2019 MMI Sales & Marketing Leadership Summit

Invitation Only
March 28-29, 2019 | Miami
Mandarin Oriental

Sold Out

Noreen Beaman,
Chief Executive Officer, Brinker Capital
Troy Thornton, Managing Director, Head of U.S. Retail Distribution, Goldman Sachs

Event Recap:

This year’s theme, The Change Imperative: Agility and Innovation in an Evolving Landscape, underscores the rapid pace of change in today’s investment advisory and wealth management arenas. None of the topics will surprise you – they are the issues that distribution and marketing executives deal with every day. So what’s different? The urgent imperative to re-engineer the client and advisor experience with advisory accounts or risk being left behind by nimbler, more forward-looking competitors.

Taking an outside-in approach, our program will share expert insights, different perspectives, and new approaches and strategies. We’ll emphasize shorter, more interactive sessions and debut a series of rapid-fire sessions highlighting new technology solutions to common business challenges.

The most exclusive event on MMI’s conference calendar, the Summit annually brings together the investment advisory solutions industry’s most senior sales and marketing leaders for two days of networking and closed-door sessions focused on common challenges and opportunities. Attendees are generally Heads of Distribution, National Sales Managers, Product/Platform Executives, and CMOs.

To preserve the intimate feel of the Summit, each member firm is permitted to send up to three attendees this year. As a rule, attendees should be EVPs, SVPs, Managing Directors, and business unit leaders.

For more information on the Summit, contact MMI at (646) 868-8500 or events@mminst.org.

Additional Information



Thursday, March 28, 2019

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

1:00PM – 1:10PM
Welcome and Opening Remarks

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

Summit Co-Chairs:
Noreen D. Beaman,
Chief Executive Officer, Brinker Capital
Troy Thornton, Managing Director, Goldman Sachs

1:10PM – 2:00PM
Executive Spotlight Panel: The View from the Top

Craig Pfeiffer and three prominent industry executives discuss the converging forces reshaping the investment advisory and wealth management space, the future of advice delivery, and the keys to long-term sustainability. You’ll hear directly from some of the industry’s senior leaders how they are embracing change and adapting their businesses for future success.

Craig Pfeiffer,
President & CEO, Money Management Institute

Mimi Bock,
President, Cetera Advisors & First Allied Securities
Margo Cook, President, Nuveen Advisory Services
William Stromberg, President & CEO, T. Rowe Price Group

2:00PM – 2:50PM
Reshaping the Broker-Dealer Relationship

The one thing that is constant about relationships is that they are always changing. This is especially true as it relates to the relationship between broker-dealers and their partners. On the table is the need to support research, due diligence, and portfolio construction, all of which are impacted by the changing client profile and the shifting regulatory landscape. This session highlights the latest trends affecting broker-dealers and service providers, detailing how those developments are changing everything from revenue models and partnerships to service levels. We’ll hear from experts in the areas of due diligence and portfolio construction as well as distributors about the steps that can be taken to make a positive impact on clients and financial advisors.

John Lloyd,
Managing Director, Advisory Consulting Group, New York Life Investment Management

Joseph Curtin,
Managing Director, Head of Global Portfolio Solutions, Bank of America, Global Wealth & Investment Management
Nathan Palmer, Managing Director, Wilshire Associates
Mark Spina, Head of Advisor & Intermediary Solutions, Russell Investments

2:50PM – 3:20PM
Refreshment and Networking Break

3:20PM – 4:10PM
New Distribution Models for an Increasingly Competitive Marketplace

The path forward for the asset management industry is evolving rapidly, with firms facing challenges that range from fee compression and shelf space consolidation at major broker-dealers to getting the right meetings with the right advisors. As a result, asset managers are increasingly looking for ways to reinvent themselves and their approaches to distribution and digital marketing engagement. This session zeroes in on the innovative methods organizations are using to leverage data and analytics to be smarter about how they go to market, engage advisors through value-add programs and portfolio construction advice, and structure their sales forces to better align with rapidly evolving market trends.

