Conference Agenda

Please note: Early registration is open June 3 between 4:00 p.m – 7:00 p.m.

  • June 4
  • June 5
  • June 6

To help you fulfill your continuing education (CE) requirements, Pershing has applied for Certified Financial Planner Board of Standards (CFP® Board), Investment Management Consultants Association (IMCA®), Cannon Financial's Certified Wealth Strategist® (CWS) CE Credit, and CFA Institute CE credit, including the content areas of Standards, Ethics and Regulations (SER). Sessions eligible for CFA CFP CWS and IMCA credits are noted on the agenda.

Download the Agenda now.

Wednesday, June 4

8:00 a.m.

Registration Opens

8:00 a.m. - 1:45 p.m.

Pershing Pavilion Open

9:30 a.m. – 10:45 a.m.

Pershing Spotlight Session I

  1. The Dawn of a New Advisor Technology Age CWS

    A new technological age is dawning for advisors and Pershing is on the leading edge. In this session you will have the opportunity to keep up with our industry's evolving technology and learn about the newest solutions that Pershing and Albridge have to offer. Presenters will showcase the new NetX360 professional platform, NetX360 Mobile, Pershing's new NetXInvestor portal, Albridge reports and Albridge Wealth Reporting developments, and the improved managed account tools for the advisor.

    Moderator: Tina Walck, Vice President, Pershing
    Joe Baricevac, Assistant Vice President, Pershing
    John Berglowe, Vice President, Pershing
    Marissa Madiara, Assistant Vice President, Albridge
    Maggie Ramshaw, Vice President, Pershing

  2. Grow Your Business Organically CWS

    Pershing's latest research shows that organic growth can yield six times more ROI than recruiting and inorganic means. Join us to learn how to build your business organically through Pershing's practice management solutions.

    Janet Kelly, Vice President, Pershing
    James Spiegelhoff, Vice President, Pershing

  3. Law & Order: Top Regulatory Concerns for Broker-Dealers and Their Advisors CWS

    What's on the front burner today? Dual registrants? Conflicts of interest? Safety of assets? Custody? Recent years have brought a flurry of new regulations—many of which have not even become law yet. Learn about hot topics facing RIAs today. Forewarned is forearmed.

    Moderator: Evan LaHuta, Director, Pershing Advisor Solutions
    Daniel Bernstein, Chief Knowledge Officer, MarketCounsel
    Erica Farber, Chief Compliance Officer, Balentine
    Kevin Taylor, Chief Compliance Officer, Pershing Advisor Solutions

  4. New Perspectives: Alternative Mutual Funds as an Investment Solution CWS

    This panel will discuss the continuous growth of alternative mutual funds—also called liquid alternatives or alternative '40 Act funds—and how Pershing can help access these solutions through consultative guidance. It also will cover the helpful tools for clients who wish to actively manage long/short allocations.

    Moderator: Peter Murphy, Managing Director, Pershing Prime Services
    Rich Calvario, Vice President, Pershing
    Michael Dubin, Managing Director, Silvercrest Asset Management
    John Gambla, Senior Porfolio Manager, First Trust
    Kyle McDaniel, Managing Director, Whitebox Advisors

  5. Positioning Your Business to Meet the Needs of the Investor of the Future CWS

    The financial world is constantly evolving and our solutions can position you for further success. Learn about our new Retirement Plan Network, FundVest 200™, the Pershing Turnkey Managed Account Offering and Fully Paid Securities Lending. You will discover the solutions that can help you serve the investor of the future.

    Moderator: Maura Creekmore, Managing Director, Pershing
    Sandy Bolton, Managing Director, Pershing
    Rob Cirrotti, Director, Pershing
    Joel Hempel, Director, Pershing and Chief Operating Officer, Lockwood Advisors, Inc.

10:45 a.m. – 11:15 a.m.

Networking Break

11:15 a.m. – 12:30 p.m.

Pershing Spotlight Session II

  1. The Dawn of a New Advisor Technology Age CWS

    A new technological age is dawning for advisors and Pershing is on the leading edge. In this session you will have the opportunity to keep up with our industry's evolving technology and learn about the newest solutions that Pershing and Albridge have to offer. Presenters will showcase the new NetX360 professional platform, NetX360 Mobile, Pershing's new NetXInvestor portal, Albridge reports and Albridge Wealth Reporting developments, and the improved managed account tools for the advisor.

    Moderator: Tina Walck, Vice President, Pershing
    Joe Baricevac, Assistant Vice President, Pershing
    John Berglowe, Vice President, Pershing
    Marissa Madiara, Assistant Vice President, Albridge
    Maggie Ramshaw, Vice President, Pershing

  2. Grow Your Business Organically CWS

    Pershing's latest research shows that organic growth can yield six times more ROI than recruiting and inorganic means. Join us to learn how to build your business organically through Pershing's practice management solutions.

    Janet Kelly, Vice President, Pershing
    James Spiegelhoff, Vice President, Pershing

  3. Law & Order: Top Regulatory Concerns for Broker-Dealers and Their Advisors CWS

    What's keeping you up at night? Suitability? Cyber-security and fraud? Trading regulations? Recent years have brought a flurry of new regulations—many of which have not even become law yet. Learn about hot topics facing broker-dealers and their advisors today. Forewarned is forearmed.

