Yaqub Ahmed Senior Vice President
Head of Defined Contribution-U.S. Franklin Templeton InvestmentsYaqub Ahmed is a Senior Vice President and Head of Defined Contribution-U.S. for Franklin Templeton Investments. He is responsible for Franklin Templeton's U.S. Institutional and Retail defined contribution businesses. Mr. Ahmed has over 20 years of experience in financial services, with a focus on the corporate retirement markets. Prior to joining Franklin Templeton Investments in 2009, he served as managing director for Columbia Management's investment-only division responsible for overseeing both the defined contribution and sub-advisory businesses. Mr. Ahmed holds a bachelor's degree in political science from Boston University, and is an Accredited Investment Fiduciary (AIF). Mr. Ahmed has been named as one of the “100 Most Influential” in the defined contribution industry by InvestmentWires.com each year over the last seven years. He is a frequent speaker at industry conferences and client forums. He is a member of the DCIIA Public Policy Committee, SPARK Institute Board of Directors, ARA Leadership Council, IRI Asset Management Committee and the Advisory Board of EACH Enterprise, LLC.
Kamal Bhatia Head of Investment Products and Solutions OppenheimerFundsKamal Bhatia is Head of Investment Products and Solutions at OFI Global and OppenheimerFunds in New York. His group is responsible for managing, developing and marketing products for the roughly $240 billion line-up of global equity, fixed income, alternatives and multi-asset strategies. In addition, he manages the product specialist teams for these strategies focusing on investment positioning and client engagement. Prior to joining OppenheimerFunds, he served many years in senior positions for investment products at the TIAA-CREF, Mellon Institutional Asset Management and Citigroup Global Corporate and Investment Banking.
Sandy Bolton Managing Director, Head of Investment Solutions for Managed Solutions GroupMerrill Lynch Global Wealth & Investment ManagementSandy is currently the Head of Investment Solutions for Managed Solutions Group. In this role, Sandy leads a team of twenty product management professionals that oversee the product offering for U.S. and Offshore Mutual Funds, Third Party Solutions, Exchange Traded Products and Money Market Funds.
Before joining Merrill Lynch in 2015, Sandy was Head of Investment Solutions for Pershing LLC, a BNY Mellon company. In this role she was responsible for delivering the investment product offering for independent broker dealers and RIAs. Prior to that, Sandy was responsible for the product oversight, marketing and management of various investment solutions offerings at TD Ameritrade, Morgan Stanley and Merrill Lynch.
Sandy earned an MBA from Fairleigh Dickinson University and a Bachelors degree from The College of New Jersey. She is a graduate of the Securities Industry Institute Executive Development Program at The Wharton School of the University of Pennsylvania.
Victor M. Cañez IIIVice President, Product Analytics & Business IntelligenceFundsNetworkVictor Cañez is the Vice President, Product Analytics & Business Intelligence for FundsNetwork. Joining Fidelity in 2010, Victor’s initial role was focused on leading reporting and analytics activities in Fidelity’s Procurement organization, where he was responsible for managing Fidelity’s vendor spend analysis, procurement operational activity reports, as well as leading competitive benchmarking activities.
In addition to his experience at Fidelity, Victor worked as a management consultant for a number of years at KPMG and Archstone Consulting. As a consultant, he specialized in leveraging analytics to identify and drive financial and operations strategic initiatives for a number of Fortune 500 firms in the high-tech, pharmaceutical, and financial services industries.
Victor started his career in the aerospace and defense industry working for United Technologies Corporation. During his time, he held a variety of engineering and operations roles where he developed the strong analytics foundation that he leverages in his current role. Victor received a bachelor of science in Mechanical Engineering from the Pennsylvania State University. Additionally, Victor received an MBA from the Leonard N. Stern School of Business at New York University, earning recognition as a Stern Scholar for academic excellence.