Steven Miyao,
President, Digital AI & Analytics, Research and Compliance Solutions, SS&C Technologies

Joel Hempel, Director and Chief Operating Officer, BNY Mellon | Lockwood Advisors
Sue King, SVP, Product and Marketing Strategy, Foresters Financial
Tom Morelli, US Intermediaries: Head of Broker/Dealer, T. Rowe Price
Rebekah Wahba, Director, Global Head of Platform Data, BlackRock

4:10PM – 5:00PM
The Diversity Advantage: Better Corporate Performance, Better Products

Ideas for driving diversity from the inside out 
A growing body of research confirms the correlation between better-than-average corporate profits and diversity at the executive levels. While asset managers are creating ESG products that support this data, our industry as a whole – from asset managers to advisory practices – does not reflect diversity, especially in our top echelons. This panel explores: through an ESG lens, why companies with strong diversity factors tend to perform well; the implications that the changing demographics of younger generations will have on our industry and the world; and strategies for building a more diverse workplace at all levels of the organization. 

Andrew Lee,
Managing Director and Head of Sustainable and Impact Investing Americas, UBS Global Wealth Management

Erika Irish Brown, Chief Diversity Officer, Goldman Sachs
Connie Lindsey, Executive Vice President, Head of Corporate Social Responsibility and Global Diversity & Inclusion, Northern Trust

5:00PM – 5:50PM
The Evolving Cyber Threat Landscape

The incidence of reported cybersecurity breaches has grown by more than 66% in just the past three years. And, as new technologies continue to emerge, it’s become increasingly challenging to stay ahead of cyber criminals. This is especially relevant for the financial services industry as we rely on the latest digital innovations to optimize the customer experience. Chad Renfro, Head of Enterprise Cybersecurity at Fidelity Investments, offers his insight on the changing dynamics of the global cyber threat landscape and recommendations on the preventative measures you can take to keep your business, your customers, and yourselves cyber safe.

Chad Renfro, Executive Vice President of Enterprise Cybersecurity, Fidelity Investments

5:50PM – 7:30PM
Evening Reception & Networking

Kick back with your industry colleagues in a special evening reception to cap Day One of the Summit. We’ll provide the cocktails, heavy hors d’oeuvres, and good company. Afterwards, Miami and its many fine restaurants await those who want to get out on the town and explore.

Friday, March 29, 2019

7:00AM – 8:00AM  
Networking Breakfast  

8:00AM – 8:50AM
The Growing Demand for Advice in a Changing Industry

In this fireside chat, Wells Fargo Advisors’ David Kowach joins Ian MacEachern for an insightful discussion about the future of brokerage. In a free-flowing Q&A format, David will share his thoughts about where a financial advisor’s real value lies, trends shaping our industry, and innovative ways to support today’s FAs as they seek to deliver high-impact advice and services to clients.

Special introduction by:
Patty Loepker, 
Chair of the Board of Governors, Money Management Institute
Managing Director of Research Directed Advisory Programs, Wells Fargo Advisors 

David Kowach, President and Head of Wells Fargo Advisors
Ian MacEachern, Managing Director, Head of Investment Products, Wells Fargo Advisors

8:50AM – 9:30AM
Sink or Swim: Tools to Manage Technology Challenges

Get ready for three rapid-fire technology sessions showcasing new tools to help you manage significant advisory business challenges.

  • Technology and its role in deepening the advisor-investor connection
    The investor landscape has changed, and expectations are infinitely greater. Influenced by their everyday interactions as consumers, investors and wealth professionals alike want an intuitive digital experience. Today’s advances in technology are delivering comprehensive, easy-to-use financial advice management solutions to support advisors and enhance their services and engagement with investors. Learn how adoption of enhanced wealth management technology can help advisors free up time, pivot to holistic advice, and enable a deeper understanding of clients’ lifetime goals to help guide them toward their financial aspirations.
    Cheryl Nash, President, Investment Services, Fiserv
  • Navigating the collapse and rationalization of managed account programs
    The movement towards implementing a Unified Advisory Platform is well underway. Many firms have consolidated platforms and are starting to look at simplifying their advisory program structure. What are the challenges associated with implementing a Unified Advisory Platform and what are the benefits? How does a Unified Advisory Platform impact how advisors interact with investors in structuring and tailoring advice? Learn about key decision points and the tools available to help you implement your advisory platform roadmap.
    Robert Klapprodt, Corporate Strategy Officer, Vestmark
  • Staying abreast of changes in governance, risk, and compliance technology
    Governance, Risk, and Compliance (GRC) technology continues to evolve rapidly.  In the face of constrained budgets and resources, CCOs, compliance teams, and the vendors who serve them are looking for ways to increase the efficiency and productivity of compliance professionals, support firm growth, reduce exposure, and keep pace with the technology advances of the regulators. Learn about the latest trends in GRC technology offerings and the outlook for 2019 - what firms are implementing now and what they are evaluating for the future, what tools they are choosing to build in-house vs. using third-party solutions, and which technology investments are paying dividends.   
    Matthew Girandola, Consultant, ACA Compliance Group
  • Moving the traditional sales process into the digital age
    The traditional sales process is inefficient, analog, and not scalable. While it’s important to recognize that digital and data can’t replace the human element in sales and marketing, they can enhance it. Think how Netflix has been able to use data to inform human decisions with respect to its original programming. Advisory sales and marketing teams have the same potential to harness behavioral data to understand their clients in ways never before possible. Learn how machine learning capabilities are being deployed to improve the user experience and drive higher engagement, more customer data, and increasing ROI for clients.
    Peter Hans, Chief Executive Officer, Harvest

