2016 Sales & Marketing Leadership Summit

February 17-18, 2016 | Palm Beach, FL
Eau Palm Beach

Marilee Ferone, Managing Director, Head of Advisory Programs, UBS Financial Services
Pete Thatch, Senior Vice President, Director of Retail Product Management & Strategy, Capital Group

The Summit is a truly unique event on MMI's annual event calendar - this "closed door" meeting is by invitation only, it attracts the most senior audience of any MMI meeting, and its highly interactive sessions focus exclusively on sales and marketing challenges and strategies to meet them.

This year's Summit Co-Chairs Marilee Ferone and Pete Thatch have put together an outstanding program - two compelling keynote presentations, an exceptional line-up of speakers, and timely sessions on the most important issues before our industry and members right now.


Additional Information


New Frontiers in Investment Advisory Solutions:
Challenges Redefined

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Wednesday, February 17, 2016

11:30AM – 1:00PM
Registration and Executive Networking Luncheon

1:00PM – 1:15PM
Welcome and Opening Remarks
Lorna Sabbia, Chairperson of the Board of Governors, Money Management Institute
Craig Pfeiffer, President & CEO, Money Management Institute

Summit Co-Chairs:
Marilee Ferone, Managing Director, Head of Advisory Solutions, Wealth Management Americas, UBS Financial Services
Pete Thatch, Senior Vice President, Director of Retail Product Management & Strategy, Capital Group

1:15PM – 2:00PM
Keynote Presentation – 2016: A Year of Living Dangerously
Ron InsanaAward-winning Journalist, Financial Analyst, Commentator and Author

Mr. Insana, who for nearly three decades has been a highly respected business journalist and money manager, is a contributor to CNBC and MSNBC and commentator on the most pressing economic and market issues of the day. He also delivers The Market Scoreboard Report to radio stations across the country. He has written for Money magazine and USA Today and has hosted two nationally syndicated radio programs. In addition to his work as a business journalist, Mr. Insana was from 2006-2008 the CEO of Insana Capital Partners, which, at its peak, managed the $125 million Insana Capital Partners "Legends Fund.” He began his career at the Financial News Network in 1984 and joined CNBC when FNN and CNBC merged in 1991. Mr. Insana is known for his high-profile interviews, which have included: Presidents Clinton and Bush; billionaire investors Warren Buffett, George Soros, and Julian Robertson; captains of industry from Bill Gates to Jack Welch and the late Steve Jobs along with top economists and analysts; and global heads of state from Former Soviet leader Mikhail Gorbachev to Jordan's Queen Rania. He was named one of the "Top 100 Business News Journalists of the 20th Century" and was nominated for a news and documentary Emmy for his role in NBC's coverage of 9/11.

2:00PM – 3:00PM
Client Panel: What Do Investors Really Want?  
A panel of investors will offer personal commentary on their experiences working with financial advisors and what the industry should – and shouldn’t – do to help them and other investors meet changing goals. Up for discussion in this no holds barred discussion:

  • What are they looking for in a relationship with an advisor? Which services do they really want – and are advisors delivering them?
  • How do they define success when working with an advisor?
  • Are they familiar with the concept of goals-based wealth management? If so, what does it mean to them?
  • What are their preferred touch points and frequency of contact when working with an advisor?
  • How do they perceive the overall experience of working with an advisor? Are we keeping up with other industries in terms of ease of use and technological innovation?
  • Is social media an effective means of engaging with clients and prospects?
  • Are they aware of and do they understand the DOL fiduciary rule debate? Do they understand that advisors and brokers operate under different standards of care? Does it matter to them?
  • Do clients crave simplicity? In their eyes, is our industry guilty of overcomplicating the investment process?
  • Are they aware of or currently using robo advisor services? Do they find them appealing?

