Sponsors and Exhibitors
Pershing hosts industry leading asset managers, technology companies and business solutions providers as sponsors and exhibitors at INSITE 2013. To enhance the attendee experience, sponsors and exhibitors offer industry perspective during the various breakout sessions as well as showcase their capabilities during the INSITE Exhibit Hall.
- Aberdeen Asset Management
- Absolute Investment Advisers LLC
- Advent/Black Diamond
- The Advisory Trust Company of Delaware
- ALPS Portfolio Solutions
- American Beacon Advisors
- American Endowment Foundation
- American Funds
- American Realty Capital
- Artisan Funds
- Baron Funds
- BNY Mellon Capital Markets
- BOK Financial Advisor Trust Services
- BondWave LLC
- Brandes Investment Partners, L.P.
- Buffalo Funds
- Calamos Investments
- CFP Board
- Citigroup Global Markets Inc.
- Clark Capital Management Group, Inc.
- Client Marketing Systems, Inc.
- Cohen & Steers
- Cole Real Estate Investments
- College for Financial Planning
- Columbia Management
- Comerica Bank and Trust NA
- Congress Asset Management Company
- ConvergEx Group/Research Alliance
- Credit Suisse
- Cushing MLP Asset Management
- Dana Investment Advisors
- Deutsche Asset & Wealth Management
- Diamond Hill Investments
- Dividend Capital
- Envestnet Asset Management
- Equinox Fund Management LLC
- Federated Investors, Inc.
- Financial Advisor and Private Wealth Magazines
- Financial Media Group
- First Trust Portfolios L.P.
- Fortigent, LLC
- Franklin Templeton Investments
- Gabelli Funds
- Genworth Financial Wealth Management
- GlobeTax Services
- Gotham Asset Management
- Guggenheim Investments
- GWG Holdings, Inc.
- Hancock Horizon Funds
- Heartland Advisors
- Highland Capital Management Fund Advisors
- Homestead Funds
- HSBC Global Asset Management
- ING U.S. Investment Management
- Insured Retirement Institute
- Interactive Advisory Software
- Interactive Data
- Invesco PowerShares
- Investec Asset Management
- Investment Managers Series Trust
- Ivy Funds
- J.P. Morgan Asset Management
- Jefferson National
- John Hancock Funds
- Laser App
- Legg Mason Global Asset Management
- Lincoln Financial Group
- Live Oak Bank
- Lord Abbett & Co.
- Markel Cambridge Alliance
- Markit on Demand
- Matthews Asia Funds
- MFS Investment Management
- Morgan Stanley Investment Management
- National Compliance Services, Inc.
- Natixis Global Asset Management
- Neuberger Berman
- New York Life MainStay Investments
- New York Private Trust
- Nomura Asset Management
- Northern Lights Fund Trust
- Northern Trust
- Northstar Financial Services (Bermuda) Ltd.
- Options Industry Council
- Paradigm Capital
- Pathway Strategic Advisors
- Penton Financial Services Group
- Permanent Portfolio Family of Funds, Inc.
- Pioneer Investments
- Plymouth Opportunity REIT
- Principal Funds
- Private College 529 (OppenheimerFunds)
- Prudential Annuities
- Putnam Investments
- Rainier Investment Management, Inc.
- Reaves Asset Management
- Redtail Technology
- Reich & Tang
- Reliance Trust Company
- RiverNorth Capital Management, LLC
- The Royce Funds
- Russell Investments
- S&P Capital IQ
- Salient Partners
- Saturna Capital
- Schroders Investment Management
- Scout Investments
- Security Benefit
- SourceMedia, Inc.
- State Street Global Advisors
- Steben & Company, Inc.
- Stewart Capital Advisors
- Summit Business Media
- SumRidge Partners
- Swan Wealth Advisors
- T. Rowe Price
- Turner Investments
- U.S. Global Investors, Inc.
- Van Eck Global
- Wells Fargo Securities
- Whitebox Advisors LLC
- William Blair & Company, L.L.C.
- Wilmington Trust Investment Advisors
- WisdomTree Asset Management
18 Shipyard Drive, Suite 3C, Hingham, MA 02043
Chris Ward - 303-378-0729, firstname.lastname@example.org
Absolute Investment Advisers LLC manages the Absolute Funds, two multi-strategy, open-end mutual funds that provide access to concentrated groups of highly-skilled managers who offer diverse return profiles and can be managed and monitored in a transparent, daily-valued structure. Absolute believes that combining a limited number of idiosyncratic strategies will provide lower volatility and lower sensitivity to traditional market risks and will improve diversification for disciplined investors.
600 Townsend Street, Suite 500, San Francisco, California 94103
Michelle Ross Odom - Solutions Consultant, 904-928-2682, email@example.com
Advent Software, Inc., a global firm, has provided trusted solutions to the world's financial professionals since 1983. Advent's proven solutions can increase operational efficiency, reduce risk and eliminate the boundaries between systems, information and people, so you can focus on what you do best. With more than 4,500 client firms in over 60 countries, Advent has established itself as a leading provider of mission-critical solutions to meet the demands of investment management operations around the world. Advent is the only financial services software company to be awarded the Service Capability and Performance certification for being a world-class support and services organization. For more information on Advent products visit http://www.advent.com/about/resources/demos/pr.
2 Bethesda Metro Center, Suite 1330, Bethesda, Maryland 20814
James Carl - Vice President, 202-684-6767, firstname.lastname@example.org
AdvisorShares is one of the leading providers of actively managed ETFs. As of 5/01/2013, AdvisorShares offers 18 active ETFs, some of which are top performers in their category, with approximately $830 million of assets under management. AdvisorShares provides educational support to help financial advisors and investors understand the benefits of actively managed ETFs, and the underlying investment strategy for each of the AdvisorShares ETFs. Visit our website at www.advisorshares.com to learn more about us. Follow the AdvisorShares Team on Twitter at www.twitter.com/advisorshares or "Like" us on Facebook at www.facebook.com/advisorsharesinvestments.
2710 Centerville Road, Suite 101, Wilmington, Delaware 19808
Mary Anderson - Key Accounts Manager, 302-636-8506, email@example.com
Mike Flinn - West Regional Sales Consultant, 602-908-1497, firstname.lastname@example.org
Jim North - East Regional Sales Consultant, 480-980-7260, email@example.com
The Advisory Trust Company of Delaware, a wholly owned subsidiary of Wilmington Trust N.A. and part of the M&T Bank corporate family, works exclusively with professional advisors, helping their clients achieve their financial goals by using the full-range of trust strategies. The trust company provides non-custody personal trust administration and back-office services for high-net-worth clients. Our business was built in partnership with advisors. We are not a money manager or a broker-dealer. We focus on administering trusts and not competing with you for business. Our business model allows you to manage the investments of the trust. Advisory Trust may serve as trustee and offer administration services for virtually any type of personal trust including revocable and irrevocable trusts, charitable trusts, and family trusts. Advisory Trust is truly a service company that focuses on doing one thing well: wholesale distribution of trust services to professional financial advisors like you. We are domiciled in Delaware, one of the most wealth-friendly states in the U.S.If you have questions regarding Advisory Trust or our services, p lease do not hesitate to call us at (800) 258-6334, or send an e-mail to firstname.lastname@example.org.
1345 Ave of the Americas, New York, New York 10105
Brendan Murray - Relationship Manager, 212-823-3004, email@example.com
Jeff Blum - Associate Relationship Manager, 212-969-6994, firstname.lastname@example.org
Alastair McKibbin - Regional Manager, 646-763-1322, email@example.com
AllianceBernstein is a global asset management firm that provides a wide range of investment management services to a broad spectrum of institutions, retail investors and high-net-worth individuals. Our clients are located across 50+ countries throughout the Americas, Europe, Asia and the Pacific Rim and have highly diverse risk profiles, tax regimes, domiciles, currency preferences and return objectives. As of March 31, 2013, we managed approximately $443 billion for our clients across equities, fixed income, multi-asset and alternatives products and services.
1290 Broadway, Suite 1100, Denver Colorado 80203
Jennifer Levesque - Institutional, IRA Sales Consultant, 720-917-0610, firstname.lastname@example.org
ALPS offers innovative portfolio solutions that help financial advisors and institutional investors build better portfolios. We specialize in satellite and alternative asset classes focusing on MLPs, commodities, private equity, high dividend stocks, global real estate, sectors and emerging markets. Our exposure to these asset classes are achieved primarily through ETFs and open-end funds so that we can provide access that is registered, liquid and fully transparent. We strive to deliver portfolio solutions that allow investors to diversify their core holdings, obtain exposure to attractive investment themes and ultimately build better portfolios.
4151 Among Carter Boulevard, MD2450, Fort Worth, Texas 76155
Consistently delivering innovative solutions you can invest in. For more than 25 years, American Beacon has been on the watch overseeing investments for corporate, institutional and individual investors. Our leadership position as a ""manager of managers"" is built on a long-standing history of innovative thinking, discipline and consistently applying our approach. We began operation as a fiduciary for billions of dollars in employee benefit plan assets and later expanded our advisory services to include other institutional investors, as well as individual investors. Given this legacy of high fiduciary standards, we remain intent on pursuing consistent, long-term investment performance on behalf of those who invest their assets with us. At American Beacon, we believe we're a bit different from the typical advisory/mutual fund firm. Using our decades of experience in manager selection as a fiduciary for institutional investors, we deliver timely investment opportunities and seek consistent results for those who've entrusted their assets to us.
1521 Georgetown Road, Suite 104, Hudson, Ohio 44236
Tom Tobin - President, 330-655-7552, email@example.com
AEF's national donor-advised fund program allows financial advisors to manage the assets their clients contribute on the Pershing platform.
333 South Hope Street, Los Angeles, California 90071
Cassie Rainey - Conference Coordinator, 210-474-3496, firstname.lastname@example.org
The American Funds Advantage. Since 1931, American Funds, part of Capital Group, has helped investors pursue long-term investment success. Our consistent approach, in combination with The Capital SystemSM, has resulted in a superior long-term track record. Aligned with investor success: We base our decisions on a long-term perspective, which we believe aligns our goals with the interests of our clients. Our portfolio managers average 25 years of investment experience, including 20 years at our company, reflecting a career commitment to our long-term approach.1 The Capital SystemSM: Our investment process, The Capital System, combines individual accountability with teamwork. Each fund is divided into portions that are managed independently by investment professionals with diverse backgrounds, ages and investment approaches. An extensive global research effort is the backbone of our system. Superior long-term track record: Our equity funds have beaten their comparable Lipper indexes or averages in 90% of 10-year periods and 96% of 20-year periods. Our fixed-income funds have beaten comparable Lipper indexes or averages in 58% of 10-year periods and 63% of 20-year periods.2 Our fund management fees have generally been among the lowest in the industry.3 Investors should carefully consider investment objectives, risks, charges and expenses of the American Funds. This and other important information is contained in the fund prospectuses and summary prospectuses, which can be obtained from a financial professional and should be read carefully before investing. Investments are not FDIC-insured, nor are they deposits of or guaranteed by a bank or any other entity, so they may lose value.
1 Portfolio manager experience as of December 31, 2012.
2 Based on Class A share results for rolling periods through December 31, 2012. Periods covered are the shorter of the fund's lifetime or since the inception date of the comparable Lipper indexes or averages.
3 Based on management fees for the 20-year period ended December 31, 2012, versus comparable Lipper categories, excluding funds of funds.
22 Street Andrews Court, Old Westbury, New York 11568
Franklin Tsung - COO, 516-974-3389, email@example.com
AppCrown delivers a unified software platform for broker-dealers and wealth management firms to integrate their clearing provider (Pershing), back office systems (i.e., SunGard Data Systems) and a myriad of third-party vendors from financial planning software to document storage, into a single enterprise platform. Today, AppCrown's platform administrates over $70 billion of institutional assets, representing some 5,000 users.