Bobby Colon, CAIAVice PresidentPCG Investment ProductsBobby Colon joined Raymond James & Associates in 2006 as part of the Corporate & Executive Services Group. His responsibilities included structuring equity linked notes, financial planning assistance for corporate executives, executing directed share programs on IPOs, and consulting on concentrated equity strategies. 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. In 2013, Bobby was appointed as Director of Product Partner Relations. In this role, he led the revamp of the Education & Marketing Partner program which involved oversight of the firm’s relationship management functions and the various contracts that govern Raymond James’ relationships with mutual fund and annuity companies. In 2015, Bobby was promoted to Vice President, PCG Investment Products and his responsibilities expanded to also oversee the Mutual Fund Research & Marketing Department. Bobby earned 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. He 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.
Scott CurtisPresidentRaymond James Financial ServicesAs president of Raymond James Financial Services, Mr. Curtis directs Raymond James’ independent advisor business and its Financial Institutions Division that includes over 3,500 financial advisors and generates approximately 30% of the firm's annual revenues. He was promoted to his current position in January 2012 following six years as senior vice president of Raymond James & Associates Private Client Group (PCG) where he was responsible for prioritizing and directing numerous initiatives focused on revenue growth, efficiency enhancements, service improvement, and risk mitigation. Mr. Curtis joined Raymond James in February 2003 as president of Raymond James Insurance Group, having spent the prior 13 years of his career with GE Financial Assurance in a variety of senior leadership roles -- including as national sales director for mutual funds and annuities and as president of the firm’s FINRA-registered broker/dealer. rnrnMr. Curtis earned a MBA degree from the Ross School of Business at the University of Michigan and received a BA in economics and English from Denison University.rnrnMr. Curtis serves on the Board of The Financial Services Institute, is a member of the FINRA Independent Dealers/Insurance Affiliates Committee, and is a Board member of the Chi Chi Rodriguez Youth Foundation.
Anthony B. Davidow, CIMA®
Vice President, Alternative Beta and Asset Allocation Strategist
Charles Schwab & Co., Inc.Anthony Davidow is responsible for providing Schwab’s point of view on asset allocation and portfolio construction. He is also responsible for providing research and analysis on alternative beta strategies and how investors can incorporate them in their portfolios. Davidow is also a member of the firm's Asset Allocation Council.
Before joining Schwab, Davidow was a managing director, portfolio strategist, and head of the ETF Knowledge Center for Guggenheim Investments. Before joining Guggenheim, Davidow was executive vice president and head of distribution for IndexIQ. Previously, he spent 15 years at Morgan Stanley, where he served as managing director and head of sales and training for the Consulting Services Group. While at Morgan Stanley, he worked with many of the firm’s largest clients in developing and implementing asset allocation strategies, incorporating active and passive strategies, and using alternative investments as risk management tools.
Davidow has authored several white papers and strategy pieces, and spoken at industry conferences on a range of topics, including: “The Merits of Core-Satellite Investing,” “Asset Allocation and Manager Selection: Adaptive Allocation,” “Alpha-Beta Separation,” ”Democratizing Alternative Investments,” “The Role and Use of Alternative Investments,” “Currency as an Asset Class,” “An Evolutionary Approach to Portfolio Construction,” “Alternative Beta Strategies,” and "A Modern Approach to Asset Allocation and Portfolio Construction" among others. Davidow holds a B.B.A. degree in finance and investments from Bernard M. Baruch College, and has earned the Certified Investment Management Analyst (CIMA®) designation from the Investment Management Consultant’s Association (IMCA) and the Wharton School of the University of Pennsylvania.
He served on the board of directors for IMCA from 2009-2014. He holds FINRA Series 7, 24, and 63 registrations.
Richard A. DaviesSenior Managing Director
Global Head of Defined Contribution and Multi-Asset Business DevelopmentAllianceBernstein L.P.Richard A. Davies is Senior Managing Director responsible for the overall leadership and strategic direction of AB’s global defined contribution and multi-asset businesses. He previously served as Co-Head of Institutions for the firm’s North America Client Group while leading U.S. defined contribution activities. Davies rejoined AllianceBernstein in 2013 after spending several years leading Russell Investments’ institutional defined contribution business. During his earlier, 16-year career with AllianceBernstein, he led the firm’s institutional defined contribution, sub-advisory, and retail retirement and college savings businesses. Davies also served as head of global marketing and product management and led several business lines and distribution channels for the mutual funds group.
