Agenda

Please note: Early registration is open June 6 between 4:00 p.m – 7:00 p.m.

For your continuing education (CE) requirements, Pershing has applied for CFA CFP CWS and IMCA credits. Eligible sessions are noted on the agenda.

Day One Tuesday, June 7

6:00 AM | 1 Hour

Sunrise Fitness Activities

Yoga Class
Spin Class


7:30 AM

Registration Opens


7:45 AM | 1 Hour 30 Minutes

Breakfast in the Exhibit Hall


7:45 AM | 5 Hours 45 Minutes

Pershing Pavilion Open


9:15 AM | 1 Hour 15 Minutes

Discover Pershing – Session I

Digitize Your Practice with Technology CWS

Find out the latest on Pershing's technology solutions. Learn how to leverage NetX360®, NetXInvestor, NetX360 Mobile along with our managed investments and wealth reporting solutions to help digitize your practice, improve ways to collaborate with clients and enhance efficiency.

Moderator: Sonjii Ivey, Vice President, Pershing
Joe Baricevac, Vice President, Pershing
Paul Camuto, Vice President, Albridge
Tom Valente, Vice President, Pershing

Theme: Boosting Your Efficiency

Freeze Frame: Delivering the Full Pershing Picture CWS IMCA

Pershing's integrated solutions go across all investor segments. Find out about exchange-traded funds (ETFs), FundVest®, Managed 360, BNY Mellon Select, managed investment solutions and more so you can present a complete investment picture to your clients.

Moderator: Cheryl Tuosto, Vice President, Pershing
Larry Agin, Director, Pershing
Shannon Ferguson, Vice President, Lockwood Advisors, Inc.
Owen Perrin, Vice President, Pershing

Theme: Boosting Your Efficiency

Keeping the Best Interests of Our Clients: Managing the Department of Labor (DOL) Fiduciary Rule [Broker-Dealer] CFP CWS

Join Pershing's regulatory and investment solutions experts for a discussion on Pershing's strategies and tools that are designed to help you manage your practice under the DOL fiduciary rule.

Moderator: David Crow, Managing Director, Pershing
Danielle Gordon, Vice President, Pershing
Mike Partnow, Director, Pershing
Steve Wachtel, Vice President, Pershing

Theme: Decoding Risk, Regulation and Responsibility

Law & Order: Top Regulatory Topics for Registered Investment Advisors CFA CFP CWS IMCA

There is a tidal wave of regulatory issues sweeping across the industry, including the January FINRA rules and new Anti-Money Laundering (AML) rules proposed by the United States Department of the Treasury. Join us for an in depth discussion to help chart your course through these new waters.

Moderator: Michelle Logue, Director, Pershing, and Chief Compliance Officer, Lockwood Advisors, Inc.
Tracey Baker, President, CJM Wealth Advisers, Ltd.
Sharon Binger, Regional Director, U.S. Securities & Exchange Commission
Kevin Taylor, Chief Compliance Officer, Pershing

Theme: Decoding Risk, Regulation and Responsibility

Navigating the Alternative Investment Landscape: Art, Science, or Both? CFP CWS

This session will provide you with a look into the investment decision-making process of Registered Investment Advisors (RIAs) who focus on the alternative space, along with strategies on how to best use the Pershing platform to connect investment solution creators and investment solutions investors. The panelists will also share best practices of navigating the Pershing platform.

Moderator: Lisa Lewin, Vice President, Pershing
Frank Bub, Director, Pershing Advisor Solutions
Frank Frecentese, Managing Director, Bessemer Trust
Robert Teeter, Managing Director, Silvercrest Asset Management Group
Steven Wagner, Co-Founder and Chief Executive Officer, Omnia Family Wealth

Theme: Positioning Yourself for Growth

The Registered Investment Advisor's (RIA's) Guide to Wealth Management CFA CWS IMCA

RIA's who serve clients with complex financial lives often use a bank custodian for one type of client or account, and a brokerage custodian for different circumstances. Learn how you can access a unified solution that offers business development support, relationship management, client service and technology under a single, common framework, bringing new levels of efficiency and support to your practice.

Moderator: Evan LaHuta, Managing Director, Pershing Advisor Solutions
Ben Harrison, Managing Director, Pershing Advisor Solutions
Dan McCarron, Director, Pershing Advisor Solutions

Theme: Positioning Yourself for Growth

Retirement Means It's Time to Go to Work CFA CWS

There is a $1.3 trillion opportunity in the growing advisor-sold DC space. Join Pershing's retirement experts for an interactive discussion on what it takes to expand your presence in this market. Learn where the opportunities are and how to grow a profitable practice.

Moderator: Michael Yasin, Vice President, Pershing
Ross Brown, Vice President, Pershing
Eric Ryles, Managing Director, Judy Diamond Associates, Inc.
Steven Shackelford, Senior Vice President, Aspire Financial Services, LLC

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Good to Grow? CWS

The wealth management industry has more opportunity than ever before. Learn how you can apply Pershing's solutions to successfully engage this critical market segment through donor advised funds, Pershing's trust network, private banking solutions and the additional resources you can access through BNY Mellon.

Moderator: Katie Swain, Director, Pershing
Crystal Andrus, Vice President, Pershing
Marc D'Angelillio, Director, Pershing
Bob LaRue, National Director, Private Banking Solutions for Intermediaries, BNY Mellon

Theme: Positioning Yourself for Growth


10:30 AM | 30 Minutes

Networking Break


11:00 AM | 1 Hour 15 Minutes

Discover Pershing – Session II

Digitize Your Practice with Technology CWS

Find out the latest on Pershing's technology solutions. Learn how to leverage NetX360®, NetXInvestor, NetX360 Mobile along with our managed investments and wealth reporting solutions to help digitize your practice, improve ways to collaborate with clients and enhance efficiency.

Moderator: Sonjii Ivey, Vice President, Pershing
Joe Baricevac, Vice President, Pershing
Paul Camuto, Vice President, Albridge
Tom Valente, Vice President, Pershing

Theme: Boosting Your Efficiency

Freeze Frame: Delivering the Full Pershing Picture CWS IMCA

Pershing's integrated solutions go across all investor segments. Find out about exchange-traded funds (ETFs), FundVest®, Managed 360, BNY Mellon Select, managed investment solutions and more so you can present a complete investment picture to your clients.