745 Seventh Avenue, New York New York 10019
Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over 50 countries and employ over 140,000 people. We provide large corporate, government and institutional clients with a full spectrum of solutions to their strategic advisory, financing and risk management needs. Our clients also benefit from access to the breadth of expertise across Barclays. We are one of the largest financial services providers in the world, and are also engaged in retail banking, credit cards, corporate banking, and wealth and investment management. Barclays offers premier investment banking products and services to its clients through Barclays Bank PLC. For more information, please visit www.barclays.com
767 5th Avenue, 49th Floor, New York, New York 10153
Founded in 1982 by Ron Baron, Baron Capital Management, Inc., is a research driven, long-term equity investment firm. We invest in growth businesses with substantial competitive advantages and strong management teams, using a value-oriented purchase discipline. We conduct rigorous research throughout the life of an investment and this drives every investment decision. We think about the companies we invest in as owners, focusing on management's vision and leadership and the business' growth prospects.
1 University Square Drive, Princeton New Jersey 08540
BlackRock is a thought leader across markets, risk management technology and investment strategies and offers mutual funds, separately managed accounts and iShares ETFs. BlackRock continuously brings the best of BlackRock to clients, pioneering new ways to combine active and index strategies. BlackRock. Investing for a New World.
731 Lexington Avenue, New York, NY 10002
Customer Service - 212-318-2000
Bloomberg, the global business and financial information and news leader, gives influential decision makers a critical edge by connecting them to a dynamic network of information, people and ideas. The company’s strength – delivering data, news and analytics through innovative technology, quickly and accurately – is at the core of the Bloomberg Professional service, which provides real time financial information to more than 315,000 subscribers globally. Bloomberg’s enterprise solutions build on the company’s core strength, leveraging technology to allow customers to access, integrate, distribute and manage data and information across organizations more efficiently and effectively. Through Bloomberg Law, Bloomberg Government, Bloomberg BNA and Bloomberg New Energy Finance, the company provides data, news and analytics to decision makers in industries beyond finance. And Bloomberg News, delivered through the Bloomberg Professional service, television, radio, mobile, the Internet and two magazines, Bloomberg Businessweek and Bloomberg Markets, covers the world with more than 2,400 news and multimedia professionals at 146 bureaus in 72 countries. Headquartered in New York, Bloomberg employs more than 15,000 people in 185 locations around the world.
One Williams Center, Tulsa, Oklahoma 74152
As a member of the Pershing Trust Network, BOK Financial is a $27 billion regional financial services company based in Tulsa, Oklahoma. Our Advisor Trust Services are offered through our national bank affiliate, BOKF,NA, which works nationwide with more than 125 trust officers and provides unsurpassed personalized trust services for your clients. We enhance the advisor/client relationship by providing expertise in trust solutions while you, the financial advisor, deliver comprehensive investment management with the flexibility of holding client assets with your preferred custodian.
BondWave LLC - Tabletop 501
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
Jonathan Volle - Senior Vice President, 630-517-7023, firstname.lastname@example.org
Sarah Galpin - Vice President, 630-517-7019, email@example.com
Ken Mwangi - Vice President, 630-517-7020, firstname.lastname@example.org
BondWave LLC (BondWave®) is a registered investment advisor and provider of innovative software solutions designed to help facilitate and enhance the fixed income investment process. BondWave fixed income reporting and analytics will be available on Pershing's NetX360 platform by mid-summer 2013. Advisors and RIAs can visualize fixed income holdings for each account like never before using a number of different graphical and list displays. In addition, the platform will enable NetX360 users to request on-demand fixed income reports suitable for management or client meetings. BondWave DeskView is a powerful enterprise-level client-server application designed to significantly enhance the fixed income experience for trading desk personnel, asset managers or other advisors. In turn, DeskView empowers these professionals to extend a superior fixed income experience to their management team, the reps or advisors they serve and ultimately to investors. DeskView facilitates a proactive and coordinated approach to fixed income trading and portfolio management. It works in conjunction with your existing trading systems, trading partners and service providers to improve workflow efficiency and overall communication. In this solution, BondWave takes an impartial position on bond offering sources and trade execution. In addition, DeskView serves as a conduit of actionable fixed income business intelligence that gives all parties a better understanding of accounts and holdings.
11988 El Camino Real, Suite 600, San Diego, California 92130
Brandes Investment Partners, L.P., is a leading investment advisory firm, specializing in managing global equity and fixed-income assets for clients worldwide. Since the firm's inception in 1974, Brandes has applied the value investing approach, pioneered by Benjamin Graham, to security selection and was among the first investment firms to bring a global perspective to value investing. The independently owned firm manages a variety of active investment strategies and applies its investment philosophy consistently in all market conditions.
5420 West 61st Place, Shawnee Mission, Kansas 66205
Tony DeMarino - Head of Global Distribution, 913-754-1543, email@example.com
The Buffalo Funds are 10 actively managed, no-load mutual funds representing a full range of capitalization size, equity and fixed income options, as well as separate account capabilities for institutional investors, with $6.1 billion AUM, plus $2.4 billion managed by Kornitzer Capital Management (KCM), advisor to Buffalo Funds. We do not adhere to benchmarks, but construct our portfolios using our own in-house research, based on a top-down/bottom-up approach. We begin by identifying broad secular growth trends, currently numbered at 20+, which can be well-documented and are expected to have a life expectancy of at least three to five years. Our portfolio construction focuses on firms that benefit from these trends. The funds' managers strive to select only companies which we have identified with strong balance sheets and free cash flow generation.
2020 Calamos Court, Naperville, Illinois 60563-2787
Jason Lauderback - National Accounts Manager, 630-245-1819, firstname.lastname@example.org
Calamos Investments LLC is a diversified global investment firm offering innovative investment strategies including equity, fixed income, convertible and alternative investments. The firm offers strategies through separately managed portfolios, mutual funds, closed-end funds, private funds and UCITS funds. Clients include major corporations, pension funds, endowments, foundations and individuals. Headquartered in the Chicago metropolitan area, the firm also has offices in London and New York. For more information visit calamos.com.
1425 K Street, NW, Washington District of Columbia 20005
Paul Horenkamp - Marketing Manager, 202-379-2255, email@example.com
CFP Board is the certification and standards-setting organization for the Certified Financial Planner® certification in the U.S. Founded in 1985, CFP Board benefits the public by establishing and enforcing education, examination, experience and ethics standards for CFP® certification and upholding it as the recognized standard of excellence for competent and ethical personal financial planning.
388 Greenwich Street, New York, New York 10013
Citi is a leading provider of wealth management platforms and services that ease operational and administrative burdens through end-to-end portfolio management, rebalancing, trading, reporting, trust administration and global custody capabilities. Citi's full suite solutions delivered through OpenWealth® lets wealth managers focus on building relationships and growing their business. OpenWealth is an award winning wealth management platform that supports all managed account products including advisor controlled unified managed accounts and unified managed households. OpenWealth's advisor-controlled UMA/UMH, allows advisors to define and control portfolio management across all investment products from funds to SMA models.
390 Greenwich Street, 3rd floor, New York, New York 10013
Pierre Pettigrew - Director, 212-723-7005, firstname.lastname@example.org
Among the many innovations Citi offers to investors are notes, deposits, certificates, OTC derivatives, funds and rules-based investment strategies. These can be tailored to satisfy specific investment objectives, from wealth preservation to risk-adjusted yield enhancement. For more information, call us at (212) 723-7005 or go to citifirst.com and funds.citi.com.
880 Price Street, Pismo Beach, California 93449
Shannon Dempsey - Vice President, Sales, 800-799-4267, email@example.com
Advisors AssistantThe Leader in Client and Portfolio Management Software for the Financial Services Industry. It combines CRM with optional portfolio management to help you build stronger and more meaningful relationships with your clients. It is also a powerful marketing tool that increases sales and streamlines office efficiency. Advisors Assistant can also track investments, downloads investment data from Pershing and other custodians, calculates performance, and prints consolidated reports. Insurance policy tracking is also available. Choose Web-based or computer-based. Free 800 line telephone support, training webinars and updates. (800) 799-4267, AdvisorsAssistant.com
280 Park Ave, Floor 10, New York, New York 10017
Frank Zukowski - Senior Vice President, Director, RIA Consulting Group, 212-446-9184, firstname.lastname@example.org
Cohen & Steers is a global investment manager focused on specialty asset classes, including real estate securities, listed infrastructure, real assets, preferred securities, large cap value equities and alternative strategies. In 1986, Martin Cohen and Robert Steers established Cohen & Steers as the first investment company to specialize in listed real estate. As the global real estate securities market evolved, we expanded our operations to Europe and Asia Pacific, forming the industry's largest global investment team dedicated to real estate securities. Through careful consideration, we have added to our investment offerings over the years, developing related strategies designed to meet investors' increasing demand for dividend income and real returns. Cohen & Steers was listed on the New York Stock Exchange in 2004 under the ticker: CNS. As of March 31, 2013, the company had $49.3 billion in assets under management. Cohen & Steers is headquartered in New York, with offices in London, Brussels, Hong Kong, Tokyo and Seattle.
2325 East Camelback Road, Suite 1100, Phoenix, AZ 85016
Candis Bott - Director of Internal Sales, Internal Sales, 602-778-6068, email@example.com
Founded in 1979, Cole Real Estate Investments is one of the nation’s leading acquirers and managers of high-quality, income-producing retail, office and industrial real estate assets. Cole primarily targets net-leased single-tenant and multi-tenant retail properties under long-term leases with creditworthy tenants, as well as single-tenant office and industrial properties, using a conservative investment and financing strategy. According to Real Capital Analytics, a leading industry research firm, Cole has established itself as the No. 1 buyer of all single-tenant assets for the past 10 years. At the end of December 2012, Cole-related entities owned and managed more than 2,050 assets representing approximately 76.4 million square feet of commercial real estate in 47 states, with a combined acquisition cost of more than $12.4 billion. To learn more, visit www.colecapital.com.
8000 East Maplewood Avenue, Greenwood Village, Colorado 80111
Chris Feltmann - National Account Manager, 201-444-0441, firstname.lastname@example.org
The College for Financial Planning (www.cffpinfo.com) is the leading institution focused on meeting the education needs of financial services professionals. Founded in 1972, the College created the prestigious CERTIFIED FINANCIAL PLANNER® (CFP®) certification and has trained over 135,000 professionals. Flexible instructor-led/Web-delivered classes featuring eBooks and interactive quizzes bring the classroom to your home or office. Graduates of the college are consistently ranked as the best financial advisors in the nation. Designations awarded include the AAMS®, AWMA®, CRPC®, CRPS®, CMFC® and RP®. The college is also home to three graduate degree programs. Customized training materials are available to corporate clients.
411 West Lafayette, MC3300, Detroit, Michigan 48226
Working in Concert to Meet Your NeedsComerica and Pershing have a strategic alliance for Comerica to provide trust services for RIAs and broker-dealers and their clients doing business through Pershing. This alliance allows your clients to take advantage of Comerica's professional trust administration capabilities while you, the financial advisor, continue to manage their assets. The continuity of your relationship with your clients remains intact as you provide the same specialized service your clients have come to expect. You can rely on Comerica Professional Trustee Services to provide stewardship of your clients' assets while adhering to the terms of the trust agreement and statement of wishes. Comerica is proud to be both a pioneer and a leader in forming strategic alliances with great financial organizations to provide fiduciary services. ABOUT COMERICA: Professional trust administration services are provided by Comerica Bank & Trust, National Association, a subsidiary of Comerica Incorporated, a financial services company headquartered in Dallas, Texas. Comerica Bank locations can be found in Michigan, California, Texas, Florida and Arizona, with select business operations in several other states, as well as in Canada, Mexico and China. Comerica has Alliance trust administration officers located in Michigan, Florida, North Carolina, Texas, Tennessee, Delaware, Colorado, Arizona, New York, Minnesota and California. SERVICES AVAILABLE: Whether your clients' needs involve a trust or an estate, Comerica's Professional Trustee Services offer a wide range of personal trust services including estate settlement, trust administration, closely-held business management and real estate management. Comerica also offers extensive institutional trust services for corporate, nonprofit and municipal clients. As a leading provider of trust services, our team of professionals will work closely with you, the financial advisor, to address the needs of your clients. Our services include the following: safekeeping the assets and investment management oversight; maintaining records of all transactions and securities data relating to tax cost basis, acquisition dates and tax lots; periodic accountings of the assets; regular payment of bills and other administrative functions; securities transactions and collection of the income; interpretation of the trust documents; disbursement of trust funds in accordance with the trust agreement; preparation of annual trust tax returns and beneficiary tax filings notices; Internet access to trust accounts; and termination of the trust and distribution of trust assets as specified in the trust document.