He joined Alliance Capital in 1995 from First Chicago Corporation, where he served as president of retail investment services and as a managing director of First Chicago Investment Management Company. Prior to joining First Chicago in 1989, Davies was a strategy consultant and manager with The Boston Consulting Group. He worked in brand management for Procter & Gamble before attending graduate school. Davies holds a BA in economics, with honors, from the University of Wisconsin - Madison, and an MBA from Harvard Business School. He chairs the Advisory Board of the University of Wisconsin’s Economics Department. Davies is a Trustee of the Employee Benefit Research Institute and was a founder of the Defined Contribution Institutional Investment Association.
Ben DoobManaging PrincipalMarket MetricsBen Doob is a Managing Principal of Market Metrics and head of the firm’s asset management
business in the U.S. Ben works with senior leadership at asset management firms of all sizes,
using Market Metrics’ broad range of proprietary data and services to help them to evaluate
their competitive position and develop an effective distribution strategy. He leads a wide array of
asset management services at the firm, including syndicated research studies, sales intelligence
products and software solutions.
Ben joined Market Metrics in 2002. In addition to his current role, he has served in multiple leadership roles for Market Metrics, including Chief Information Officer and later Chief Operating Officer, where he oversaw all firm operations as the firm grew both its product offerings and client relationships. Ben has also worked for McKinsey & Company, a global management consulting firm, where he helped clients design sales and operations strategy. Ben received his MBA, with Honors, from The Wharton School at The University of Pennsylvania where he was awarded a Joseph Wharton Fellowship. He received his undergraduate degree from Williams College, where he majored in both Computer Science and Economics.
After spending many years based at the firm’s headquarters in Boston, Ben and his family currently reside in Atlanta, Georgia.
Erin DonnellyManaging Director, Head of DCIOTIAA Global Asset ManagementErin Donnelly is Managing Director and Head of Defined Contribution (Investment Only) for TIAA Global Asset Management. In this role, Erin is responsible for the growth of TIAA’s asset management products in 401(K), 403(B), and 457 plans. Previously, Erin was Managing Director, Business Development in Nuveen Wealth Management, which was acquired by TIAA in October 2014. In her business development role, Erin was responsible for cross-organizational growth initiatives across Nuveen’s business units, investment affiliates, and between Nuveen and its parent company, TIAA.
William GoldenManaging Director Head of U.S. ProductLegg Mason Investor Services, LLCWilliam Golden is a Managing Director and Head of U.S. Product for Legg Mason. He is also a member of the firm’s operating committee. Bill is charged with creating, promoting and supporting a competitive US product set across a wide range of product vehicles. Prior to this role, Bill held positions in Product Management, National Accounts and Finance. Bill joined a predecessor firm of Legg Mason in 1994, and has 22 years of industry experience.
Bill earned a BS in Accounting from LeMoyne College in Syracuse, and an MBA in Finance from New York University’s Stern School of Business.
Timothy A. HillExecutive Director – US DistributionPrincipal Global InvestorsTim Hill, Vice President of Principal Funds Distributor, is the National Sales Director for the company. Tim began his financial services career in 1993 as a Registered Representative with Edward Jones. Before joining Principal Funds in 2003, he was a Senior Vice President with AllianceBernstein for five years. Tim has appeared on CNBC and contributed to articles published in The New York Times and InvestmentNews. Tim received a B.A. in Business Administration from Jamestown College.
Gene HuxholdSenior Managing Director for Investment Only Retirement PlansJohn Hancock InvestmentsGene Huxhold is the Senior Managing Director for Investment Only Retirement Plans at John Hancock Investments. Gene brings more than 25 years experience to his role. Prior to joining John Hancock, Gene worked at CNA Financial, Kemper Financial Investments (Predecessor to DWS) and Allstate Financial Services. He has held a variety of positions including Retirement Plan Wholesaler, Senior Vice President/National Sales Manager for both mutual fund and retirement plan wholesalers. Just prior to joining John Hancock, Gene was a senior vice president at Allstate, managing a large retail organization. Gene holds a BS in Finance/Personnel Management and an MBA in Economics from DePaul University. He is a Certified Financial Planner and an Accredited Investment Fiduciary. He has been recognized for his expertise by organizations such as ASPPA, the Profit Sharing Council of America and the Center for Due Diligence. Gene is a Founding member of the Retirement Advisor Council. He has also testified before the House Ways & Means Sub-Committee on matters concerning non-profit retirement plans. Summary • Senior Managing Director for Investment Only Retirement Plans at John Hancock Investments • Has worked at CNA, Kemper/Scudder Investments and Allstate • Holds a BS in Finance/Personnel Management, as well as an MBA in Economics from DePaul University • Certified Financial Planner (CFP) • Accredited Investment Fiduciary (AIF) • Founding Member of the Retirement Advisor Council
Thomas A. JonesHead of Strategic RelationsColumbia Threadneedle InvestmentsThom Jones is head of strategic relations for Columbia Threadneedle Investments.* Mr. Jones leads the team responsible for corporate-level relationships with national accounts and platform placement. He joined one of the Columbia Threadneedle Investments firms in 2014.