Moderator: Cheryl Tuosto, Vice President, Pershing
Larry Agin, Director, Pershing
Shannon Ferguson, Vice President, Lockwood Advisors, Inc.
Owen Perrin, Vice President, Pershing

Theme: Boosting Your Efficiency

Keeping the Best Interests of Our Clients: Managing the Department of Labor (DOL) Fiduciary Rule [Advisor] CFP CWS

Join Pershing's regulatory and investment solutions experts for a discussion on Pershing's strategies and tools that are designed to help you manage your practice under the DOL fiduciary rule.

Moderator: Gabriel Garcia, Director, Pershing Advisor Solutions
Dan Bernstein, Director of Research and Development, MarketCounsel
Tonia Bottoms, Managing Director and Managing Counsel, Pershing

Theme: Decoding Risk, Regulation and Responsibility

Law & Order: Top Regulatory Topics for Broker-Dealers and Their Advisors CFP CWS IMCA

There is a tidal wave of regulatory issues sweeping across the industry, including the January FINRA rules and new Anti-Money Laundering (AML) rules proposed by the United States Department of the Treasury. Join us for an in depth discussion to help chart your course through these new waters.

Moderator: Anna D’Amico, Director, Pershing
Thomas Drogan, Senior Vice President in Member Regulation, FINRA
Joan Schwartz, Managing Director and Chief Legal Officer, Pershing
Kevin Taylor, Chief Compliance Officer, Pershing
Mary Williams, Senior Compliance Officer, T. Rowe Price Investment Services, Inc.

Theme: Decoding Risk, Regulation and Responsibility

Navigating the Alternative Investment Landscape: Art, Science, or Both? CFP CWS

This session will provide you with a look into the investment decision-making process of Registered Investment Advisors (RIAs) who focus on the alternative space, along with strategies on how to best use the Pershing platform to connect investment solution creators and investment solutions investors. The panelists will also share best practices of navigating the Pershing platform.

Moderator: Lisa Lewin, Vice President, Pershing
Frank Bub, Director, Pershing Advisor Solutions
Frank Frecentese, Managing Director, Bessemer Trust
Robert Teeter, Managing Director, Silvercrest Asset Management Group
Steven Wagner, Co-Founder and Chief Executive Officer, Omnia Family Wealth

Theme: Positioning Yourself for Growth

The Registered Investment Advisor's (RIA) Guide to Wealth Management CFA CWS IMCA

RIA's who serve clients with complex financial lives often use a bank custodian for one type of client or account, and a brokerage custodian for different circumstances. Learn how you can access a unified solution that offers business development support, relationship management, client service and technology under a single, common framework, bringing new levels of efficiency and support to your practice.

Moderator: Evan LaHuta, Managing Director, Pershing Advisor Solutions
Ben Harrison, Managing Director, Pershing Advisor Solutions
Dan McCarron, Director, Pershing Advisor Solutions

Theme: Positioning Yourself for Growth

Retirement Means It's Time to Go to Work CFA CWS

There is a $1.3 trillion opportunity in the growing advisor-sold DC space. Join Pershing's retirement experts for an interactive discussion on what it takes to expand your presence in this market. Learn where the opportunities are and how to grow a profitable practice.

Moderator: Michael Yasin, Vice President, Pershing
Ross Brown, Vice President, Pershing
Eric Ryles, Managing Director, Judy Diamond Associates, Inc.
Steven Shackelford, Senior Vice President, Aspire Financial Services, LLC

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Good to Grow? CWS

The wealth management industry has more opportunity than ever before. Learn how you can apply Pershing's solutions to successfully engage this critical market segment through donor advised funds, Pershing's trust network, private banking solutions and the additional resources you can access through BNY Mellon.

Moderator: Katie Swain, Director, Pershing
Crystal Andrus, Vice President, Pershing
Marc D'Angelillio, Director, Pershing
Bob LaRue, National Director, Private Banking Solutions for Intermediaries, BNY Mellon

Theme: Positioning Yourself for Growth


12:15 PM | 1 Hour 15 Minutes

Lunch


12:45 PM | 45 Minutes

Coffee and Dessert in the Exhibit Hall


12:50 PM | 30 Minutes

iN16 Talks

12:50 PM | 15 Minutes

Developing the Next Generation of Treatments for Cancer

Dr. Khaled will discuss the promise of personalizing medicine, harnessing nanotechnology to make new medicines and using immunotherapy for cancers that have spread throughout the body. She will discuss capturing intellectual property and academic investigators actively working with their technology development officers. Dr. Khaled will close with high-level thoughts on the financial challenges to advancing cancer research, from obtaining government funding to finding seed and venture investors to help translate bench research to the patient bedside.

Myra Biblowit, President and Chief Executive Officer, Breast Cancer Research Foundation
Dr. Annette Khaled, Associate Professor, University of Central Florida College of Medicine

1:05 PM | 15 Minutes

Interactive Financial Planning—From Your Office to Your Conference Room

Historically, financial planning software was a tool the advisor used in his or her office to analyze a client's financial plan. However, the cutting edge of financial planning is using planning software as an interactive tool that can be used anywhere when meeting with a client—saving time, facilitating better planning and providing a drastically superior client experience.

Michael Kitces, Partner and Director of Research, Pinnacle Advisory Group


1:45 PM | 1 Hour 45 Minutes

General Session

1:45 PM | 15 Minutes

Welcome and Vision for the Future

Lisa Dolly, Chief Executive Officer, Pershing

2:00 PM | 25 Minutes

It's All About the Experience

Lori Hardwick, Chief Operating Officer, Pershing

2:25 PM | 5 Minutes

Introduction of Keynote Speakers

Solon "Bud" Person, Executive Vice President, Federated Investors, Inc.

2:30 PM | 30 Minutes

Presence: Bringing Your Boldest Self to Your Biggest Challenges* CFA CWS

Amy Cuddy, PhD, Social Psychologist; Associate Professor at Harvard Business School

Sponsored by:

Federated Investors, Inc.