Two Seaport Lane, Boston Massachusetts 02210
Congress Asset Management Company is an independent, management-owned, SEC registered investment management firm founded January 1, 1985 by Alfred A. Lagan in Boston, Massachusetts. We currently manage over $7 billion in total client assets. The firm was founded with the goal of providing superior investment management results to institutional clients. Firm-wide philosophy: we believe that investing in industry leading companies with exceptional management teams and top tier financial strength will deliver superior, consistent returns over full market cycles.
11 Madison Avenue, 6th Floor, New York, New York 10010
Credit Suisse AG is one of the world's leading financial services providers and is part of the Credit Suisse group of companies. As an integrated bank, Credit Suisse offers clients its expertise in the areas of private banking, investment banking and asset management from a single source. Credit Suisse provides specialist advisory services, comprehensive solutions and innovative products to companies, institutional clients and high-net-worth private clients worldwide, and also to retail clients in Switzerland. Further information about Credit Suisse can be found at www.credit-suisse.com.
8117 Preston Road, Suite 440, Dallas, Texas 75225
Cushing, a subsidiary of Swank Capital, LLC, is a leader in MLP asset management and offers one of the broadest suites of MLP investment solutions for advisers and their clients. With mutual funds, separate accounts, and private funds, Cushing has an investor-focused, research driven, actively managed approach that truly sets it apart from others.
P.O. Box 1067, Brookfield, Wisconsin 53008
Andre Kamber - Executive Vice President, 206-855-8781, email@example.com
Dana Investment Advisors was founded and began managing assets in 1980. Dana specializes in providing equity, and fixed income investment management services to institutional and high-net-worth investors seeking above market returns with lower than average risk. Also, in early 2010, Dana began offering its successful equity and fixed income investment management strategies to mutual fund investors. Our client base is very diverse and includes retirement funds, 401-k plans, hospitals, corporations, financial institutions, Taft-Hartley funds, municipalities, religious organizations, endowments and foundations, tribal nations and individuals. The firm has been independent and 100% employee owned since its founding. Our independence allows us to build our business prudently, with a proper focus on generating superior, consistent performance for our clients. Our investment strategies are designed with specific objectives and risk controls and are based on proven investment principals. We base our investment decisions on strong fundamental analysis that considers such factors as relative value, earnings growth and credit worthiness. We believe in the long-term attractiveness of our disciplined strategies and design our investment portfolios to avoid unnecessary risk by avoiding market timing, momentum plays and financial fads.
One Beacon Street, 11th Floor, Boston, Massachusetts 02108
Deutsche Asset & Wealth Management offers retail, institutional and wealth management clients a comprehensive set of strengths few competitors in the world can match. The division combines deep intellectual capital, broad asset management expertise, decades of experience and extensive product selection with strategies across all major asset classes. The product suite encompasses the active, passive and alternative asset management expertise of Deutsche Bank. With more than $1 trillion of invested assets, Deutsche Asset & Wealth Management is a leading global player.
325 John H. McConnell Boulevard, Suite 200, Columbus, Ohio 43215
Josh Alderman - Director, Business Development, 614-255-3335, firstname.lastname@example.org
Diamond Hill Capital Management, Inc. is a Columbus, Ohio-based registered investment adviser with $9.4 billion in assets under management (as of December 31, 2012). We provide investment management services to institutions and individuals through mutual funds, separate accounts and private investment funds. Our products include traditional long-only, long-short and fixed income strategies. Our entire investment team shares the same intrinsic value investment philosophy focused on absolute returns and our interests are firmly aligned with our clients through significant investment in our strategies. We believe that a company's intrinsic value is independent of its stock price. We also believe competitive long-term returns can be achieved by investing in companies when the current market price is at a discount (premium) to the estimate of intrinsic value, based upon a discounted cash flow methodology.
275 Washington Street, Ste 310, Newton Massachusetts 02458
Sarah McCready - Senior Vice President, Marketing, 614-255-3335, email@example.com
Direxion has offered alternatives for modern portfolios since 1997. We offer practical investment solutions to today's market challenges with a broad suite of highly liquid, institutional-style alternative investment strategies. From leveraged ETFs, to index-based alternative mutual funds, Direxion offers strategies that help investors manage risk-adjusted performance through evolving market conditions.
518 17th Street,Suite 1200, Denver Colorado 80202
Thomas Pellowe - Senior Vice President, Director of National Accounts, 303-226-4644, firstname.lastname@example.org
John Norris - Senior Vice President, Director of National Sales, 217-840-3900, email@example.com
Dividend Capital is an innovative real estate investment management firm focused on building value through the power of real estate. Our singular focus is to offer individual investors the opportunity to invest in institutional-quality real estate products. Serving as the foundation of our efforts is the breadth of our management team's experience. In both up and down markets, we have expertise across multiple real estate sectors as investors, operators and financiers. We also have a track record of executing full-cycle programs for our investors. Industrial Income Trust (IIT) is a non-traded real estate investment trust (REIT) that acquires and operates high-quality distribution warehouses that are leased to creditworthy corporate customers. These properties produce income for the REIT by means of the rents the corporate customers pay to use the properties for their businesses. To find out more about Dividend Capital and our current non-traded real estate investment trust (REIT) offerings, please contact us at (866) DCG.REIT (324.7348) or visit www.dividendcapital.com.
1301 2nd Avenue, Suite 2000, Seattle, Washington 98101
Ryan Francis - Field Marketing Manager, 415-498-1476, firstname.lastname@example.org
Accessible anytime, anywhere, on any device, the DocuSign Global Network connects companies to their customers, partners, suppliers and employees where they can transact business with confidence. Customers of all sizes solve their paper problems by easily replacing manual, paper-based methods to decrease contract cycle times, reduce costs, improve visibility and control, and enhance customer satisfaction. DocuSign helps your world work better with the easiest, fastest, most secure way to send, sign, track and store documents in the cloud. It's the global standard for electronic signature.
200 Park Avenue, 8th Floor, New York, New York 10166
Colleen Haddad - Senior Vice President, Marketing, 212-922-6320, email@example.com
Dreyfus, established in 1951 and headquartered in New York City, is one of the nation's leading managers of investment products and strategies, backed by the strength and resources of the global financial services powerhouse, BNY Mellon. Dreyfus offers a broad range of money market funds (both domestic and offshore), equity, fixed-income, hedge and liquidity management products through individual asset management companies and multiple distribution channels.
Envestnet, Inc. - Tabletop 210
35 East Wacker Drive, 24th Floor, Chicago, Illinois 60601
Abigail Vernon - Senior Vice President, Senior Enterprise Consultant, Manager, Institutional Services, 617-227-5337, firstname.lastname@example.org
Envestnet, Inc. (NYSE: ENV) is a leading provider of unified wealth management technology and services to investment advisors. Our open-architecture platforms unify and simplify the wealth management process, delivering unparalleled flexibility, accuracy, performance and value. Envestnet solutions enable the transformation of wealth management into a transparent, independent and objective, and fully-aligned standard of care, and empower advisors to deliver better results. Envestnet's Advisor Suite software empowers financial advisors to better manage client outcomes and strengthen their practice. Envestnet provides institutional-quality research and advanced portfolio solutions through our Portfolio Management Consultants group, Envestnet | PMC. Envestnet | Tamarac provides leading rebalancing, reporting and practice management software. For more information on Envestnet, please visit envestnet.com.
47 Hulfish Street, Princeton, New Jersey 08542
Since 2003, Equinox Fund Management (Equinox) has been a visionary in bringing alternative investment fund solutions to institutional, high-net-worth and individual investors. Equinox draws upon the talents of more than 50 individuals with decades of collective experience in the managed futures industry. The Portfolio Management team at Equinox is among the most experienced teams advising multi-CTA managed futures funds today, including members who have been involved in alternative investments and managed futures since 1979. Offering a suite of investment products through more than 50 broker-dealers, client service at Equinox is paramount. Our goal is to not only provide advisors with best-in-class alternative mutual fund products and services for their clients, but to also help train and educate advisors about managed futures investments and how they can benefit client portfolios. A dedicated team of professional wholesalers and customer service representatives works together to ensure that both financial advisors and their clients have the resources they need to make sound decisions about our funds. For more information, please call (877) 837-0600 or go to EquinoxFundManagement.com.
1001 Liberty Avenue, Pittsburgh, Pennsylvania 15222
Laura Deger - Senior Vice President, 412-288-1285, email@example.com
Federated is a global investment manager known for its stability. Our investment solutions span domestic and international equity, fixed-income, alternative, and money-market strategies, distributed through intermediaries worldwide, including European and Asian-Pacific markets. These include a wide selection of income-oriented products to help your clients pursue their investment goals.
499 Broad Street, Suite 120, Shrewsbury, New Jersey 07702
Diane Rogala - Financial Advisor Associate Publisher, 732-450-8866, firstname.lastname@example.org
Financial Advisor, a monthly magazine reaching 100,000 independent advisors, is rated the most widely read publication for independent reps and RIAs by Tiburon Advisors. FA features the most experienced editorial team with regular and contributing columnists such as Thomas Kostigen, Nick Murray, Richard B. Wagner, Mitch Anthony, Bill Bachrach, Marla Brill, Joel Bruckenstein, Roy Diliberto, Harold Evensky, David Lawrence, Alan Lavine, Eric Reiner and Mary Rowland. FA also publishes Private Wealth, Journal of Indexes and FA News. Private Wealth is the bi-monthly magazine serving 30,000 advisors, service providers and other centers of influence to ultra-high-net-worth clients, including private bankers, family office executives, RIAs, estate planners, trust officers, attorneys, accounts, insurance professionals and other members of the private wealth management community. FA and PW produce a number of conferences and workshops including the Innovative Alternative Investment Strategies Conference, Financial Advisor Retirement Symposium, Impact Investing Conference, Creating an Exceptional Family Office Experience Conference and the Fiduciary Research Management Summit.
7200 South Alton Way, STE C-200, Centennial, Colorado 80112
Rick Friedrichs - Director, Financial Intermediary Sales, 303-923-1319, email@example.com
Financial Media Group (FMG) is the premier provider of services for selling, marketing, recruiting and researching the firm and advisor marketplace. Using our suite of solutions, we help you connect with the advisors, RIAs and broker-dealers most important to your business. For the last decade we've helped many of the industry's most prominent firms reach their objectives and we can do the same for you. No other firm offers the expertise in compiling and updating financial information to create a true 360-degree view of the financial intermediary marketplace. From detailed insight into the industry's 600,000 advisors, to in-depth profiles on the 28,000 RIAs and 4,600 broker-dealers, no one can help you precisely target the financial industry like Financial Media Group. Visit us at Booth #812 to learn more about our marketing services including databases, call center solutions, e-mail marketing, data hygiene services, and direct mail fulfillment and design. Our expertise is helping firms like yours meet their business objectives and we do it at incredibly affordable rates.
120 East Liberty Drive, Wheaton, Illinois 60187
MJ Hansen - National Accounts, 630-517-7702, firstname.lastname@example.org
First Trust Portfolios L.P. is a privately-held investment services company which was established in 1991. First Trust's history can be traced back to 1974 when the first insured municipal bond unit investment trusts, called the First Trust of Insured Municipal Bonds, were introduced. First Trust invests across a range of asset classes, offering them through many investment vehicles, including unit investment trusts, closed-end funds, exchange-traded funds, mutual funds, variable annuities, and separate managed accounts. Many of these portfolios are selected using their proprietary fundamental and quantitative research as well as research from recognized leaders within the industry. Known for their heritage of product sponsorship and asset management expertise, First Trust is committed to helping financial professionals to better serve investors with superior products, services and results. As of March 31, 2013, First Trust had assets under management or supervision of over $72 billion.