Previously, Mr. Jones was senior vice president, director of U.S. business development and client strategy for Pioneer Investments. He served on the firm’s U.S. Operating Committee, the Management Committee of Pioneer’s U.S. Distribution organization, was a leader of the Global Strategic Partnership group based in London, sat on the U.S. Product Development Committee and led the firm’s Alternative Investment Task Force. Prior to that, he was director: national accounts at Deutsche Bank Asset Management where he was responsible for national accounts and business development, as well as strategy and implementation of new channel business lines including structured products and alternative Investments.
Mr. Jones also served in several leadership roles within Distribution as managing director of Putnam Investments and began his career as a financial advisor. He has been a member of the investment community since 1993. Mr. Jones received a B.S. from the University of New Hampshire.
Carl M. Katerndahl Senior Executive Vice President, Head of Global Retail DistributionNuveen Carl is Head of Nuveen’s Global Retail Distribution and is a member of Nuveen’s Management Committee, Operating Committee, and Executive Product Development Committee. Since 2007, he has been responsible for the firm’s retail distribution, which today includes all sales, client-service, strategic partnerships and marketing activities. Carl also Nuveen's institutional sales effort, their Global sales team and their DCIO business.
Prior to joining Nuveen Investments, he was a partner at NWQ Investment Management and a founder at Forward Funds.
Carl received his bachelor’s degree in international business from University of the Pacific. He is a committee member of the Investment Company Institute, an advisory board member of the Money Management Institute, and a board member of Invest In Others. Carl also serves on the board of St. Ignatius College Prep in San Francisco.
Tim Kresl PrincipalMarket Metrics Tim Kresl is a Principal of Market Metrics based at the firm’s headquarters in Boston. He manages client relationships in the Northeastern United States, working with firms to interpret the results of Market Metrics’ research and successfully leverage Local Market Share data.
Tim joined Market Metrics in 2008. During that time he has become a recognized leader in the industry for implementing Local Market Share data to drive sales productivity. He has worked with a range of asset managers to design sales territories, develop optimal rotations, and train wholesalers to leverage data effectively. In addition, Tim has worked with senior managers to develop management tools that measure the effectiveness, productivity and improvement of their sales forces.
Tim has a broad range of experience at Market Metrics, and has also worked extensively with clients on initiatives related to advisor satisfaction with Sales and Marketing activities; wholesaler compensation; and sales force staffing and productivity metrics.
Tim completed his undergraduate studies at the University of Vermont, graduating Cum Laude with a Bachelor of Science in Business Administration and Bachelor of Arts in Sociology. He currently resides with his wife in Arlington, MA.
Frank A McCarthySVP, General Manager, Third Party ProductsAmeriprise Financial Services, Inc.Frank A. McCarthy is employed by Ameriprise Financial Services, Inc. as Senior Vice President and General Manager of Third Party Products. 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.
James LanghamManaging Director – Head of Investment ProductsUBS Financial Services Inc.Jim Langham is a Managing Director of UBS Financial Services Inc. and is the Head of Investment Products. In this role, 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, and IRAs.
Jim is responsible for supporting distribution within all brokerage and advisory platforms at UBS, risk management, revenue growth, and enhancing the FA and client experience as it relates to these businesses. Jim has over 24 years of industry experience. Before joining UBS in 2010, Jim spent 17 years with Morgan Stanley, where he held various roles in retirement, product development and other investment product management roles. Jim participates frequently at industry conferences as a speaker or panelist representing views on various investment product topics. Jim holds his Series 7, 66 and 24 FINRA licenses.
