Scott BoydSenior Vice President,National Platform Distribution and Relationships Prudential RetirementScott Boyd, Senior Vice President, is responsible for managing Prudential Retirement’s Institutional and Tax Exempt Sales teams, focusing on the distribution of Prudential Retirement’s full service offerings in the Governmental, Not-for-Profit and Taft Hartley markets, as well as Stable Value and guaranteed income products on third party recordkeeping platforms. In addition, Scott focuses on expanding Prudential Retirement’s partnership with Prudential Investments and distribution of our sub-advised investment products and Day One Target Date Funds. Prior to this role, Scott was responsible for managing Prudential Retirement’s Channel Management and Business Development team focusing on strategy development and execution for all national advisor distribution networks and platform relationships. These efforts included the development and management of the overall intermediary experience within Prudential Retirement. Scott joined Prudential Retirement in 2003. Prior to joining Prudential Retirement, Scott worked as a strategy consultant, as well as a consultant for PricewaterhouseCoopers in Boston. He has a B.S. degree in Civil Engineering from Union College in Schenectady, NY and an M.B.A. degree from the Johnson School, Cornell University. Additionally, he holds Series 6, 63 and 26 registrations.
Scott BradyDirector, Head of US Mutual Funds, Merrill Lynch Global Wealth & Investment ManagementScott Brady is a Director and Head of US Mutual Funds within the Merrill Lynch Global Wealth Management Managed Solutions Group. He is responsible for the growth, management, and oversight of the US Mutual Fund business across multiple platforms within Merrill Lynch, including retirement platforms, retail brokerage, the advisory programs, and Merrill Edge. Scott’s previous roles within Merrill Lynch include H Transition Services, and the Head of Mutual Fund Administration. Before joining Merrill Lynch in 2004, Scott held Eaton Vance and Putnam Investments. Scott graduated from Boston College with a degree in Finance, and he is currently FINRA Series 7, 24, and 66 licensed.
Mark Casady Chairman and Chief Executive Officer,LPL FinancialMark Casady is chairman of the board and chief executive officer of LPL Financial, which he has guided to become a leading financial services organization that serves independent financial advisors, banks, and credit unions and that provides clearing services to broker/dealers at financial services companies. Before joining LPL Financial in 2002, Mr. Casady was managing director of the mutual fund group for Deutsche Asset Management, Americas—formerly Scudder Investments. He joined Scudder in 1994 and held roles as managing director, head of the global mutual fund group, and head of defined contribution services; he was also a member of the Scudder, Stevens, and Clark board of directors and management committee. Prior to Scudder, he held roles at Concord Financial Group as institutional sales manager and at Northern Trust as vice president of investments and head of global custody operations in its London office. Mr. Casady serves on the Financial Industry Regulatory Authority (FINRA) board of governors and is a member of the board of the Financial Services Roundtable, EZE Software Group, and Cushing Academy, a co-ed New England boarding school where two of his children attended. He is also a former chairman of the Insured Retirement Institute (IRI) and has served on the executive committee of the Investment Company Institute board of governors. Additionally, Mr. Casady is treasurer of the Casady family’s One Step Forward Education Foundation, which focuses on changing the lives of children around the globe through education. He also helped found and fund the Invest in Others Charitable Foundation, which recognizes the philanthropic activity of financial advisors across the industry. DePaul University College of Commerce named Mr. Casady “Financial Executive of the Year” in 2007. He was also named one of the top 50 financial professionals by Irish American magazine in 1999 and, in 2008, was inducted into the Redefining Investment Strategy Education “Hall of Fame” by the University of Dayton. Mr. Casady received a Bachelor of Science from Indiana University and an MBA from DePaul University. He is FINRA Series 7, 24, and 63 registered through LPL Financial.
