2017 MMI Annual Conference

October 2-4, 2017 | Chicago, IL
Swissôtel Chicago

The Future of Advice: The World Turned Upside Down?

BIG NEWS! In 2017, the MMI Annual Conference expands to three days, moves to the Fall and takes the place of a standalone Fall Solutions Conference.

Estee Jimerson, Managing Director, Head of Asset Manager Distribution, Envestnet
David Lindenbaum, Vice President, Managed Accounts & Alternative Investments, Charles Schwab & Co.

As MMI marks its 20th anniversary, the 2017 Annual Conference will look ahead – focusing on how the investment advisory solutions industry will evolve over the next decade and what it might look like in 2027.

  • What will be the key drivers of change?
  • What products and tools will be required to deliver successful outcomes for investors?
  • Where do the greatest challenges and opportunities lie?
  • How will the roles of distributors, asset managers, and financial advisors change and what will be their value-add?

Our expanded three-day format means more sessions, more expert speakers, and more time to drill down on the acknowledged “revolutions” under way – digital, consumer, passive, global, wealth transfer, and fiduciary, to name just a few – but also to consider the potential game changers around the corner and how best to prepare for them.

The Conference program mixes an exciting lineup of keynote speakers, general sessions, and “Ted Talk”-style presentations with specialized subject tracks on day 2. To add a festive note, the annual Industry Leadership Awards Dinner on October 3rd will be MMI’s official 20th anniversary celebration with special guests and activities.

In keeping with MMI’s 20 years of industry leadership, the 2017 Annual Conference will be forward-looking, provocative and, most importantly, aspirational. It’s not just about where our industry is headed, but what we want it to look like in 2027.

If you want to keep pace with the individuals, firms, and trends driving the future of advisory solutions, join us in Chicago for a one-of-a-kind event 20 years in the making!

Additional Information


Date Time Title
Monday, October 2 1:00pm - 1:15pm Welcome
Craig Pfeiffer, President & CEO, MMI;
Roger Paradiso, Chairman, MMI;
Estee Jimerson and David Lindenbaum, Conference Co-Chairs
Monday, October 2 1:15pm - 2:00pm Industry Insight
Kunal Kapoor, CEO, Morningstar and
Craig Pfeiffer, President & CEO, MMI
Monday, October 2 2:00pm - 3:00pm General Session
Technology...A Tailwind for the Future of the Advisory Solutions Industry

It’s no secret that market forces and shifting demographics are dramatically changing the advice industry, challenging advisors and their firms to customize client service and engagement across a broad population. This session will examine how technology – when precisely applied – can leverage these efforts. Leaders from three world renowned organizations will share their views on the impact of technology today, how it is likely to expand, and the directions in which it may lead us. 

Moderator: Steve Gresham, Executive Vice President, Fidelity Investments
Rohit Mahna, Senior Vice President of Financial Services, SalesForce
Brian Walter, Global Leader, IBM Watson Client Insights and Cognitive Experience, Watson Financial Services Solutions

Monday, October 2 3:00pm - 3:30pm Solutions Spotlight
Monday, October 2 3:30pm - 4:00pm Networking Break in Solutions Center
Monday, October 2 4:00pm - 5:00pm CEO Spotlight
Craig Pfeiffer, President & CEO, MMI;
Kevin Clifford, Chairman & CEO, American Funds Distributors;
Tom Faust, Chairman, President & CEO, Eaton Vance;
Lisa Jones, President & CEO, Pioneer Investment Management USA
Monday, October 2 5:15pm - 7:00pm Opening Reception in Solutions Center
Tuesday, October 3 7:00am - 8:00am Networking Breakfast in Solutions Center
Tuesday, October 3 8:00am - 9:00am General Session
Managing Unconscious Bias™

A central thread in the fabric of great leadership – at all levels – is the ability to inspire the performance of others across all diversity dimensions and cultural and geographic borders. In this session, leadership expert Stephen Young offers insight and direction on how to send messages that unlock the performance of others. He will demonstrate how subtle communication patterns – what he terms MicroInequities – can reveal unconscious bias, significantly impacting business performance and employee morale. Mr. Young will share skills and techniques to help identify and actively manage unconscious bias through our micromessages – the nuances in gestures, facial expressions, tones of voice, word choices, and eye contact – that can be either debilitating or empowering to employees and to your effectiveness as a leader. Understanding the power of micromessages, whether negative or constructive, Mr. Young argues is the key to improving your leadership skills and driving employee loyalty, retention, and most critically, performance.   