Jim lives in Ramsey, NJ with his wife and twin 4 year-old daughters.
John MoningerManaging Director, Retail SalesEaton Vance Distributors, Inc.John Moninger is a senior vice president of Eaton Vance Distributors and managing director of retail sales. He is responsible for setting the strategic direction and day-to-day oversight of all sales and relationship management within Eaton Vance’s brokerage, independent and RIA channels as well as the Eaton Vance Advisor Institute. John’s leadership role within the firm focuses on enhancing sales reach and relationships, while building on the Eaton Vance client-oriented solutions across the full range of intermediaries. He joined Eaton Vance in 2012. John began his career in the investment management industry in 1994. Before joining Eaton Vance, he was executive vice president of advisory and brokerage consulting services with LPL Financial, where he was responsible for the firm’s advisory and brokerage platforms and for leading a team of product consultants. He also led LPL’s financial planning group and wealth management services, which provide advice and solutions for high-net-worth and ultra-high-net-worth client opportunities. He was previously the national consulting director for investment solutions for UBS Financial Services. He was also affiliated with Alliance Capital Management. John earned a B.S. in business administration from Kutztown University. He currently serves on the board of directors of the Investment Management Consultants Association, the Money Management Institute, where he is a member of the executive committee, and he serves as president of the SEAL-Naval Special Warfare Family Foundation. He has earned the Certified Private Wealth Advisor (CPWA®) and Certified Investment Management Analyst (CIMA®) designations.
Kelly S. O’DonnellEVP, Business Operations and Corporate Marketing and Chief Risk OfficerFinancial EnginesKelly S. O’Donnell is Executive Vice President, Business Operations and Corporate Marketing and Chief Risk Officer at Financial Engines, America’s largest independent investment advisor. In her current role, Ms. O’Donnell is responsible for the integration of the company’s recent acquisition of The Mutual Fund Store, a fast growing independent investment advisor with over 125 locations across the country. Since 2003 she has served in various executive positions at Financial Engines in institutional and corporate marketing, product development, and customer acquisition and retention. She led the launch of the company’s in plan retirement income service, Income+, it’s award winning Social Security planner and the development of its IRA capabilities for 401(k) plan participants.
Ms. O’Donnell is passionate about helping other women succeed in retirement and has testified in front of the Senate Aging Committee as well as various industry groups on the unique considerations for women in retirement.
Prior to joining Financial Engines, Ms. O’Donnell was a consultant for Cerulli Associates and Price Waterhouse Coopers, O’Donnell received a bachelor’s degree in Accountancy from the University of Missouri.
Raleigh G. PetersManaging Director, National Sales Manager - IBD ChannelJ.P. Morgan Asset ManagementRaleigh Peters, Managing Director, is National Sales Manager at J.P. Morgan Asset Management. In this role, Raleigh is responsible for leading a sales force that delivers J.P. Morgan’s capital markets insights and distributes J.P. Morgan’s investment management products and solutions to financial advisors across the United States. At J.P. Morgan, Raleigh is a member of the Global Investment Management Advisory Council, and serves as an Ambassador on the Investment Management Americas Culture & Conduct Committee. Prior to joining the firm Raleigh spent 10 years with Federated Investors and 5 years with American Funds Distributors. Raleigh holds the Certified Investment Management Analyst (CIMA®) designation, as well as multiple securities licenses (FINRA 7, 66, 24, 51). Raleigh earned a B.S. in Financial Management and a minor in Philosophy from Grove City College, and an M.B.A. with honors from Eastern University. Raleigh serves on the Board of Trustees at Grove City College, where he sits on the Investment Committee and the Finance & Audit Committee. He also serves on the Investment Committee for the Felician Sisters of North America. Raleigh grew up in Conway Springs, Kansas and currently resides in New York City with his wife of 17 years, Laura. Raleigh & Laura are members of Redeemer Presbyterian Church in Manhattan and the Union League Club of New York. Raleigh enjoys reading, running, golf, fly fishing and is passionate about investing and following the securities markets.