Fran Cashman Managing Director, Co-Head of US Sales,Legg MasonFran Cashman is Co-Head of US Sales for Legg Mason. In this role, she is responsible for all US Sales and the strategic sales efforts of the US Retail Sales Teams. The US Retail Sales Team is comprised of over 115 field and internal sales professionals focused on the distribution of Legg Mason’s broad array of investment products to Wirehouse, Regional and Independent Financial Advisors across the country. Previously, Ms. Cashman was Managing Director, Head of Cross Channel Sales at Legg Mason which was preceded by her position as Managing Director, Head of Sales at Legg Mason Investment Counsel (LMIC). Before joining LMIC, Ms. Cashman was Managing Director, National Institutional Taxable Fixed Income Sales Manager for Stifel Nicolaus. Prior to Legg Mason Capital Markets being sold to Stifel, she held a similar position with Legg Mason, having started there in 1995. Ms. Cashman’s 25 year financial services background also includes expertise developed at Nations Bank and Mellon Bank in both derivatives and cash management, respectively. Ms. Cashman completed The Wharton’s Securities Industry Institute and she graduated from the Georgia Institute of Technology with a Bachelor of Chemical Engineering and a Masters in Industrial Management. In 2014, she was named to The Daily Record's listing of "Maryland’s Top 100 Women" and included among Profiles in Diversity Journal's "Women Worth Watching for 2014”. In her spare time, Ms. Cashman participates in many community charities and serves on the boards of both St. Ignatius Loyola Academy and The Catholic Community Foundation. In addition, she loves spending time with her husband and two children.
Bobby Colon Director, Product Partner Relations,Raymond James Financial, IncBobby 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’ 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 Habitat for Humanity and the American Heart Association.
Harry A. DalessioSales & Strategic Relationships within Prudential Retirement,Prudential Financial, Inc. Harry A. Dalessio is head of Sales & Strategic Relationships within Prudential Retirement, a business unit of Prudential Financial, Inc. (NYSE: PRU), and a leading provider of defined contribution, defined benefit, nonqualified deferred compensation plan administration, and institutional investment and risk management services. In this role, Dalessio leads national sales, including full service corporate, tax exempt, investment-only and nonqualified (MullinTBG sales), plus the channel management team responsible for developing and implementing Prudential Retirement’s channel strategy. Channel management focuses on strengthening relationships with key intermediaries (consultants, advisors and third-party platforms). Dalessio earned a B.A. Economics from Providence College and a master’s in business administration in Finance from Fordham University. Dalessio has published several byline articles in industry-related publications. He also frequently meets with industry and national media to discuss opportunities and trends topical within the retirement market. He holds FINRA Series 4, 6, 24, 26 and 79 licenses.
Jeff DuckworthPresident of Retail Distribution,John Hancock InvestmentsAs President of Retail Distribution, Jeff is responsible for directing the distribution of John Hancock Investments’ mutual funds, separately managed accounts, and 529 College Savings plans. In this role he oversees the management of 180 employees with responsibilities in sales, national accounts, reporting analytics and sales operations. With his 22 years of industry experience and a member of the group’s executive management team, Jeff helps shape and execute on the group’s vision and strategic planning. Prior Roles: Jeff joined John Hancock in 1993 and he has been a wholesaler, divisional sales manager, national sales manager and head of distribution. At John Hancock, Jeff served as the National Sales Manager for the Independent Broker Dealer Channel and Divisional Sales Manager for the Midwest and Southeast Regions. In addition, Jeff was National Sales Manager for Market Investment Distributors, a subsidiary of J.C. Bradford & Co. Recognition: Numerous sales awards Mutual Fund Industry Leader of the Year finalist, 2010 Steve Blair Award, 2011 Education: Jeff received a Bachelors degree in Financial Management from Clemson University in Clemson, South Carolina in 1988. He holds his Series 7, 24, 63, 65, Life & Health licenses. Jeff is also a Chartered Retirement Planning Counselor. Interests: Jeff is an Avid supporter of Clemson University and has a passion for live music, boating, water skiing, snow skiing and time with his family. Family: Jeff has been married to his wife Pamela for 20 years and they have two children; Jake 17, Kaitlyn, 15.