3:00 PM | 30 Minutes

From the Battlefield to the Boardroom: Secrets to Lead and Succeed in Business* CFA CWS

Colonel Jill Morgenthaler, Retired U.S. Army Colonel

Sponsored by:

Federated Investors, Inc.


3:30 PM | 30 Minutes

Networking Break


3:30 PM | 30 Minutes

Pershing Pavilion Open


4:00 PM | 1 Hour

Breakout Session I

The 2016 Mutual Fund/ETF Landscape CFA CFP CWS IMCA

Join us for an industry outlook on what's shaping the future of mutual fund and ETF development as firms and investors seek the lowest expense class of shares. You'll also hear about institutional and advisory growth.

Moderator: Rich Calvario, Director, Pershing
Michael Arone, Managing Director and Chief Investment Strategist, State Street Global Advisors
Paul Fulmer, Assistant Vice President and Head of Mutual Fund Product Management, USAA
Duy Nguyen, Portfolio Manager and Chief Investment Officer, Invesco Global Solutions

Theme: Positioning Yourself for Growth

Equity Glass Half Full in 2016 CFA CFP CWS IMCA

This presentation will address the impact of the Fed's first rate hike in nearly a decade; the economic impact of U.S. dollar strength, plunging energy prices, and the manufacturing recession; concerns about a Chinese hard landing; and the uncertainty surrounding the presidential election cycle.

Philip Orlando, Chief Equity Strategist, Federated Investors, Inc. and Senior Portfolio Manager, Federated Global Allocation Fund (FSTBX)

Sponsored by:

Federated Investors, Inc.

Theme: Positioning Yourself for Growth

Hacking the Crystal Ball: How Artificial Intelligence Augments Profitability CWS IMCA

The litmus test for any new technology is whether it reduces friction or simply creates overhead. In this session we'll discover what artificial intelligence (AI) really is and how it's used to automate tasks, enhance client experiences and uncover rich data. We'll discuss engagement and recruitment of the next generation, and debug robo-advisor myths. You'll learn how to tell if a new technology will increase profitability or increase friction, and prepare your business to thrive in a data-driven economy.

Justin Wisz, Co-Founder and Chief Executive Officer, Vestorly, Inc.

Sponsored by:

Theme: Positioning Yourself for Growth

Liquid Alts 101: The Intersection Between Hedge Funds and Mutual Funds CFP CWS

Join us for a deep-dive education on the basics of the liquid alternative landscape and the role of alternative investments in client portfolios. Learn from experts who will provide multiple perspectives liquid alternatives and separate facts from popular misconceptions.

Moderator: JamiLynn Cimino, Vice President, Pershing Prime Services
John Feeley, Managing Director, Man Investments
Kenneth Masse, Client Portfolio Manager, Invesco Quantitative Strategies
John Zimmermann, Director, Perella Weinberg Partners

Theme: Positioning Yourself for Growth

Portfolio Construction: What Are the Alternatives? CFP CWS IMCA

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Moderator: Mike Partnow, Director, Pershing
Randy Anderson, Chief Investment Officer, Griffin Capital Advisor
R. Scott Henderson, Senior Vice President, Calamos Investments
Frank Muller, Chief Executive Officer and President, Provasi Capital Partners LP

Theme: Positioning Yourself for Growth

Senior Security—Preventing Fraud and Exploitation CFP CWS

The fraud perpetrated on our senior citizens has exploded. It is estimated that this kind of exploitation costs senior investors an estimated $2.9 billion annually. Learn more about how the industry and advisors are working to develop practices to identify problems and combat threats.

Moderator: Melissa Bernstein, Director, Pershing
Marin Gibson, Managing Director and Associate General Counsel, State Government Affairs,
Securities Industry and Financial Markets Association (SIFMA)
Joan Schwartz, Managing Director and Chief Legal Counsel, Pershing

Theme: Positioning Yourself for Growth

Surprises From the DOL Fiduciary Ruling* CFP CWS

Now that the DOL fiduciary rule is law, what surprised us, what did we expect? Join us for a ruling recap and discussion on the practical application of the steps you should take to comply.

Moderator: James Roth, Managing Director, Pershing
Lisa Bleier, Managing Director and Associate General Counsel, Securities Industry and Financial Markets Association (SIFMA)
Dale Brown, President and Chief Executive Officer, Financial Services Institute (FSI)
Catherine Weatherford, President and Chief Executive Officer, Insured Retirement Institute (IRI)

Theme: Decoding Risk, Regulation and Responsibility

Technology is in Fast Forward: Advance Your Practice's Digital Experience* CWS

The changes in the wealth management industry have forced advisors to consider how best to digitize their practices. During this session, you will hear insights from a recent technology advisor study conducted by the Aite Group and learn how you can use technology to enhance relationships and generate client loyalty.

Moderator: Tim Foley, Managing Director, Pershing
William Boland, Senior Analyst, Aite Group
Kathleen Johnson, Vice President, Pershing
Michael Kitces, Partner and Director of Research, Pinnacle Advisory Group

Theme: Boosting Your Efficiency

What in the World Is Going On Out There? CFP CWS

How are U.S. markets behaving in an election year? Will volatility in the foreign markets stabilize? What will happen with interest rates? We don't have a crystal ball—but we do have top portfolio managers who will share their unique perspectives and strategies designed to enhance returns in your clients' equity allocations.

Moderator: Derek Penn, Managing Director, BNY Mellon
Simon Carling, Managing Director, BMO Capital Markets
David Polak, Equity Investment Specialist, Capital Group
Charles Price, Product Specialist, Developed Equities, Pictet Asset Management

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Making it Relevant Today and Tomorrow CWS IMCA

Join Pershing and Cannon Financial experts to explore six significant changes in the industry that we anticipate will test the foundations of your practice. Learn how to meet these challenges and retain your value so you remain an essential part of your clients' financial lives.