Stephen Young, Senior Partner, Insight Education Systems
Sponsored by Edward Jones

Tuesday, October 3 9:15am - 10:15am Sales & Marketing: Session 1
This track focuses on new paradigms and practices in the distribution of investment advisory solutions. Topics include: the continued integration of sales and marketing functions; a channel-by-channel look at challenges and opportunities; where advisor discretion is headed; successful partnership models for managers and broker-dealers; how to serve multiple client segments simultaneously; the future of revenue share arrangements; effective use of data and predictive analytics; and what wholesaling will look like in 10 years. Attendees will understand the forces reshaping the distribution of advisory solutions and hear first-hand from sales and marketing pros at sponsors and asset managers. 
    Regulatory & Compliance: Session 1
This track focuses on the most significant regulatory and compliance issues impacting investment advisory solutions from both the sponsor and asset manager perspectives. Topics include: operating in the post-DOL world; the future direction of retirement advice; new approaches to risk assessment and business intelligence; best practices for managing cyber threats; and managing SMA and model portfolio trading issues. Attendees will gain practical insight and takeaways from CCOs, industry consultants, and business experts who are on the front lines navigating these challenges on a daily basis. 
    Technology & Operations: Session 1
This track examines – from a technology and operations perspective – what the worlds of asset and wealth management will look like in 2027. Topics include: the radical impact of technology on the investment process and investor experience; how digitally-enabled advice is impacting the competitive landscape in different channels; how the original robo disruptors are evolving their business models and how industry incumbents are responding; the pros and cons of outsourcing; and the cutting-edge tools that are transforming client interactions and servicing, sales and marketing practices, and platform operations. Attendees will gain an understanding of scalable opportunities from the experts at asset managers, sponsor firms, and leading solutions providers.
    Product Development: Session 1
This track focuses on what the advisory solutions product shelf may look like in 10 years, examining key factors and drivers for both asset managers and distributors. Topics include: new outcome-oriented, benchmark-agnostic products; the next evolution of active management with a look at the types of vehicles, strategies, and pricing structures that are emerging; the use of risk management and hedging tools; making SRI “sustainable”; and the life cycle phases of an emerging asset manager. Attendees will gain an understanding of current trends in advisory product development and what they portend for the future.  
Tuesday, October 3 10:15am - 10:45am Networking Break in Solutions Center
Tuesday, October 3 11:00am - 12:00pm Sales & Marketing: Session 2
    Regulatory & Compliance: Session 2
    Technology & Operations: Session 2
    Product Development: Session 2
Tuesday, October 3 12:00pm - 1:15pm Networking Luncheon in Solutions Center
Tuesday, October 3 1:15pm - 2:15pm Sales & Marketing: Session 3
    Regulatory & Compliance: Session 3
    Technology & Operations: Session 3
    Product Development: Session 3
Tuesday, October 3 2:30pm - 3:30pm Sales & Marketing: Session 4
    Regulatory & Compliance: Session 4
    Technology & Operations: Session 4
    Product Development: Session 4
Tuesday, October 3 3:30pm - 4:00pm Networking Break in Solutions Center
Tuesday, October 3 4:00pm - 5:00pm

General Session
Funding the Next Wave of Financial Services Innovation

It’s no secret that financial services lags behind other industries in critical areas of technological and operational efficiency. Across the industry, firms are now investing heavily in technology up and down the entire supply chain, driving transformative change in wealth and investment management. Hear from a panel of executives whose firms are at the forefront of funding the next wave of technological innovation in our industry as they discuss which areas they believe are most ripe for disruption, which emerging technologies appear to hold the most promise, how they seek and evaluate opportunities, and the characteristics they look for in technology investments. Our experts will also discuss the prospects for firms outside our industry – think Amazon acquiring Whole Foods – jumping into the game with potential acquisitions or partnerships and what the consequences would be.

Mark Casady, General Partner and Chairman of the Advisory Board, Vestigo Ventures

Tuesday, October 3 5:00pm - 6:30pm Networking Reception in Solutions Center
Tuesday, October 3 6:30pm -  9:00pm Industry Leadership Awards Dinner
Wednesday, October 4 7:15am - 8:15am Networking Breakfast in Solutions Center
Wednesday, October 4 8:15am - 9:00am Keynote Address
Tim Pawlenty, President and CEO, Financial Services Roundtable
Wednesday, October 4 9:00am - 9:30am Solutions Spotlight
Wednesday, October 4 9:30am - 10:30am

General Session
Relentless Solution Focus: The Ultimate Measure of Mental Toughness
Dr. Jason Selk, considered one of the country’s premier performance coaches, has helped Fortune 100 executives and their organizations along with well-known professional and Olympic athletes develop the mental toughness necessary for high-level success. In this keynote presentation, he discusses Relentless Solution Focus (RSF), a proven methodology that helps leaders develop the discipline needed to overcome obstacles to achievement – both professionally and personally – and produces organizations that are healthier, happier, and more successful. Dr. Selk will demonstrate simple exercises you can use to retrain your brain to quickly replace the negative thinking that arises when we are confronted with a problem with solution-focused thought within 60 seconds.  

