Managed Advisory Solutions Workshop

March 19, 2015 |  San Francisco, CA
Charles Schwab & Co., Inc.  

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

The Workshop, produced in conjunction with Maureen Wilke of Wilke and Associates (www.connectedadvisor.com), provides a well-rounded industry overview in a highly interactive format with sessions led by industry experts and business leaders.

  • Attendance is limited to 40 participants
  • $450 per person
  • Reduced rates available for multiple attendees from the same firm

Additional Information

Agenda

 

Location: Charles Schwab & Co., Inc.
215 Fremont Street, Floor 8, Room 150/Presentation Room
San Francisco, CA 

Thursday, March 19, 2015

Download Agenda (PDF)

8:00 am – 8:30 am    
Continental Breakfast 

8:30 am – 8:45 am    
Welcome and Program Overview

John Coyne, Vice Chairman, Brinker Capital and Co-Chairman, MMI Educational Outreach Committee
David Lindenbaum, Head, Managed Accounts & Alternative Investments, Charles Schwab & Co., Inc.                                               

8:45 am – 9:30 am    
The Evolution and Landscape of the Managed Solutions Industry
Managed investment solutions have evolved dramatically since their inception. This session will explore the background, history and future of the industry. At the end of the session, attendees will have:

  • a clear overview of platforms
  • a broad perspective on the market opportunity
  • an overview of key issues for clients and managed solutions firms

John Coyne, Vice Chairman, Brinker Capital and Co-Chairman, MMI Educational Outreach Committee     

9:30 am – 10:15 am  
Sponsor Solutions – Product, Pricing and Platform
This session will explore and provide an understanding of the various technologies, systems, and capabilities that support financial advisors, money managers, and program sponsors in the investment advisory industry.

Jim Seuffert, Senior Partner, Wheelhouse Analytics

10:15 am – 10:30am
Break with Refreshments

10:30 am – 11:15 am   
Regulator and Regulation Update
This session will focus on the regulation and compliance of the managed solutions industry and the impact to a firm. Key terms will be explained, along with background information on the key regulators and recent industry events from a regulatory perspective.

Lisa Detwiler, Esq., Senior Vice President, General Counsel, FS2 Capital Partners, LLC

11:15 am – 12:00 pm   
The Role of Alternatives in Managed Solutions
This session will focus on Alternatives and the role they play in managed solutions. The discussion will include definitions, how an investment manager works with a sponsor platform, and what happens after the manager is selected. Learn about the processes a manager follows, the tools used, and the alignment within UMA platforms.

Anthony Ciccarone, Managing Director, Global Private Client Group, Nuveen Investments

12:00 pm – 12:45 pm
Networking Lunch 

12:45 pm – 1:30 pm  
Panel Discussion

Moderator:
Maureen Wilke, President, Wilke & Associates, Inc.

Panel:
Yale Kofman, Director of Investment Products, AssetMark
David Lindenbaum, Head, Managed Accounts & Alternative Investments, Charles Schwab & Co. 
Daxs A. Stadjuhar, Managing Director, The Financial Services Network

1:30 pm – 2:15 pm      
The Role of ETFs in Managed Solutions
This session will focus on ETFs and the role they play in managed solutions. The discussion will include an overview of the ETF industry, how an investment manager gets an ETF on a sponsor platform, and what happens next. 

Thomas Guarini, ETF Strategist, State Street Global Advisors    

2:15 pm – 2:30 pm    
Break with Refreshments

2:30 pm – 3:00 pm    
MMI Member Benefits and Research Overview

This session will focus on the suite of resources that are available to MMI member firms and highlight ways for you to get engaged and participate. You will also learn about MMI’s proprietary industry data and research, the current managed solutions landscape, key business trends, and upcoming research publications. This session is designed to help you Connect, Know and Grow and get the most out of your MMI membership.

Joan Lensing, Vice President, Marketing and Media Relations, MMI
Rick Ledbury, CFA, Vice President, Research and Data Services, MMI

3:00 pm – 3:45 pm    
Understanding the Life Cycle of a Managed Account (Follow the Dollar) 
This session will examine the life cycle of a managed account beginning with account inception and the moment the client dollars enter the investment firm. It will provide an overview of how accounts are initially set up and invested, the trading and rebalancing processes, and performance reporting. At the end of the session, attendees will understand the oversight and operational processes that are critical to successfully opening and maintaining a managed account.

Gary Jones, Senior Director, Financial Services, Collaborative Consulting 

3:45 pm – 4:00 pm 
Managed Solutions Workshop Wrap-up