Model Portfolios


February 20-21, 2020
AMA Conference Center | NYC
#ModelPortfoliosIEN

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20

February 2020

Thursday

Day One

  • 7:45 AM
    Registration and Networking Breakfast
  • 8:30 AM

    Chairperson’s Opening Remarks

    Brendan Powers, CFA, Associate Director, Product Development
    CERULLI ASSOCIATES

    Donna Chapman Wilson, Head of Investment Due Diligence
    INVESCO WEALTH MANAGEMENT PLATFORMS

  • 8:45 AM

    Opening Panel: Model Portfolio Industry Trend & Market Research: How Will Model Portfolios Continue to Evolve Over the Next Five Years?

    • • The evolution of key players in the business
    • • The progression of partnerships
    • • The role of technology
    • • What will personalization for the masses look like?
    • • Customization and scalability concerns
    • • Similarities and differences between mutual funds and model portfolios
    • • Pros, cons, and stats on third party vs. home office model usage
    • • Where is the growth coming from?
    • • Taking a closer look at wealth management models
    • • How can asset managers gain more access?

    Moderator:
    Hannah Glover, Group Managing Editor
    MONEY-MEDIA

    Panelists:
    Anna Snider, Managing Director, Head of CIO Due Diligence
    BANK OF AMERICA
    Paul Hatch, Group Managing Director & Northeast Division Director
    UBS FINANCIAL SERVICES
    Paul Ricciardelli, Managing Director
    MORGAN STANLEY

  • 9:45 AM

    Model Portfolios from the Providers’ Perspective: Asset Manager Criteria, Expectations, and Results

    • • Unwavering criteria providers expect and/or demand from their asset managers
    • • Performance expectations
    • • Technology and customer service considerations
    • • Increasing your chances for selection
    • • Differentiating yourself from the pack
    • • Functionality and operational nuances
    • • Getting noticed: The wow factor — do you have it? How can you get it?

    Moderator:
    Brendan Powers, CFA, Associate Director, Product Development
    CERULLI ASSOCIATES

    Panelists:
    Jason Nicastro, Vice President, Investment Product Management, Investor and Investment Solutions
    LPL FINANCIAL
    Kris Spazafumo, Model Portfolio Business Development
    CAPITAL GROUP/AMERICAN FUNDS
    Joe Curtin, Managing Director: Head of CIO Portfolio Management
    BANK OF AMERICA CORPORATION

  • 10:30 AM
    Break
  • 10:45 AM

    A Comprehensive Look at the Manager & Investment Due Diligence Process

    • • What drives the due diligence process?
    • • How is the due diligence process evolving and what should managers know?
    • • Setting realistic parameters and expectations
    • • Manager customer service capabilities
    • • What gatekeepers view as manager best practices for model considerations

    Moderator:
    Sean de Lacy, Vice President
    NATIXIS INVESTMENT MANAGERS

    Panelists:
    Andrew Kitchings, CAIA, ERP, FRM, Portfolio Manager, Investment Management and Research
    COMMONWEALTH FINANCIAL NETWORK
    Mark Meisel, Senior Vice President, Senior Investment Product Manager, Multi-Manager Investments
    NORTHERN TRUST

  • 11:45 AM

    Building Partnerships & Sales Strategies: Aligning Yourself with the Right Partners

    • • Making sure you’re aligning yourself with the right partners
    • • Identify the advisors/managers on various distribution channels
    • • How can you achieve maximum exposure?
    • • Forging relationships with partners who can help you meet your objectives

    Jeff Carlin, CFA, Senior Managing Director, Head of US Wealth Advisory Services
    NUVEEN
    Lee Ashby Watts, Chief Marketing Officer
    SMITH, GAMBRELL & RUSSELL LLP

  • 12:15 PM
    Networking Luncheon
  • 1:15 PM

    How are TAMPs & FinTechs Driving Growth for Model Portfolios?

    • • Players, evolutions, and surge of competition
    • • Pros and cons of TAMPs and FinTechs
    • • What is the best way to access the platforms?
    • • What models are gaining the most assets and why?
    • • Where are the opportunities to provide solutions that exist but could be improved upon?
    • • What is driving TAMP growth?

    Moderator:
    Roger Paradiso, Managing Director, head of Alternative Distribution Strategies
    LEGG MASON & CO., LLC

    Panelists:
    Tim Clift, Executive Vice President, Chief Investment Strategist
    ENVESTNET PMC
    Cory Persson, CFA, CFS, Director of Investments
    AXXCESS WEALTH MANAGEMENT

  • 2:00 PM

    How Asset Managers Are Using Tech to Differentiate Themselves in a Changing Environment

    • • Best practices for consulting vs selling
    • • How asset managers can show off their model portfolios
    • • How to supercharge your wholesaling team

    Raj Udeshi, Founder
    HiddenLevers

  • 2:30 PM

    Model Portfolio Asset Allocation: Product Selection, Mitigating Risk, and Adequate Diversification Without Sacrificing Performance

    • • Rebalancing asset allocation strategies for various market conditions
    • • Incorporating new tactics while maintaining core asset allocation strategies
    • • Evaluating core, tactical, investment-specific, and complimentary strategies
    • • How are model portfolio providers deciding what to include in their platforms? And why?
    • • Product and manager selection
    • • Reducing risk through diversification
    • • Product trends and sleeve allocations

    Moderator:
    Mark D. Sloss, CEO
    REGENERATIVE INVESTMENT STRATEGIES, LLC

    Panelists:
    Raymond Joseph, Jr., Managing Director, Global Co-Head, Citi Investment Management
    CITI PRIVATE BANK
    Joe Curtin, Managing Director: Head of CIO Portfolio Management
    BANK OF AMERICA CORPORATION
    Jeff Bennett, Senior Portfolio Manager
    INVESCO WEALTH MANAGEMENT PLATFORMS

  • 3:15 PM
    Networking Break
  • 3:30 PM

    A Four-Part Flash Product Focus

    Part I: ESG Investing: Is the Time Now for Model Portfolios?

