster-relief organization. He has participated as a speaker and/or panelist in numerous industry panels and conferences and has frequently appeared in major financial media. He earned his bachelor’s degree in political science at Union College and his law degree from Fordham University School of Law.

Robert A. LibertoSenior Vice President,The Segal GroupMr. Liberto is a Senior Vice President in Segal Rogerscasey’s New York office with many years of experience in the employee benefits field. He developed and serves as Practice Leader for DC-Connect®, a comprehensive defined contribution search and vendor selection service. As a nationally known expert on defined contribution plan design and technical administration issues, Mr. Liberto has written numerous articles on defined contribution plan issues and has been quoted in national news, business and trade publications. In addition, he frequently speaks at employee benefit seminars.

Mr. Liberto is a delegate to the Profit Sharing Council of America. As a member of the Steering Committee for the Society of Professional Asset Managers and Recordkeepers (SPARK), he was the Committee Chairman for the industry-wide RFP standardization, which developed SPARK’s “RFP Guide for Plan Sponsors.” Mr. Liberto has served on Schwab’s Institutional Pension Administrators Service Advisory Board and on the Investment Policy Committee of the National Association of Government Defined Contribution Administrators, Inc. (NAGDCA). He served in the United States Navy from 1968 to 1972.

Sonia MataSenior Research Analyst,Strategic InsightSonia 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 McCarthySenior Vice President,Ameriprise Financial ServicesFrank 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.

Bill Miller Senior Vice President,American Funds DistributorsBill Miller is a senior business development manager at American Funds, part of Capital Group, with responsibility for leading business development, strategy and relationship management efforts for retail wire/regional broker dealers, as well as the global banking channel in the U.S. He has 20 years of investment industry experience and has been with Capital Group for two years. Prior to joining Capital, Bill led the business development and strategy group at Realty Capital Securities. Before that, he led the sales and distribution efforts for Lincoln Financial Distributors and AXA Equitable Distributors. He holds a bachelor’s degree in English from Hobart College. Bill is based in New York.

Dan Moorman Managing Director - Packaged Products,Wells Fargo AdvisorsDan Moorman is the Director of Packaged Products within the Products & Advice Group at Wells Fargo Advisors, LLC. In that role, he is responsible for the Mutual Fund, Exchange-Traded Product, Closed-End Fund, Unit Investment Trust, and 529 Plan product lines. In addition, his team provides product marketing and communication support as well as a product assistance call center for all advisory and financial products. Dan joined Wells Fargo Advisors in 1995 (then A.G. Edwards) 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, 63, and 66 licensed. He and his wife, Gretchen, reside in St. Louis with their two children.

Avi NachmanyExecutive Vice President & Research Director,Strategic InsightAvi, 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.

Daniel O'LearExecutive Vice President,Franklin Templeton Distributors, IncDan O'Lear is executive vice president of Franklin Templeton Distributors, Inc. As Head of Retail Distribution – North America, Mr. O'Lear oversees the Advisory Division comprising the external and internal sales teams for the U.S. and Canada, as well as the RIA, and Investment Only Divisions. Mr. O'Lear's responsibilities also include overseeing national account management, establishing strategic plans, and developing sales initiatives.

Before joining Franklin Templeton Investments in 1996, Mr. O'Lear was a senior vice president at Kemper Funds where he held the roles of eastern divisional sales manager and national accounts manager. He joined the Kemper organization in 1988 where he served as the director of financial services for Kemper Securities, Inc. Mr. O'Lear began his career with Drexel Burnham Lambert, Inc. in 1983 as a product marketing manager for mutual funds and direct investments.

Mr. O'Lear earned his B.S. in economics from the State University of New York at Oneonta. He is an elected member of the Money Management Institute’s Board of Governors.

Matthew OsborneExecutive Vice President and Managing Director,Altegris AdvisorsMatt Osborne has 20+ years of international business and financial market experience. As the Executive Vice President and Managing Director of Altegris Advisors, and a Director of Altegris Funds, Matt is responsible for Strategic Initiatives. He is also a co-portfolio manager of the company's mutual funds. Matt is a member of the Altegris Investment Committee, responsible for qualification, approval and on-going review of all investment strategies and managers on the Altegris platform. Prior to Altegris, Matt was Director of Research for the Managed Investments Division of Man Financial with responsibility for manager selection and research. Previously, Matt had a 12-year career with a preeminent family office in his native New Zealand. In his role as Investment Manager, he was responsible for formulating investment policies and implementing a global asset allocation program that specialized in alternative investment strategies such as hedge funds and managed futures. He also gained significant trading expertise in foreign currencies, stocks, fixed income, global futures and options.

Frank PolefroneSenior Vice President of Product Development, Access Data Corp.Frank Polefrone is the Senior Vice President of Product Development for Access Data, a Broadridge Company. He is responsible for setting product strategy and overseeing the management of our Enterprise Data Management, Analysis & Reporting Solutions. Frank works closely with clients and senior managers in the industry to gather feedback and input for product enhancements and launching new products.

