2018 MMI Emerging Asset Managers Forum

May 1, 2018 | Chicago, IL
Northern Trust Investments

Co-Chairs:
Darryl Keeton, Head of Distribution, Homestead Funds
Robert Tynes, Managing Director, Gratry & Company


The asset management industry is undergoing radical changes in the ways that business is being sought and retained, both at the retail and institutional levels. Technological advances along with the increased speed and depth of information are influencing our relationships with clients and challenging the principles of how asset managers compete. Engaging distributors is more challenging - winning is even harder.  

Against this rapidly-evolving industry landscape, emerging asset managers face their own special set of challenges and opportunities. That makes the theme of this year’s Forum – Moving Ahead, Next Steps – particularly apt. Our discussions will home in on strategies and best practices to deal with everything from overcrowded shelf space and the new realities of product rationalization to fee compression and successfully engaging distributors. Our goal is to help you rethink and prioritize critical decision steps in the asset manager lifecycle and position your firm as a thriver, not just a survivor.

  • What should be your top offensive/defensive priorities?
  • How do you choose the right distribution targets?
  • Is your product offering properly differentiated to appeal to those targets?
  • Partner or build? Is your digital strategy keeping up with advancements in fintech and Big Data?
  • Should you jump on the ESG bandwagon?

The Emerging Asset Managers Forum is by invitation only. Attendees are selected by their respective firms to attend, and firms are limited to three attendees each. If you have not received an invitation to this event, but would like to attend, please contact Arlen Oransky ​at aoransky@mminst.org or (646) 868-8505. Please note, space is limited.


Additional Information

Agenda

Agenda as of 4/26/18
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7:45am – 8:15am
Registration and Breakfast                                                                                     

8:15am – 8:30am
Opening Remarks

Arlen Oransky, Senior Vice President, Chief Membership & Programs Officer, Money Management Institute

Co-Chairs:
Darryl Keeton,
Head of Distribution, Homestead Funds
Robert Tynes, Managing Director, Gratry & Company

8:30am – 9:15am
Vision and Focus: Three Keys to Driving Success for Asset Managers 

In this keynote address, Doug Dannemiller, Research Leader of Investment Management at Deloitte, will examine how – in the face of narrowing profit margins and stagnancy – some exceptional asset management firms will rise above the malaise of averageness and excel in this challenging environment. Winning firms will retool by focusing on three key areas: restructuring product portfolios, streamlining operations, and delivering technology-inspired customer experiences designed for the digital era. Their success will require an accurate vision of the future and a tenacious focus on near-term execution to turn aspiration into strategic advantage.

Doug Dannemiller, Research Leader, Investment Management, Deloitte

9:15am – 10:15am
Emerging Asset Manager Executive Spotlight
Lifecycle Stages: Navigating the Path to Success

All industries and product segments need to navigate a lifecycle. For some, it is linear; for others it is cyclical, meaning that the continuum through the stages of development, introduction, growth and maturity can be a one-way journey or a cyclical combination of the four. By all measures, the asset management industry – as a whole – is in the maturity stage. This begs the question of what lessons emerging asset managers can learn and leverage as they navigate their own individual paths. This panel will review the key lifecycle stages and provide real-life examples of how practitioners – including both asset management and distribution leadership – have achieved success dealing with stage-specific issues and opportunities.

Moderator:
Russell Parker,
President, rpmAUM

Panelists:
Jack Hanna, IV,
Director of Marketing, Flippin, Bruce & Porter
Michael Saliba, Director of Marketing, Baillie Gifford
Keith Sloane, Head of Third Party Distribution, USAA

10:15am – 10:30am
Networking & Refreshment Break

10:30am – 11:30am
FinTech’s Growing Influence in Asset and Wealth Management

The revolution in digital technology has disrupted one business sector after another – think bookstores, travel agents, and taxis, to name but a few. Closer to home, there is no doubt that FinTech is driving new competition, new products, and new business models in the asset and wealth management industries, forcing asset managers to rethink their strategy and approach as more rapid, more innovative customer engagement becomes the norm. This session will define FinTech in the context of the emerging asset manager, explore trends that are developing in the delivery of financial advice and investment solutions, and discuss how emerging asset managers, despite limited resources and expertise, can best leverage FinTech to create a digital strategy. We will also look to the banking and insurance channels for parallels and lessons that can be learned.

Moderator:
Julien Courbe,
Partner, PwC

Panelists:
Randy Bullard,
General Manager, Wealth Management, SigFig
Tom Gatto, Director, Artivest
Michael Smith, Founder, Executive Vice President, InvestCloud

11:30am – 12:30pm
The Big Data Quandary

“Big Data” is a term that describes the large volume of data – both structured and unstructured – that inundates a business on a day-to-day basis. But it’s not the amount of data that’s important. It is what organizations do with the data that matters. Ideally, it can be analyzed for insights that lead to improved decision making and the formulation of sound business strategies. This panel will explore trends in Big Data as they pertain to the financial services/asset management industry. In particular, we will examine available tools and technology that offer emerging asset managers access to relevant information which can yield great efficiency in the areas of distribution and portfolio management. We will also debate the resource commitment necessary to embrace Big Data and, on the flip side, the risks of ignoring it. 

Moderator:
Robert Tynes,
Managing Director, Gratry & Company

Panelists:
Tim Gaumer,
Director of Fundamental Research, Thomson Reuters
Bob Herrmann, President & CEO, Discovery Data
Scott Rompala, CEO, Managing Director, DataCatalyst

12:30pm – 1:45pm
Networking Lunch

1:45pm – 2:45pm
General Session – The Future of ESG – Is the Demand Real?