Moderator: Janet Kelly, Vice President, Pershing
William Trigleth, Executive Vice President, Cannon Financial Institute

Theme: Positioning Yourself for Growth


5:00 PM | 30 Minutes

Pershing Pavilion Open


5:00 PM | 2 Hours

Reception in the Exhibit Hall


5:25 PM | 35 Minutes

iN16 Talks

5:25 PM | 15 Minutes

Is Your Business Strategy Still Relevant? Three Questions to Consider

Evolving with today’s rapidly changing financial profession can help to propel your business forward. By questioning the assumptions that inform your current business strategy, you give yourself an opportunity to refresh and reinvigorate your focus on what to invest in and what to manage. This provocative talk will pose three big questions that, once answered, will help you to effectively attract and retain both talent AND clients—all while driving your business to the next level of success.

Jim Crowley, Chief Relationship Officer, Pershing
Mark Tibergien, Chief Executive Officer, Pershing Advisor Solutions

5:40 PM | 15 Minutes

The $30 Trillion Question: How to Engage the Next Generation

When the elephant in the room is worth $30 trillion, ignoring it isn't possible. As the world's wealth gets transferred into the hands of a younger generation, the turf upon which client engagement occurs will change to digital and abstract. Learn how to prepare accordingly.

Jonathan Dayton, Senior Software Engineer, Vestorly, Inc.

5:55 PM | 15 Minutes

Driving Success: Engaging Employees for a Winning Brand, Talent and Client Experience

Unlock the power of diversity to improve employee and client engagement. Discover best practices for establishing and running Employee Resource Groups (ERGs), the advantages of evolving into Business Resource Groups (BRGs) and how to leverage ERGs/BRGs to differentiate your brand, talent and client experience.

Tonia Bottoms, Managing Director and Managing Counsel, Pershing
Lee Stephens Executive Vice President, BNY Mellon
Christina Townsend, Director, Pershing


Day Two Wednesday, June 8

6:00 AM | 1 Hour

Sunrise Fitness Activities

5K Run/Walk Race

Sponsored by:

chantico

Spin Class


7:30 AM | 9 Hours

Exhibit Hall Open


7:30 AM | 1 Hour 15 Minutes

Breakfast in the Exhibit Hall


7:30 AM | 1 Hour 15 Minutes

Pershing Pavilion Open


8:45 AM | 1 Hour 45 Minutes

General Session

8:45 AM | 5 Minutes

Opening Remarks

Ram Nagappan, Chief Information Officer, Pershing

8:50 AM | 40 Minutes

Invested in Innovation

Moderator: Kathleen Hays, Co-Host, Taking Stock, Bloomberg Radio
Suresh Kumar, Senior Executive Vice President and Chief Information Officer, BNY Mellon
Brian Shea, Vice Chairman, BNY Mellon and Chief Executive Officer, BNY Mellon Investment Services

9:30 AM | 1 Hour

We Turn the Table: A Conversation With Charlie Rose CFA CWS IMCA

Introduction: J. Charles Cardona, Chief Executive Officer, BNY Mellon Cash Investment Strategies and President, The Dreyfus Corporation
Moderator: Mark Tibergien, Chief Executive Officer, Pershing Advisor Solutions
Charlie Rose, Host of PBS’s The Charlie Rose Show, Charlie Rose-This Week; and Co-Host of CBS This Morning

Sponsored by:

BNY Mellon | Dreyfus


10:30 AM | 30 Minutes

Networking Break


10:30 AM | 30 Minutes

Pershing Pavilion Open


11:00 AM | 1 Hour

Breakout Session II

The 2016 Mutual Fund/ETF Landscape CFA CFP CWS IMCA

Join us for an industry outlook on what's shaping the future of mutual fund and ETF development as firms and investors seek the lowest expense class of shares. You'll also hear about institutional and advisory growth.

Moderator: Rich Calvario, Director, Pershing
Michael Arone, Managing Director and Chief Investment Strategist, State Street Global Advisors
Paul Fulmer, Assistant Vice President and Head of Mutual Fund Product Management, USAA
Duy Nguyen, Portfolio Manager and Chief Investment Officer, Invesco Global Solutions

Theme: Positioning Yourself for Growth

The DOL Fiduciary Rule Explained* CFA CFP CWS

The DOL fiduciary rule has accelerated the trend toward advisory programs. Join this discussion surrounding the rule and its potential revenue conflicts.

Introduction: Christopher Minton, Senior Retirement Consultant, Federated Investors, Inc.
Bradford Campbell, Counsel, Drinker Biddle & Reath, LLP

Theme: Decoding Risk, Regulation and Responsibility

Finding Alternative Avenues of Growth in a Volatile Environment CFP CWS IMCA

Where are investors searching for growth? BNY Mellon Investment Management, through their global multi-boutique approach, will offer multiple perspectives and diverse opinions on the search for growth. Experience a discussion on the changing landscape of the global economy and a debate on the effectiveness of current and future central banks policies. Learn about products that can help dampen volatility, maintain liquidity or offer stability in both risk and performance while enhancing growth prospects.

Moderator: Ralph Studley, Senior Vice President, BNY Mellon Investment Management
Sinead Colton, Managing Director, Mellon Capital
Vincent Reinhart, Chief Economist, Standish

Sponsored by:

BNY Mellon | Dreyfus

Theme: Positioning Yourself for Growth

Global Markets, Currency Hedging and the Next Generation of ETF Portfolio Solutions CFP CWS IMCA

Join RiverFront Investment Group as they offer perspective on the global markets, central banks, currency hedging strategies and the next generation of ETF portfolio solutions.

Michael Jones, Chairman and Chief Investment Officer, Riverfront Investment Group

Sponsored by:

First Trust Portfolio, L.P.

Theme: Positioning Yourself for Growth

Hear From Your Peers: What Does a Successful Retirement Plan Business Look Like? CFA CWS IMCA

How is your retirement plan business doing? How do you know? Join some of the most successful plan advisors in the business for a discussion of the secrets behind their success.

Moderator: Joe Spatucci, Director, Pershing
J. Thomas Halleron, Director, Harbor Investment Advisory, LLC
Michelle LeCates, Vice President, July Business Services
Matt McGrew, Chief Operations Officer and General Counsel, USA Financial Corporation

Theme: Boosting Your Efficiency

Liquid Alts 201: Deep Dive Into Liquid Alternatives CWS

Discover more about liquid alternative strategies. This session will take you under the hood of liquid alternatives, focusing on specific strategies, fund companies and the sub-advisors they use to manage these solutions.