Tom FaustChairman of the Board, Chief Executive Officer,Eaton Vance Corp.Tom Faust is chairman of the board and chief executive officer of Eaton Vance Corp. Tom joined Eaton Vance in 1985 as an equity research analyst and also served as a portfolio manager, director of equity research and management, and chief equity investment officer during his 16 years in the firm’s equity group. In November 2001, Tom assumed leadership of all investment functions at Eaton Vance with his appointment as chief investment officer. He was elected a vice president of Eaton Vance in 1987, executive vice president in 2000 and president in 2006. He became chairman and CEO on November 1, 2007. Prior to joining Eaton Vance, Tom was a research engineer with International Paper Company. He is a CFA charterholder and a member of the Board of Governors of the Investment Company Institute. Tom earned B.S. degrees in mechanical engineering and economics from the Massachusetts Institute of Technology and an M.B.A. from Harvard Business School. He is a native of Helena, Arkansas.
Doug HansonVice President, Investment Management Services 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.
Robert Hostetter Global Head of Product Strategy,AllianceBernsteinRobert Hostetter currently serves as Global Head of Product Strategy & Development for AB. He is responsible for guiding AB’s intellectual and financial capital into successful institutional and retail investment products that delight our diverse global client base. Prior to joining AllianceBernstein, he worked for William Blair Investment Management, leading all aspects of product development and distribution strategy for institutional, retail and private wealth markets. Robert also worked as a consultant with McKinsey and Company for several years and as an investor and operator at various venture capital and venture-backed firms. He earned a BS from Duke University and an MBA from Northwestern University. Robert is a CFA charterholder and a Chartered Alternative Investment Analyst (CAIA). He also holds the NASD Series 7 and 66 Licenses.
Wendy KaniaDirector – Sponsor Relations,Commonwealth Financial NetworkWendy Kania has been with Commonwealth since 2012 and is the Director of Sponsor Relations. With her team she oversees the 34 core mutual fund and 11 core annuity relationships. Her goal is to help core partners find ways to grow their business with Commonwealth advisors and market their products in an effective way to our advisors. The sponsor relations team also educates the core partners on Commonwealth and best practices. Prior to Commonwealth she ran the Bank of America mutual fund platform for 6 years. She was also a senior relationship manager at Pioneer Investments covering firms in the independent channel. Wendy received her degree in business administration from Wittenberg University and holds a number of FINRA registrations.
Mike Keenan Senior Managing Director ,MFS Fund Distributors, Inc., Mike Keenan is a Senior Managing Director with MFS Fund Distributors, Inc., the mutual fund sales and service division of MFS Investment Management. In his role Mike is responsible for US client relationships with MFS Fund Distributors including Broker Dealer, Independent, Bank and Insurance company partners. He currently serves on the MFS Fund Distributors management committee. Mike joined MFS in 2000 as a Vice President - National Accounts working with MFS' Insurance company relationships. His responsibilities included sales and marketing efforts within these relationships and he served on the management committee within the Insurance Services Group. Prior to joining MFS, he held a number of sales positions at both Putnam Investments in Boston and Citizens Funds based in Portsmouth, NH. While at Putnam Mike worked within the 401k sales organization before moving to Citizens Funds to manage Institutional retirement efforts. Mike currently lives in Georgetown, MA with his wife Michelle and their 2 children. He is a 1992 graduate of the University of New Hampshire.
Robert KendallManaging Director l Global Client Group - Head of Retail Distribution, Americas,Deutsche Asset & Wealth ManagementManaging Director Head of Retail Distribution for the Americas and Member of the Deutsche Asset & Wealth Management ("Deutsche AWM") Americas Executive Committee and Deutsche AWM Global Client Group Executive Committee: Chicago Joined the Company in 2009 with 12 years of industry experience. Prior to joining, Robert served as the Head of National Sales and Key Account Management at Van Kampen Investments and at Morgan Stanley Asset Management BA from University of Iowa; FINRA Series 7, 24, 51 and 63 Licenses
James LanghamManaging Director – Head of Investment Products,UBS Financial Services Inc.Managing Director - Head of Investment Products UBS Financial Services Inc. Jim is responsible for the growth and management of the mutual funds, annuities and insurance businesses at UBS. The mutual fund business includes domestic and offshore mutual funds, money market funds, 529 programs, IRAs and donor advised fund products. He is responsible for supporting distribution within all brokerage and advisory platforms at UBS and enhancing the FA and client experience as it relates to these businesses. Before joining UBS in 2010, Jim spent over 16 years with Morgan Stanley, where he held various roles in retirement, product development and other investment product management roles. Jim holds his Series 7, 66 and 24 FINRA licenses.
