Investment Advisory Solutions Workshop

December 11, 2015 | New York, NY
Morgan Stanley Offices,1585 Broadway

MMI is pleased to announce that the final Investment Advisory Solutions Workshop of 2015 will take place on Friday, December 11th in New York at the Morgan Stanley offices located at 1585 Broadway.


Additional Information

Agenda

Download PDF Agenda

This is a one-day Workshop designed to educate new hires or employees new to advisory solutions, including sales team members, technology and operations staff, product and marketing personnel, legal and compliance associates, and customer service representatives from investment managers, sponsor firms, and solutions providers.

8:00am – 8:30am     
Continental Breakfast

8:30am – 8:45am     
Welcome and Program Overview
Arlen Oransky, SVP, Chief Membership and Programs Officer, MMI
Marc Brookman, Managing Director, Morgan Stanley and Co-Chair, MMI Educational Outreach Committee

8:45am – 9:15am     
The Evolution of the Investment Advisory Solutions Industry
Investment advisory solutions have evolved dramatically since their inception. This session will explore the history and ongoing evolution of the industry. At the end of the session, attendees will have a clear overview of platforms, a broad perspective on the market opportunity, and an overview of key issues for clients and advisory solutions firms
Jim Seuffert, Senior Partner, Wheelhouse Analytics

9:15am – 9:45am     
Emerging Technology Trends
This session will explore and provide an understanding of the current and emerging technologies, systems, and capabilities that support financial advisors, investment managers, and program sponsors in the investment advisory solutions industry.
Jim Seuffert, Senior Partner, Wheelhouse Analytics 

9:45am – 10:30am       
Regulator and Regulation Update
This session will focus on key regulatory and compliance issues that impact a firm’s advisory solutions business – explaining key terms and providing background information on the major regulatory agencies and the items at the top of their current regulatory agendas.
Christine M. Lombardo, Associate, Morgan, Lewis & Bockius LLP

10:30am – 10:45am   
Break with Refreshments
                                               

10:45am – 11:15am      
The Role of Alternatives in Advisory Solutions
This session will provide a broad overview of the Alternatives landscape, how they are being integrated into advisory offerings, and opportunities and challenges with regard to advisor and client adoption.
Mike Dieschbourg, SVP, Alternatives/Managed Risk Group, Federated Investors

11:15am – 11:45am     
The Role of ETFs in Advisory Solutions
This session will provide a broad overview of the ETF industry, new types of offerings, and the increasingly important role ETFs play in the construction of advisory solutions portfolios – both for financial advisors and platform providers
David B. Mazza, VP, Head of ETF & Mutual Fund Research, State Street Global Advisors 

11:45am – 12:15pm  
MMI Member Benefits and Industry Data Overview 
This session will focus on the suite of resources that are available to MMI member firms and highlight ways for you to get more out of your firm’s membership. You will also learn about MMI’s proprietary industry data and research, the current managed solutions landscape, and key business trends.
Joan Lensing, SVP, Chief Marketing Officer, MMI
Hilary Fiorella, SVP, Chief Operating Officer, MMI

12:15pm – 1:00pm    
Networking Lunch

1:00pm – 1:45pm      
Panel Discussion
This interactive session will feature panelists representing the different types of players in the advisory solutions delivery chain and provide understanding of how they work together to meet the needs of investors. You will hear from industry veterans offering perspective from the vantage point of the financial advisor, distributor platform, and investment manager.
ModeratorMaureen Wilke, President, Wilke & Associates, Inc.
Panelists:
Marc Brookman, Managing Director, Morgan Stanley and Co-Chair, MMI Educational Outreach Committee
Steven Saunders, CFA, CAIA, Portfolio Advisor, Roundtable Wealth Management
Mimi Metzbower, SVP, Account Manager, PIMCO

1:45pm – 2:15pm       
Top Trends in Advisory Solutions
This session will focus on the latest trends in the investment advisory solutions industry and what they will mean to your firm’s business on a go-forward basis.
John Coyne, Vice Chairman, Brinker Capital and Co-Chair, MMI Educational Outreach Committee

2:15pm – 2:45pm      
Break with Refreshments

2:45pm – 3:30pm       
Understanding the Life Cycle of an Advisory Account
This session will provide an overview of the financial advisor’s process with a new client including how accounts are initially set up and invested, the trading and rebalancing processes, and performance reporting.
Michael Snizek, Product Manager, Fiserv Investment Services

3:30pm – 4:00pm     
Wrap-up and Closing Remarks

Download PDF Agenda

This is a one-day Workshop designed to educate new hires or employees new to advisory solutions, including sales team members, technology and operations staff, product and marketing personnel, legal and compliance associates, and customer service representatives from investment managers, sponsor firms, and solutions providers.