Moderator: Aaron Steinberg, Director, Pershing Prime Services
Nicholas Amato, Managing Director, Wilshire Associates
Andrew Dreaneen, Head of GAIA Product & Business Development, Schroders
Matthew Osborne, Founder and Chief Investment Officer, Altegris
David Saunders, Co-Founder and Chief Executive Officer, K2 Advisors L.L.C.

Theme: Positioning Yourself for Growth

Portfolio Construction: What Are the Alternatives? CFP CWS IMCA

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Moderator: Mike Partnow, Director, Pershing
Randy Anderson, Chief Investment Officer, Griffin Capital Advisor
R. Scott Henderson, Senior Vice President, Calamos Investments
Frank Muller, Chief Executive Officer and President, Provasi Capital Partners LP

Theme: Positioning Yourself for Growth

Transforming Big Data into Big Insights* CFA CWS

Find out how top advisors are leveraging data to make smart decisions and position their practices for long-term growth through actionable analytics and interactive dashboards. Explore case studies that show how data impacts your practice, helps you stay ahead of the curve and helps you make smarter investments in your business.

Moderator: Maura Creekmore, Managing Director, Pershing
Shawn Rodgers, Vice President, Pershing
Dan Skiles, President, Shareholders Service Group
Brian Walter, Global Industry Lead for Banking and Financial Services and Global Wealth Management, IBM Watson Group

Theme: Boosting Your Efficiency

What in the World Is Going On Out There? CFP CWS

How are U.S. markets behaving in an election year? Will volatility in the foreign markets stabilize? What will happen with interest rates? We don't have a crystal ball—but we do have top portfolio managers who will share their unique perspectives and strategies designed to enhance returns in your clients' equity allocations.

Moderator: Derek Penn, Managing Director, BNY Mellon
Simon Carling, Managing Director, BMO Capital Markets
David Polak, Equity Investment Specialist, Capital Group
Charles Price, Product Specialist, Developed Equities, Pictet Asset Management

Theme: Positioning Yourself for Growth

Your Wealth Management Business: Making it Relevant Today and Tomorrow CWS IMCA

Join Pershing and Cannon Financial experts to explore six significant changes in the industry that we anticipate will test the foundations of your practice. Learn how to meet these challenges and retain your value so you remain an essential part of your clients' financial lives.

Moderator: Janet Kelly, Vice President, Pershing
William Trigleth, Executive Vice President, Cannon Financial Institute

Theme: Positioning Yourself for Growth


12:00 PM | 1 Hour 15 Minutes

Lunch


12:00 PM | 1 Hour 15 Minutes

Pershing Pavilion Open


12:30 PM | 45 Minutes

Coffee and Dessert in the Exhibit Hall


12:40 PM | 30 Minutes

iN16 Talks

12:40 PM | 15 Minutes

Mindfulness Practices for Your Busy Life

Learn some powerful, easy relaxation techniques to de-stress and calm your busy life. The benefits of mindfulness meditation are well researched and Wendy Quan is the leader in training workplace mindfulness facilitators.

Wendy Quan, Certified Organizational Change Manager, The Calm Monkey

12:55 PM | 15 Minutes

Connecting With the Next Generation—Pershing’s Reverse Mentoring Program

As creators of the digital age, Millennials now represent the largest generation in the U.S workforce. But this certainly doesn't mean they are the only represented group. Rapid technological change and digital empowerment present us with an opportunity to provide customized experiences. But being all things to all people can get complicated quickly. Learn how Pershing maintains a diverse generational perspective by tapping into Millennials through a Reverse Mentoring Program. In this session you will hear from a Millennial/Executive Committee mentor pairing in a mock reverse mentoring meeting. It will inspire you to leverage the collective intel of your workforce to stay ahead of the competition.

Kayla Flaten, Vice President, Pershing Prime Services
Ram Nagappan, Chief Information Officer, Pershing


1:30 PM | 1 Hour

Breakout Session III

Conflict Resolution as a Fiduciary: Leveled Compensation* CFA CFP CWS

Join Pershing experts to learn how to use levelized compensation as a path to reduce conflicts. During the session, we will explore packaged solutions that support level compensation.

Moderator: Crystal Andrus, Vice President, Pershing
Rich Calvario, Director, Pershing
Ed O’Neal, Vice President, Benjamin F. Edwards & Co.
Steve Saxon, Chairman, Groom Law Group

Theme: Decoding Risk, Regulation and Responsibility

Effectively Attracting the Next Generation of Advisors CFA CWS

Looking to expand your team and boost performance? Join us for a discussion on multi-generational hiring and retention strategies to expand the breadth of talent on your team, along with techniques for nurturing loyal employees and building the right business strategy for high impact recruiting.

Moderator: Chris Gunderson, Director, Pershing
Mark Albers, Founder, Albers & Associates Consulting, LLC and Co-Owner, True North Partners Consulting
Tom Daley, Founder and Chief Executive Officer, Advisor Center
Shirl Penney, Chief Executive Officer, Dynasty Financial Partners

Theme: Building Strategic Relationships

Hear From Your Peers: What Does a Successful Retirement Plan Business Look Like? CFA CWS IMCA

How is your retirement plan business doing? How do you know? Join some of the most successful plan advisors in the business for a discussion of the secrets behind their success.

Moderator: Joe Spatucci, Director, Pershing
J. Thomas Halleron, Director, Harbor Investment Advisory, LLC
Michelle LeCates, Vice President, July Business Services
Matt McGrew, Chief Operations Officer and General Counsel, USA Financial Corporation

Theme: Boosting Your Efficiency

Key Lessons in Behavior and Team Leadership CFA CWS

There is no “I” in team. Today, teamwork and collaboration is the norm. This session will explore the cultural impact of leadership and behavior at all levels in an organization and share best practices in engaging and motivating individuals for top performance.