    Moderator: Evan LaHuta, Director, Pershing Advisor Solutions
    Daniel Bernstein, Chief Knowledge Officer, MarketCounsel
    Erica Farber, Chief Compliance Officer, Balentine
    Kevin Taylor, Chief Compliance Officer, Pershing Advisor Solutions

  4. New Perspectives: Alternative Mutual Funds as an Investment Solution CWS

    This panel will discuss the continuous growth of alternative mutual funds—also called liquid alternatives or alternative '40 Act funds—and how Pershing can help access these solutions through consultative guidance. It also will cover the helpful tools for clients who wish to actively manage long/short allocations.

    Moderator: Peter Murphy, Managing Director, Pershing Prime Services
    Rich Calvario, Vice President, Pershing
    Michael Dubin, Managing Director, Silvercrest Asset Management
    John Gambla, Senior Porfolio Manager, First Trust
    Kyle McDaniel, Managing Director, Whitebox Advisors

  5. Positioning Your Business to Meet the Needs of the Investor of the Future CWS

    The financial world is constantly evolving and our solutions can position you for further success. Learn about our new Retirement Plan Network, FundVest 200™, the Pershing Turnkey Managed Account Offering and Fully Paid Securities Lending. You will discover the solutions that can help you serve the investor of the future.

    Moderator: Maura Creekmore, Managing Director, Pershing
    Sandy Bolton, Managing Director, Pershing
    Rob Cirrotti, Director, Pershing
    Joel Hempel, Director, Pershing and Chief Operating Officer, Lockwood Advisors, Inc.

12:30 p.m. – 1:45 p.m.

Lunch in the Exhibit Hall

1:45 p.m. – 3:30 p.m.

GENERAL SESSION

1:45 p.m. – 2:10 p.m.

Welcome and State of the Industry

Ron DeCicco, Chief Executive Officer, Pershing

2:10 p.m. – 3:10 p.m.

Remarks by Condoleezza Rice CFA CWS IMCA

Condoleezza Rice

Secretary of State (2005 – 2009)

Dr. Rice will provide a sweeping look at global affairs during her tenure as secretary of state and national security advisor. She shares compelling stories of her experiences, which illuminate the interrelationship of global events and leaders. Dr. Rice shares details about her commitment to America's education system, interest in expanding nationally the after-school, nonprofit program she founded and the importance of art and music in the school curriculum. She also discusses the inspiring change and challenges afoot globally for women and ways the global community must continue to unite behind the cause of women's empowerment.

Introduction: Solon "Bud" Person, Executive Vice President, Federated Investors, Inc.
Moderator: Lisa Dolly, Chief Operating Officer, Pershing

Sponsored by

3:10 p.m. – 3:30 p.m.

What the Smart Money Expects: The Bloomberg Markets Global Investor Poll CWS

Rob Dierterich, Senior Editor, Bloomberg Markets Magazine

3:30 p.m. – 4:00 p.m.

Networking Break

3:30 p.m. – 6:00 p.m.

Pershing Pavilion Open

4:00 p.m. – 5:00 p.m.

Breakout Session I

  1. 3 Rs—Retirement Plans, Rollovers, Regulations CFA CFP CWS IMCA

    Join us for an in-depth look at rigorous new regulations, SEC exam priorities and fiduciary responsibilities that could affect your firm and retirement planning for your clients.

    Moderator: Hans Schemmel, Vice President, Pershing
    Lisa Bleier, Managing Director, Securities Industry and Financial Markets Association
    Tonia Bottoms, Director, Pershing
    Gwen Weithaus, Assistant Director, Northwestern Mutual Investment Services

  2. Alternative Strategies to Manage Correlation Risk CFA CFP CWS IMCA

    Diversification between traditional asset classes isn't enough in today's markets. New market inefficiencies, redefinition of risk, rising volatility and increased correlations between stocks, bonds and even international investments, make crafting a well-diversified portfolio more challenging than ever. Learn how incorporating alternative investments can provide lower correlation to traditional investments, while potentially tempering risk and generating alpha opportunities for suitable investors.

    Moderator: Rich Calvario, Vice President, Pershing
    Donna Chapman Wilson, Managing Director, Invesco
    Andrew Hoffmann, Senior Vice President, PIMCO
    Mark Peterson, Director, BlackRock

  3. Engaging Clients Differently in the Digital Era CWS

    The Business is evolving, clients are changing and the technology being used by all is transforming. Technology is changing the way advisors do business and the way clients want to engage. From meeting new clients to serving their needs technology plays a key role in evolving the client service model for advisors. This session will explore the new demographics of investors, generational insights into their expectations around how they want to interact with advisors. We will discuss best practices being put to use by advisors in the digital era to gain efficiency and increase collaboration and trust with the investor such as online collaboration tools for higher levels of engagement, ways to interact with mobile for more effective meetings anytime anywhere, the use of online investor portals to develop trust and sharing of documents, proposals, performance reporting and financial planning tools and more.

    Moderator: Matthew Kelber, Vice President, Pershing
    Joel Bruckenstein, Publisher, Technology Tools for Today
    Kim Dellarocca, Managing Director, Pershing
    Joseph Stallings, President and Founder, OrangeAxis

  4. Face Value: Monitoring and Managing Your Public Image CWS

    People form their opinion of strangers within three seconds of meeting them. Additionally, Pershing's research suggests that future investors will use online sources to validate if they want to work with an advisor. The image you project is the strong force that influences people's perception of you and your business. When was the last time you Googled yourself? Hear from the experts how you can manage both your online image and public persona to ensure you are putting your best face toward your clients. Some attendees receive a complimentary reputation analysis.

