2018 Sales & Marketing Leadership Summit

Invitation Only
March 20-21, 2018 | Tampa, FL
Marriott Tampa Waterside Hotel & Marina

Kimberly LaPointe, Executive Vice President, Head of Global Accounts, PGIM Investments
Roddy Marino, Executive Vice President, National Accounts and Distribution, Brinker Capital

Embracing the Advisor of the Future: The Shifting Landscape of Advisory Distribution

Amid profound shifts on the technology, demographic, and regulatory fronts, there is lots of industry conversation about what the delivery of advisory solutions and the Financial Advisor of the Future will look in 5, 10 or even 20 years. Meanwhile, advisors are on the front lines every day grappling with clients’ evolving needs and increased expectations. This year’s Summit will take a step back and examine the advisory solutions landscape from the practitioner’s point of view. What are the greatest challenges and opportunities as seen through the advisor’s lens? And what, in turn, are the ramifications for asset managers and sponsor firms in terms of such key issues as overall business strategy, advisor engagement and support models, product development, use of digital, etc.?

Among the topics we’ll tackle:

  • An Evolving Value Proposition? – Firms are increasingly encouraging advisors to focus on client relationships and asset gathering rather than investment management.  Where are these efforts gaining traction, and what are the implications?
  • Blurring Lines – As the distinction between the institutional and retail marketplaces continues to fade, how does that impact advisory distribution models? How are firms refining distribution roles, and where are they placing the biggest bets?
  • The Impact of FinTech – Sponsor firms and asset managers are racing to adopt “digital” across all business fronts and to arm advisors with new automated advisory tools. What is the uptake, and what are the major challenges to adoption?
  • A Solutions Mindset – Low cost, transparency, goals-based, multi-asset, ESG, alternatives – these are just a few of the themes that come up in any discussion of advisory product. But which are the top priorities for advisors and clients – and how does that inform how managers and distributors should think about product development and the solutions they deliver?
  • The Gatekeeper Effect – If the advisory tides are shifting in favor of home-office and third-party strategist models, what is the knock-on effect on asset managers? How are gatekeeper relationships changing, and what will they look like in the future?

Additional Information


Agenda as of 2/21/18
Download PDF

Tuesday, March 20, 2018

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

1:00PM – 1:15PM
Welcome and Opening Remarks
Roger Paradiso, Chairman of the Board of Governors, Money Management Institute
Craig Pfeiffer, President & Chief Executive Officer, Money Management Institute

Summit Co-Chairs:
Kimberly LaPointe
, Executive Vice President, Head of Global Accounts, PGIM Investments
Roddy Marino, Executive Vice President, National Accounts and Distribution, Brinker Capital

1:15PM – 2:00PM 
Opening Keynote
Vice Admiral Sean A. Pybus, USN
, Executive Leader, Military Veteran, U.S. Special Operations Command

2:00PM – 3:00PM
Executive Spotlight Panel
Craig Pfeiffer, President and Chief Executive Officer, Money Management Institute

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

3:30PM – 4:30PM 
The Gatekeeper Effect
If the advisory tides are shifting in favor of home-office and third-party strategist models, what is the knock-on effect on asset managers? How should managers strike the right balance between working with distributors to secure model shelf space and driving frontline sales through traditional wholesaling efforts? How are manager relationships with gatekeepers and financial advisors evolving – and what will they look like in the future?
Key takeaways will include:

  • Steps managers can take to maximize relationships with their most important centers of influence
  • How managers can increase the odds of placing their products in distributor models
  • The role field sales teams can play in supporting broker-dealer home office initiatives
  • Working effectively with broker-dealer regional sales directors
  • How managers can best leverage client PMs and product specialists to drive their success

Phil Casparius
, Senior Managing Director, John Hancock Investments

Joel Hempel, Chief Operating Officer, Lockwood Advisors, Director, Pershing, a BNY Mellon company
Paul Santucci, Managing Director, Head of Field Development & Productivity, UBS Wealth Management USA
Tom Thornton, Manager Research, Due Diligence, Raymond James

4:30PM – 5:45PM
Breakout Sessions – Choose One: 

The Future of Advisor Product Usage: Who Will Shape the Solutions Mindset? 
This session looks ahead to how advisors will blend evolving advisory platform capabilities with asset manager expertise to create client solutions. Asset management and advisory platform executives will share their views on how trends in discretion and portfolio construction will impact advisor product usage in the future.
Among the questions the panel will explore:

  • How will asset allocation models for retail investors evolve and expand? Will real assets and private equity become part of the mix?
  • Are advisors moving toward more outcome-oriented metrics to judge investor portfolio performance?
  • Which types of advisors are adopting multi-asset products, and how are they using them?
  • How will shifting centers of influence in portfolio construction impact product development?
  • Given the level of assets and the recent velocity of flows in RPM programs, can behavioral finance provide a path to a more stable investment selection process? How can asset managers help?

Jeff Strange
, Managing Director of U.S. Research, Strategic Insight

Scott Brady
, Head of U.S. Product Development and Strategy, Columbia Threatneedle
Brian Rosevear, Head of Portfolio Solutions, Consulting Group, Morgan Stanley Wealth Management
Russell Tipper, Head of WM Product, American Funds

Solving the ESG Conundrum
On the surface, the business case for ESG investments is a strong one. Money on the sidelines waiting to be invested, clients who increasingly want to align their investments with their values, a growing shelf of ESG products … but so far net flows to these products haves been relatively light. Where is the disconnect? This panel of experts will share their opinions and discuss what needs to be done to unlock the potential of ESG and sustainable investing. 
Discussion topics will include:

  • Is the client demand for ESG real or overstated?
  • How should advisors broach the very personal conversation about values-based investing with clients?
  • What are the educational challenges, and what tools can asset managers and distributors provide to help advisors become more proficient in ESG topics?
  • How should managers and sponsor firms view and approach the ESG/sustainable investing landscape?
  • Is a suite of ESG products still a differentiator or has it become table stakes?