Vicki LesterVice President, Head of Itermediary Marketing, Columbia Threadneedle InvestmentsVicki Lester is Head of intermediary marketing for Columbia Threadneedle Investments,* with responsibility for developing and implementing a marketing strategy that positions the firm to achieve its goals. In this role she leads a team that: Delivers a consistent brand experience reflecting the mission and priorities of the business. Executes product and channel marketing initiatives. Creates marketing communications and collateral. Shapes and distributes thought leadership content. Drives digital and social media marketing. Supports value-add programs Prior to this role, she headed the project management office and drove cross-company strategic efforts. Ms. Lester joined one of the Columbia Threadneedle Investments legacy firms in 2006. Previously, Ms. Lester was with Moody’s Investors Service in London, where she ran the European asset-backed commercial paper desk and was a member of the structured finance ratings committee. Before Moody’s, she was a vice president and relationship manager with Capital Markets Assurance Corporation (“CapMAC”), a financial guarantee insurer based in New York , and a director with their affiliate, ASIA Ltd, in Singapore. Ms. Lester started her career at Citicorp in New York. Ms. Lester received a B.S. from Georgetown University’s School of Foreign Service and an MBA from Columbia Business School. *Columbia Threadneedle Investments is the global brand name of the Columbia and Threadneedle group of companies.
David N. LevinePrincipal,Groom Law Group, CharteredDavid N. Levine is a principal at Groom Law Group, Chartered. He advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. Mr. Levine's areas of service include: the redesign of complex retirement, executive, and health and welfare plans; ongoing, day-to-day counseling of plan sponsors; in-depth compliance reviews of corporate and governmental benefit programs; and representation of tax-exempt organizations with respect to issues involving corporate governance, executive compensation, and unrelated business income tax liability. Mr. Levine was previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section's Employee Benefits Committee. Mr. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net — The Magazine. He is recognized in The Legal 500 and USA Chambers guide for Employee Benefits & Executive Compensation. Mr. Levine received his J.D., from the University of Pennsylvania Law School and his B.A., with general and departmental honors, from Johns Hopkins University.
Lara MagnusenPortfolio Strategist and Portfolio Manager,Altegris AdvisorsWith over 15 years of industry experience, Lara Magnusen serves as Portfolio Strategist and Portfolio Manager for Altegris Advisors and is a member of the Investment Committee. Lara has worked at Altegris since 2005, previously serving as the Director of Investment Products and Director of Research and Investments for Altegris Advisors. Lara was also previously Director of Manager Research for Cabezon Capital LLC, responsible for due diligence and development of emerging hedge fund managers. Additional experience includes her tenure at Helix Investment Partners, a fixed income oriented hedge fund, as well as several years as a Financial Analyst at Goldman Sachs. Lara is also a board member for the Unusual Suspects Theatre Company, a non-profit that mentors and empowers youth in underserved and at-risk environments. Lara received a BA in Economics with a minor in Business Administration from the University of California, Berkeley, an MBA from the Rady School of Management at the University of California, San Diego, and holds the designation of Chartered Alternative Investment Analyst (CAIA).
Frank McCarthySVP, General Manager, External Products Group,Ameriprise Financial ServicesFrank A. McCarthy is employed by Ameriprise Financial Services, Inc. as Senior Vice President and General Manager of Wealth Management Solutions. 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 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 a 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.
Frank McDonnellExecutive Director,Head of Mutual Funds and 529 ProgramsFrank heads Morgan Stanley Wealth Management’s (MSWM) Mutual Fund (both Domestic and Offshore) and 529 businesses. His team is responsible for overseeing all aspects of the fund business at MSWM, including product due diligence and approvals, product onboarding, advisor relations, and oversight of fund-related IT, operations, and control functions. Prior to assuming this role in 2014, Frank was the head of MSWM’s Exchange Traded Product business. Before joining the Investment Products group in the Fall of 2012, Frank held a number of roles at Morgan Stanley and predecessor firms dating back to 1998, including Financial Planning Product Management, the Director of Smith Barney’s Wealth Management Initiatives group, the Chief Administrative Officer of Citi Global Wealth Advisory Services, and the Director of Smith Barney’s Corporate Client Group Interactive Marketing department. Frank holds a BA in History from Reed College.