    Moderator: Dawn Fitzgerald, Vice President, Pershing
    Michael Byrnes, President, Byrnes Consulting, LLC
    Chuck Hammond, Co-Founder, The 401k Study Group®
    Michael Rebibo, President and Chief Executive Officer, 1st Portfolio Wealth Advisors

  5. Offshore Investment Opportunities for the High-Net-Worth Investor CFA CFP CWS

    The combined wealth of the world's millionaires rose 10 percent to a record $46.2 trillion last year. Although the United States has traditionally been an attractive market for non-U.S. investors, new global markets are expected to become attractive in the near future. What makes these markets attractive and how can advisors take advantage of this new opportunity to meet the needs of their high-net-worth clients? Find out in this session led by some of the industry's largest offshore asset managers.

    Moderator: Isaac Barrocas, Senior Director, BNY Mellon
    Andrew Dreaneen, Head of GAIA Product and Business Development, Schroder Investment Management
    Brian Holland, Vice President, Federated Investors, Inc.
    Mark Rogers, Vice President, SunLife Financial

  6. Liquid Alternatives: The Convergence of Hedge Funds and Mutual Funds CFA CFP CWS IMCA

    Mutual funds have shifted from offering traditional long-only strategies to offering a variety of products, including long-short mutual funds and other products that utilize alternative strategies. This has resulted in historical collaboration between hedge fund managers, including hedge fund managers sub-advising for mutual funds and mutual fund complexes offering new and more complex products to retail investors. A panel of ‘40 Act fund managers and hedge fund managers will discuss how this collaboration has changed their business model and what this collaboration means for the future of the asset management industry.

    Moderator: Aaron Steinberg, Director, Pershing Prime Services
    Joseph Filicetti, Product Manager, Western Asset Management Company
    Frank Frecentese, Head of Hedge Fund Research, Lyxor Asset Management
    Harvey Steele, Managing Director, New York Life Main Stay Investments

  7. New World Order: Global Diversification in Client Portfolios CFP CWS IMCA

    Client portfolio diversification is something we all see playing out on the global stage. Attendees will hear more about which investment vehicles are being used today given the current market environment and practical portfolio implementation strategies for your investor in the global economy.

    Moderator: Michael Partnow, Director, Pershing
    Scott Leiberton, Portfolio Manager, Principal Funds
    David Mazza, Vice President, State Street Global Advisors
    Todd Speed, Vice President, Calamos Investments

  8. The Opportunity of Going Fee-Based: Empowering Advisors to Take the Leap CFA CWS IMCA

    Examine the potential benefits of moving to a fee-based practice and find out why some advisors have not yet embraced this approach. For some advisors who have made the transition, why does fee-based still remain a small part of their overall book of business? The panel will analyze the successes and challenges of transitioning to a fee-based business, and provide actionable ideas, including how to discuss the transition with clients.

    Moderator: Rebecca Chiccino, Director, Pershing
    Karen Lare, Senior Vice President, Brokerage, Waddell & Reed, Inc.
    Marc Stein, Financial Advisor, North Ridge Securities Corporation
    Lewis Walker, President, Walker Capital Management Corporation

  9. The Six-Year Itch: Handicapping the Economic and Financial Market Impact of the 2014 Mid-Term Elections CFA CFP CWS IMCA

    Phil Orlando returns to share his candid views on the increasingly entwined nature of politics, economics and the financial markets. After 2013, which was the S&P 500's best year since 1997, the “easy money” in stocks has already been made, and headwinds clearly abound. How will the Federal Reserve's leadership transition and the upcoming mid-term Congressional elections impact monetary and fiscal policy, economic growth and financial-market performance?

    Phil Orlando, Chief Equity Strategist, Federated Investors, Inc.

    Sponsored by

5:00 p.m. – 7:00 p.m.

Reception in Exhibit Hall

Thursday, June 5

6:30 a.m.

INSITE 3K Fun Run/Walk on the Beach

7:30 a.m. – 8:45 a.m.

Breakfast in the Exhibit Hall

8:45 a.m. – 10:30 a.m.

GENERAL SESSION

8:45 a.m. – 9:30 a.m.

Our Strategy to Support Your Success CWS

Moderator: Caroline O'Connell, Chief Strategy Officer, Pershing
Jim Crowley, Chief Relationship Officer, Pershing
Ben Harrison, Director, Pershing Advisor Solutions
Gerry Tamburro, Managing Director, Pershing

9:30 a.m. – 10:30 a.m.

Joe Torre's Journey to the Major League Baseball Hall of Fame CWS

Joe Torre

Executive Vice President for Baseball Operations for Major League Baseball

Successful as both a player and a manager, Joe Torre uses his accomplishments in baseball as a backdrop for his insights on how to win in the business world. In his dynamic coaching style, Torre discusses how to overcome adversity and take advantage of every opportunity.

Introduction: Kimberly Mustin, Head of North American Distribution, BNY Mellon Investment Management
Moderator: Mike Row, Managing Director, Pershing

Sponsored by

10:30 a.m. – 11:00 a.m.

Networking Break

10:30 a.m. – 4:15 p.m.

Pershing Pavilion Open

11:00 a.m. – 12:00 p.m.