50 South LaSalle Street, M-22, Chicago, Illinois 60603
Samir Charnalia - National Accounts Executive, 617-955-5106, email@example.com
FlexShares ETFs offer new, investor-centric solutions that build on the global investment experience of one of the world's leading asset managers, Northern Trust. Engineered to advance real-world goals that clients voice, FlexShares blend multiple disciplines into focused options that advisors can use to construct, allocate and manage client portfolios. An investment is subject to risk, including the loss of principal. Foreside Fund Services, LLC, distributor. Visit www.flexshares.com for a prospectus.
2600 Tower Oaks Boulevard, Suite #300, Rockville, Maryland 20852
Fortigent, LLC delivers a fully integrated and customizable business-to-business outsourced wealth management solution to banks, trust companies, MFOs and independent advisory firms. Services include a broad and open investment platform with particular expertise in alternative investments, a flexible unified managed account program, and consolidated wealth reporting. Fortigent's Web-based portal interface allows access to proposal and rebalancing tools, client portfolio reporting and accounting, as well as industry articles, research papers, and other practice management and business development resources. Fortigent was purchased in 2012 by LPL Financial Holdings Inc. (NASDAQ: LPLA), the ultimate parent company of LPL Financial LLC.
101 California Street, Floor 16, San Francisco, California 94111
Keith Brown - Vice President, Director of Internal Sales, 415-869-6300, firstname.lastname@example.org
The world has changed, leading investors to seek new strategies that better fit an evolving global climate. Forward's investment solutions are built around the outcomes we believe investors need to be pursuing: non-correlated returns, investment income, global exposure and diversification. With a propensity for unbounded thinking, we focus especially on developing innovative alternative strategies that may help investors build all-weather portfolios. An independent, privately held firm founded in 1998, Forward (Forward Management, LLC) is the advisor to the Forward Funds. As of March 31, 2013, we manage $6.1 billion in a diverse product set offered to individual investors, financial advisors and institutions.
One Franklin Parkway, San Mateo, California 94403
Tom Johnson - RIA Director, 727-299-7760, email@example.com
Franklin Templeton Investments is a premier global investment management organization. With an unwavering focus on investment excellence, we offer a unique combination of experience, global perspective and a consistent, disciplined approach to investing that has proven itself across market cycles. Since our founding in 1947, Franklin Templeton Investments has remained focused on one goal: delivering exceptional investment management for our shareholders. Our portfolio managers take a long-term view, leveraging disciplined, time-tested strategies and assessing risk as rigorously as they seek reward.
One Corporate Center, Rye, New York 10580
Gabelli Funds, LLC offers a diversified, equities-based family of 26 mutual funds using the Gabelli, GAMCO, and TETON Westwood brands to serve the financial objectives of investors. The firm was founded on the principle that intense, bottom-up research by experienced investment professionals could deliver superior and sustainable risk-adjusted returns. Our investment process centers on the application of principles first articulated in 1934 by the architects of modern security analysis: Benjamin Graham and David Dodd. Founded in 1977 by Mario J. Gabelli, the firm advanced the Graham and Dodd approach by introducing the Private Market Value with Catalyst methodology of stock selection. Today, we have more than 90 dedicated investment professionals managing a diverse menu of high quality equity investment choices including value, growth, international, sector and specialty equity. Gabelli Funds, LLC is a subsidiary of GAMCO Investors, Inc., a publicly traded company (NYSE: GBL) which, through its subsidiaries, manages more than $40 billion in assets of private advisory accounts, mutual funds, investment partnerships and offshore funds.
2300 Contra Costa Boulevard, Suite 600, Pleasant Hill, California 94523
Michael Kim - Senior Vice President, Business and Channel Development, 925-521-2703, firstname.lastname@example.org
Mark Pollock - Sales Manager, Strategic Accounts, 312-533-1370, email@example.com
Joel Marcus - Senior Sales Agent, 925-322-9647, firstname.lastname@example.org
Genworth Financial Wealth Management, Inc. (GFWM), a Genworth Financial Company, is an investment management and consulting firm that helps independent financial advisors build great businesses. We take a consultative approach to helping you establish and retain investor relationships, and we support this with a relentless service ethic of personalized attention. GFWM's platform gives you strategies and tools to help your investors navigate changing markets, and to help you manage client relationships and build your practice. Our goal is simple: to provide the support you need to become a more successful advisor. Like the thousands of advisors in our GFWM family, you will get what you need to work confidently, and to help you make your business efficient, profitable and satisfying.
90 Broad Street, 16 Floor, New York, New York 10004
Christian Graham - Vice President, 212-747-9100, email@example.com
Len Lipton - Managing Director , 212-747-9100, firstname.lastname@example.org
Brian Sapadin - Director, 212-747-9100, email@example.com
GlobeTax, founded in 1992, is the leading provider of withholding tax recovery services for institutional and high-net-worth investors receiving cross-border investment income. The firm files over two million reclaims a year and has clients in over 40 countries, including over 650 hedge funds. GlobeTax also provides a Securities Class Action Recovery Service which includes case data analysis, claim filing, and payment monitoring applicable to: securities class actions, government disgorgements and restitutions, SEC fines, and whistleblower cases. GlobeTax helps clients maximize investment returns by ensuring that investors receive all legal entitlements, whether excess cross border withholding tax or claim settlements. GlobeTax offers a risk-free service as fees are fully contingent upon successful recoveries. The service includes free recovery analysis and monitoring. GlobeTax is headquartered in New York City and maintains offices in London, Madrid, Milan, Hong Kong and Sydney. www.globetax.com
2455 Corporate West Drive , Lisle, Illinois 60532
Chris Taffe - Director, Strategic Partnerships Group, 240-778-3378, firstname.lastname@example.org
Guggenheim Investments represents the investment management division of Guggenheim Partners, which consists of investment managers with approximately $143 billion in combined total assets*. Collectively, Guggenheim Investments has a long, distinguished history of serving institutional investors, ultra-high-net-worth individuals, family offices and financial intermediaries. Guggenheim Investments offers clients a wide range of differentiated capabilities built on a proven commitment to investment excellence. Guggenheim Investments has offices in Chicago, New York City and Santa Monica, along with a global network of offices throughout the United States, Europe, and Asia.
220 South Sixth Street, Suite 1200, Minneapolis, Minnesota 55402
Matthew Paine - Director of National Sales, 240-778-3378, email@example.com
GWG Holdings, Inc. (GWG), through its subsidiaries, purchases life insurance policies sold in the secondary marketplace with the objective to own and hold the policies till maturity. GWG is a publicly reporting company currently issuing Renewable Secured Debentures, a publicly registered non-traded corporate debt offering of various interest rates and maturities.
2510 14th Street, 3rd Floor, Gulfport, Mississippi 39501
Ashley Cosgriff - Assistant Vice President, 228-822-4552, firstname.lastname@example.org
The Hancock Horizon Funds is a family of 10 mutual funds that are style specific and designed to complement other funds in the family. Our investment philosophy holds that active management adds value through a disciplined approach to identifying opportunities. While most firms employ one discipline in investment management, we use quantitative, technical and fundamental analysis in our investment process. Our quantitative model replaces emotion and subjective "hunches" with logic and investment discipline.
789 North Water Street, Milwaukee, Wisconsin 53202
For nearly 30 years, Heartland has used its time-tested 10 Principles of Value Investing® to identify companies believed to limit downside risk, yet offer upside opportunity. Through fundamental research, we seek stocks that meet the following criteria: priced at a fraction of intrinsic worth, low absolute and relative valuations, strong balance sheets and prudent leverage, and potential margin of safety. We believe contrarian value investing is the most intelligent way to achieve superior long-term investment results..
300 Crescent Court, Suite 700, Dallas, Texas 75201
Stephen Dedyo - Managing Director, Head of National Accounts, 212-792-6919, email@example.com
Highland Capital Management, headquartered in Dallas, TX, is an SEC-registered investment advisor which, together with its affiliates, has approximately $18 billion of assets under management. The Highland platform includes a diverse set of investment strategiesfrom broad-based equity and fixed income investments to alternative strategies including long/short and alternative credit strategies.
4301 Wilson Boulevard, Arlington, Virginia 22203
Brian Allen - Senior Client Relationship Advisor, 703-509-4109, brian.allen@NRECA.coop
Homestead Funds was created in 1990 to offer National Rural Electric Cooperative Association members professional, affordable money management. Homestead Funds was established for NRECA members, but the funds are open to the public.
452 5th Avenue, New York, New York 10018
John Gaines - Vice President, 617-240-5068, firstname.lastname@example.org
HSBC Global Asset Management is a leading global asset management firm. Through its network of offices in over 30 countries around the world, HSBC Global Asset Management offers clients a full range of investment products including equity, fixed income, liquidity and alternative strategies. The firm serves a diverse client base of both institutional and individual investors. Our objective is to manage focused investment strategies that are responsive to client needs while delivering long-term value. HSBC has been active in emerging markets for over 140 years and today is one of the world's largest managers of emerging markets assets with more than $147 billion of client assets invested in local, regional and global emerging markets funds. HSBC traces its roots back to its founding member, the Hong Kong and Shanghai Banking Corporation Limited, which was established in 1865 to finance the growing trade between China and Europe. In this respect, the bank has been actively involved in emerging markets since the late 19th century. As a result of our unique history, emerging markets are part of our corporate DNA and are strategically important to our success. Today, emerging markets debt is a core product offering for HSBC Global Asset Management and has been managed as a distinct asset class for over a decade. Our emerging markets debt platform is robust, diversified, and flexible. In managing emerging markets debt portfolios, we employ strategies and techniques that allow creative alpha creation and the potential for outperformance, all within the context of client specific goals, objectives and characteristics.
230 Park Avenue, New York, New York 10169
ING U.S. Investment Management (ING U.S. IM) is a leading active asset management firm. As of December 31, 2012, ING U.S. IM manages approximately $183 billion for both affiliated and external institutions as well as individual investors. Drawing on 40 years of history in investment management, ING U.S. IM has the experience and resources to invest responsibly across asset classes, geographies and investment styles. We provide clients with access to domestic, regional and global investment solutions.
3393 Bargaintown Road, Egg Harbor Township, New Jersey 08234
Kearstin Curcio - Internal Sales, 609-365-5619, email@example.com
Interactive Advisory Software offers a fully integrated, browser-based wealth management solution for independent financial advisors, RIAs and broker-dealers. The solution combines daily download and reconciliation of client account data from hundreds of custodians, portfolio accounting and management, portfolio rebalancing, financial planning, CRM and client portals all from a single application.
100 William Street, 17th Floor, New York, New York 10038
Chris Riggio - Vice President of Wealth Management, 212-771-6675, firstname.lastname@example.org
Interactive Data Corporation is a trusted leader in financial information. Thousands of financial institutions and active traders, as well as hundreds of software and service providers, subscribe to our fixed income evaluations, reference data, real-time market data, trading infrastructure services, fixed income analytics, desktop solutions and Web-based solutions. Interactive Data's offerings support clients around the world with mission-critical functions, including portfolio valuation, regulatory compliance, risk management, electronic trading and wealth management. Interactive Data has over 2,500 employees in offices worldwide. For more information, please visit www.interactivedata.com
11 Greenway Plaza, Suite 1000, Houston, Texas 77046
Jim Ryan - Managing Director of National Accounts, 630-684-6114, email@example.com
Will DelCotto - Associate National Account Manager, 630-684-6042, firstname.lastname@example.org
Invesco Sales Desk - 800-421-4023
Invesco and Invesco PowerShares are part of Invesco Ltd., one of the world's leading independent global investment management firms. Our philosophy is Intentional InvestingSM the science and art of investing with purpose, prudence and diligence. This guides the way we manage money, manage risk, develop products and connect with clients.
803 West Michigan Street, Milwaukee, Wisconsin 53233
Tony Fischer - Director of Business Development, 267-349-8065, email@example.com
Investment Managers Series Trust (IMST). The IMST offers a turnkey solution for advisors looking to start a mutual fundsimply and cost-efficiently. With 29 advisors, 48 funds and over $3.6 billion in assets through 12/31/12, it has grown substantially over the past 12 months.