8:00am – 8:30am     
Continental Breakfast

8:30am – 8:45am     
Welcome and Program Overview
Arlen Oransky, SVP, Chief Membership and Programs Officer, MMI
Marc Brookman, Managing Director, Morgan Stanley and Co-Chair, MMI Educational Outreach Committee

8:45am – 9:15am     
The Evolution of the Investment Advisory Solutions Industry
Investment advisory solutions have evolved dramatically since their inception. This session will explore the history and ongoing evolution of the industry. At the end of the session, attendees will have a clear overview of platforms, a broad perspective on the market opportunity, and an overview of key issues for clients and advisory solutions firms
Jim Seuffert, Senior Partner, Wheelhouse Analytics

9:15am – 9:45am     
Emerging Technology Trends
This session will explore and provide an understanding of the current and emerging technologies, systems, and capabilities that support financial advisors, investment managers, and program sponsors in the investment advisory solutions industry.
Jim Seuffert, Senior Partner, Wheelhouse Analytics 

9:45am – 10:30am       
Regulator and Regulation Update
This session will focus on key regulatory and compliance issues that impact a firm’s advisory solutions business – explaining key terms and providing background information on the major regulatory agencies and the items at the top of their current regulatory agendas.
Christine M. Lombardo, Associate, Morgan, Lewis & Bockius LLP

10:30am – 10:45am   
Break with Refreshments
                                               

10:45am – 11:15am      
The Role of Alternatives in Advisory Solutions
This session will provide a broad overview of the Alternatives landscape, how they are being integrated into advisory offerings, and opportunities and challenges with regard to advisor and client adoption.
Mike Dieschbourg, SVP, Alternatives/Managed Risk Group, Federated Investors

11:15am – 11:45am     
The Role of ETFs in Advisory Solutions
This session will provide a broad overview of the ETF industry, new types of offerings, and the increasingly important role ETFs play in the construction of advisory solutions portfolios – both for financial advisors and platform providers
David B. Mazza, VP, Head of ETF & Mutual Fund Research, State Street Global Advisors 

11:45am – 12:15pm  
MMI Member Benefits and Industry Data Overview 
This session will focus on the suite of resources that are available to MMI member firms and highlight ways for you to get more out of your firm’s membership. You will also learn about MMI’s proprietary industry data and research, the current managed solutions landscape, and key business trends.
Joan Lensing, SVP, Chief Marketing Officer, MMI
Hilary Fiorella, SVP, Chief Operating Officer, MMI

12:15pm – 1:00pm    
Networking Lunch

1:00pm – 1:45pm      
Panel Discussion
This interactive session will feature panelists representing the different types of players in the advisory solutions delivery chain and provide understanding of how they work together to meet the needs of investors. You will hear from industry veterans offering perspective from the vantage point of the financial advisor, distributor platform, and investment manager.
ModeratorMaureen Wilke, President, Wilke & Associates, Inc.
Panelists:
Marc Brookman, Managing Director, Morgan Stanley and Co-Chair, MMI Educational Outreach Committee
Steven Saunders, CFA, CAIA, Portfolio Advisor, Roundtable Wealth Management
Mimi Metzbower, SVP, Account Manager, PIMCO

1:45pm – 2:15pm       
Top Trends in Advisory Solutions
This session will focus on the latest trends in the investment advisory solutions industry and what they will mean to your firm’s business on a go-forward basis.
John Coyne, Vice Chairman, Brinker Capital and Co-Chair, MMI Educational Outreach Committee

2:15pm – 2:45pm      
Break with Refreshments

2:45pm – 3:30pm       
Understanding the Life Cycle of an Advisory Account
This session will provide an overview of the financial advisor’s process with a new client including how accounts are initially set up and invested, the trading and rebalancing processes, and performance reporting.
Michael Snizek, Product Manager, Fiserv Investment Services

3:30pm – 4:00pm     
Wrap-up and Closing Remarks

Registration Fees

The Workshop is priced at $450 per attendee. There is a 20% discount available when more than two associates register from the same firm.
The discount will be applied to the third registrant and all subsequent registrants from the same firm.   

Cancellations:
No refunds will be granted for cancellations after 5:00pm ET on Monday, November 30th. Substitutions are permitted. Please notify MMI at (202) 822-4949.

The Workshop is priced at $450 per attendee. There is a 20% discount available when more than two associates register from the same firm.
The discount will be applied to the third registrant and all subsequent registrants from the same firm.   

Cancellations:
No refunds will be granted for cancellations after 5:00pm ET on Monday, November 30th. Substitutions are permitted. Please notify MMI at (202) 822-4949.