Breakout Session II

  1. 3 Rs—Retirement Plans, Rollovers, Regulations CFA CFP CWS IMCA

    Join us for an in-depth look at rigorous new regulations, SEC exam priorities and fiduciary responsibilities that could affect your firm and retirement planning for your clients.

    Moderator: Hans Schemmel, Vice President, Pershing
    Lisa Bleier, Managing Director, Securities Industry and Financial Markets Association
    Tonia Bottoms, Director, Pershing
    Gwen Weithaus, Assistant Director, Northwestern Mutual Investment Services

  2. Alternative Strategies to Manage Correlation Risk CFA CFP CWS IMCA

    Diversification between traditional asset classes isn't enough in today's markets. New market inefficiencies, redefinition of risk, rising volatility and increased correlations between stocks, bonds and even international investments, make crafting a well-diversified portfolio more challenging than ever. Learn how incorporating alternative investments can provide lower correlation to traditional investments, while potentially tempering risk and generating alpha opportunities for suitable investors.

    Moderator: Rich Calvario, Vice President, Pershing
    Andrew Hoffmann, Senior Vice President, PIMCO
    Mark Peterson, Director, BlackRock
    Donna Chapman Wilson, Managing Director, Invesco

  3. Everything You Ever Wanted to Know About Liquid Alternatives But Were Always Afraid to Ask CFP CWS IMCA

    The rapid growth of liquid alternatives presents both an opportunity and a challenge to investors. Those who pick wisely from the growing array of choices in this market segment may enjoy real benefits ranging from market risk diversification to superior risk-adjusted investment returns. For those who pick poorly the outcome can be an expensive waste of fee dollars for nothing more than “beta” or, even worse, the permanent impairment of investor capital. Come and listen to a selection of liquid alternatives manager who will share their views on how to invest “wisely” in this asset class.

    Moderator: Jamie Lewin, Head of Manager Research, BNY Mellon Investment Management and Chief Investment Officer, Lockwood Advisors, Inc.
    Matthew Griffin, Managing Director, The Boston Company Asset Management, LLC
    David Horsfall, Managing Director, Standish Mellon Asset Management Company LLC
    Bill Lemberg, Managing Director, Alcentra
    Joseph Miletich, Managing Director, Mellon Capital Management Corporation

    Sponsored by
  4. Face Value: Monitoring and Managing Your Public Image CWS

    People form their opinion of strangers within three seconds of meeting them. Additionally, Pershing's research suggests that future investors will use online sources to validate if they want to work with an advisor. The image you project is the strong force that influences people's perception of you and your business. When was the last time you Googled yourself? Hear from the experts how you can manage both your online image and public persona to ensure you are putting your best face toward your clients. Some attendees receive a complimentary reputation analysis.

    Moderator: Dawn Fitzgerald, Vice President, Pershing
    Michael Byrnes, President, Byrnes Consulting, LLC
    Chuck Hammond, Co-Founder, The 401k Study Group®
    Michael Rebibo, President and Chief Executive Officer, 1st Portfolio Wealth Advisors

  5. Global Markets Opportunity for the Latin American Investor CWS

    After a disappointing 2013, the Latin American markets are posed for a rebound in 2014. Find out where the potential lies and how you can tap into this expected growth. Our panel consists of analysts who know the ins and outs of the Latam business.

    Moderator: Gilbert Addeo, Director, Pershing
    Urban Larson, Senior Product Specialist, Standish Mellon Asset Management Company LLC
    Antonio Miranda, Partner, Compass Group LLC
    David Tavares, Deputy Head of LATAM, Carmignac Gestion

  6. Making First Impressions Last—Optimizing the Client Onboarding and Account Opening Experience CWS

    They say you never get a second chance to make a first impression. Discover the power of providing an efficient, paperless and straight-through onboarding experience. Understand the best practices and technology options that enable rapid client onboarding and account opening. This includes automated form completion, e-signature collection and remote deposit capture. It also covers proposal tool, account opening and automated form completion for managed accounts and integration with CRM.

    Moderator: Michelle Gutierrez, Director, Pershing
    Darrin Courtney, Research Director, CEB Tower Group
    John Harris, Director of Product Management, SIGNiX
    Ted Kurth, Vice President, Pershing
    Michael Nesspor, Managing Director, Pershing

  7. New World Order: Global Diversification in Client Portfolios CFP CWS IMCA

    Client portfolio diversification is something we all see playing out on the global stage. Attendees will hear more about which investment vehicles are being used today given the current market environment and practical portfolio implementation strategies for your investor in the global economy.

    Moderator: Michael Partnow, Director, Pershing
    Scott Leiberton, Portfolio Manager, Principal Funds
    David Mazza, Vice President, State Street Global Advisors
    Todd Speed, Vice President, Calamos Investments

  8. The Opportunity of Going Fee-Based: Empowering Advisors to Take the Leap CFA CWS IMCA

    Examine the potential benefits of moving to a fee-based practice and find out why some advisors have not yet embraced this approach. For some advisors who have made the transition, why does fee-based still remain a small part of their overall book of business? The panel will analyze the successes and challenges of transitioning to a fee-based business, and provide actionable ideas, including how to discuss the transition with clients.