666 5th Avenue, 15th Floor, New York, New York 10103
Michelle Boquiren - Sales Director, 917-206-5118, firstname.lastname@example.org
Joaquin Prandi - Sales Associate, 917-206-5156, email@example.com
Santiago Queirolo - Head of Sales, firstname.lastname@example.org
Investec Asset Management is a specialist provider of active investment products and services. Established in South Africa in 1991, the firm has been built from a small start-up into an international business managing approximately GBP 69 billion (as at 28 February 2013). Investec Asset Management has some of the world's largest asset owners as clients, including private and public sector pension funds, sovereign wealth funds, insurers, foundations and central banks. The firm is still managed by its founding members who have played an important role in the firm's growth. Today, Investec Asset Management is a core component of the Investec group business. The business has largely grown organically from domestic roots in South Africa to a position where it serves a growing international client base from the Americas, the U.K., Continental Europe, Asia, the Middle East, Australia and Africa. Investec Asset Management employs 147 investment professionals and a total of 779 employees in its core asset management business.
5619 DTC Parkway, Suite 500, Greenwood Village, Colorado 80111
Investment Management Consultants Association (IMCA) is the certifying body for the Certified Investment Management Analyst (CIMA) and Certified Private Wealth Advisor (CPWA) certifications. Through sophisticated educational offerings focused on investments and wealth management, IMCA members achieve greater competence, confidence and compensation.
711 3rd Avenue, New York, New York 10017
Mary Meagher - National Sales Manager, 516-984-3801, email@example.com
Kevin Reardon - Regional Sales Manager, 917-399-8581, firstname.lastname@example.org
Mark Bruno - Director of Digital and Data Strategy, 347-819-0815, email@example.com
At InvestmentNews, our mission is to provide the financial advisory community with the highest quality news, analysis and industry intelligence - whenever, however and wherever it needs it. InvestmentNews is committed to delivering timely and accurate content that informs and engages financial advisors. Our content is delivered through a number of different offerings that reflect the varying and evolving needs of our audience. Through our weekly newspaper, website, e-newsletters, webcasts, data products, research and events, InvestmentNews provides exclusive and up-to-the-minute industry news, as well as actionable intelligence that allows financial advisors to run their businesses more effectively. By creating content that establishes an industry standard of excellenceand distributing through a uniquely diverse platformInvestmentNews continues to be the most reliable and independent information source for financial advisors. The InvestmentNews main office is located in New York, with bureaus in Chicago, Detroit, San Francisco, Washington, D.C., and Fountain Valley, CA.
6300 Lamar Avenue, Overland Park, Kansas 66202
Ivy RIA Internal Sales Desk - Regional Sales Specialists, 800-472-6330, firstname.lastname@example.org
Why Ivy Funds? For nearly 75 years, our organization has offered investment strategies to help investors best meet their long-term goals, all designed with a disciplined approach and global perspective. While our approach seeks consistently to deliver highly competitive, long-term results, our motivation is the understanding that it's our clients' money we are managing. It's our clients' trust that drives us, and we work hard to earn it each and every day. We recognize that, as the global economy evolves, it creates new opportunities. Through our investment process and global, in-person, research, we seek to cover the plentiful investment opportunities created continuously around the world. Ivy Funds. The World Covered.
270 Park Avenue, 23rd Floor, New York, New York 10017
Karen Bleier - Relationship Manager, 212-648-0482, email@example.com
J.P. Morgan Asset Management is a leading investment management firm with over a century of experience. We offer a complete array of global investment opportunities to meet the needs of a diverse client base, Including institutional investors and advisors, RIAs, sovereigns and central banks and affluent individuals around the world. Far-reaching global capabilities enable us to leverage our experience and resources across many investment specialties. Our broad product array includes a wide range of mutual funds, managed accounts and institutional products with global, regional or single country exposure. J.P. Morgan's dedication to rigorous, fundamental research gives our investment professionals access to competitive information. Coupled with J.P. Morgan's time-tested investment processes, fundamental research strives to help clients achieve better results; a strong global organization with approximately $1.4 trillion in AUM1; investment management presence includes 746 investment professionals representing 23 different countries and nearly 300 career analysts globally, averaging 15 years of experience2; #1 in Institutional Investor's All-American Research Team rankings of the nation's best sell-side analysts, with 40 total team positions3; ranked #1 Fund Family for 5-Year Performance3; #3 in net long-term flows for the year to date among its industry peers4; only fund family in Barron's top five for one-, five- and 10-year returns3; fifth-largest mutual fund firm in the U.S.4; #1 private bank for the ultra-high-net-worth globally; #1 global institutional money market fund manager; top ranking in Fortune's list of Most Admired Companies; over a century serving institutional investors, financial advisors and affluent individuals around the world; a full range of investment strategies available as mutual funds or separate accounts; a pioneer in tax-aware investing; a recognized leader in international investing; proven, disciplined investment approaches, tested and refined over a century of market cycles. For more information, visit our web site: jpmorganfunds.com. J.P. Morgan Asset Management is the marketing name for the asset management businesses of JPMorgan Chase & Co. and its affiliates worldwide. J.P. Morgan Funds are distributed by JPMorgan Distribution Services, Inc., member FINRA/SIPC. JPMorgan Chase & Co., April 2013.
1 Based on AUM for the Asset Management (JPMAM, PB, PWM, Bear Stearns PCS) division of JPMorgan Chase & Co. as of December 31, 2012
2 J.P. Morgan Asset Management, December 31, 2012
3 Barron's, 2012
4 Strategic Insight (November 2012)
10350 Ormsby Park Place, Louisville, Kentucky 40223
Nicole Gross - Director, Marketing Programs, 502-515-7813, firstname.lastname@example.org
Jefferson National launched the next-generation tax-advantaged account for RIAs and fee-based advisors, the first no-load flat-fee variable annuity with the industry's largest selection of over 390 funds. Topping $1.4 billion in AUM by helping advisors manage ongoing volatility and rising taxes, while helping investors save over $44 million in insurance fees.
601 Congress Street, Boston, Massachusetts 2210
Jerry DuKatz - Managing Director, 617-663-2133, email@example.com
Established in 1862, John Hancock today is one of America's strongest and most recognized brands, providing asset management capabilities across equity, fixed income, and alternative asset classes. In addition to proprietary investment management services, the firm offers access to specialized institutional asset managers, who are recognized for their long-term performance, style consistency, and proven risk controls. John Hancock distributes over 50 single-manager and multi-manager strategies largely through intermediaries, and actively promotes the value of professional financial advice. The products are available to institutional and individual investors nationwide through some of the industry's largest distributor networks and platforms.
3651 Trust Drive, Raleigh, North Carolina 27616
Matt Dickerson - Senior Sales Representative, 919-845-0048 ext.2, firstname.lastname@example.org
Junxure is a CRM solutions provider and practice improvement firm that provides technology, consulting and training to help advisors build their dream firm. Junxure's industry-leading technology solution provides CRM and office management through powerful workflow automation tools, while ClientView Live provides a secure client portal, enabling firms to extend their services to the Web.
3190 Shelby Street D-100, Ontario, California 91764
Trinidad Menor - Senior Account Manager, 800-985-2174, email@example.com
Laser App provides forms filling solutions for broker-dealers. We provide the most current forms and prefill them for your advisors. You benefit by receiving forms that are legible, current, and In Good Order. Additionally, your reps become much more efficient because they are not spending hours filling out forms every day. We support independent, insurance, bank, institutional and captive broker dealers with our forms filling solutions. Laser App leads the financial industry in forms filling with over 100,000 users and over 340 broker-dealers.
1395 Brickell Ave #1550, Miami, Florida 33131
Lars Jensen - Regional Director of Business Development, 305-529-4415, firstname.lastname@example.org
Legg Mason Global Asset Management
150 North Radnor Chester Road, Radnor, Pennsylvania 19087
Headquartered in the Philadelphia region, Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas (life insurance, annuities, retirement plan services, and group protection), our business is built around supporting, preserving and enhancing our customer's lifestyles and providing better retirement outcomes. Led by over 8,000 employees, Lincoln Financial provides the tools and advice to help individuals take charge of their futures.
1741 Tiburon Drive, Wilmington, North Carolina 28403
Our lending product offerings address the key trends in the investment advisory industry where financing is in great demand. Those include: merger and acquisition, succession funding, partner buy-in/out, expansion, operating capital, refinance, loan payoff, start-up and real estate. The Live Oak team of Investment Advisory industry experts, coupled with our niche lending industry focus, enables us to structure loans designed to meet the unique opportunities facing the investment advisory industry. We work to provide guidance to ensure that our loan offering is a match to the business need.
90 Hudson Street, 5th Floor, Jersey City, New Jersey 07302
Mike Hines - Director, Strategic Relationship Group, 201-827-2963, email@example.com
Lord Abbett is an independent, privately held firm with a singular focus on the management of money. As one of the oldest money management firms in the United States, we consistently have provided generations of clients and their financial advisors with a quality investment experience since 1929. We approach our business as a craft, driven by core fundamentals: an unwavering discipline and commitment to a reproducible process integrity that is as much an asset as the portfolios we manage, accountability for every decision we make, dedication to the prudent stewardship of our clients' assets and intellectual rigor across all aspects of our business.
4600 Cox Road, Glen Allen, Virginia 23060
Greg Severinghaus - Marketing Manager/Underwriter, 757-620-1325, firstname.lastname@example.org
Markel Cambridge Alliance offers an Errors & Omissions Insurance program for registered investment advisors and investment advisory representatives. Markel Cambridge is a unit of Markel, a NYSE listed specialty insurance holding company, symbol MKL. The program is available in all 50 states and is endorsed or referred to by several financial associations and custodians. Their experienced staff specializes in individualized service. Additional information is available at markelcambridge.com.
5718 Central Avenue, Boulder, Colorado 80301
Markit On Demand is a design-driven technology company based in Boulder, Colorado. For over 20 years, we have designed, developed, and hosted custom, private labeled financial solutions for our clients, including Pershing, which consist of retail brokerages, financial media outlets, buy-side and sell-side institutions, and information providers. We help their customers to understand, interpret, and visualize financial information to make informed investment decisions.
4 Embarcadero Center, Suite 550, San Francisco, California 94111
Sang Yoo - Client Services Associate, 888-289-7988, email@example.com
Matthews International Capital Management, LLC, the advisor to Matthews Asia Funds, believes in the long-term growth of Asia, concentrating our efforts and expertise within the region. As an independent, privately owned firm, Matthews is the largest dedicated Asia investment specialist in the United States. We have focused on Asia since 1991, investing through a variety of market environments. Our investment offerings provide a broad range of strategies for building a global portfolio that includes exposure to one of the world's fastest-growing regions. For more information please visit matthewsasia.com.
111 Huntington Avenue, Boston, Massachusetts 02199
Diane Jones - Director, National Accounts, 617-954-5273, firstname.lastname@example.org
Bill Crouch - Director, National Accounts, 617-954-4145, email@example.com
Rob Hock - Business Development Associate, 617-954-4621, firstname.lastname@example.org
MFS Investment Management (MFS) is an active, global asset manager with a uniquely collaborative approach to build better insights for our clients. We offer a broad range of mutual funds, separate accounts, and retirement planning products. MFS portfolios are also available as investment options in defined contribution, pension, and variable annuity platforms, and in 529 plans. Our diverse lineup of products, services, and tools enable you to address clients' financial needs while also building your business and strengthening and deepening client relationships. For more details on how MFS can support your business, call us at (800) 343-2829 or visit mfs.com.
1588 Oakbridge Terrace, Powhatan, Virginia, 23139
Kevin Hughes - Account Executive, 804-744-5900, email@example.com
MoneyGuidePro Financial Planning Software has been selected four years in a row by the Financial Planning Magazine Technology Survey as the most used financial planning software by RIAs. Its popularity is driven by MGP's unique ability to make sophisticated, goal-based planning fast and easy. MoneyGuidePro believes that every investor needs and deserves a high quality financial plan and that every advisor should have the means to provide it. Because MGP is smart, easy-to-use and adaptable, each advisor can provide a personalized planning experience for each client. MGP includes retirement and college planning, asset allocation, insurance needs analysis and estate planning.