Moderator: Marc Butler, Chief Operating Officer, Albridge
Aaron Klein, Co-Founder and Chief Executive Officer, Riskalyze
Rajini Kodialam, Co-Founder, Focus Financial Partners
Calvin Schmidt, Senior Vice President, Northwestern Mutual Investment Services, LLC
Naydia Smith, Director, Pershing

Theme: Building Strategic Relationships

LatAm Investors—Sharpening Their Focus on Global CFA CFP CWS

Recent elections in Latin America, currency controls in Argentina and the continued recession in Brazil summon a broader more holistic approach to investing for LatAm clients. We'll be exploring these topics as well as the impact of the recent U.S. interest rate hike and China's slowing economic growth.

Moderator: Tim Walsh, Director, Pershing
Kevin Creeden, Vice President, BlueBay Asset Management
Jeffrey Alan Rosensweig, Director,Goizueta Business School of Emory University

Theme: Positioning Yourself for Growth

The Latest Trends in Asset Allocation CFA CFP CWS

Join a panel of expert investment managers who oversee institutional and individual assets across the globe. They will share thoughts on what is driving current institutional allocation models and how you can use these models for your investment strategies.

Moderator: Aaron Steinberg, Director, Pershing Prime Services
Rich Lesser, Vice President, SkyBridge Capital
Claudio Macchetto, Managing Director, Paulson & Co.
Nathan Palmer, Managing Director, Wilshire Associates

Theme: Positioning Yourself for Growth

The Simple Secret to Long-Term Investment Success CFA CFP CWS IMCA

To beat the market you have to do something different than the market. Most managers can't beat the market every year--they will zig and zag differently. As the Advisor, do you understand the process behind the investment strategy you own for your clients? During difficult years, does the performance of the strategy make sense? The key to successful investing is to invest in a strategy that makes sense and stick with it. Of course, it's the "sticking with it" part that is tough. This session will provide investment and behavioral insight to help guide your clients to long-term investment success.

Joel Greenblatt, Managing Principal and Co‐Chief Investment Officer, Gotham Asset Management

Sponsored by:

Gotham Asset Management

Theme: Positioning Yourself for Growth

There's Nothing "Fixed" About Fixed Income CFA CFP CWS

Join us for a discussion on risk diversification with alternative investments in a rising rate environment. During the session, you'll learn how these strategies have performed through recent volatility and expectations for the balance of 2016.

Moderator: Marvin Loh, Managing Director, BNY Mellon
Matthew Byer, Executive Director and Chief Operating Officer, Spectrum Asset Management
Christopher Getter, Executive Vice President and Product Manager, PIMCO
Tim Paulson, Investment Strategist, Fixed Income, Lord Abbett

Theme: Positioning Yourself for Growth

Transforming Big Data into Big Insights CFA CWS

Find out how top advisors are leveraging data to make smart decisions and position their practices for long-term growth through actionable analytics and interactive dashboards. Explore case studies that show how data impacts your practice, helps you stay ahead of the curve and helps you make smarter investments in your business.

Moderator: Maura Creekmore, Managing Director, Pershing
Shawn Rodgers, Vice President, Pershing
Dan Skiles, President, Shareholders Service Group
Brian Walter, Global Industry Lead for Banking and Financial Services and Global Wealth Management, IBM Watson Group

Theme: Boosting Your Efficiency

What's Behind the Move to Unified Managed Accounts (UMAs)? CFA CFP CWS IMCA

As demands on flexibility and efficiency have increased across advisory solutions, UMAs have become a go-to strategy. Learn about the latest developments and trends with UMAs and how they can help you deliver wealth management solutions to your clients.

Moderator: Christina Townsend, Director, Pershing
Curt Overway, President, Natixis Global Asset Management, L.P.
Victor Pagano, Director, Citi Private Bank
Craig Phillips, Managing Partner and Chief Executive Officer, Client 1st Advisory Group

Theme: Positioning Yourself for Growth


2:30 PM | 30 Minutes

Networking Break


2:30 PM | 30 Minutes

Pershing Pavilion Open


3:00 PM | 1 Hour

Breakout Session IV

Cyber Crime: The Not-So-Social Network CFA CFP CWS IMCA

You receive SEC Risk Alerts for a reason. You need tools and strategies to prepare for cybersecurity examinations. And how can you be sure you have adequate cybersecurity in your practice? Learn all about threats, compliance and sustainable solutions.

Moderator: Bill Bruckner, Director, Pershing
William Edwards, Director, Pershing
Lance James, Chief Scientist at Flashpoint, Cyber Intelligence Advisor and Co-Founder at Unit 221b
Michelle Wraight, Director and Chief Privacy Officer, Pershing

Theme: Decoding Risk, Regulation and Responsibility

DOL—What's in Your Best Interest?* CFP CWS

Join us to review the substantial requirements of the Best Interest Contract exemption (BIC) and obtain the information you need to identify a compliance platform that will help you comply with the exemption.

Moderator: Robert Cirrotti, Managing Director, Pershing
Tonia Bottoms, Managing Director and Managing Counsel, Pershing
Bradford Campbell, Counsel, Drinker Biddle & Reath, LLP
Steve Saxon, Chairman, Groom Law Group

Theme: Decoding Risk, Regulation and Responsibility

ETF Strategies: Should You Go Active or Passive? CFA CFP CWS IMCA

ETFs are becoming a bigger part of advisors' strategies. Join the discussion on active and passive investing strategies and how they align with ETFs and alternative solutions.

Moderator: Justin Fay, Director, Pershing
Paul McGinn, Senior Vice President, First Trust Advisors L.P.
Brett Mossman, Managing Director, BlackRock Global Client Group
Chris Tidmore, Senior Investment Strategist, Vanguard Investment Strategy Group

Theme: Positioning Yourself for Growth

Fiduciary Responsibility for Retirement Plans? The DOL Has New Rules for You CFA CFP CWS

New regulations proposed by the Department of Labor may more clearly define your role as a fiduciary if you provide investment advice to plan sponsors. Are you up to speed? We'll discuss the responsibilities of an advisor, RIA and broker-dealer when serving as a fiduciary in the retirement plan market.