Lew MinskyExecutive Director,Defined Contribution Institutional Investment Association Lew Minsky is the Executive Director of the Defined Contribution Institutional Investment Association (DCIIA). Before helping launch DCIIA in 2010, Lew was the owner and managing member of Minsky Consulting through which he advised plan sponsors, service providers and fiduciary committees on governance, public policy and compliance issues. Earlier in his career, Lew served as the senior in-house counsel for a Fortune 200 company, where he had primary responsibility for governance and compliance issues relating to employee benefit plans and executive compensation arrangements. He has also worked as an attorney at major law firms and began his legal career working in the General Counsel’s office at the US Department of Commerce. Lew is a recognized thought leader on retirement plan issues and has provided expert testimony to the federal regulatory agencies as well as both the House Education and Labor Committee and the House Ways & Means Committee. Lew received a bachelors degree in management (BSM) from Tulane University, a juris doctor (JD) from the University of Florida and a master of laws (LLM) with a certificate in employee benefits law from Georgetown University.
Andrew L. OringerPartner and the Co-Chair of the Employee Benefits and Executive Compensation Group,Dechert LLPAndrew L. Oringer is a partner and the co-chair of the Employee Benefits and Executive Compensation Group at Dechert LLP, where he advises on a wide variety of matters relating to employee benefits, fiduciary issues and executive compensation. He is the Emerging Issues Coordinator of the Employee Benefits Committee of the American Bar Association’s Section of Taxation, and former co-chair of the Employee Benefits Committee of the Tax Section of the New York State Bar Association, and is a primary author of numerous bar comments covering a broad array of issues. He also is a member of the New York State Bar Association’s Committee on Attorney Professionalism. He is a Fellow of the American College of Employee Benefits Counsel, and a Senior Fellow from Practice for the Regulatory Compliance Association. Mr. Oringer is an adjunct professor at the Maurice A. Deane Law School at Hofstra University, where he is also on the Executive Board of the Alumni Association and a co-chair of its Career Services Alumni Committee. He is a frequent writer and speaker on matters relating to employee benefits and executive compensation, serving on the Advisory Boards of the Bloomberg BNA Pension & Benefits Reporter and the Tax Management Compensation Planning Journal. Mr. Oringer has been named co-editor of a leading treatise on ERISA's fiduciary provisions and has contributed a chapter to a leading treatise on the taxation of nonqualified deferred compensation. He is highly rated by a number of ranking organizations, and is included in a widely disseminated list of the top 100 lawyers in New York City across all practice areas.
Robert L. ReynoldsPresident and Chief Executive Officer,Putnam InvestmentsMr. Reynolds is President and Chief Executive Officer of Putnam Investments and President of the Putnam Funds. Building upon a distinguished 30-year career, he has revitalized Putnam through strong, sustained investment performance; new products designed for today’s market challenges, and thought leadership for the retirement marketplace. Respected as an industry statesman, Mr. Reynolds is regarded as a driving force of innovation and progress in institutional and retail financial services. Mr. Reynolds has earned multiple industry honors over time for his accomplishments. He was named Fund Leader of the Year at the Mutual Fund Industry Awards in 2010 for the strategic improvements he initiated at Putnam. The following year, Putnam, under the leadership of Mr. Reynolds, was honored as Retirement Leader of the Year for initiatives and innovative solutions in the workplace savings arena. Mr. Reynolds has also received a Lifetime Achievement Award from PLANSPONSOR magazine for popularizing employer sponsored 401(k) plans. In addition to his Putnam responsibilities, Mr. Reynolds is President and CEO of Great-West Financial, one of the nation’s top providers of retirement savings products and services, life insurance, annuities, and executive benefits products. Prior to joining Putnam in 2008, Mr. Reynolds was Vice Chairman and Chief Operating Officer of Fidelity Investments. Mr. Reynolds currently serves on several not-for-profit boards, including those of West Virginia University Foundation, Concord Museum, and Dana-Farber Cancer Institute. He is a member of the Chief Executives Club of Boston and the Council on Competitiveness, and he is a former president of the Commercial Club of Boston. Mr. Reynolds received an Honorary Doctorate in Business Administration from West Virginia University, a President’s Medal of Excellence from Boston College, and the De La Salle Medal from Manhattan College. He earned a B.S. in Business Administration/Finance from West Virginia University.