9:30AM – 9:50AM
President’s Update

Craig Pfeiffer, President & Chief Executive Officer, Money Management Institute

9:50AM – 10:10AM
Refreshment and Networking Break

10:10AM – 11:00AM
Trend Watch: Emerging Opportunities

This session offers two distinct perspectives on evolving advisory trends and the opportunities they present:

  • The advisor portfolio of 2025
    The past ten years have seen a steady evolution in how advisors build portfolios, but what about the next ten? New product exposures, changing packaging structures, and evolving digital delivery platforms continue to reshape the investment advisory value proposition. This segment reviews key findings from a research project conducted by Casey Quirk by Deloitte, with input from MMI member firms, to map the future of investment advice over the next decade. Among the topics to be discussed: how technology has changed the way advisors receive product and allocation services; what the balance of product exposures will be going forward; how product development will change as a result; and how strategic partnerships will evolve to better service new product demands from sponsors and advisors.
    Tyler Cloherty, Head of the Knowledge Center, Casey Quirk by Deloitte
    Chloe Gardner, Senior Consultant, Casey Quirk by Deloitte
  • The future of wealth management
    Drawing on Barron's observations of key trends in the wealth advisory industry, this segment examines likely future sources of disruption and shifts in the primary value proposition of advisors. The discussion examines the ramifications of those shifts for the U.S. asset management community, how the most successful advisors are evolving their business strategy, and what their key concerns and priorities are. The presentation closes with a series of verbatim quotes from Barron's-ranked advisors on what they want from their relationships with asset managers and how managers can best add value beyond the investment product sale.
    Sterling Shea, Global Head of Wealth & Asset Management, Dow Jones

11:00AM – 11:50AM
Geopolitical Strategy: The Business Impact of Global Risk and American Politics
As global affairs are increasingly marked by instability and disorder, military crises, diplomatic tensions, financial uncertainties, and societal upheavals, knowledge that enhances and supports global investment decisions and strategic business planning is more critical and valuable than ever before. But the daily headlines and 24/7 news coverage only scratch the surface. In this keynote presentation, John Sitilides, a geopolitical strategist and expert on global affairs and American politics, leads us on a highly visual exploration of potential sources of global disruption and geopolitical risk – both current and future. Along the way, he challenges the traditional analyst and media consensus on the world’s most powerful political leaders, offering portraits of their decision-making processes, and the long-term political and economic ambitions that ultimately shape the international security agenda.

John Sitilides, Principal, Trilogy Advisors LLC

Closing Remarks and Adjournment

Craig Pfeiffer, President & Chief Executive Officer, Money Management Institute

Featured Speakers

Mimi Bock
Mimi Bock
Cetera Advisors &
First Allied Securities
Margo Cook
Margo Cook
Nuveen Advisory Services
David Kowach
David Kowach
President and Head
of Wells Fargo Advisors
Sterling Shea
Sterling Shea
Global Head of Wealth
and Asset Management
Dow Jones
John Sitilides
John Sitilides
Trilogy Advisors LLC
Sponsored by:

Brinker Capital

Goldman Sachs

Bill Stromberg
William Stromberg
President and
T. Rowe Price Group

Partners & Sponsors









Discovery Data


Broadridge       ZS





Brinker Capital 

Goldman Sachs




Sponsorship Opportunities

The Summit represents a unique opportunity to build brand awareness with the advisory solutions industry’s most senior sales and marketing leaders, showcase your firm's offerings, and make new connections. A limited number of high-profile sponsorship packages are available.

For additional information, please contact:
Joan Lensing
Senior Vice President
Chief Marketing Officer
(646) 868-8518

CE Credit

Investments & Wealth Institute® has accepted the 2019 MMI Sales & Marketing Leadership Summit for 7.0 hours of CE credit towards the CIMA®, CPWA®, CIMC®, and RMA® certifications.