Moderator: Marc Caras, Director, Pershing
Blaine Aikin, Chief Executive Officer, Fi360
Jeff Atwell, Senior Vice President, Meeder Financial
Jason Roberts, Chief Executive Officer, Pension Resource Institute & Partner Retirement Law Group

Theme: Decoding Risk, Regulation and Responsibility/Positioning Yourself for Growth

If You Build It, Will They Come? Trends in Portfolio Construction CFA CFP CWS IMCA

If you're seeking better investor outcomes through the blending of high volume alpha and strategic low-cost beta funds and ETFs, join this session to discuss the best balance between active and passive strategies.

Moderator: Anthony Destro, Senior Portfolio Manager, Lockwood Advisors, Inc.
Dodd Kittsley, Head of ETF Strategy, Deutsche Asset Management
Bob Meeder, President, Meeder Investment Management
John Simmons, Senior Investment Strategist, William Blair

Theme: Positioning Yourself for Growth

The Latest Trends in Asset Allocation CFA CFP CWS

Join a panel of expert investment managers who oversee institutional and individual assets across the globe. They will share thoughts on what is driving current institutional allocation models and how you can use these models for your investment strategies.

Moderator: Aaron Steinberg, Director, Pershing Prime Services
Rich Lesser, Vice President, SkyBridge Capital
Claudio Macchetto, Managing Director, Paulson & Co.
Nathan Palmer, Managing Director, Wilshire Associates

Theme: Positioning Yourself for Growth

The Most Powerful Trends in Wealth Management—Mergers and Acquisitions (M&A) CFA CFP CWS IMCA

What's new with M&A deal making in the independent space? Are consolidators actively pursuing deals? Hear from our panel of experts as they explore how M&A activity often helps independent firms achieve four strategic objectives: economies of scale, access to new geographic markets, adding new skills and experience and enabling succession in ownership.

Moderator: Sean Keenan, Director, Pershing Advisor Solutions
Jason Carroll, Managing Director, Live Oak Bank
Mike Papedis, Managing Director, HighTower
Dan Seivert, Founder and Chief Executive Officer, ECHELON Partners

Theme: Positioning Yourself for Growth

Navigating Volatility CFA CFP CWS IMCA

Is the heightened volatility and sluggish growth creating anxiety with clients? Expert panelist will discuss investment strategies to help navigate the volatility waters.

Moderator: Alma Piscitello, Senior Vice President, Northern Lights Distributors, LLC, (NLD)
Jeff Kuhlman, Managing Director, LJM Partners Limited
Randy Swan, President and Chief Executive Officer, SWAN Global Investments

Sponsored by:

Northern Lights Distributors

Theme: Positioning Yourself for Growth

The Rising Expectations of the Digital Investor* CFA CFP CWS IMCA

Investors demand custom, digital experiences across all channels. They want deeper engagement in the planning process and in their financial health. Learn how you can deliver an exceptional digital investor experience that meets high expectations (inclusive of mobile moments, anytime, anywhere connections) and the digital and physical platforms that can be leveraged to support the experience.

Moderator: Michelle Feinstein, Director, Pershing
John Berglowe, Vice President, Pershing
Noel Heaney, Vice President, Head of Digital Distribution, Voya Financial
Simon Roy, President, Invesco Jemstep

Theme: Boosting Your Efficiency

There's Nothing "Fixed" About Fixed Income CFA CFP CWS

Rising rates are having an impact on bonds and other risk averse strategies. And what about inflation? Take part in a discussion that includes the global outlook.

Moderator: Marvin Loh, Managing Director, BNY Mellon
Matthew Byer, Executive Director and Chief Operating Officer, Spectrum Asset Management
Christopher Getter, Executive Vice President and Product Manager, PIMCO
Tim Paulson, Investment Strategist, Fixed Income, Lord Abbett

Theme: Positioning Yourself for Growth

Wealth Transfer Strategies: What to Do With $30 Trillion CFA CFP CWS IMCA

This session will discuss the expansive wealth transfer considerations for high-net-worth clients. The $30 trillion challenge is underway, and there are many facets to consider. Areas of focus include financial and estate planning strategies that include beneficiary designations, personal trusts, charitable giving, generational selling, family meetings and more.

Moderator: Katie Swain, Director, Pershing
Andrew Crane, Executive Vice President, Independent Trust Company
Cheryl Tuosto, Vice President, Pershing
Emily Wirgin, Managing Partner, Financial Focus Group and Investment Advisor Representative, Securian Financial Services

Theme: Boosting Your Efficiency


4:00 PM | 30 Minutes

Networking Break


4:00 PM | 30 Minutes

Pershing Pavilion Open


4:30 PM | 1 Hour

General Session

Is It Innovation or Disruption? You Decide* CWS

Introduction: Joan Schwartz, Managing Director and Chief Legal Officer, Pershing
Moderator: Charlie Rose, Host of PBS's The Charlie Rose Show, Charlie Rose-This Week; and Co-Host of CBS This Morning
George Blankenship, Former Executive at Tesla Motors, Apple and GAP, Inc.
Neil Blumenthal, Co-Founder, Warby Parker
Lauren Bush Lauren, Founder and Chief Executive Officer, FEED Projects


7:00 PM | 4 Hours

Block Party at Pointe Orlando


Day Three Thursday, June 9

6:00 AM | 1 Hour

Sunrise Fitness Activities

Yoga


8:00 AM | 1 Hour

General Session with Breakfast

Opening Remarks

Jim Crowley, Chief Relationship Officer, Pershing

What to Make of This Election Year: Political Debate With Donna Brazile and Dana Perino CWS

Moderator: Ron DeCicco, Executive Advisor, Pershing
Donna Brazile, Vice Chair of Democratic National Committee; Renowned Political Strategist
Dana Perino, Former White House Press Secretary; Co-Host of Fox’s The Five


9:15 AM | 1 Hour

Breakout Session V

All in the Family—Preparing Advisors for Wealth Transfers CWS IMCA

Get the most out of family meetings by creating relationships with younger generations to prepare for wealth transfers. The session will include a discussion with high-performing advisors from our client firms who will shed light on personal investing habits and outlooks on retirement saving.