    • • Looking at all the critical factors for ESG integration
    • • How do you select ESG securities?
    • • Will socially conscious investing match other performance results?
    • • Report and monitoring ESG investments – next level due diligence
    • • Why is the U.S. so slow to catch up to Europe and Australia?

    Jeff Gitterman, Co-founding Partner
    GITTERMAN WEALTH MANAGEMENT

  • 4:00 PM

    Part II: Part II: Alternative Allocations and their place in Model Portfolios

    • • What are the investors looking for from alternatives?
    • • When will alternatives shine again?
    • • Realistic risk and performance expectations
    • • Which alternatives are taking center stage and which are fading away?

    Joshua Greco, Head of Business Development, Advisor & Portfolio Manager
    QS INVESTORS LLC
    Jeff Bennett, Senior Portfolio Manager
    INVESCO WEALTH MANAGEMENT PLATFORMS

  • 4:30 PM

    Part III: ETFs & Model Portfolios

    • • What does the investor demand for ETFs look like and how are managers responding?
    • • Pros and cons of active vs. passive ETF sleeves
    • • Successfully positioning yourself in the ETF market

    Moderator:
    Robert Spencer, Vice President and Portfolio Strategist
    State Street Global Advisors

    Panelists:
    Robert Forsyth, Head of SPDR Americas Client Enablement Group within the Global SPDR Business
    State Street Global Advisors

    David Marshall, Vice President and ETF Model Portfolio Strategist
    State Street Global Advisors

  • 5:00 PM
    Cocktail Reception
  • 6:00 PM
    End of Day

21

February 2020

Friday

Day Two

  • 8:00 AM
    Networking Breakfast
  • 8:35 AM

    Chairperson’s Opening Remarks

    Brendan Powers, CFA, Associate Director, Product Development
    CERULLI ASSOCIATES

    Donna Chapman Wilson, Head of Investment Due Diligence
    INVESCO WEALTH MANAGEMENT PLATFORMS

  • 8:45 AM

    Blackrock Case Study: Understand how advisors usage and attitudes to models have changed over five years

    • • Understand what channels are growing and the reasons for increased model adoption
    • • Learn how advisors select and chose a model beyond the underlying product
    • • Advisor expectations on the model experience - easy, convenient and frictionless
    • Eve Cout, Director
      BLACKROCK

  • 9:30 AM

    The Road to Personalization and Customization for the Masses: Is it Achievable? How?

    • • How will model portfolios achieve customization?
    • • Achieving customized asset allocation through technology
    • • Where are we now? How far do we need to go to reach our personalized objectives?
    • • Advisor adoption
    • • Making a “C” level client look like an “A” level client

    Moderator:
    Alex von Obelitz, Consumer and Investment Management Division, Exchange-Traded Funds
    GOLDMAN SACHS & CO LLC

    Panelists:
    Matthew Goulet, CFA, SVP, Portfolio Solutions
    FIDELITY INSTITUTIONAL ASSET MANAGEMENT

    Tom Moore, Head of Distribution
    BETTERMENT FOR ADVISORS

    Ryan O’Connor, Vice President in the Consumer Investment Management Division
    GOLDMAN SACHS

  • 10:15 AM
    Morning Break
  • 10:30 AM

    Regulation & Mandates for Model Portfolios

    • • What is the latest with Regulation BI and how does it impact model portfolios?
    • • Creating consistency of client outcomes and solutions from advisory firms
    • • Fiduciary standards
    • • Pending DOL and SEC regulations as they relate to model portfolios
    • • What happened with the DOL Fiduciary Rule?
    • • Buying into a fiduciary solution with model portfolios
    • • Advisor documented due diligence expectations for internal auditors
    • • Where do you stand with GIPS compliance and where should you be?

    Moderator:
    Charlie Stout, Partner
    ACA COMPLIANCE GROUP

    Panelists:
    Glenn Regan, CFA, Principal, Investment Management
    Edward Jones

    Jack Rader, Partner
    ACA Compliance Group

  • 11:15 AM

    Model Portfolios & Tax Management: Meeting the Advisors’ Challenges of Taxes, IRAs, and Model Portfolios

    • • How are advisors making tax management decisions?
    • • How do you solve for taxes?
    • • Looking at tax overlay outsourcing options

    Moderator:
    Eve Cout, Director
    BLACKROCK

    Panelists:
    Matt Koth, Head of U.S. Platform Development, Advisor & Intermediary Solutions
    RUSSELL INVESTMENTS
    Jason Blackwell, Chief Investment Strategists
    THE COLONY GROUP
    Paul Gamble, CEO
    55IP

  • 12:15 PM
    Networking Luncheon
  • 1:30 PM

    Technology: The Next Wave of Evolution for Model Portfolios

    • • Where are we now and where are we headed?
    • • Emerging trend: technology platforms offering models
    • • Which technologies are enabling advisors?
    • • Are some technologies competing or conflicting with advisors or home offices?
    • • How are you delivering information to the end-user?
    • • Who do you want to align yourself with as a technology partner?

    Moderator:
    Danielle Verbrigghe, Managing Editor
    FUNDFIRE

    Panelists:
    Vivek Bedi, Digital Product Management Entrepreneur
    PRODUCT IMMERSION

    Matthew Radgowski, Head of Advisor Solutions
    Morningstar

  • 2:15 PM
    Conference concludes
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