Robert PettmanExecutive Vice President, Product and Business Management GroupLPL FinancialRob Pettman serves as executive vice president of Investment Products for the Investment Planning Solutions team. In this role, he leads a team responsible for managing all investment and insurance products and all advisory platforms. Throughout tenure with LPL Financial, Mr. Pettman has worked in product management, business management, and distribution strategy. As an advocate for LPL Financial in the industry, Mr. Pettman is a past chair of both the IRI marketing committee and the IPA broker/dealer advocacy committee. Prior to joining LPL Financial in 2005, he was a financial advisor working exclusively with trial lawyers in the areas of settlement planning, trusts, and structured settlements. Mr. Pettman holds a Bachelor of Arts degree from Eckerd College in international business. He is an MBA graduate from the University Of Southern California Marshall School Of Business. In addition, he holds the Certified Annuity Specialist (CAS®) designation from the Institute of Business and Finance, the Chartered Retirement Planning Counselor (CRPC®) designation from the College for Financial Planning, and is FINRA Series 7 and 66 registered through LPL Financial.
Alma Piscitello Senior Vice President, Head of Strategic RelationshipsNorthern Lights Distributors, LLCAlma Piscitello has served as head of the Strategic Relationships Group for Northern Lights Distributors, LLC, (NLD) since September 2014. In this role, Ms. Piscitello oversees the Strategic Relationships Team, which works with investment advisors to provide sales and marketing guidance and develop detailed distribution plans. The team’s overarching goal is to advocate for NLD clients by optimizing their marketing efforts across distribution and industry opportunities. Before joining NLD, Ms. Piscitello was most recently Director of Partner Development at Morgan Stanley Smith Barney, LLC, where she was responsible for a team helping more than 350 asset managers uncover product, marketing, and distribution opportunities for their mutual funds, separately managed accounts, and exchange traded funds. Throughout her career, Ms. Piscitello has held positions in business development, marketing, and product platform management at Morgan Stanley and Citigroup Asset Management. Ms. Piscitello studied organizational behavior and communications at New York University and currently holds the Series 7 and 66 securities registrations.
J. Alan Reid, Jr.FounderReid PartnersThirty years ago, Alan started as an intern for Pru-Bache. A veteran of the investment world, he still continues to question the status quo. Reid, a long term fan of Core/Satellite, has become a critic of what he calls “the blind faith in index investing”.
Today he serves on the board of Opportunity Network, an online deal platform for accredited investors, and as a Director of Arista, a European Family Office. From 1997 to 2015, he worked with Gordon Getty to develop innovations and businesses focused on Mr. Getty’s interests in the evolution of payments and asset management. Reid held the positions of president and chief executive officer of many Getty controlled entities including Forward Management, ReFlow Management, FISCOP, and Sutton Place Management. During his tenure, these companies were the first to bring awareness to mutual fund market timing, mutual fund liquidity, and led the industry move to Liquid Alternatives.
Reid has been an industry leader in adapting new technologies as they impact investing. He was founding member of the Frontier Analytics Advisory Board, one of the first to offer mean variance optimization. Concentrating on modern portfolio theory, and its use in investment portfolios, Reid spent 10 years brainstorming and debating applications of new financial modeling with illustrious fellow board members including Harry Markowitz.
Reid served on the Investment Company Institute Board of Governors, The Forward Funds Board of Trustees, The Legato Board of Directors, The FOLIOfn Board of Directors, and an industry working group at The NY Federal Reserve Bank Previously, Reid built and ran operations, trading, human resources, and call centers for Morgan Stanley Online, where he served as SVP and director of business delivery. Reid serves on the advisory board for FinTech Studios. Previously, he served on advisory boards for Finaplex and Yodlee. Reid served on a number of non-profit boards including Centerpoint and Wildcare.
George D. RiedelHead of Financial Institutions, U.S. Investment ServicesT. Rowe PriceGeorge Riedel is head of Financial Institutions within the U.S. Investment Services division at T. Rowe Price. He is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Associates, Inc., and T. Rowe Price Investment Services, Inc. Prior to joining the firm in 1998, George was a vice president of the Global Bank Group at Federated Investors. He earned a B.S. in finance and economics from Alfred University and an M.B.A. in marketing and strategic planning from the University of Pittsburgh. George is a Series 6, 7, and 63 registered representative and a Series 24 registered principal. He also holds his Certified Investment Management Analyst (CIMA) designation.