Moderator: Andrew Hirschler, Vice President, Pershing
Mark Bruno, Associate Publisher, InvestmentNews
Mark Hansen, Regional Sales Director, E*TRADE
Ingrid Strauss, Partner, Cordis Financial

Theme: Decoding Risk, Regulation and Responsibility

Cyber Crime: The Not-So-Social Network CFA CFP CWS IMCA

You receive SEC Risk Alerts for a reason. You need tools and strategies to prepare for cybersecurity examinations. And how can you be sure you have adequate cybersecurity in your practice? Learn all about threats, compliance and sustainable solutions.

Moderator: Bill Bruckner, Director, Pershing
William Edwards, Director, Pershing
Lance James, Chief Scientist, Flashpoint
Michelle Wraight, Director and Chief Privacy Officer, Pershing

Theme: Positioning Yourself for Growth

ETF Strategies: Should You Go Active or Passive? CFA CFP CWS IMCA

ETFs are becoming a bigger part of advisors' strategies. Join the discussion on active and passive investing strategies and how they align with ETFs and alternative solutions.

Moderator: Justin Fay, Director, Pershing
Paul McGinn, Senior Vice President, First Trust Advisors L.P.
Brett Mossman, Managing Director, BlackRock Global Client Group
Chris Tidmore, Senior Investment Strategist, Vanguard Investment Strategy Group

Theme: Positioning Yourself for Growth

Fiduciary Responsibility for Retirement Plans? The DOL Has New Rules for You CFA CFP CWS

New regulations proposed by the Department of Labor may more clearly define your role as a fiduciary if you provide investment advice to plan sponsors. Are you up to speed? We'll discuss the responsibilities of an advisor, RIA and broker-dealer when serving as a fiduciary in the retirement plan market.

Moderator: Marc Caras, Director, Pershing
Blaine Aikin, Executive Chairman, Fi360
Jeff Atwell, Senior Vice President, Meeder Financial
Jason Roberts, Chief Executive Officer, Pension Resource Institute & Partner Retirement Law Group

Theme: Decoding Risk, Regulation and Responsibility/Positioning Yourself for Growth

Generating Referrals through Centers of Influence CWS

In this session, you will learn how to create a healthy pipeline, conduct effective meetings and generate high quality referrals through professional centers of influence.

Brian Gallary, Senior Vice President, Head of Wealth Management Consulting, First Trust Portfolios L.P.

Sponsored by:

First Trust Portfolios L.P.

Theme: Positioning Yourself for Growth

If You Build It, Will They Come? Trends in Portfolio Construction CFA CFP CWS IMCA

If you're seeking better investor outcomes through the blending of high volume alpha and strategic low-cost beta funds and ETFs, join this session to discuss the best balance between active and passive strategies.

Moderator: Anthony Destro, Senior Portfolio Manager, Lockwood Advisors, Inc.
Dodd Kittsley, Head of ETF Strategy, Deutsche Asset Management
Bob Meeder, President, Meeder Investment Management
John Simmons, Senior Investment Strategist, William Blair

Theme: Positioning Yourself for Growth

IRA Rollovers: Uncertainty for All CFA CFP CWS IMCA

The IRA rollover environment is changing. Again. Join us for a detailed discussion to learn how DOL's fiduciary rule is driving change in the rollover space and what it means for you and your clients.

Moderator: Hans Schemmel, Director, Pershing
Theresa Fry, Vice President and Manager, IRA and Retirement Planning, Benjamin F. Edwards & Co.
Sam Ghazaleh, Senior Vice President and Head of Investor Channel, Voya Financial
Fred Hill, Jr. President, Harbor Investment Advisory, LLC

Theme: Decoding Risk, Regulation and Responsibility

Professional Management: Who to Keep and What to Pay CFA CWS IMCA

Discover the latest secrets behind human capital strategy, compensation trends, generational trends related to attracting and retaining team members, performance management and leading change. The panel will explore major themes related to professional management including total compensation and how it informs human capital strategy, leadership and managing millennials.

Moderator: Tom Kindle, Vice President, Pershing Advisor Solutions
Joe Belafati, Managing Partner, Massey Quick
Philip Palaveev, Chief Executive Officer, The Ensemble Practice LLC
Jeff Strese, Chief Talent and Learning Officer, Tolleson Wealth Management

Theme: Building Strategic Relationships

The Rising Expectations of The Digital Investor CFA CFP CWS IMCA

Investors demand custom, digital experiences across all channels. They want deeper engagement in the planning process and in their financial health. Learn how you can deliver an exceptional digital investor experience that meets high expectations (inclusive of mobile moments, anytime, anywhere connections) and the digital and physical platforms that can be leveraged to support the experience.

Moderator: Michelle Feinstein, Director, Pershing
John Berglowe, Vice President, Pershing
Kevin Cimring, Chief Executive Officer, Invesco Jemstep
Noel Heaney, Head of Digital Distribution, Voya Financial

Theme: Boosting Your Efficiency

Wealth Transfer Strategies: What to Do With $30 Trillion CFA CFP CWS IMCA

This session will discuss the expansive wealth transfer considerations for high-net-worth clients. The $30 trillion challenge is underway, and there are many facets to consider. Areas of focus include financial and estate planning strategies that include beneficiary designations, personal trusts, charitable giving, generational selling, family meetings and more.

Moderator: Katie Swain, Director, Pershing
Andrew Crane, Executive Vice President, Independent Trust Company
Cheryl Tuosto, Vice President, Pershing
Emily Wirgin, Managing Partner, Financial Focus Group and Investment Advisor Representative, Securian Financial Services

Theme: Boosting Your Efficiency


10:15 AM | 30 Minutes

Networking Break


10:15 AM | 30 Minutes

Pershing Pavilion Open


10:45 AM | 1 Hour 15 Minutes

GENERAL SESSION

At the Buzzer: Leading to Greatness

Moderator: Mike Row, Managing Director, Pershing
Jay Wright, Villanova Head Men’s Basketball Coach and 2016 National Champion


Closing Remarks

Tom Sholes, Managing Director, Pershing


*Denotes that the session will be live streamed