Sterling Shea, Associate Publisher, Head of Advisory and Wealth Management Programs, Barron’s 

3:00PM – 3:30PM
Refreshment and Networking Break

3:30PM – 4:30PM
Advisor Panel: Delivering What Investors Really Want
This panel – made up of advisors from different distribution channels – is deliberately positioned to follow the client panel and will directly address questions and issues raised by the investors. What promises to be a lively discussion will touch on what determines and defines a successful client-advisor relationship, how that success is measured, and innovative ways of driving client engagement and retention. The panelists will also share their perspectives on a number of topics being widely discussed across the industry:

  • The ongoing active vs. passive debate – what the trends are and what they portend for ETF usage going forward.
  • Evolving product usage – the growing roles of ESG, alternative investments, private equity, and boutique/emerging asset managers in portfolio construction.
  • The art and science of capturing Millennial clients – which marketing/sales strategies are effective, which miss the mark, and why.
  • How technology is raising the bar – client expectations are changing and what it takes to forge and maintain a personal connection in the digital age.
  • The pricing challenge – with robo-advisors charging rock-bottom prices for asset allocation, are advisor fees under pressure? How fee conversations are changing and how advisors differentiate the value-added services they provide.
  • Succession planning at the firm level – how firms are attracting and on-boarding younger team members, what it takes to be successful as a new advisor, and how the experience differs from channel to channel. 

Moderator: John Moninger, Managing Director, Retail Sales, Eaton Vance
Douglas J. Eaton, Principal, Eaton Financial Group
Leasha Flammio-Watson, Private Wealth Advisor, Flammio Financial Group, A private wealth advisory practice of Ameriprise Financial Services, Inc.
Sharon T. Sager, Managing Director, Private Wealth Advisor, UBS Private Wealth Management
Michael Stewart, Financial Advisor, Fundamental Choice Portfolio Manager, Wells Fargo Advisors, LLC

4:30PM – 5:45PM   
Breakout Sessions

Looking Ahead: New Trends in Portfolio Construction
In an increasingly complex and ever-changing investment environment, financial advisors must rethink the strategies and vehicles they use to build and manage client portfolios. Against a backdrop of economic and market volatility, this panel will discuss the emerging trends driving change in portfolio construction. Topics to be covered include:

  • how “hands-on” advisors should be,
  • the evolving use of passive and active management strategies,
  • the role of alternative investments,
  • new types of products and platforms on the horizon,
  • the impact of robo advisors, and
  • the opportunities and challenges for product manufacturers and distributors.

Moderator: Robert Stark, Head of Global Strategic Relationships, J.P. Morgan Asset Management
John DeRango, Senior Vice President, Head of Sales, Investment Management, Morningstar
Duy Nguyen, Portfolio Manager and Chief Investment Officer, Invesco Solutions
Curt Overway, President, Managed Portfolio Advisors

Getting Marketing and Sales Alignment Right: Best Practices for Partnership and Growth
Sales and marketing groups are both under pressure to cut costs and improve revenue generation. But does it sometimes feel like your marketing and sales efforts aren't in sync with each other – that marketing is out of touch with what will really resonate with prospects and clients, or that sales is relying too much on marketing coming up with the perfect piece of content to make the sale? According to a report by Aberdeen Research, sales and marketing alignment is critical to driving top-line revenue growth. Companies that are best-in-class at aligning marketing and sales experienced an average of 20% growth in annual revenue, compared to a 4% decline for laggard organizations. Clearly, the role of sales and marketing has had to evolve as the buying and relationship process has been redefined by purchasers gaining fingertip access to a wealth of information with which to make informed decisions. Learn from firms that are implementing best practices – common goal identification, clearly defined responsibilities, carefully structured work flow patterns, collaborative ways of collecting and sharing prospect/customer information – for aligning their marketing and sales efforts to improve marketing ROI and boost sales effectiveness.

Moderator: Steven Miyao, President, kasina, a DST Company
Bob Cunha, Managing Director, Marketing and Distribution Strategy, Eaton Vance
Jessica Douieb, Managing Director, Goldman Sachs Asset Management
Robert Geppner, Head of National Sales- US, Franklin Templeton Investments


Reception & Networking

Thursday, February 18, 2016

7:00AM – 8:00AM   
Networking Breakfast

8:00AM – 8:15AM   
Co-Chair Review of Day One

8:15AM – 9:15AM
Keynote Presentation: Lessons on Leadership from the Gridiron
Phillip Fulmer, Founding Partner, BPV Capital Management and former Head Football Coach, University of Tennessee
Phillip Fulmer, the legendary Volunteers football coach and one of the youngest members ever inducted into the National Football Foundation’s College Football Hall of Fame, will speak about the importance of leadership styles, organizational skills, and communication methods in building a successful business. In discussing the fundamentals of leadership, Coach Fulmer, draws on his experience motivating his teams to victories when the pressure was highest, including the first ever BCS National Championship Game in 1998. He compiled a 152-52 record during his 16 years as head coach and viewed his role as that of a principled mentor. The Coach’s holistic approach encouraged young student athletes towards social, spiritual, academic, and personal growth – lessons which resonate far beyond the college playing field.

