Tuesday, February 7, 2017
12:00pm – 12:45pm
Registration and Lunch
12:45pm – 1:00pm
Craig Pfeiffer, President & CEO, Money Management Institute
MMI Distribution Leadership Forum Co-Chairs
John Moninger, Director of Retail Sales, Eaton Vance
Mark Spina, Head of U.S. Private Client Services, Russell Investments
1:00pm – 2:00pm
The Next Small Thing: The What, How, and Why of Making Your Practice 1% Better
True Story: The Wholesaler Masterminds® coaching prospect was the twelfth employee hired at her firm – which today has grown to over 400. Since she began her wholesaling career a decade ago, she has consistently been at the top of the sales leaderboard and is revered by peers and leadership. Yet she sought help because, in her words, "I know I am leaving money on the table. My process is just not tight enough."
Spoken like a truly great wholesaler. Very successful today, but still actively seeking – and open to – new ideas that can create even more success.
Building on this theme, our opening session will focus on the aggregation of marginal gains and explore the what, how, and why of specific activities and behaviors top-performing wholesalers employ to stay on top of their game.
Rob Shore, CEO & Founder, Wholesaler Masterminds®
2:00pm – 3:00pm
The Specialist Perspective: 2017 and Beyond
Our first panel will help set the stage for the rest of our Forum discussions by offering a channel-by-channel look ahead. Topics include: what the next six to12 months look like; what advisors are thinking about; top priorities, opportunities, and challenges for wholesalers; and the biggest impacts of the DOL rule on wholesaling practices.
Moderator: John Moninger, Director of Retail Sales, Eaton Vance
David Canter, Executive Vice President, Practice Management & Consultant, Fidelity Institutional Wealth Services
Jason Chandler, Division Director- Northeast, UBS Wealth Management
Bob Oros, Named CEO, HD Vest
Timothy Stinson, Wealth Management National Sales Manager, Cetera Financial Group
3:00pm – 3:30pm
Networking and Refreshment Break
3:30pm – 4:30pm
Advisor Spotlight: Navigating the Next Frontier
This panel of financial advisors from different channels will discuss how they are evolving their practices, what they value most when engaging with wholesalers today, how they expect their needs to change over the next five years, and what it takes to stand out from your peers, win business – and retain it.
Moderator: Joe Schultz, Senior Vice President, Head of Intermediary Sales, American Century Investments
Jamie Greenleaf, Lead Advisor, Principal, Cafaro Greenleaf
Kevin Foord, Assistant Vice President, Corporate Retirement Director, Financial Advisor, Morgan Stanley
Peter Stephanatos, Private Wealth Advisor, Ameriprise Financial
4:30pm – 5:30pm
Getting Organized: Prerequisites to Building an Effective Practice
Our next panel of wholesalers discusses the critical nuts and bolts of setting up a wholesaling practice. Topics include developing a business plan, the targeting process and building a prospect list, capturing and leveraging data, and best practices for using technology.
Moderator: Stephen DeAngelis, Executive Vice President, Head of Distribution, FS Investments
Josh Kurtz, Vice President, Territory Sales, American Century
Joe McNally, Regional Director, Russell Investments
Chad Vandiver, Executive Director, Client Advisor, J.P. Morgan Asset Management
5:30pm – 6:30pm
Wednesday, February 8, 2017
8:00am – 8:30am
8:30am – 9:30am
Executing the Plan and Getting the Meeting
This panel picks up where yesterday’s final session ended. With the basics in place, the discussion turns to execution – scheduling and effective use of time, working with internals, identifying and cultivating centers of influence, and getting that critical first meeting with the advisor or advisory team.
Moderator: Jennifer Abate, Managing Director, Lazard Asset Management
Mike Bosi, Regional Vice President- NY/Long Island, Voya Investment Management
Blake Hood, Senior Director, Carolinas, Principal Global Investors
Bob Michetti, Regional Director, Delaware Investments
9:30am – 10:30am
Optimizing Your Sales Process
Next we move on to fine-tuning the sales process, starting with the fundamentals of what to present and how to present it. How do you uncover an advisor’s specific needs and lay out a story to match them? What does the meeting itself look like, how do you close, and what’s the best way to follow up? This panel will also cover seminar strategies and the latest dos and don’ts around entertainment.
Moderator: Carl Katerndahl, Executive Vice President, Nuveen Investments
Joe Hernandez, Vice President, Regional Representative, Eaton Vance
Peter Prinstein, Senior Vice President, PIMCO
Sean Ryan, Regional Director, Russell Investments
Colleen Sylvester, Investment Management Consultant, BlackRock
10:30am – 11:00am
Networking and Refreshment Break
11:00am – 12:00pm
The Keys to a Winning Advisor Service Model
Once you’ve made the sale, how do you follow up, make sure you keep the business and win more? This session will focus on developing a winning service model. Topics include leveraging your internal to provide post-sale support, successful and not-so-successful cross-selling techniques, keeping the advisor updated on your strategies, digital servicing and marketing approaches, and the importance of establishing a daily/monthly routine.
Moderator: Patrick Feigley, Executive Vice President, Global Wealth Management, PIMCO
Matt Beck, Vice President, Financial Advisor Consultant, American Century
Andy Maloney, Senior Vice President, External Advisor Consultant, PIMCO
Tyler Voss, Vice President & Advisor Consultant, Nuveen Investments
12:00pm – 1:00pm
Investing in You: Next-Level Training
Our final group of wholesalers offers practical tips on how you can best stay on top of the myriad product and market updates that come your way and still have time to increase your overall knowledge base and hone your selling skills. This session will weigh the various professional designations available, discuss different training options, and offer suggestions on essential reading and emerging topics with which every wholesaler should be conversant.
Moderator: Maureen Wilke, President, Wilke and Associates, Inc.
Floyd Levy, Vice President, Senior Regional Director, Voya Investment Management
Daniel McCarthy, Vice President, Eaton Vance
Steve Oblack, Regional Vice President, RIA Channel, FS Investments