522 Fifth Avenue, 8th Floor, New York, New York 10036
Morgan Stanley Investment Management (MSIM) is a client-centric, investor-led organization dedicated to providing asset management solutions to investors worldwide. Our global presence, thought leadership, and breadth of products and services enable us to partner with clients to meet the evolving challenges of today's financial markets. With over three decades of asset management experience, our investment strategies span the risk/return spectrum across geographies, investment styles and asset classes, including equity, fixed income, liquidity, alternatives and private markets. Each of our investment teams has a unique talent pool of experienced professionals and share the same core values of fiduciary responsibility and commitment to investment excellence that have been the hallmarks of MSIM since its establishment.
355 NE 5th Avenue, Suite 4, Delray Beach, Florida 33483
Chad Jones - Sales, 561-330-7645, firstname.lastname@example.org
National Compliance Services, Inc., (NCS) is a leader in the compliance and regulatory services industry. With its hallmark focus on providing reliable, convenient and reasonably priced products and services that are geared to the investment adviser and broker dealer communities. For currently registered firms, some of the many products and services NCS offers include onsite mock audits, branch office audits, offsite compliance reviews, website reviews, customized compliance supervisory procedures manuals, WebCRD/IARD filing services, automated forms, e.g., Forms ADV, BD, U4, and customized assistance with on-going compliance needs. Customized services allow the firm to work closely with a compliance consultant in structuring a compliance system that is appropriate for its specific regulatory needs. Founded in 1994, NCS initially developed and offered various products specific to the securities industry. Today, NCS serves more than 6,000 clients providing software and compliance services as described above. NCS's staff of over 30 individuals consists of former FINRA/SEC examiners, accountants, attorneys and other individuals with extensive hands-on industry experience.
399 Boylston Street, Boston, Massachusetts 02116
Jeff Keselman - Senior Vice President, 617-449-2576, email@example.com
Natixis Global Asset Management ($779.3 billion AUM1) is a subsidiary of Natixis, the corporate, investment management and financial services arm of Groupe BPCE. The firm ranks as one of the largest asset management companies in the world2 with more than 20 investment managers in the U.S., Europe and Asia. NGAM's multi-affiliate structure provides a single point of access to specialized professionals with unique insights and diverse approaches to investing. The firm's hallmark is a consultative approach based on listening and understanding clients' needs. It goes beyond products to create comprehensive investment solutions for institutions, intermediaries and individuals. It's called "Better Thinking Together" and it helps clients around the globe make the most of complex markets.
1 As of December 31, 2012. Assets under management (AUM) may include assets for which non-regulatory AUM services are provided. Non-regulatory AUM includes assets which do not fall within the SEC's definition of "regulatory AUM" in Form ADV, Part 1.
2 Cerulli Quantitative Update: Global Markets 2012 ranked Natixis Global Asset Management, S.A. as the 13th largest asset manager in the world based on AUM as of December 31, 2011.
605 Third Ave, New York, New York 10158
Kristian Omicioli - Vice President, Intermediary Distribution, 212-476-9848, firstname.lastname@example.org
Neuberger Berman is a private, independent, employee-controlled investment manager. It partners with institutions, advisors and individuals throughout the world to customize solutions that address their needs for income, growth and capital preservation. With more than 1,700 professionals focused exclusively on asset management, it offers an investment culture of independent thinking. Founded in 1939, the company provides solutions across equities, fixed income, hedge funds and private equity, and had $205 billion in assets under management as of December 31, 2012.
51 Madison Avenue, New York, New York 10010
New York Life & MainStay Investments delivers the investment products and expertise you've come to expect from a premier provider of mutual funds and retirement income solutions through: Our parent company, New York life Insurance Company, has a long history of integrity and financial strength. Multi-boutique Investment Management: We offer access to highly specialized institutional asset managers that drive performance. Our multi-boutique approach simply focuses our investment talent on what we do best. As the leading provider of income annuities in the industry, we provide clients with a guaranteed income stream for a specified period of time or for the duration of their life. Thought leadership through investment insights, perspectives, wealth building and wealth preservation tools to help invest and plan for all life stages. A commitment to you: We proudly stand on a track record of accountability, integrity, and commitment a unique combination in today's marketplace.
6 East 43RD Street, New York, New York 10017
New York Private Trust Company is a Delaware state chartered trust company affiliated with Emigrant Bank. New York Private Trust Company operates as a boutique, providing high levels of personalized service, eschewing bureaucracy and priding itself on responsiveness. We specialize in delegating investment management to financial advisors. Our greatest advantage to working with advisors (unlike many banks) is that we do not manage investments.
225 Liberty Street 2 WFC, Building B, 18th Floor, New York, New York 10281
John Crocevera - Vice President, 212-298-4272, email@example.com
Nomura Partners Funds offers a unique selection of mutual funds investing in Asian and global markets. Managed by Nomura Asset Management, we provide a global perspective on today's global markets. Our flagship fund, The Japan Fund, has been investing in Japanese equities since 1962 and is one of the best-known funds of its type. Nomura Asset Management is one of Asia's leading investment managers.
17605 Wright Street, Omaha, Nebraska 68130
Jace Schuppan - Assistant Vice President Business Development, 617-954-5273, firstname.lastname@example.org
Mike Lambatsos - Sales and Distribution Manager, 617-954-4145, email@example.com
Kristin Klaus - Internal Wholesaler, 617-954-4621, firstname.lastname@example.org
Gemini Fund Services, LLC (Gemini) partners with investment companies to deliver comprehensive pooled investment solutions, including mutual funds, hedge funds, ETFs, mutual funds in variable insurance trusts, and alternative investments. With 30 years of experience behind us, we work with many established funds and specialize in partnering with investment advisers to start an investment product. The Northern Lights Fund Trust (NLFT) is a shared mutual fund trust composed of independent funds, all managed by separate investment advisors. Advisors join the trust, administered by Gemini, to counteract the increasing costs of doing business and increased level of regulatory compliance in the industry. Gemini has taken the shared trust environment to the next level by providing a network in which advisors interact, share marketing and distribution ideas, and gain additional fund exposure through our various marketing efforts. The NLFT also exhibits at conferences and generates advisor interest in as many of the funds in the NLFT as possible. Gemini brings products to market with a broad range of services. Our industry leading pooled investment solutions include comprehensive fund servicing, retail and variable trusts, and shared compliance services. Comprehensive fund servicing encompasses fund administration, fund accounting, and transfer agent and shareholder services. Gemini offers a broad range of services that we fully integrate to ensure the maximum efficiency for all products. Armed with the power of our industry knowledge, we partner with investment companies to achieve the vision of the product. Gemini's expert staff, coupled with our cutting-edge technology, provides guidance and meaningful information. A direct line of communication to our administrators ensures industry knowledge is readily accessible. Critical information regarding daily performance is presented through customized reports and data tailored to meet any needs. Gemini enables investment companies to focus on managing their portfolios and raising assets.
50 South LaSalle Street, Chicago, Illinois 60603
Eric Schweitzer - Senior Vice President and Managing Director, 312-557-3552, email@example.com
The Northern Funds family includes active and passively managed mutual funds comprising multi-manager, taxable and tax-exempt income as well as domestic and global equity funds. Northern Trust is a large and global asset management, asset servicing and wealth management firm that has served successful investors for over 120 years.
11 Victoria Street, Hamilton HM11
Tami Cain - Vice President, Marketing and Key Account Services, 441-296-1351, firstname.lastname@example.org
Northstar Financial Services (Bermuda) Ltd. (Northstar) is focused on "Navigating the Way" for international investors. Making sound choices while navigating through turbulent waters can be challenging. Northstar's team is made up of highly experienced, well-respected industry experts whose sole focus is to provide a variety of investment solutions designed to help your clients meet their financial goals. If you have international clients and feel you need more investment options to help them on their journey, please stop by our booth and let us help you see why partnering with Northstar can be a move in the right direction.
9 Elk Street, Albany, New York 12207
Anthony Costa - Relationship Management, 609-865-3795, email@example.com
Paradigm Capital Management is a $2.5 billion boutique small-cap manager. The firm has served institutional investors since 1994, and rolled out its first mutual fund in 2003. That fund, the Paradigm Value Fund (PVFAX), is a strong performer with significant capacity available to new investors. The same team also manages the Paradigm Select Fund (PFSLX), which applies the same model to the small- and mid-cap market. Paradigm Funds are available on Pershing’s FundVest® no-load platform.
3620 Fair Oaks Boulevard #300, Sacramento, California 95864
Daniel Levene - Vice President of Operations, 916-426-1515, firstname.lastname@example.org
Scott Hanson - Co-Founder, 916-426-1501, email@example.com
Pat McClain - Co-Founder, 916-426-1502, firstname.lastname@example.org
Pathway Strategic Advisors has developed an innovative way for advisors to capture a portion of the pre-retirement, 401(k) investor market, without having to sell, set up or manage 401(k)s. This innovation allows you to be compensated for helping people to manage the money in certain defined contribution plans without it ever leaving the existing 401(k), 403(b) or 457 plan. How many times have you been through this drill? You meet with prospective clients. They've got a substantial amount of money set aside. They're sophisticated. They're eager to work with you. It'd be perfect. But they're still 10 years from retirement and all of their money is tied up in the company-sponsored 401k plan. Sure, you can offer free advice, or try to propose some way of billing them outside the plan, but you know the realities of the situation are that you'll likely need to spend time with others who are closer to retirement or have their investments in another type of account. But now, an advisor can offer these clients the option of working with Pathway Strategic Advisors, who can manage the assets in their retirement plan. Pathway will share a portion of the annual management fee with the referring advisor, which can open the door for the advisor to spend the focused time and effort necessary to help the client with other financial planning needs and develop a relationship of trust. In this way, Pathway can provide a new way for advisors to earn more money and a new way to build a financial advisory practice. Instead of waiting until prospective clients retire and roll their money into an IRA, an advisor can receive compensation today, without moving the money out of existing retirement plans. By building these beneficial relationships with pre-retirement clients, an advisor can maintain relationships with people as they reach retirement and beyond. In short, Pathway could help advisors to earn money while building their client lists and lining up clients and assets for retirement rollover accounts in the future. We believe that Pathway is a vehicle through which everyone can win! The client can receive much needed retirement and financial advice. Advisors can benefit by being able to build accounts and develop trust with clients, without having to sacrifice time and money for the first few years. Firms may now have a new source of revenue, which could help with recruiting and retention, as advisors have a way to help build some income in their early years. We invite you to learn more by stopping by our booth, by visiting pathwaysa.com, or by calling (877) 697-2849.
600 Montgomery Street, San Francisco, California 94111
Jan Moeller - Director of Shareholder Services, 800-531-5142, Info@permportfunds.com
Permanent Portfolio Family of Funds Inc., is a no-load mutual fund family that’s investment philosophy is founded on protecting what you have and producing consistent, above-average, after-tax returns. Its family of funds consists of four separate “portfolios,” each with its own investment objective and strategies. The Permanent Portfolio is a unique balanced fund that invests in a diversified mix of asset classes and is designed to preserve and increase the purchasing power value of its shares over the long-term.
1633 Broadway, New York, New York 10019
Steve Plump - Execitive Vice President, Head of Key National Accounts, 212-739-3592, email@example.com
Ben Stairs - Executive Vice President, Divisional Sales Manager, 817-889-1880, firstname.lastname@example.org
John Moxon - Vice President, External Advisor Consultant, 954-809-1498, email@example.com
PIMCO offers a wide range of innovative investment strategies to help millions of investors worldwide meet their needs. Our goal is to provide attractive returns while maintaining a culture of risk management and long-term discipline.
60 State Street, Boston, Massachusetts 02109
Marty Griffin - Vice President Business Development, 617-422-4788, firstname.lastname@example.org
Christine Seaver - Meetings and Events Coordinator, 617-422-4533, email@example.com
Pioneer Investments is a global investment leader with over $204 billion in assets and offices in 26 countries worldwide. Founded in Boston over 85 years ago, our investment approach is based on the same principles of investing we've used successfully since 1928 fundamental research, quantitative research and active portfolio management.