Frank has presented at mutual fund industry events and conferences including NICSA (National Investment Company Service Association), Spark, SIFT and has published articles on mutual fund distribution and products trends in the financial services media. He holds Series 24, 7, and 63 Securities Licenses.

Frank has a Bachelor of Arts degree in Economics from Bucknell University and a Master of Arts degree in Educational Administration from North Carolina State University.

Andrew RogersCEO,Gemini Fund ServicesAs 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.

Jeremy RossEVP, Enterprise Sales,BrightScope, Inc.Jeremy Ross is Executive Vice President of Enterprise Sales at BrightScope. Massive streams of complex and unstructured data flow through the financial services marketplace every day. Industry executives are challenged with the daunting task of transforming the diverse data into actionable strategic intelligence about their own businesses and the broader competitive landscape. Jeremy works closely with distribution and technology executives at top financial institutions to help them unlock powerful, data-driven insights that lead to more effective sales and retention strategies. He leads a partner-centric team driving adoption of BrightScope Beacon—the industry-leading SaaS solution for integrated intelligence and management reporting. Before moving to New York to open BrightScope’s Manhattan office, Jeremy served as a dedicated community volunteer and member of the Susan G. Komen for the Cure Board of Directors and Chair of the San Diego Race for the Cure, raising over $1 million annually in the battle to end breast cancer. Jeremy earned his Bachelor of Science degree in Finance and Marketing from Washington University in St. Louis.

Joseph SchultzCFA, Senior Vice President, Head of Intermediary Sales,American Century InvestmentsJoseph Schultz, CFA is senior vice president and head of Intermediary Sales for American Century Investments, an independent, privately controlled, pure-play asset management firm founded in 1958.

Mr. Schultz is responsible for the firm’s retail sales efforts and key account management. This includes the mutual fund and subadvisory business distributed through wirehouses, regionals, independents, RIAs and insurance company advisors. In addition to leading sales teams, Schultz is a member of American Century’s Product & Markets and Distribution Operating Committees.

Previously, Mr. Schultz was managing director and Head of U.S. Broker Dealer Sales and Relationship Management at Goldman Sachs Asset Management. Prior to Goldman Sachs, he was senior vice president and Director of Sales and Distribution for Prudential Financial. He joined Prudential from PaineWebber, Inc. He has worked in the financial industry since 1994.

Mr. Schultz graduated from Fordham University with a bachelor’s degree in finance and economics. He is a CFA charterholder. He is a member of AIMR-N.Y. Society of Security Analysts, the ICI Distribution and Marketing Committee and a Board Member and Chair-Elect of the Money Management Institute. Joe and his wife Kristen, were married in 2000. They now reside in Ridgewood, New Jersey with their four children.

Stephen SeifertPrincipal, US Mutual Funds Marketing,Edward JonesSteve Seifert began his career at Edward Jones in 1989 as a financial advisor in Somerset, Ky. In this role, he was responsible for helping investors achieve their personal financial goals. After nine years, Seifert’s business had grown so large that he invited a new financial advisor into his branch office to help him better serve clients. While running the Edward Jones office in Somerset, Seifert also served on various task forces and was a trainer and regional meeting coordinator. He received three invitations to the firm’s Managing Partner’s Conference, an honor reserved for the top 350 of the firm’s more than 11,000 financial advisors. When he was named a principal with the firm in 1999, Seifert moved to Edward Jones’ St. Louis headquarters to undertake the first of several leadership roles in Financial Advisor Training. In 2003, Seifert moved to the firm’s Canadian division, where he assumed responsibility for Products and Services. In 2008, Seifert moved back to St. Louis to assume responsibility for U.S. Mutual Funds Marketing, and in 2012, those duties were expanded to include responsibility for Investment Advisory. Seifert received a bachelor’s degree in finance from Millikin University in Decatur, Ill., and is a 2002 graduate of the Kellogg Management Institute at Northwestern University.

Andy SiegHead of Global Wealth and Retirement Solutions,Bank of America/Merrill LynchAndy Sieg is Head of Global Wealth & Retirement Solutions (GWRS) and is a member of the Bank of America Operating Committee. GWRS provides a comprehensive set of investment products and services, as well as retirement solutions, to clients of Merrill Lynch Wealth Management and U.S. Trust. Andy first joined Merrill Lynch in 1992 as an analyst in the Global Wealth Management business, later serving in senior strategy and field leadership roles during the next 13 years. Before rejoining the company in 2009, Andy led the Emerging Affluent Client Segment within Citigroup Global Wealth Management from 2005 to 2009. Prior to his career at Merrill Lynch, Andy served in The White House as an aide to the assistant to the President for Economic and Domestic Policy. Andy earned a Bachelor of Science in Economics from Penn State University. He also holds a Master in Public Policy degree from the Harvard Kennedy School. Andy serves on the boards of ReadWorks.org, a non-profit dedicated to ensuring students in our nation’s neediest public schools have literacy skills to compete and succeed in life. Andy also represents Bank of America Merrill Lynch on the Advisory Board of the Stanford University Center on Longevity. Andy was named an Alumni Fellow of Penn State in 2013, and is a member of The Schreyer Honors College External Advisory Board. He is also a member of the Harvard Kennedy School Dean’s Council.