Laura Gregg
, Senior Vice President, Director of Client Development, FlexShares Exchange Traded Funds

Anthony Eames
, Director of Responsible Investment Strategy, Calvert Research & Management
Jessica Huang, Director, BlackRock
James Lumberg, Co-Founder, Vice President & Managing Director, Product Service and Development, Envestnet

Reception & Networking 

Wednesday, March 21, 2018

7:00AM – 8:00AM
Networking Breakfast  

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

8:15AM – 9:15AM
Keynote Presentation
Tom James, Chairman Emeritus, Raymond James Financial 

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

9:30AM – 10:30AM
Advisor Panel: The Practitioner's View of the Advisor of the Future
In the face of heightened client expectations and a shifting advisory landscape, three veteran financial advisors will share insights on how they are evolving and adapting their practices to create better client outcomes and sustained growth in their businesses.  Topics will include best practices and lessons learned about building and managing teams, delivering superior client results and service, and the dynamics of portfolio construction in an unpredictable market.

Sterling Shea
, Associate Publisher, Barron’s

Louise Armour
, Managing Director, Tiano, Armour & Smyth Wealth Managers at J.P. Morgan Securities
Clarke Lemons, President, Principal, WaterOak Advisors
Kimberlee Orth, Private Wealth Advisor, Orth Financial Group, Ameriprise Financial Services

10:30AM – 11:30AM
Asset Manager Spotlight: The New Realities of Wholesaling Support 
Reflecting the shifting advisory landscape, advisors today are looking for less frequent, but more strategic interactions with fewer wholesalers. This reality is challenging traditional distribution models and forcing firms to examine – and potentially retool – every aspect of how they interact with financial advisors. This panel of senior distribution executives will discuss how engagement models are changing and what it will take to successfully support the Advisor of the Future.  
Our experts will share their insights on:

  • The difference between “wholesaling” and “consulting” 
  • How the increased influence of gatekeepers impacts wholesaling activities
  • Ways to define and recognize your best financial advisor partnerships
  • Where wholesaling can make a difference and how to measure its impact
  • Strategies to best align field sales force resources for success
  • Creating a differentiated value proposition for your wholesalers

Wendy Strutt
, SVP, Head of US Accounts, PGIM Investments

Tim Hill, Executive Director, National Sales, Principal Global Investors
Ed Kelly, Executive Vice President of National Sales, Brinker Capital
George Sweeney, National Sales Manager, OppenheimerFunds

11:30AM – 12:30PM 
Washington Update

As 2018 gets into full swing, the advisory solutions industry is digesting an expansive list of changes from the Trump Administration, including:

  • passing of the Tax Cuts and Jobs Act,
  • proposed national infrastructure repair program,
  • additional changes to the Affordable Care Act,
  • changes to immigration law and enforcement procedures, and
  • continued rollback of many industry specific regulations.

Add to this list the uncertainty of the 2018 midterm elections - whether Republicans can maintain their majority in both houses, or whether Democrats' "blue wave" will become a reality.

Jeff Bush, an expert in political and legislative affairs, will focus on the implications of these various factors on the advisory solutions industry.  He will discuss the extent to which Congress will adopt the President's legislative initiatives and how those are likely to impact the economy, the markets, industry sectors, and investments.  Specifically, Jeff will examine the extent to which the administration is likely to overturn or soften regulatory initiatives, including the controversial Department of Labor fiduciary rule, while providing strategies that investors and financial advisors may consider to take advantage of (or protect against) market volatility that may arise as these initiatives progress.

Jeff Bush, The Washington Update

Closing Remarks and Adjournment
Craig Pfeiffer
, President & Chief Executive Officer, Money Management Institute

Keynote Speakers


Jeff Bush
The Washington Update

Thomas A. James
Chairman Emeritus
Raymond James Financial

Vice Admiral Sean A. Pybus
USN, Executive Leader,
Military Veteran,
U.S. Special Operations Command

Partners & Sponsors





Sponsorship Opportunities

Several high-profile sponsorship opportunities are available for the 2018 Sales & Marketing Leadership Summit.

For additional information, please contact Joan Lensing at jlensing@mminst.org or (646) 868-8518.

Registration Fees

Registration categories and pricing are as follows:

Registration Date Registration Type Registration Fee Volume Discount*
February 17 - Onsite
Standard Registration
$1,795  $1,695 

*The Volume Discount applies to the third registrant (and beyond) once two individuals from the same firm register at the Standard Registration rate of $1,795. The Volume Discount may not be combined with other discounts or other reduced fees.

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, March 9th. 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 Information


Tampa Marriott Waterside Hotel & Marina

700 South Florida Avenue
Tampa, FL 33602
Main: (813) 221-4900
Reservations: (888) 789-3090

Hotel Reservations

About the Tampa Marriott Waterside:
The Tampa Marriott Waterside Hotel & Marina boasts a premier location on Tampa's pedestrian-friendly Riverwalk, and connects guests to downtown's dynamic cultural venues, city parks and vibrant nightlife.

Hotel Guest Room Rate:
MMI's room block rate for attendees is $259 per night for standard rooms, plus applicable state and local taxes.
To make your reservation, please follow this link or call (888) 789-3090 and reference the 2018 MMI Sales & Marketing Leadership Summit.

Hotel Reservations Cut-off Date: February 26, 2018
After February 26, 2018, rooms may be reserved on a space and rate available basis only.


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