    Moderator: Rebecca Chiccino, Director, Pershing
    Karen Lare, Senior Vice President, Brokerage, Waddell & Reed, Inc.
    Marc Stein, Financial Advisor, North Ridge Securities Corporation
    Lewis Walker, President, Walker Capital Management Corporation

  9. Strategies for Tactical ETF Investing CFA CFP CWS IMCA

    Do you know how to properly invest your clients' exchange-traded funds (ETFs)? Are you aware of how the post-financial crisis environment has changed investors' feelings towards ETFs? Listen as ETF experts offer advice on the best ways to strategically invest your clients' ETFs in this new financial landscape.

    Moderator: Joseph Spatucci, Director, Pershing
    William Belden, Managing Director, Guggenheim Investments
    Jay Gragnani, Analyst, Dorsey, Wright & Associates
    Patrick Schramm, ETF Specialist, Van Eck Global

12:00 p.m. – 1:15 p.m.

Lunch in the Exhibit Hall

1:15 p.m. – 2:15 p.m.

Breakout Session III

  1. Advisor-Directed Solutions: Balancing Risk With Reward CFA CFP CWS IMCA

    Advisor-directed programs continue to grow at an impressive rate and may top $1.25 trillion by 2016, according to Cerulli. While these programs could be a leading growth solution, advisors should also weigh the risks. And, are other investment solutions more appropriate for their clients? This session will discuss both the risks and rewards associated with advisor-directed programs. It will also explore other solutions, such as mutual fund/ETF wrap and unified managed accounts.

    Moderator: Daniel Malley, Director, Pershing and Chief Operating Officer of Managed Investments, Pershing
    Daniel Lockwood, Financial Advisor, Waddell & Reed, Inc.
    Randall Richard, President, Richard Brothers Financial Advisors
    Steven Wyett, Senior Vice President, BOK Financial

  2. Alternative Investments: What's Trending Now CFA CFP CWS IMCA

    As the needs of sophisticated clients become more complex, how have alternative investments evolved? The classic concept of alternative investments includes hedge funds, private equity funds and funds of private funds with a variety of strategies—but what's trending now? Join us as top alternative experts outline the current landscape and investments, along with the best ways to stay ahead of clients' demand for additional growth and diversification opportunities.

    Moderator: Stacy Weber, Vice President, Pershing
    Kevin Albert, Partner, Pantheon
    James Ryan, Senior Vice President, Cole Capital
    Brad Weltler, Vice President, Steben & Company, Inc.

  3. The Big Picture for Today's Equity Market CFP CWS IMCA

    Where are we and where should you be? You can learn more about the big picture for today’s equity market by joining us for a panel discussion—current trends as well as a forecast on domestic equity markets. Top investment managers will illustrate opportunities that can enhance returns in your clients’ equity allocations.

    Moderator: Derek Penn, Managing Director, BNY Mellon
    Robert Ewing, Co-Head of U.S. Equities, Putnam Investments
    Owen Fitzpatrick, Managing Director, Head of Equities and Portfolio Manager, Deutsche Asset & Wealth Management
    Steven Lipper, Investment Strategist, Lord Abbett

  4. Durable Income: The Case for Alternative Investing CFA CFP CWS IMCA

    Are you looking for a new way to talk with your clients about alternative investments? In today's volatile markets, traditional approaches to building a diversified portfolio have lost some of their effectiveness and appeal. For many investors, a predominantly fixed income strategy may no longer be the solution to funding an extended retirement. Durable Income provides a new language for introducing investments, such as REITs, annuities, BDCs and other ideas that have long been part of institutional portfolios. Join us for this dynamic interactive session.

    Sameer Jain, Chief Economist, American Realty Capital

    Presented by
  5. In Search of Yield in the Current Markets CFA CFP CWS IMCA

    This session features industry experts who will discuss the strategies essential for generating yield across all markets and non-traditional income opportunities.

    Moderator: Adam Roosevelt, Vice President, Pershing
    Eric Fine, Managing Director and Portfolio Manager, Van Eck Global
    Triet Nguyen, Managing Partner, Axios Advisors LLC
    Jay Shein, Chairman of Certification Commission, IMCA

  6. Making First Impressions Last—Optimize the Client Onboarding and Account Opening Experience CWS

    They say you never get a second chance to make a first impression. Discover the power of providing an efficient, paperless and straight-through onboarding experience. Understand the best practices and technology options that enable rapid client onboarding and account opening. This includes automated form completion, e-signature collection and remote deposit capture. It also covers proposal tool, account opening and automated form completion for managed accounts and integration with CRM.

    Moderator: Michelle Gutierrez, Director, Pershing
    Darrin Courtney, Research Director, CEB TowerGroup
    John Harris, Director of Product Management, SIGNiX
    Ted Kurth, Vice President, Pershing
    Michael Nesspor, Managing Director, Pershing

  7. Multi Manager Funds: Gateway to Alternatives CFA CFP CWS IMCA

    Long/Short multi-manager mutual funds allow advisors and investors to explore the alternatives landscape with benefit of diversification. A panel of long/short managers will discuss the reasons why multi-manager mutual funds have become so popular.

    Moderator: Aaron Steinberg, Director, Pershing Prime Services
    James St. Aubin, Managing Director, Wilshire Associates
    Christine Johnson, Managing Director, AllianceBernstein
    Paul Weisenfeld, Partner, Perella Weinberg Partners

  8. Showcase Your Value: What Do You Bring to the Party? CWS

    Pershing’s ongoing research shows that even the top advisors often have vague value propositions that don’t resonate with high-net-worth investors. Pershing looks at the language and usage of words from top advisors and tests them among high-net-worth investors. In this session, we will discuss best practices and share actionable ideas that you can use to enhance your unique value proposition.