Dr. Jason Selk, Performance Coach & Best-Selling Author

Wednesday, October 4 10:30am - 11:00am Networking Break in Solutions Center
Wednesday, October 4 11:00am - 12:00pm Sales & Marketing: Session 5
    Regulatory & Compliance: Session 5
    Technology & Operations: Session 5
    Product Development: Session 5
Wednesday, October 4 12:00pm - 1:00pm  General Session with Closing Luncheon

Keynote Speakers

Kunal Kapoor
Kunal Kapoor
Tim Pawlenty
President & CEO
Financial Services 
Tim Pawlenty
Jason Selk
Performance Coach & 
Best-Selling Author
Jason Selk
Stephen Young
Senior Partner
Insight Education Systems 
Steve Young

Featured CEO panel:

Kevin Clifford
Chairman & CEO
American Funds Distributors

Kevin Clifford
 Tom Faust
Chairman, President & CEO
 Eaton Vance
Tom Faust
  Lisa Jones
President & CEO
Pioneer Investment 
Mgmt USA
Lisa Jones

Registration Fees

Register early to take advantage of Early Registration pricing, now through July 31. Registration categories and pricing are as follows:

Early Registration: Through July 31 Member: $1,695.00  Non-Member: $2,195.00
Advance Registration: August 1 - August 31 Member: $1,795.00  Non-Member: $2,295.00
Standard Registration: September 1 - Onsite  Member: $1,895.00  Non-Member: $2,395.00
One Day Rate - October 3 only  Member: $1,295.00 Non-Member: $1,795.00

No refunds will be granted for cancellations after 5:00pm ET on Friday, September 1, 2017. Substitutions are permitted. Please notify MMI at (646) 868-8500.

Volume Discount for Multiple Attendees
Save 10% off the prevailing registration rate for the third registrant and beyond from the same firm. Contact MMI headquarters at (646) 868-8500 for details and the special code to use during the registration process.

Hotel Information

Headquarters Hotel – Swissôtel Chicago | Hotel Cutoff Date – September 12, 2017

323 East Upper Wacker Drive
Chicago ▪ IL 60601-9722
Main: (312) 565 0565

MMI Group Rate: $309 plus 16.4% tax per night

Swissôtel Chicago is an award winning, four-diamond, all-glass triangular luxury hotel ideally situated in the confluence of the Chicago River and Lake Michigan, and is just steps away from exclusive shopping on The Magnificent Mile in downtown Chicago. 

The MMI group rate of $309 plus 16.4% tax per night for single or double occupancy is available through Tuesday, September 12, 2017 on a first-come, first-served basis. Reservations made after the cutoff date will be accepted based on availability at the best available rate.

Reserve your room online at https://aws.passkey.com/go/mmi2017 or call (888) 737-9477 and reference the 2017 MMI Annual Conference.  

2017 MMI Industry Leadership Awards Dinner

Join us on Tuesday, October 3rd for the 2017 MMI Industry Leadership Awards Dinner, where we will present our annual awards recognizing achievement and innovation in investment advisory solutions. We will also honor the 2017 MMI Advisory Solutions Pioneer. In addition to recognizing outstanding industry performance, this festive evening will be the official celebration of MMI’s 20th anniversary and serve as a fundraiser for MMI’s Gateway to Leadership workplace diversity program.

Individual tickets and tables for the dinner can be purchased as part of your Annual Conference registration or separately by calling (646) 868-8500.  

As Gateway to Leadership is a 501(c)(3) charity, $175.00 of the individual seat fee and $1,300.00 of the table fee are tax deductible.

Partners & Sponsors

 2017 MMI Titanium Partner

BNY Mellon

2017 MMI Platinum Partners

Fiserv                     Vestmark


2017 Silver Sponsors


2017 Bronze Sponsors

                                   Envestnet          EY logo

Sponsor & Exhibitor Opportunities

2017 ProspectusThe year-long celebration of MMI’s 20th Anniversary will culminate at the 2017 Annual Conference in Chicago. We’re anticipating increased attendance and a full house of 400 investment advisory solutions executives.

The Conference represents a truly unique opportunity to build brand awareness, showcase your firm's offerings, and make new connections. A limited number of premium sponsorship packages, exhibit hall booths, and à la carte sponsorship items are available. Act now to secure your preferred selection and save 20% on Premium Sponsorships through June 30, 2017.

Download our comprehensive guide to Sponsor and Exhibitor opportunities.
Download Now

Be part of the action at the investment advisory solutions industry's most important event of the year.

Contact Joan Lensing (jlensing@mminst.org) or Jackie Willis (jwillis@mminst.org) immediately for additional information and to reserve your space.


Attendee Registration:
events@mminst.org or (646) 868-8500

Speaker Registration:
Laura Payne

lpayne@mminst.org or (646) 868-8510

Fees & Billing:
Samantha Lustig

slustig@mminst.org or (646) 868-8516

Sponsorship & Exhibitor Opportunities:
Joan Lensing or Jackie Willis

jlensing@mminst.org or (646) 868-8518
jwillis@mminst.org or (646) 868-8513