Assessing the ESG Opportunity 
The demand for ESG or Sustainable Investing continues to gain momentum. The US SIF Foundation’s 2016 biennial Report on U.S. Sustainable, Responsible, and Impact Investing Trends published in November states that assets invested across ESG strategies in the United States rose to $8.7 trillion in 2016, an increase of 33% since 2014. Key reasons cited by asset managers for incorporating ESG factors include client demand (85%), mission (83%), risk (81%), returns (80%), social benefit (79%), and fiduciary duty (64%). This session will explore the ESG landscape and the opportunities – and associated challenges – for emerging asset managers in this burgeoning space.

Moderator:
Mamadou-Abou Sarr,
Director of Product Development & Sustainable Investing, Northern Trust Asset Management

Panelists:
Luis Diez,
Senior Vice President, Head of Fixed Income Manager Research, Northern Trust Asset Management
Amy Farrell, Senior Sustainable Investing Specialist, Sustainable and Impact Investing, UBS Asset Management
Joe Sinha, Chief Marketing Officer, Parnassus Investments

2:45pm – 3:00pm
Networking & Refreshment Break

3:00pm – 5:00pm
Platform Sponsor Roundtable
                                         
This highly interactive two-hour session was cited by previous Forum attendees as the highlight of the conference. The format provides an opportunity for asset managers and gatekeepers from different distribution channels to engage in direct dialogue. The roundtable will:

  • put you face-to-face with knowledgeable executives from different intermediary channels,
  • allow you to hear directly from key sponsor firms the best ways to engage with them and add value to their efforts, and
  • provide a road map to navigate specific platform sponsors and create natural follow-up steps. 

To provide maximum value and make efficient use of the available time, manager representatives will have the opportunity to submit questions to platform sponsors in advance of the Forum.

National/Regional Firm Channel:
Jim Peters, Managing Director, Head of Global Equity Due Diligence, Merrill Lynch Wealth Management
Bryan Luebbert, Principal, Investment Advisory, Edward Jones
Tom Thornton, Senior Vice President, Research Director, Asset Management Services, Raymond James Financial

Bank Trust/Bank Broker-Dealer Channel:
Luis Diez,
Senior Vice President, Head of Fixed Income Manager Research, Northern Trust Asset Management
Ric Mayfield, Managing Director, Manager Research, Senior Vice President, SunTrust Advisory Services
Kevin Sullivan, Senior Research Director, Team Lead – Global Equities, Global Manager Research, Wells Fargo Investment Institute

TAMP/RIA Channel:
Michael Honer, Vice President and Portfolio Manager, Lockwood Advisors
Estee Jimerson, Managing Director, Head of Asset Manager Distribution & Engagement, Envestnet

5:00pm
Closing Remarks

Co-Chairs:
Darryl Keeton,
Head of Distribution, Homestead Funds
Robert Tynes, Managing Director, Gratry & Company

Keynote Speaker

Doug Dannemiller
Research Leader, Investment Management
Deloitte

 

 

Partners & Sponsors

 2018 MMI TITANIUM PARTNER 

BNY Mellon

 

FORUM SILVER SPONSOR

Archer

 

FORUM BRONZE SPONSOR

Sponsorship Opportunities

The Forum represents a unique opportunity to make new connections within the emerging asset manager community and showcase your firm's offerings.

Please review the available packages and contact Arlen Oransky (aoransky@mminst.org or 646-868-8505) to reserve your sponsorship as soon as possible.

CE Credit

Investments & Wealth Institute® has accepted the 2018 MMI Emerging Asset Managers Forum for 5.0 hours of CE credit towards the CIMA® and CPWA® certifications.

Registration Fee

Registration Fee: $895.00

Cancellation/Transfer Policy

All cancellations and transfers are subject to a $50 cancellation/transfer fee. Full refunds minus the $50 cancellation/transfer fee will be granted for cancellation requests received prior to 5:00PM ET on Friday, April 20th. After that time, no refunds or credits will be granted, however your registration can still be transferred to another individual at your firm. To cancel or transfer your registration, please notify MMI at (646) 868-8500.

Hotel Suggestions

The following hotels are suggested options near the Forum (located at Northern Trust Investments, 50 LaSalle Street, Chicago, IL).

Club Quarters Central Loop
Phone: +1 (312) 214-6400
111 West Adams Street
Chicago, IL 60603
Hotel Website
Distance to Northern Trust: .02 mile

The Gray, A Kimpton Hotel
122 W. Monroe Street
Chicago, IL 60603
(312) 750-9012
Hotel Website
Distance to Northern Trust: Across the street

Hyatt Place Chicago The Loop
28 N. Franklin Street
Chicago, IL 60606
(312) 955-0950
Hotel Website
Distance to Northern Trust: .02 mile

JW Marriott
151 W. Adams Street
Chicago, IL 60603
312-660-8200
Hotel Website
Distance to Northern Trust: .01 mile

Oakwood at 200 Squared
Phone: +1 (312) 782-2002
210 N Wells St
Chicago, IL 60606
Hotel Website
Distance to Northern Trust: .03 mile

 

Questions?

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 Opportunities:
Joan Lensing or Jackie Willis
jlensing@mminst.org or (646) 868-8518
jwillis@mminst.org or (646) 868-8513