David RosenExecutive Director - Director of Mutual Fund, ETF, 529 Plan, UIT & CEF Product Morgan Stanley Wealth ManagementDavid Rosen is an Executive Director at Morgan Stanley Wealth Management and leads the firm’s Mutual Fund, ETF, CEF, UIT and 529 plan products, which have over $550bn in combined assets. He is responsible for overall product management, strategy, and UIT trading. Prior to his current role, he worked in Anti-Money Laundering Compliance and Alternative Investments. David received his Juris Doctorate from Brooklyn Law School and is a member of the New York State Bar Association. He has his series 7 and series 24 licenses and completed the Securities Industry Institute at The Wharton School. David serves as the President of the National Unit Trust Association and sits on the CEFA secondary markets committee and MMI ETF committee
Catherine A. SaundersHead of Registered Investment Advisor Business/Private Bank and TrustPutnam Retail ManagementMs. Saunders is Head of the Registered Investment Advisor Business, Private Bank and Trust, for
Putnam Retail Management. She is responsible for directing all sales, client relationships, and
marketing efforts in these segments. During her career at Putnam, which spans nearly 30 years, Ms.
Saunders has held several positions of increasing responsibility in the areas of management and sales
training. Most recently, she was Head of Putnam’s North American Institutional Business, with
responsibility for distribution, consultant relations, and client service.
Previously at Putnam, Ms. Saunders served as a Regional Director for Putnam Retail Management, managing sales and distribution to all brokerage firms, financial planners, and financial institutions in the Western United States. Ms. Saunders is currently a member of Putnam's Diversity Council, the Posse Foundation Boston Advisory Board, and the NAAIM Advisory Board. She has been in the investment industry since she joined Putnam in 1987. Ms. Saunders holds her Series 6, 7, 24, 26, 63, and 65 licenses with FINRA.
Rachel C. SchnollManaging Director, Head of Product StrategyGoldman Sachs Asset ManagementRachel is head of US Product Strategy for Third Party Distribution. She leads a team 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 Goldman Sachs Asset Management’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.
Jeff StrangeManaging Director, US ResearchStrategic InsightJeff serves as a Managing Director, US Research at Strategic Insight where he covers asset management and distribution trends, with a focus on the subadvisory market. Prior to recently joining Strategic Insight, he was the Director of Research at DST kasina. While setting research direction and managing the research team, Jeff also published studies on Rep-as-Portfolio Manager programs and the evolution of wholesaling organizations. For nearly seven years, Jeff was at Cerulli Associates focusing on managed accounts research, including extensive research on advisory platform design. He has also worked at Cole Real Estate, State Street Research, and FleetBoston Financial. Jeff earned a BA from Georgetown University and is a CAIA charterholder.
Christopher C. Thompson Senior Managing Director and Head of the Americas Client Group AllianceBernsteinChristopher C. Thompson joined AllianceBernstein in 2014 as a Senior Managing Director and Head of the US Retail Client Group, overseeing the firm’s retail business. In 2015 he assumed responsibility for AB’s retail and institutional business across North and South Americas. He was previously head of Intermediary Distribution, Products and Marketing at Columbia Management. Prior to that, Thompson served as head of investment product management at Putnam Investments and, before that, as portfolio manager at BEA Associates. He holds a BA in government from Dartmouth College and an MBA from the Stern School of Business at New York University. Location: New York
Mike WoodManaging Director, National AccountsCharles Schwab & Co., Inc.A 25 year veteran of the investment industry, Mike began his career as a Vice President of the Private Client Group at Bear, Stearns & Co. A growing interest in investment management consulting led to a migration to the separately managed account side of the industry, working with Montgomery Asset Management and NWQ Investment Management in senior sales management and business development roles. He transitioned to the alternative investment side of the business in 2000, taking on the National Sales Director-Vice President role at SSI Investment Management, an institutional hedge fund manager. Mike joined Charles Schwab & Co. in February 2010 as Director of Alternative Investments and currently serves as Managing Director of National Accounts in the third party funds area.