9:15AM – 9:30AM
Refreshment and Networking Break

9:30AM – 10:30AM
CEO Leadership Perspectives on the Future of Our Industry
In a panel discussion moderated by MMI President & CEO Craig Pfeiffer, three industry thought leaders – the heads of SIFMA, FSI and ICI – explore six broad themes that will play a major role in the future course of our industry. Topics include: 

  • Reform in the regulatory arena – Next steps with respect to the fiduciary rule along with a look at other probable areas of focus for the DOL, SEC, FINRA, and other regulatory agencies.           
  • Observations on an increasingly competitive landscape – Shifting business conditions, the challenges in attracting and retaining talent, best opportunities for growth, and predictions about where the next frontier will lie.
  • Next generation – As the Baby Boomers age and intergenerational wealth transfer begins in earnest, what will be the dominant characteristics of tomorrow’s investors, financial advisors, sales management and distribution teams, and financial services firm leaders?
  • Technology – What are the productivity vs. cost tradeoffs involved in the decision to build out new systems or continuing to develop and maintain legacy ones? Are we keeping pace with investor expectations?
  • The industry/investor relationship – Where do we stand now? What is working well and where is improvement mandated?
  • Priorities – What are the priorities going forward for each panelist’s organization and its membership? How do they differ from the recent past and where and what is the likely next horizon? 

Moderator: Craig Pfeiffer, President & CEO, Money Management Institute
Kenneth E. Bentsen,Jr., President & CEO, Securities Industry and Financial Markets Association
Dale E. Brown, President & CEO, Financial Services Institute
Paul Schott Stevens, President & CEO, Investment Company Institute

10:30AM - 11:30AM
The “X” Factor = Culture: Leveraging Diversity to Optimize Business Success 
A diverse culture is a critical component in both attracting and developing key talent. In today's highly competitive industry environment, financial services organizations must adopt a multi-dimensional approach to on-boarding the best and brightest and retaining them over the long term. This executive panel will share perspective on how and why they came to think differently about building a culture of excellence. They will discuss the steps taken to ensure that their firms are on the right path to nurturing a diverse culture – one which welcomes and retains superior talent while maintaining a focus on delivering results – and how they made firm culture a core building block to success. Some of the topics to be explored are:

  • pragmatic illustrations identifying stumbling blocks to driving diversity success,
  • innovations in cultural priorities,
  • understanding the growing importance of diversity in financial services,
  • attracting, developing and mentoring next generation talent, and
  • leveraging E/Q to build a more sustainable culture. 

Moderator: Kathy Freeman, Founder & CEO, Kathy Freeman Company
Noreen Beaman, CEO, Brinker Capital
Jeffrey T. Becker, CEO, Voya Investment Management
Cathy Saunders, Head of Registered Investment Advisory Business, Putnam Investments
Shundrawn Thomas, Executive Vice President, Head of Funds and Managed Accounts, Northern Trust

11:30AM – 12:30PM           
The DOL Fiduciary Rule – Rethinking Fiduciary Responsibility 
Since mid-April when the DOL announced its proposed fiduciary rule, speculation about both the likelihood and impact of adoption has been the hottest topic in the industry. In a broad ranging discussion, this panel will focus on recent developments in the ongoing debate and on some of the likely outcomes if the rule is adopted. Among the questions to be addressed:

  • What are the major implications for the industry, investment managers, and sponsor firms? What will the industry look like in a post-DOL world? 
  • What is the anticipated timeline for the DOL’s next steps? How does the recently announced October 2016 target date for the SEC’s long-awaited proposal on a uniform fiduciary rule for brokers and advisors change the game?
  • What will be the impact on marketing and, in particular, on marketing to IRA clients? 
  • Which platforms will be favored by advisors and clients if the proposal is approved?
  • What happens to brokerage accounts? Does the world move to advisory relationships?
  • Will there be share class consolidation? Do A and C shares disappear? 
  • Will a universal share class emerge to take advantage of the low fee exemption?
  • In the evolution of advisory platforms, will the UMA format become the structure of choice?