Andrew RogersCEO,Gemini CompaniesAs Chief Executive Officer of the Gemini Companies, Andrew Rogers oversees all areas of the companies, 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 funds to the Gemini Companies and assisting in the formation of new funds. The Gemini Companies include Gemini Fund Services, LLC, Gemini Hedge Fund Services, LLC and Gemini Alternative Funds, LLC.
Emily RolandHead of Investment Research,John Hancock InvestmentsEmily leads the investment research function for John Hancock Investments. She and her team are responsible for leveraging capital markets and industry research to help set the firm’s product and business strategy. Emily joined the company’s investments division in 2004 and has held a number of positions in product management, marketing, and competitive intelligence over the past 10 years. Prior to joining John Hancock, she held roles at GMO and the Boston Stock Exchange. Emily holds an MBA from Boston College and a BBA in Marketing from James Madison University. She is a Certified Investment Management Analyst designee.
Paul SchaefferManaging Director,SEIPaul Schaeffer is a business strategist who helps organizations apply market knowledge to position themselves for what’s next. This analytical and forward-looking way of thinking flows through his work across business functions – planning and strategy, knowledge and innovation, branding and marketing – and across industries, including asset management, private equity, and social entrepreneurship. Within the financial services industry, he has long been recognized as a consultant, speaker and author with a talent for analyzing how trends and issues will unfold. Schaeffer previously held senior business strategy positions with Forward Management, an investment manager known for its alternative approaches. He was managing partner of Investment Counseling, Inc., where he co-created Competitive Challenges, the first comprehensive annual survey of best practices in the investment management industry. “What’s next?” has been a unifying theme in his career, which has ranged from politics and public policy to entertainment and finance.
Rachel SchnollManaging Director, Head of Product Strategy,Goldman Sachs Asset ManagementRachel Schnoll is head of US Product Strategy and Development for Third Party Distribution within Goldman Sachs Asset Management (GSAM). She is responsible for the development and ongoing product strategy for open-end mutual funds, collective trusts and closed-end funds in the United States. Rachel serves on the GSAM Pooled Vehicle Subcommittee and works with the Goldman Sachs Trust, Goldman Sachs Trust II and the Goldman Sachs Closed End Fund Trust. Earlier in her career, she was responsible for communicating GSAM’s fixed income, asset allocation and real estate strategies to third party clients. Rachel first joined Goldman Sachs as a summer associate in 1998 and returned as a full time associate in 1999. She was named managing director in 2013. Prior to joining the firm, Rachel had a career in the book publishing industry. Rachel is a trustee of the Brooklyn Heights Synagogue. She previously served on the board of the Boerum Hill Association. Rachel earned a BA in Politics from Brandeis University in 1991 and an MBA from the Kellogg Graduate School of Management at Northwestern University in 1999. She and her husband and their three children reside in Brooklyn, New York.
Richard SincereFounder and CEO,Sincere & Co.Richard Sincere, Founder and CEO, founded Sincere & Co. in 1997, building on a career in the financial services industry that began in 1975. Prior to starting the firm, Richard was Senior Vice President of Fidelity Investment Advisor Group (FIAG), a division of Fidelity Investments. In 1994, Richard joined National Westminster Bank as a Senior Vice President of NatWest Brokerage, after serving over 10 years in strategic marketing and sales management positions for Citibank/Citicorp. In 1983 Richard was the assistant product manager of softballs/bats/caps at Wilson Sporting Goods which was a subsidiary of PepsiCo. He started his career at Ryan Insurance Group (AON) in 1975. For eight years, Richard authored a bimonthly column for NAPFA Advisor, a publication of the National Association of Personal Financial Advisors. He currently serves on the advisory board of the Journal of Wealth Management. He is a shareholder of National Advisor Trust Company (NATC) and has worked with them and other financial boards on strategic planning. Richard received his Bachelor of Arts at the University of Wisconsin, Madison and his Master of Management at J.L. Kellogg Graduate School of Management at Northwestern University. He is currently a member of Tel Aviv University – International Board of Governors, American Friends of Tel Aviv University – Executive Board, and Tel Aviv University – Recanati Business School, University of Wisconsin – Madison Hillel Board, University of Wisconsin – Madison Board of Visitors for the Center of Jewish Studies and the Chicago AJC and FIDF Board of Directors.