    Janet Kelly, Vice President, Pershing
    James Spiegelhoff, Vice President, Pershing

  9. Strategies for Tactical ETF Investing CFA CFP CWS IMCA

    Do you know how to properly invest your clients' exchange-traded funds (ETFs)? Are you aware of how the post-financial crisis environment has changed investors' feelings towards ETFs? Listen as ETF experts offer advice on the best ways to strategically invest your clients' ETFs in this new financial landscape.

    Moderator: Joseph Spatucci, Director, Pershing
    William Belden, Managing Director, Guggenheim Investments
    Jay Gragnani, Analyst, Dorsey, Wright & Associates
    Patrick Schramm, ETF Specialist, Van Eck Global

2:15 p.m. – 2:45 p.m.

Networking Break

2:45 p.m. – 3:45 p.m.

Breakout Session IV

  1. Advisor-Directed Solutions: Balancing Risk With Reward CFA CFP CWS IMCA

    Advisor-directed programs continue to grow at an impressive rate and may top $1.25 trillion by 2016, according to Cerulli. While these programs could be a leading growth solution, advisors should also weigh the risks. And, are other investment solutions more appropriate for their clients? This session will discuss both the risks and rewards associated with advisor-directed programs. It will also explore other solutions, such as mutual fund/ETF wrap and unified managed accounts.

    Moderator: Daniel Malley, Director, Pershing and Chief Operating Officer of Managed Investments, Pershing
    Daniel Lockwood, Financial Advisor, Waddell & Reed, Inc.
    Randall Richard, President, Richard Brothers Financial Advisors
    Steven Wyett, Senior Vice President, BOK Financial

  2. Alternative Investments: What's Trending Now CFA CFP CWS IMCA

    As the needs of sophisticated clients become more complex, how have alternative investments evolved? The classic concept of alternative investments includes hedge funds, private equity funds and funds of private funds with a variety of strategies—but what's trending now? Join us as top alternative experts outline the current landscape and investments, along with the best ways to stay ahead of clients' demand for additional growth and diversification opportunities.

    Moderator: Stacy Weber, Vice President, Pershing
    Kevin Albert, Partner, Pantheon
    James Ryan, Senior Vice President, Cole Capital
    Brad Weltler, Vice President, Steben & Company, Inc.

  3. Applying the Power of Big Data and Decision Science to Your Business CWS

    Ari Kaplan is a leading figure in sports analytics and known in the Major Leagues for revolutionizing and modernizing player assessment and team management. Kaplan will discuss how Major League Baseball players and executives make data-driven decisions based on analytics, big data, and critical thinking and discuss the changes taking place and how analytics in sports and business will continue to evolve in the future. Ari is joined by Pershing panelists who will review new approaches to dashboards, visual data displays and predictive analytics and show you how the techniques used in major league baseball can be applied to help you manage your business, solve challenges and identify opportunities to help investors achieve their financial goals.

    Moderator: Patrick Yip, Director, Pershing
    Ari Kaplan, President, AriBall
    Dennis Kelleher, Director, Albridge Analytics
    Shawn Rodgers, Vice President, Albridge

  4. The Big Picture for Today's Equity Market CFP CWS IMCA

    Equity means ownership. It also means fairness. These are concepts most investors understand. You can learn more about them by joining us for a panel discussion overview of the equity markets—current trends as well as a forecast on domestic equity markets. Top investment managers will illustrate opportunities that can enhance returns in your clients' equity allocations.

    Moderator: Derek Penn, Managing Director, BNY Mellon
    Robert Ewing, Co-Head of U.S. Equities, Putnam Investments
    Owen Fitzpatrick, Managing Director, Head of Equities and Portfolio Manager, Deutsche Asset & Wealth Management
    Steven Lipper, Investment Strategist, Lord Abbett

  5. New Geography of Investing: A Paradigm Shift in Portfolio Evaluation and Construction CFA CFP CWS IMCA

    Today we see the need for a new paradigm in portfolio construction. In an increasingly integrated global economy, a company's country of domicile is becoming less relevant than where it does business. As such, the domicile approach to measuring geographic exposure is increasingly disconnected from the fundamentals that drive companies and portfolios.

    David Polak, Equity Investment Specialist, American Funds from Capital Group

    Sponsored by
  6. Outlook for Fixed Income: High Volatility Bonds and Low Yields? CFA CFP CWS IMCA

    The Fixed Income Market is anything but extinct. Join our panelists as they discuss what they think the fixed income market will do. Which segments will perform best in today's difficult environment? Three unique viewpoints from subject matter experts will provide insight and perspective to help advisors manage investor investments.

    Moderator: Marvin Loh, Managing Director, BNY Mellon
    Christopher Dillon, Vice President, T. Rowe Price
    Steven McClurg, Managing Director, Guggenheim Investments
    Tom Nelson, Chief Investment Officer, Reich & Tang

  7. Retirement: Winning Strategies for Today's Investor CFA CFP CWS IMCA

    Winning and retaining retirement clients goes beyond an investment strategy and incorporates other critical planning decisions, including Social Security, Medicare, and numerous tax strategies. This best practices session will focus on getting your clients engaged on these retirement topics and help you understand critical decision points in your clients lives.