Moderator: Frank Gregory, Chief Distribution Officer, BPV Capital Management
Tom Sholes, Managing Director, Pershing LLC, a BNY Mellon company 
Jason Bortz, Attorney, Capital Group

Closing Remarks and Adjournment
Craig Pfeiffer, President & CEO, Money Management Institute

Featured Speakers

The Summit – historically a sold-out event – annually convenes the senior marketing and sales executives from MMI member firms for two days of networking and exclusive, closed-door sessions. The program is designed with national sales leaders and CMOs in mind and attendance is limited to two representatives per member firm to ensure a highly interactive experience.

This year’s program focuses on the issues that are top of mind today with MMI’s members and explores how they should inform your marketing and sales strategy. Our theme of New Frontiers is especially apt this year because once again our industry is evolving to navigate previously uncharted territory in a number of areas – regulatory, geopolitical and economic, market and investment related, cultural, and generational. The implications ripple through the entire value chain of advice delivery, affecting how sponsor firms, platform providers, asset managers, and financial advisors interact with each other and – most importantly – how we collectively engage and serve clients.

Keynote Speaker
Ron Insana
Ron Insana

Award-winning Journalist, Financial Analyst, Commentator and Author

Ken Bentsen, President & CEO, Securities Industry and Financial Markets Association

Ken Bentsen
President & CEO, Securities Industry and Financial Markets Association


Dale Brown, President & CEO, Financial Services Institute

Dale Brown

President & CEO, Financial Services Institute
Phillip Fulmer, Founding Partner, BPV Capital Management and former Head Football Coach, University of Tennessee

Phillip Fulmer

 Founding Partner,
BPV Capital Management and former Head Football Coach, University of Tennessee
Paul Schott Stevens, President & CEO, Investment Company Institute

Paul Schott Stevens

 President & CEO, Investment Company Institute

Registration Fee

The registration fee is $1,000.
Attendance is by invitation and limited to two representatives from each MMI member firm. No Press will be in attendance. 

No refunds will be granted for cancellations after 5:00pm ET on Friday, February 5th. Substitutions are permitted. Please notify MMI at (202) 822-4949.

Hotel Information

Eau Palm Beach Resort & Spa
100 South Ocean Blvd.
Manalapan, FL 33462

The MMI group rate of $399 plus taxes/night is available until January 25, 2016.
Make your hotel reservation here.


Call 855-388-0537 and reference the MMI 2016 Sales & Marketing Leadership Summit.

New Sponsorship Opportunities

The Money Management Institute cordially invites you to take advantage of new sponsorship opportunities at the 2016 Sales and Marketing Leadership Summit taking place February 17-18, 2016 at the Eau Palm Beach Resort. For the first time this year, we are offering a select number of sponsorship opportunities at the Summit. Sponsorships are available at different price points for food & beverage functions during the event.

The Summit, which is an exclusive, closed door session limited to two representatives per member firm, has become a must-attend event for the most senior sales and marketing executives in the advisory solutions industry. This is a unique opportunity to gain exposure and build relationships with this influential audience. View a listing of the available sponsorship packages and associated benefits. 

Please contact Linda Pierre at 202-822-4949 or lpierre@mminst.org with questions and for additional information.


Attendee Registration:
Nia Edwards - nedwards@mminst.org
(202) 822-4949

Speaker Registration:
Laura Payne - lpayne@mminst.org
(202) 822-4949

Fees & Billing:
Michelle Marsh - mmarsh@mminst.org
(202) 822-4949

Sponsorship Opportunities:
Linda Pierre - lpierre@mminst.org
(202) 236-0935

CE Credit

IMCA has accepted the 2016 MMI Sales & Marketing Leadership Summit for 4.5 hours of CE credit towards the CIMA®, CIMC® and CPWA® certifications. If you hold the CIMA®, CIMC® or CPWA® certification(s), you may report this CE program online by logging into your My IMCA account at www.imca.org/user. The Program ID number will be provided after you have completed the program.