George Sweeney Head of National Sales - Independent ChannelOppenheimerFunds, Inc.1989 - 1990 - Regional Sales Representative for Oppenheimer Funds - NJ/PA (Internal Wholesaler) 1991 - 1997 - Regional Sales Manager for Oppenheimer Funds - PA (External Wholesaler) 1998 - 2001 - Eastern Divisional Sales Manager for the Independent Channel (Channelized Distribution) 2002 - 2010 - District Sales Manager for the Mid Atlantic Division (De-Channelized Distribution) 2011 - Present - Head of National Sales for the Independent Channel

Sandra TestaniDirector, Alternatives Product Management,AllianceBernsteinSandra Testani was named Director of Alternatives Product Management in 2010 where she covers the firm’s hedge funds, private equity, fund of hedge funds and registered alternative strategies across client channels and geographies. She is a member of the firm’s Alternative Investment Risk Oversight Committee. Testani joined AllianceBernstein in 2000 and previously, with the Private Client Investment Policy Group, was responsible for asset allocation research and product development for high-net-worth investors, and for developing analyses and communications related to the capital-markets environment and portfolio strategy. She also spent three years as a senior hedge fund specialist focusing on multi-strategy and long/short equity hedge funds. Testani holds a BA in international relations/economics, cum laude, from Boston University and is a CFA and CAIA charterholder. Location: New York

Peter ThatchDirector, US Mutual Funds,Merrill Lynch Global Investments & Wealth ManagementPeter, 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.

Nathan ThooftManaging Director,Manulife Asset ManagementNathan Thooft is a Portfolio Manager and Managing Director of Asset Allocation, Portfolio Solutions Group (PSG), at Manulife Asset Management. PSG is responsible for the development and growth of Manulife’s asset allocation solutions for individual and institutional investors in the U.S., Canada, and Asia. PSG currently oversees in excess of 100 Manulife/John Hancock asset allocation portfolios representing over $115 billion in assets.  Nathan leads fundamental research efforts for PSG and has responsibility for the day-to-day monitoring and portfolio management of Manulife’s Lifestyle (target-risk) and Lifecycle (target-date) Portfolios as well as a wide array of PSG’s other asset allocation portfolios.  In addition, Nathan is passionate about capital market research and is a significant contributor to PSG's proprietary asset class return forecasting process and the implementation of the asset class and manager positioning.

Previously, Nathan was Vice President & Director of Investments, Investment Management Services (IMS), for John Hancock Financial, the U.S. division of Manulife Financial Corp. Nathan was responsible leading manager research efforts and for the development and daily monitoring of investment platforms in the U.S. and Asia. Prior to joining John Hancock, Nathan was a Senior Portfolio Analyst within the investment management division of Fidelity Investments where he was responsible for research and investment communications for the small- and mid-cap equity teams. Nathan also served as Vice President, Sr. Product Consultant at RBC Wealth Management, a leading U.S. broker dealer. In this role, he developed customized asset allocation and investment strategies, evaluated traditional and alternative investment managers, and consulted for a large national brokerage force.

Nathan holds the Chartered Financial Analyst designation and is a member of the Boston Security Analysts Society and of the CFA Institute.

Scott WelchExecutive Vice President & Chief Investment Officer,Fortigent, LLCScott Welch, CIMA® EVP and Chief Investment Officer Fortigent, LLC Scott Welch is Co-Founder and member of the Executive Committee at Fortigent, LLC. Based in the Washington D.C. area, Fortigent is an outsourced wealth management platform for banks and independent advisory firms that target high net worth investors. Fortigent currently serves approximately 100 firms that collectively advise on more than $75 billion. Scott is the Chief Investment Officer of Fortigent, where he chairs the Investment Committee, Investment Quality Assurance Committee, and Portfolio Management Committee. He is also Co-Portfolio Manager on all Fortigent managed model portfolios. Prior to joining Fortigent and its predecessor firm in 1998, Scott spent over twelve years on Wall Street, first with Swiss Bank Corporation and then with The Globecon Group, a global bank consulting firm. During this time, he focused on the capital markets, credit and derivatives, risk management, and relationship management. Scott is a frequent speaker on wealth management topics, and he regularly authors industry-related articles that appear in numerous trade journals. He is a member of the Editorial Advisory Boards of The Journal of Wealth Management and the IMCA Investments & Wealth Monitor. He is also a member of the Advisory Board for the American Bankers Association’s annual Wealth Management & Trust Conference. Scott earned a Bachelor of Sciences degree in Mathematics from the University of California at Irvine and a MBA (Finance) from the University of Massachusetts at Amherst. He holds the CIMA® (Certified Investment Management Analyst) designation as well as the Investment Strategist, Advance Investment Strategist, and Alternative Investments Certificates from the Investment Management Consultants Association (IMCA). He also holds FINRA Series 7, 24, 63, and 65 licenses.

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Allana Burke

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Carol Popkins
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