    Moderator: Brian Tousignant, Vice President, Pershing
    Elaine Floyd, Director, Horsesmouth, LLC
    Lena Rizkallah, Vice President, J.P. Morgan Asset Management

  8. Risk Managed Approach to Portfolio Construction CFA CFP CWS IMCA

    What are the ways to diversify your clients' portfolios, in light of today's fluctuating market environment? During this breakout, top investment managers will explore absolute return, passive and active portfolio management strategies for client portfolios. Also, you will learn which asset classes perform differently in specific market and economic conditions. From minimizing risk in a portfolio to benefiting from market volatility, you will discover the best way to incorporate various investments into a portfolio.

    Moderator: Justin Fay, Vice President, Pershing
    Donald Bennyhoff, Senior Investment Analyst, Vanguard Investment Strategy Group
    Stephen Kolano, Vice President, BNY Mellon
    Donald Schreiber, Chief Executive Officer, WBI Investments, Inc.

  9. Showcase Your Value: What Do You Bring to the Party? CWS

    Pershing’s ongoing research shows that even the top advisors often have vague value propositions that don’t resonate with high-net-worth investors. Pershing looks at the language and usage of words from top advisors and tests them among high-net-worth investors. In this session, we will discuss best practices and share actionable ideas that you can use to enhance your unique value proposition.

    Janet Kelly, Vice President, Pershing
    James Spiegelhoff, Vice President, Pershing

3:45 p.m. – 4:15 p.m.

Networking Break

4:15 p.m. – 5:30 p.m.

GENERAL SESSION

4:15 p.m. – 4:45 p.m.

Building an Industry to Last CWS

Mark Tibergien, Chief Executive Officer, Pershing Advisor Solutions

You have dedicated your career to this industry, working tirelessly to help your clients achieve their life goals. While the focus of today’s advisors have been to build larger and more successful businesses, the current state of financial literacy, talent development and trust in the system puts the future of the advisory business in jeopardy. In this session, Mark Tibergien, Chief Executive Officer of Pershing Advisor Solutions LLC, will explore the implications of these trends and strategies that advisors can implement in their own communities to ensure that the legacy and spirit of the industry endures.

4:45 p.m. – 5:30 p.m.

Contagious CWS

Jonah Berger

Author of Best-Selling Contagious: Why Things Catch On; Expert on Word of Mouth and How Products and Ideas Become Popular

Ever wondered why some things catch on and become popular while others falter? Jonah Berger has the answers. He spent the last decade studying how social influence works and how it drives products and ideas to catch on. He's published dozens of articles in top-tier journals and consulted for a variety of Fortune 500 companies, and popular outlets like Harvard Business Review often cover his work.

Introduction: Louisa Quarto, President, Realty Capital Securities

Sponsored by

5:30 p.m. – 6:30 p.m.

Pershing Pavilion Open

5:30 p.m. – 7:30 p.m.

Reception in the Exhibit Hall

Friday, June 6

6:15 a.m.

Yoga on the Beach

7:45 a.m. – 9:00 a.m.

GENERAL SESSION WITH BREAKFAST

8:00 a.m. – 9:00 a.m.

Opening Remarks

John Brett, Managing Director, Pershing and Chairman, Lockwood Advisors, Inc.

8:00 a.m. – 9:00 a.m.

The Impact of 21st Century Technology on the Brain CWS

Baroness Susan Greenfield

Neuroscientist, Writer, and Broadcaster

Humans occupy more ecological niches than any other species on the planet because of the superlative ability of our brains to adapt to the environment. The digital technologies are leading to a way of life that is unprecedented, dominated by the screen. The rationale runs as follows: the human brain will adapt to whatever environment in which it is placed; the cyber world of the 21st Century is offering a new type of environment; the brain could therefore be changing in parallel, in correspondingly new ways. This change in mind-set will impact on every sector of our professional and private lives, encompassing goods and services, insurance and risk management, the media, creativity, leadership, education and ultimately both domestic and international policy planning. We need to try to foresee what these changes, be they positive or negative, may be to harness the opportunities for life in the 21st Century.

Introduction: David Polak, Equity Investment Specialist, American Funds from Capital Group
Moderator: John Brett, Managing Director, Pershing and Chairman, Lockwood Advisors, Inc.

Sponsored by

9:00 a.m. – 10:45 a.m.

Pershing Pavilion Open

9:15 a.m. – 10:15 a.m.

Breakout Session V

  1. Applying the Power of Big Data and Decision Science to Your Business CWS

    Ari Kaplan is a leading figure in sports analytics and known in the Major Leagues for revolutionizing and modernizing player assessment and team management. Kaplan will discuss how Major League Baseball players and executives make data-driven decisions based on analytics, big data, and critical thinking and discuss the changes taking place and how analytics in sports and business will continue to evolve in the future. Ari is joined by Pershing panelists who will review new approaches to dashboards, visual data displays and predictive analytics and show you how the techniques used in major league baseball can be applied to help you manage your business, solve challenges and identify opportunities to help investors achieve their financial goals.