2 Liberty Square, Tenth Floor, Boston Massachusetts 02109
Plymouth REIT is an opportunistic real estate investment trust formed specifically for investment advisors and related fiduciaries.
1100 Investment Boulevard, Suite 200, El Dorado Hills California 95762
Marcel Dawson - Regional Director, Investment Only, 704-526-7086, firstname.lastname@example.org
Pamela Suing - Regional Director, Investment Only, 312-371-6110, email@example.com
Gary Nakamura - Regional Director, Investment Only, 562-552-1579, firstname.lastname@example.org
Principal Funds* is a leading provider of mutual fund solutions with more than $87.9 billion in assets under management. 1Principal Funds brings special expertise in global investment management, asset allocation, and retirement leadership to financial professionals and investors. Principal Funds are managed by many leading sub-advisors, including the extensive asset management capabilities of Principal Global Investors. Including its target-risk and target-date offerings Principal Funds, distributed by Principal Funds Distributor, is the fifth-largest manager of lifecycle funds in the industry. 2Retirement tools and resources available through Principal Funds help investors prepare for and enjoy retirement while also helping financial professionals expand their opportunities. The companies that make up Principal Funds and Principal Global Investors are members of the Principal Financial Group.
1As of December 31, 2012. Includes all share classes of Principal Funds, Inc. and Principal Variable Contracts Fund, Inc.
2FRC Quarterly Lifecycle Report Q4:12.
*There is no affiliation between Principal Funds and Pershing LLC. Principal Funds does not endorse or guarantee the accuracy of the claims of the content of this publication.
225 Liberty Street, New York, New York 10281
Owned and operated by a national consortium of more than 270 leading private colleges and universities, Private College 529 Plan was created by authorization of the U.S. Congress for colleges and their consortia to help families save for college and increase the affordability and accessibility of higher education. Private College 529 Plan enables families to invest in their children's future by prepaying tuition at member institutions, protecting their savings from annual tuition inflation.
One Corporate Drive, Shelton, Connecticut 06484
A Proven Partner to Help You Meet Your Business Challenges. For over 135 years, Prudential Financial, Inc. has been helping millions of people and thousands of institutions address the financial challenges they face. We offer a wide range of products across a diverse mix of businesses including life insurance, annuities, retirement-related services, mutual funds and investment management. Our relevance, expertise and strength in these areas have helped distinguish us as an admired leader, trusted partner and innovative provider of financial strategies. Prudential Annuities is a core business of Prudential Financial, Inc., and a respected leader in the guaranteed retirement income industry with over $135 billion in variable annuity client assets*. We bring a long-standing commitment to conducting in-depth research, developing innovative guaranteed income solutions and providing comprehensive educational programs. Our ongoing mission is to help you grow your business and provide income certainty to more Americans. * Source: Prudential Financial, Inc., 12/31/2012
One Post Office Square, Boston, Massachusetts 02109
Jeff Aaron - Senior Relationship Manager, 617-760-8259, email@example.com
Founded in 1937, Putnam Investments is a leading global money management firm. Putnam offers investors a world of equity, fixed-income, multi-asset, and absolute-return portfolios to suit a range of financial goals. Our portfolio managers seek superior results over time, backed by original, fundamental research on a global scale. We believe in the value of experienced financial advice, in providing exemplary service, and in putting clients first in all we do.
601 Union St., Suite 2801, Seattle, Washington 98101
Mark Wolff - Director, National Accounts, 800-280-6111, firstname.lastname@example.org
Ron Alvares - Director, National Accounts, 800-280-6111, email@example.com
Adam Ostermiller - Advisor Sales and Client Service Representative, 800-280-6111, firstname.lastname@example.org
Serving clients since 1987, Rainier Investment Management, Inc. is an employee-owned investment firm led by a team of portfolio managers with a combined average of over 20 years of experience. We employ one investment philosophy invest in quality growth companies at prices that make sense. Rainier Funds are available through the Pershing FundVest program.
1411 Broadway, 28th Floor, New York, New York 10018
Walter Cotumaccio - Vice President, National Sales and Relationship Management, 212-830-5361, email@example.com
Sheri Graciolett - Vice President, Relationship Management, 212-830-5362, firstname.lastname@example.org
Frank Bonanno - Vice President, Director of Marketing, 212-830-5318, email@example.com
Reich & Tang is one of the largest firms in the nation dedicated solely to liquidity and cash management solutions. With a diverse family of money market mutual funds and expanded FDIC insured sweep programs for both domestic and offshore investors, our specialty is educating broker-dealers and investment advisors in developing effective cash management strategies to grow their businesses and protect their clients' cash. Reich & Tang is an affiliate of Natixis Global Asset Management, which manages approximately $779 billion in assets as of December 31, 2012.
1100 Abernathy Road, Suite 400, Atlanta, Georgia 30328
Reliance Trust is committed to helping advisors build a strong business and achieve success. We work with advisors to offer trust services that preserve the advisor/client relationship. Our advisor-friendly business model allows us to handle the trust administration for your clients' trusts, while you continue to manage the client relationship and provide investment advice to the trust. With Reliance Trust serving as trust administrator, you keep the client relationship intact while drawing on the resources of a large, national trust company. We understand your business and partner with advisors providingCustodial Services: We can work with your custodial platform. You retain the ability to manage the relationship, while keeping assets at your firm. With a daily data feed direct to Reliance Trust, you and your clients have access to timely information about the assets in their trusts. Investment Management: Using the open architecture of your firm's platform, you retain access to the same institutional-quality investment management firms and flexible investment solutions you are accustomed to. We work closely with you to develop an investment policy statement and strategy consistent with the terms of the trust. Reliance Trust exercises discretion in the selection of investment products available on your platform with your assistance. As the financial advisor, you are compensated for your role as an investment professional when you provide advice to that trust. Fiduciary Services: Reliance Trust carries the fiduciary burden by providing investment oversight while you continue to provide investment advice. We provide back-office support structured to fit your needs, allowing you to focus on creating a consistent, comprehensive client experience. We make trust accounting simple. Client Relationship Management: We respect your client relationships. Within the bounds of our fiduciary duties of loyalty, impartiality and disclosure to all beneficiaries, our trust officers will include you at the level of communication you require subject to the trust beneficiaries' approval. Reliance Financial Corporation is a privately held, Atlanta-based, diversified financial services and wealth management company with more than $113 billion in assets under management and administration. Reliance conducts business throughout the United States through its trust companies, Reliance Trust Company based in Georgia (one of the largest independent trust companies in the country) and Reliance Trust Company of Delaware, and its other subsidiaries and affiliated offices. Reliance Trust Company of Delaware was established to provide clients and their financial advisors access to the numerous benefits of Delaware trust law. Delaware is arguably one of the most trust-friendly states in the country, offering advantages that include generous trust durations, attractive tax laws, control and flexibility, asset protection and confidentiality. As one of the nation's largest independent trust companies, Reliance Trust has succeeded by cultivating strong, lasting partnerships with our clients. We are committed to providing best-in-class personal trust and estate-planning services. Now we bring that same expertise and commitment to helping clients establish and benefit from a Delaware trust. Working with our team of seasoned Delaware trust financial experts, Reliance Trust clients can expect the same personal service, customized investment options and expert administration they have enjoyed for more than 30 years.
325 N. LaSalle Street, Suite 645, Chicago, Illinois 60654
Allen Webb - Portfolio Specialist, 312-445-2266, firstname.lastname@example.org
RiverNorth Capital Management, LLC is a Chicago-based investment management firm founded in 2000. RiverNorth specializes in opportunistic investment strategies including the trading of closed-end funds and volatility. RiverNorth is the investment adviser to RiverNorth Funds and the General Partner of multiple private investment partnerships.
745 Fifth Avenue, New York, New York 10151
For more than 40 years, Royce & Associates has used a disciplined value approach to manage small-company portfolios. Our investment approach emphasizes paying close attention to risk and maintaining the same discipline, regardless of market movements and trends.
55 Water Street, New York, New York 10041
Enza Messina - Marketing Manager, 212-438-4036, email@example.com
Created in 2010 in response to the rapidly changing and challenging needs of our global financial clients, S&P Capital IQ delivers in-depth intelligence across asset classes and capital structures to institutions, wealth managers and investment advisors around the world. Built on the 150-year heritage of Standard & Poor's, S&P Capital IQ brings together key capabilities in research, strategy, evaluation, analysis, data solutions and risk mitigation under one roof. A client-centric firm, S&P Capital IQ has the institutional fortitude of over $1 billion in annual revenue, yet is nimble enough to respond to any client request with a customized, real-world solution.
4265 San Felipe, Houston, Texas 77027
Derryk Madsen - Director-Head of Strategic Relationships, 713-993-4055, firstname.lastname@example.org
Salient Partners L.P. is a $17 billion investment management firm based in Houston, Texas. The firm is a recognized innovator in the development, management and delivery of sophisticated, non-traditional investment solutions for both institutional and retail investors. Through its comprehensive investment approach, Salient identifies and develops strategies that seek to eliminate unrewarded risk, reduce investing costs and focus on the fundamental drivers of returns to deliver the full potential of all markets to investors.
1300 North State Street, Bellingham, Washington 98225
Craig Churman - Vice President, Product Development, 360-255-1302, email@example.com
Brett Bonner - Investment Sales Group Regional Manager, 360-201-7706, firstname.lastname@example.org
Terry Brems - Investment Sales Group Regional Manager, 617-869-9459, email@example.com
Saturna Capital Corporation, manager of the Amana, Sextant and Idaho funds, uses years of investment experience to aid investors in navigating today's volatile markets. Founded in 1989 by professionals with extensive experience, Saturna helps individuals and institutions build wealth, earn income, and preserve capital. Saturna's deep-rooted belief in value investing shines through in the quality of our investments. We don't follow trends, we analyze opportunities. Years of experience have given Saturna financial strength and stability. We believe that our clients' interest always come first.
875 Third Avenue, New York, New York 10022
Schroders is a global asset management firm with over 200 years of experience and $344.5 billion in AUM as of December 31, 2012. As an active, research-driven manager with a singular focus on investment excellence, Schroders provides a full range of domestic, international and global investment management strategies. Our investment capabilities span global, developed and emerging markets, and are supported by extensive in-house resources that include research teams, analysts, economists and portfolio managersa network of more than 360 professionals throughout 27 countriesone of the largest office networks of any dedicated asset management company.
928 Grand Boulevard, Kansas City, Missouri 64106
Dana Cunningham - VP, National Accounts, 816-391-4109, firstname.lastname@example.org
For more than 30 years, Scout Investments has provided equity and fixed income strategies through separate accounts and the Scout Funds to meet the needs of institutions, financial advisors and individual investors. We manage more than $25 billion through our Scout and Reams Asset Management divisions. With an investment approach built on common sense, diligence, and unwavering conviction, we focus on delivering relative outperformance over full market cycles while managing risk. Our investors benefit from a team of experienced investment professionals and our commitment to leveraging the unique strengths of our equity and fixed income divisions. Scout is a wholly owned subsidiary of UMB Financial Corporation. For more information, visit scoutinv.com. UMB Distribution Services, LLC, Distributor.
120 Broadway, 35th Floor, New York, New York 10271
The Securities Industry and Financial Markets Association (SIFMA) brings together the shared interests of hundreds of securities firms, banks and asset managers. SIFMA's mission is to support a strong financial industry, investor opportunity, capital formation, job creation and economic growth, while building trust and confidence in the financial markets. SIFMA, with offices in New York and Washington, D.C., is the U.S. regional member of the Global Financial Markets Association (GFMA).
1203 Carter Street, Chattanooga, Tennessee 37402
John Harris - Director of Product Management, 423-305-7052, email@example.com
Jay Jumper - Chief Executive Officer, 423-298-8483, firstname.lastname@example.org
Pem Guerry - Executive Vice President, 423-298-4438, email@example.com
SIGNiX enables people to digitally sign documents online, eliminating the cost and waste of paper processes while providing better assurance and evidence than was ever possible on paper.