Gateway to Leadership Foundation Golf Outing Fundraiser: Wed, March 27

Kick off the Summit early and enjoy a round of golf with your industry colleagues. All levels of golfers are welcome for this charitable outing to benefit Gateway to Leadership.



WHAT: Gateway to Leadership, a 501c3 organization administered by MMI, supports a variety of programs to foster career awareness and workforce readiness for students of color from historically underrepresented communities, particularly African Americans and Hispanics, seeking internships and entry-level employment opportunities in the financial services industry.

WHERE: Crandon Golf at Key Biscayne is located about 15 miles from Miami International Airport and about 7 miles from the Mandarin Oriental. Crandon, a championship 18-hole course and former site of the Senior PGA Tour, is considered one of the most beautiful and difficult par-72 courses in the state of Florida.

WHEN: Tee time is 12:15pm. For members of the MMI Board of Governors and Leadership Pathway program, we will have you back to the hotel in time for your joint function.

PARTICIPATION: The cost to participate in the outing is $350 per person – 50% of that amount is tax deductible as a donation to Gateway. Included with the outing are:

  • Greens fees, cart fees, and practice facility privileges (club rentals are available for $65)
  • Box lunch, special contests, and appetizers/beverage post round
  • Transportation from Crandon to the Mandarin Oriental after the event (transportation on your own from airport or hotel to Crandon)

Brendan Clark, Clark Capital
Nick Corsanico, Archer
Steve DeAngelis, FS Investments
Jim Devaney, PGIM
Marie McCarthy, BlackRock
Kevin Osborn, Envestnet
Brian Schappert, American Century Investments

Hotel Information

Conference Hotel - Mandarin Oriental
500 Brickell Key Drive
Miami, FL 33131

The Mandarin Oriental, Miami is a 5-star hotel on Brickell Key, a prime waterfront location with stunning views of Biscayne Bay and the Miami skyline. The hotel is 25-30 minutes from Miami International Airport, 40-45 minutes from Fort Lauderdale-Hollywood International Airport, and 5 minutes from the Port of Miami.

Important Update (March 12, 2019): The MMI room blocks at the Mandarin Oriental and the two overflow hotels (Hyatt Centric Brickell Miami and Conrad Miami) are now fully booked.

Rooms are currently available at these nearby hotels on a space and rate available basis. 

JW Marriott Miami (0.7 mile/13 minute walk)
1109 Brickell Avenue
Miami, FL 33131

You may reserve guest rooms by phone or online:
Phone: Call (305) 329-3500.
Online: Follow this link to reserve rooms online.

Hyatt Regency Miami (0.7 mile/15 minute walk)
400 South East Second Avenue
Miami, FL 33131

You may reserve guest rooms by phone or online:
Phone: Call (305) 358-1234.
Online: Follow this link to reserve rooms online.

Registration Fees

Registration categories and pricing are as follows:

Registration Type  Registration Fee  Registration Dates
Standard $1,895 2/16/19 - 3/27/19
Onsite $1,945 3/28/19 - 3/29/19






Volume Discount for Multiple Attendees
A $100 discount is available for additional participants from the same firm once two participants have enrolled at the full conference rate (i.e., participants who used other discount codes do not count toward eligibility). This discount may not be combined with other discounts or other reduced fees. Please contact MMI at (646) 868-8500 for the discount code.

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 5:00 PM ET on Friday, March 8, 2019. 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.

MMI Conference Code of Conduct/Antitrust Guidelines and Compliance Policy

Money Management Institute (MMI) conferences and events provide an opportunity for MMI members and other industry participants to come together for educational and networking purposes. Inappropriate behavior, such: as possible illegal conduct; use of derogatory or discriminatory language, gestures or actions; verbal or physical abuse of any type, unwanted advances or invasions of privacy; or any activity that might be construed as harassment, racism, or sexism, is unacceptable and will not be tolerated.

If you aware of, or are involved in an incident, at an MMI conference or event that violates this Code of Conduct, please contact MMI immediately. MMI will promptly and confidentially investigate any reported activities and take appropriate action.

Please also familiarize yourself with the MMI Antitrust Guidelines and Compliance Policy.


Attendee and Speaker Registration:
events@mminst.org or (646) 868-8500

Fees & Billing:
Samantha Lustig
slustig@mminst.org or (646) 868-8516

Sponsorship Opportunities:
Joan Lensing
jlensing@mminst.org or (646) 868-8518