Scott StevensVice President, FundsNetwork®, Fidelity InvestmentsScott Stevens is vice president of Fidelity FundsNetwork®, the industry’s largest
open-architecture fund “supermarket” platform1. 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.
Since joining Fidelity FundsNetwork in 2006, Mr. Stevens has had leadership roles in product management, business development, marketing programs, relationship management, communications, and the platform’s overall strategy.
Prior to joining Fidelity, Mr. Stevens was with Brown Brothers Harriman (BBH) for 15 years, serving most recently as vice president & product manager for BBH's offshore fund supermarket platform, with additional responsibilities in relationship management, marketing, and strategic planning efforts. During his tenure at BBH, Mr. Stevens also held several managerial roles in product development and operations areas.
Mr. Stevens received a bachelor of science degree in broadcast journalism from Syracuse University in 1990.
Matthew Straut Head of Registered Investment Advisor Channel,OppenheimerFunds.Matthew C. Straut is head of the Registered Investment Advisor (RIA) Channel at OppenheimerFunds. He and his team are responsible for distributing the firm’s investment strategies to RIAs and Personal Investing Platform participants. Matt has more than 20 years of experience in sales, sales management, and business management roles in the asset-management industry. Before joining OppenheimerFunds in 2014, he was a Vice President at Wells Fargo Asset Management, where he oversaw the RIA and Personal Investing Platforms, and Defined Contribution Investment Only (DCIO) Channels. Matt was responsible for creation and execution of a business plan to grow sales and market share in these rapidly growing segments of the advice market. Matt has a B.S. in marketing from Providence College, and has earned the Certified Investment Management Analyst (CIMA®) designation. He resides in Hanover, MA with his wife and their four children.
Peter ThatchDirector of Product Management,American FundsPete Thatch is a product management director at American Funds, part of Capital Group, responsible for retail product management and strategy. He has 21 years of investment industry experience and joined Capital Group in 2014. Prior to joining Capital, he was managing director and head of third-party product offering at Merrill Lynch. Before that, he worked in various roles supporting investment product and distribution at Merrill Lynch Investment Managers and BlackRock. He holds a bachelor’s degree in economics from Rutgers University. Pete is based in Los Angeles.
Shanna Weber Managing Director of Strategy and Product Development,Charles Schwab Investment ManagementShanna Weber is Managing Director of Strategy and Product Development at Charles Schwab Investment Management (“CSIM”). In this role, Ms. Weber focuses on optimizing the product platform for CSIM to enable sustainable and long-term asset growth through their mutual fund, variable annuity, SMA, ETF and CTF products. Prior to joining Schwab in 2015, she was the Assistant Vice President of U.S. Product Strategy & Development at Janus Capital Group, where Ms. Weber was responsible for product and strategy development, customization and pricing for domestic mutual funds, variable annuities and institutional products. Ms. Weber has extensive experience in developing both retail and institutional products, including in-depth knowledge of pricing, structures and competitive positioning. Prior to joining Janus in February 2008, Ms. Weber served as a Senior Product Development Specialist with ING Investment Management. In this position Ms. Weber managed product changes and launches for more than 200 variable trusts, open-end and closed-end mutual funds and served as relationship manager for 42 sub-advisers and third-party data providers. Prior to that, Ms. Weber served as an analyst with Arthur Andersen, where she conducted financial analysis, company valuations and audits related to corporate reorganizations and liquidations. Ms. Weber received her Bachelor of Science degrees in Management and Finance, graduating summa cum laude, from Arizona State University and her MBA from the University of Arizona, also graduating summa cum laude. Ms. Weber holds the Certified Fund Specialist designation and has over 13 years of financial industry experience.