One State Street Plaza, New York, New York 10004
Michael Schott - Publisher, Financial Planning, 212-803-8567, firstname.lastname@example.org
SourceMedia is the leading business to business publisher serving the needs of financial professionals. Our Investment Advisory Group publishes multiple titles for financial advisors. Financial Planning is the leading publication serving independent financial advisors. On Wall Street is the leading publication serving wirehouse advisors and wealth managers. Bank Investment Consultant is the leading publication serving retail bank brokerage advisors. Our brands include a wide range of print, online and interactive resources for all of your communication needs. Visit us at Financial-Planning.com, OnWallStreet.com and BankInvestmentConsultant.com
1 Lincoln Street, Boston, Massachusetts 02111
Lauren Auger - National Accounts Manager, 617-664-8032, email@example.com
State Street Global Advisors is an acknowledged leader in the arena of institutional investing with $2.1 trillion in assets under management.(1) An innovator in the exchange-traded fund market and creator of the first ETF in 1993, we currently manage 116 domestic and 62 international exchange-traded funds with approximately $340 billion worldwide in our SPDR ETF family.(2)Products offered through State Street Global Markets, LLC, member FINRA, SIPC. For further information, including prospectuses, visit spdrs.com or spdrgoldshares.com.(1)As of December 31, 2012 (2)As of December 31, 2012. This AUM includes the assets of the SPDR Gold Trust (approx. $72 billion as of December 31, 2012), for which State Street Global Markets, LLC, an affiliate of State Street Global Advisors serves as the marketing agent.
2099 Gaither Rd,. Suite 120, Rockville, Maryland 20850
Stephanie DiFrisco - National Account Manager, 800-726-3400, firstname.lastname@example.org
Since 1989, Steben & Company has specialized in bringing managed futures funds to sophisticated investors. An industry pioneer and leader, Steben & Company uses this experience to help investors and their financial advisors understand managed futures and the potential benefits gained by adding them to an investment plan.
475 Park Avenue South, 6th Floor, New York, New York 10016
Adam Dunn - National Advertising Director, 646-746-8871, email@example.com
AdvisorOne.com is the ultimate online destination, featuring all the news, in-depth analysis, market data, tools and networking opportunities advisors need to transform their businessand their bottom line. Responding to the needs of advisors for a single site source of information, the website delivers content and data assets from Summit Business Media's Investment Advisory Group, combined with contributions from industry experts and relevant content aggregated from across the Web. AdvisorOne is powered by industry-leading brands Investment Advisor and Research magazines.
277 East Third Ave Unit A Durango Colorado 81301
Sean McCaffrey - Institutional Director, 512-809-5334, firstname.lastname@example.org
Randy Swan - President, 970-903-0444, email@example.com
Sean Waddell - Director of Operations, 970-759-5514, firstname.lastname@example.org
Swan is a registered investment advisor that specializes in the Defined Risk Strategy (DRS) which is a hedged equity and option income strategy that allows investors to participate in the upward price movement of the S&P 500 index while reducing most of the downside risk. The DRS is a market neutral/absolute return strategy designed to offer superior absolute and risk adjusted returns over a full investment cycle. Swan uses the following SPY and Select Sector SPDRS ETF securities and options on the following securities: SPY, SPX, RUT, and IWM. Swan is also able to offer the hedge and option income portions of the DRS as an overlay to existing portfolios or concentrated position portfolios allowing the similar upside capture along with reduction in downside risk.
100 East Pratt Street, Baltimore, Maryland 21202
Advisor Services - T. Rowe Price Advisory Services Team, 888-756-3784, email@example.com
T. Rowe Price Group, Inc., has been managing money since 1937 and, today, stands as a leading provider of investment management services. We offer providers a broad array of active U.S. and non-U.S. equity and fixed-income strategies, through both retail and institutional mutual funds. We emphasize proprietary, fundamental research, close attention to risk management and consistency of style. We believe that by doing so, we can continue to provide the solid, long-term risk-adjusted performance investors have the right to expect. A financially sound, independent organization with strong employee ownership, T. Rowe Price Group, Inc., has $576.8 billion in assets under management as of December 31, 2012.
730 Third Avenue, New York, New York 07746
For nearly a century, TIAA-CREF has been committed to delivering solid financial results to help investors achieve their financial goals. Through our experience over many market cycles and economic environments, we've taken a disciplined, long-term approach to managing investments. With $502 billion in combined assets under management (as of 12/31/2012), our diverse strategies draw on the expertise and forward-thinking perspectives of over 300 investment professionals. TIAA-CREF Individual & Institutional Services, LLC, and Teachers Personal Investors Services, Inc., members FINRA distribute securities products.
1205 Westlakes Drive, Suite 100, Berwyn, Pennsylvania 19082
Amber Kerstetter - Director of Strategic Relationships, 484-329-2442, firstname.lastname@example.org
Rebecca Gray - Director of Strategic Relationships, 610-299-2989, email@example.com
Gary Ross - Senior Managing Director, firstname.lastname@example.org
Turner Investments is a privately held institutional equity manager that manages growth, global/international and alternative separately managed accounts and mutual funds.
7900 Callaghan Rd, San Antonio, Texas 78229
Susan McGee - President and General Counsel, 210-308-1234, email@example.com
U.S. Global Investors is an investment management firm specializing in gold, natural resources, and emerging markets opportunities around the world. The company, headquartered in San Antonio, Texas, manages U.S. based mutual funds and offshore hedge funds.
335 Madison Avenue, 19th Floor, New York, New York 10017
May Poon - National Accounts Manager, 732-668-8760, firstname.lastname@example.org
Kathy Lang - Marketing Director, 212-293-2054, email@example.com
Amy Ashkenas - Marketing Manager, 212-293-2055, firstname.lastname@example.org
Founded in 1955, Van Eck Global was among the first U.S. money managers helping investors achieve greater diversification through global investing. Today, the firm is still family owned and operated and specializes in commodities, emerging markets and alternative investments. As of December 31, 2012, the firm had $36.6 billion in assets under management ($9 billion active and $27.6 billion passive), and is one of the largest and most experienced managers of hard assets globally. The firm is currently the fifth largest provider of ETFs in the U.S., offering equity and income ETFs under the Market Vectors brand. The Market Vectors lineup now includes 56 ETFs.
900 Vanguard Boulevard, Malvern, Pennsylvania 19355
David Varrelman - Sales Executive, 610-306-3622, email@example.com
James O'Brien - Sales Manager, 610-669-4839, james_l_o" reddotinternalurl=">james_l_o">
Mirza Cavalic - Channel Manager, 610-503-5815, firstname.lastname@example.org
Since its beginning in 1975, Vanguard has grown to become one of the world's largest investment management companies, with almost $1.99 trillion in U.S. fund assets as of December 31, 2012. Vanguard provides an extensive array of investment products, including a full range of low-cost ETFs and mutual funds designed to help financial advisors grow and preserve the wealth of their clients. Most investment firms are either publicly traded or privately owned. Vanguard is different: We are owned by the Vanguard funds, which are owned by our clients. We make every decision with only our clients' needs in mind. Our unique structure, along with our commitment to provide outstanding performance and service at the lowest possible cost, provides financial advisors with many opportunities for building their businesses and enhancing their client relationships. We believe low costs are crucial to generate consistently strong investment performance. Our cost structure allows fee-based advisors to set attractive fees for their clients. Advisors can also take advantage of the latest information on current trends, as well as astute investment analysis, from our highly respected research teams. Our research-based, client-approved education materials are designed to help advisors' clients become better-informed investors. In addition, our innovative practice management solutions can help advisors attract and retain clients, build their practices, and enhance their professional development. Perhaps the most powerful reason for partnering with Vanguard is the confidence that comes from choosing an experienced, trusted investment management company. Connect with Vanguard® at advisors.vanguard.com or call (800) 997-2798.
45 Fremont Street, San Francisco, California 94105
Jonathan Burley - Structured Products Sales, 415-644-9331, Jonathan.J.Burley@wellsfargo.com
Wells Fargo Securities consists of over 3,300 team members in 40+ offices across the U.S., Europe and Asia focused on U.S. middle market and large corporations, and global institutional investors. Wells Fargo Securities brings together the company's market-leading businesses in debt and equity underwriting, mergers and acquisitions, loan syndications, debt and equity sales and trading, tax-exempt products, research and economics, and hedging products relating to equity, commodities and interest rate risks. Our customer-driven model is focused on delivering capital markets solutions to long-standing customer relationships in middle market, large corporate, institutional, commercial real estate, municipal and internal Wells Fargo client segments.
222 West Adams Street, 13th Floor, Chicago, Illinois 60606
Jason Lloyd - National Accounts Manager, 312-364-8526, email@example.com
Carl Gargula - Senior Regional Director, 312-364-8894, firstname.lastname@example.org
Jennifer Alberding - Senior Regional Director, 713-806-1708, email@example.com
William Blair & Company is a global investment banking and asset management firm. We are committed to building enduring relationships with our clients and providing expertise and solutions to meet their evolving needs. An independent and employee-owned firm, William Blair is based in Chicago, with office locations in 12 cities including London, New York, Shanghai, and Zurich. For more information, please visit williamblairfunds.com.
111 South Calvert Street, 26th Floor, Baltimore, Maryland 21202
For more than 100 years, Wilmington Trust has been advising and investing money for high-net-worth investors, public institutions, and private foundations. For many wealthy families and institutions, we seek to provide Complete Asset Management, comprehensive portfolio management that incorporates strategic and tactical asset allocation as well as the selection of complementary investments. The same forward-looking investment approach that has benefited our private and institutional clients is available to individual investors through the Wilmington Funds.
380 Madison Avenue, 21st Floor, New York, New York 10017
WisdomTree launched its first ETFs in June of 2006, and is currently the industry's sixth largest ETF provider. WisdomTree sponsors 47 distinct ETFs that span asset classes and countries around the world. Categories include: U.S. and International Equity, Currency, Fixed Income and Alternatives. WisdomTree pioneered the concept of fundamentally weighted ETFs and active ETFs and is currently an industry leader in both categories (as measured by assets under management.) WisdomTree is the only publicly traded asset manager exclusively focused on the ETF industry. The WisdomTree common stock is listed on the NASDAQ Global Market under the ticker: WETF.
Below are details regarding exhibitor participation at INSITE 2013:
Exhibit Hall Schedule
|Wednesday, June 5||Exhibitor Setup
Exhibit Hall Open
Exhibit Hall Open
|8:30 a.m. - 10:30 a.m.
Noon - 1:30 p.m. (lunch)
5:00 p.m. - 7:00 p.m. (reception)
|Thursday, June 6||Exhibit Hall Open
Exhibit Hall Open
Exhibit Hall Open
|8:00 a.m. - 9:00 a.m. (breakfast)
Noon - 1:30 p.m. (lunch)
5:30 p.m. - 7:30 p.m. (reception)
7:30 p.m. - 8:30 p.m.
|Friday, June 7||Exhibitor Teardown||7:00 a.m. - 8:00 a.m.|
|Exhibitor Setup||Wednesday, June 6||11:00 a.m. - 2:00 p.m.|
|Exhibit Hall Hours||Wednesday, June 6||5:15 p.m. - 7:15 p.m. (evening reception)|
|Thursday, June 7||8:00 a.m. - 8:45 a.m. (breakfast)|
|12:00 p.m. - 1:30 p.m. (lunch)|
|5:15 p.m. - 7:15 p.m. (evening reception)|
|Exhibitor Teardown*||Thursday, June 7||7:15 p.m. - 8:15 p.m.|
Exhibit Space Amenities
Tabletop exhibitors will receive:
- One 6-ft. draped table
- One wastebasket
- Carpeted area
- 8-ft. back wall drapery
- Exhibitor I.D. sign
- EXPO exhibitor services manual and exhibit hall locations to be distributed to all confirmed exhibitors in early April
- Two complimentary exhibit passes, with the option to purchase additional passes
Conference sponsors will receive:
- One 8 x 10 booth area
- One 8-ft. draped table
- Two chairs
- One wastebasket
- Carpeted area
- 8-ft. back wall drapery
- Sponsor I.D. sign
- EXPO exhibitor services manual and exhibit hall locations to be distributed to all confirmed exhibitors in early April
- Three complimentary exhibit passes, with the option to purchase additional passes
Please send all inquiries to INSITE@pershing.com.