    Moderator: Patrick Yip, Director, Pershing
    Ari Kaplan, President, AriBall
    Dennis Kelleher, Director, Albridge Analytics
    Shawn Rodgers, Vice President, Albridge

  2. Global Equities and The Fed Tapering: Navigating a World of Normalizing Interest Rates CFA CFP CWS IMCA

    A secular bull market in developed market equities continues while investors continue to wonder when the right time is to get back in emerging market equities. We argue risks to developed markets are overstated while risks to emerging market are understated. We will explore key themes including US manufacturing, Japanese exporters, and Early cycle Europe. Investors should brace for rising emerging market risks.

    Joseph Zidle, Portfolio Strategist, Richard Bernstein Advisors LLC

    Sponsored by
  3. In Search of Yield in the Current Markets CFA CFP CWS IMCA

    This session features industry experts who will discuss the strategies essential for generating yield across all markets and non-traditional income opportunities.

    Moderator: Adam Roosevelt, Vice President, Pershing
    Eric Fine, Managing Director and Portfolio Manager, Van Eck Global
    Triet Nguyen, Managing Partner, Axios Advisors LLC
    Jay Shein, Chairman of Certification Commission, IMCA

  4. Is the Grass Greener? Growth by Merging, Acquiring or Transitioning CWS

    Doesn’t it seem that the grass is always greener on the other side? Firms not participating in deals may be glancing across the street and coveting those that are active in M&A and recruitment, yet those firms may be longing for a growth strategy of their simpler days. So when it comes to recruiting and mergers and acquisitions, is the grass truly always greener?

    Moderator: Adam Verchinski, Vice President, Pershing Advisor Solutions
    Gregory Friedman, Co-Founder and President, Private Ocean
    Jim Roth, Managing Director, Pershing
    Daniel Seivert, Chief Executive Officer, Echelon Partners

  5. The Last of Cost Basis Regulations: Simple Debt Instruments and Options CFA CFP CWS IMCA

    Think the new cost basis regulations that have been enacted over the past few years have been challenging? Wait until you see the last phase of the regs that go into effect in 2014. The simple debt instruments and options rules are even more complex than for stocks. You won't want to miss this update.

    Samuel Adams, Vice President, Pershing
    Kevin McCosker, Director, Pershing

  6. Outlook for Fixed Income: High Volatility Bonds and Low Yields? CFA CFP CWS IMCA

    The Fixed Income Market is anything but extinct. Join our panelists as they discuss what they think the fixed income market will do. Which segments will perform best in today's difficult environment? Three unique viewpoints from subject matter experts will provide insight and perspective to help advisors manage investor investments.

    Moderator: Marvin Loh, Managing Director, BNY Mellon
    Christopher Dillon, Vice President, T. Rowe Price
    Steven McClurg, Managing Director, Guggenheim Investments
    Tom Nelson, Chief Investment Officer, Reich & Tang

  7. Retirement: Winning Strategies for Today's Investor CFA CFP CWS IMCA

    Winning and retaining retirement clients goes beyond an investment strategy and incorporates other critical planning decisions, including Social Security, Medicare, and numerous tax strategies. This best practices session will focus on getting your clients engaged on these retirement topics and help you understand critical decision points in your clients lives.

    Moderator: Brian Tousignant, Vice President, Pershing
    Elaine Floyd, Director, Horsesmouth, LLC
    Lena Rizkallah, Vice President, J.P. Morgan Asset Management

  8. Risk Managed Approach to Portfolio Construction CFA CFP CWS IMCA

    What are the ways to diversify your clients' portfolios, in light of today's fluctuating market environment? During this breakout, top investment managers will explore absolute return, passive and active portfolio management strategies for client portfolios. Also, you will learn which asset classes perform differently in specific market and economic conditions. From minimizing risk in a portfolio to benefiting from market volatility, you will discover the best way to incorporate various investments into a portfolio.

    Moderator: Justin Fay, Vice President, Pershing
    Donald Bennyhoff, Senior Investment Analyst, Vanguard Investment Strategy Group
    Stephen Kolano, Vice President, BNY Mellon
    Donald Schreiber, Chief Executive Officer, WBI Investments, Inc.

  9. Your Client's Legacy: Gifting Strategies for Today and Future Generations CFA CFP CWS IMCA

    A panel of industry experts will discuss strategies for charitable planning through trusts and Donor Advised Funds. Attendees will walk away with ideas on how to provide solutions to assist with advance planning needs.

    Moderator: Katie Swain, Director, Pershing
    William Hewitt, Executive Vice President, Crown Philanthropic Solutions
    Michael Roberts, Executive Vice President, Reliance Trust Company

10:15 a.m. – 10:45 a.m.

Networking Break

10:45 a.m. – 12:00 p.m.

GENERAL SESSION

10:45 a.m. – 11:00 a.m.

Industry View Point CWS

Brian Shea, President, Investment Services, BNY Mellon and Head of Client Service Delivery and Client Technology Solutions, BNY Mellon

11:00 a.m. - 11:55 a.m.

Achieving Innovation and Breakthroughs CWS

Peter Diamandis

Futurist; Chairman and Chief Executive Officer, X Prize Foundation

Peter Diamandis explains how the rapid growth of key exponential technologies are empowering individuals and small companies to do what only governments were able to achieve only a few decades ago. Such technologies will drive a period of significant disruption or opportunity depending on the company's mind-set. Diamandis' ultimate message is that companies cannot remain stagnant. They must evolve or they will die.

Introduction: Brian Ruane, Executive Vice President, BNY Mellon

11:55 a.m. – 12:00 p.m.

Closing Remarks

Brian Ruane, Executive Vice President, BNY Mellon