General Sessions

Tuesday, October 6, 2020, 1:00pm – 3:30pm (Opening Session)

Welcome and Opening Remarks
Craig Pfeiffer, President & Chief Executive Officer, MMI

Matt Huss, Vice President and General Manager, Advisory Solutions | Wealth Management Solutions, Ameriprise Financial
Melinda Mecca, Director, Investment Solutions, Northern Trust Asset Management

Opening Keynote Presentation

The Infinite Game
We can't choose the game. We can't choose the rules. We can only choose how we play. 

In finite games, like football or chess, the players are known, the rules are fixed, and the endpoint is clear. The winners and losers are easily identified. In infinite games, like business or politics or life itself, the players come and go, the rules are changeable, and there is no defined endpoint. There are no winners or losers in an infinite game – there is only ahead and behind. 

The more we begin to understand the difference between finite and infinite games, the more we can see that infinite games are all around us and that many of the struggles organizations face exist simply because their leaders are playing an infinite game with a finite mindset. Those organizations tend to lag in innovation, discretionary effort, morale and ultimately performance. Leaders who embrace an infinite mindset, in stark contrast, build stronger, more innovative, more inspiring organizations. They have the resilience to thrive in an ever-changing world, while competitors fall by the wayside. Ultimately, they are the ones who lead the rest of us into the future.

In this session, based on Simon Sinek’s best seller, The Infinite Game, learn how to distinguish between both the finite and infinite games in our work and lives, five practices that are required to lead in an infinite game, and a new way of looking at your leadership, your organization, and the environment in which it operates.

Heath Slawner, Igniter, Simon Sinek Inc.

Digital Tools to Enhance the Client Experience & Deliver Personalized Advice
This session looks at how the COVID-19 pandemic has accelerated existing fintech trends and the evolution of digital advice. A management consultant, a technology provider, and an investment manager will offer distinct perspectives on what has changed and the path forward. Topics will include recent advances in financial planning tools and digital advice solutions, evidence that personalization improves investor outcomes, ways in which advisors can incorporate digital advice into their practices, and partnership opportunities between technology providers and investment managers.

Andrew Scherer, Managing Director, Business Development, Advisory & Intermediary Solutions, Russell Investments

Craig Gross, Head of Individual Investor Advisory Services, T. Rowe Price
Craig Iskowitz, Founder and Principal, Ezra Group
Clifford Schoeman, Head, Investment Solutions & Portfolio Services, Jemstep by Invesco

Executive Roundtable: The Personal Side of Social Justice 
Recent displays of police brutality and racial injustice are weighing heavily on the world, our industry, and on us as individuals. We must move beyond acknowledgement of social injustice and work diligently together to eradicate these inequities and pervasive discrimination both blatant and subtle. The hard work necessary to overcome years of systemic racism requires not only moral fortitude and business imperative but a personal commitment by most senior leaders.  Please join us for a frank conversation with top industry executives on the unsettling burden that racism and discrimination place upon our nation – and our industry – and how their personal experience informs their commitment and leadership for change.  

Fran Cashman, President, Gateway Foundation, Director, Social Justice Initiative, MMI

Tash Elwyn, President & Chief Executive Officer, Raymond James Associates
Penny Pennington, Managing Partner, Edward Jones
Shundrawn Thomas, President, Asset Management, Northern Trust Asset Management

Closing Remarks

Tuesday, October 13, 2020, 2:00pm – 4:00pm (General Session)

Keynote Presentation
Intentional Leadership: Leading with Impact Through Change
Carla Harris, one of the most accomplished and respected women in business, shares advice and strategies for surviving and thriving in any workplace environment. Based on her personal experiences moving up the corporate ladder during a 30-year career, Ms. Harris will offer proven guidance for achieving success for your organization and on a personal level in these unprecedented times.

Jim Tracy, Head of Morgan Stanley Consulting Group, Morgan Stanley

Carla Harris, Vice Chairman, Global Wealth Management & Senior Client Advisor, Morgan Stanley

A Conversation with Walt Bettinger
From its founding days as a pioneer of discount brokerage services, Charles Schwab has challenged the status quo with a continuous stream of innovation, technology, and competitive pricing. And the firm consistently generates attention with headliner deals and announcements. Craig Pfeiffer sits down with Walt Bettinger to discuss the willingness to be disruptive – even to one’s own business model, effective leadership during these extraordinary times, and the future of investment advice and solutions. 

Walt Bettinger, President & Chief Executive Officer, Charles Schwab
Craig Pfeiffer, President & Chief Executive Officer, MMI

Presentation of MMI Member Recognition Awards

Marilee Ferone, Chair, MMI Board of Governors; Executive Vice President, Head of Strategic Partnerships, Advisors Asset Management
Craig Pfeiffer, President & Chief Executive Officer, MMI

Presentation of MMI Leadership Award

President’s Report
Craig Pfeiffer, President & Chief Executive Officer, MMI

Friday, October 23, 2020, 1:00pm – 4:00pm (Closing Session)

Social Mega Trends are Influencing FinTech: Are You Paying Attention? 
It has been said that five years of digital transformation took place in our industry in just five weeks in the immediate aftermath of the COVID-19 crisis. This session examines the repercussions of that transformation and the longer-term implications for investment advice and solutions. WealthTech guru Dani Fava shares her perspective on this and other trends happening in our world, what changes will carry forward further into FinTech, why investors’ needs and expectations have permanently shifted, and how firms can adapt to changing client expectations. 

Dani Fava, Head of Strategic Development, Envestnet

Deals in a Post-COVID-19 World: The Future of Industry M&A and Consolidation
Schwab and TD Ameritrade, Orion and Brinker Capital, Empower Retirement and Personal Capital, record-setting M&A activity in the RIA space. The past year has seen a stream of blockbuster deals. And with the recession and recent fiscal and monetary interventions spurred by COVID-19 upending the macro-context for asset managers, wealth managers, RIAs, and retirement players alike, is there any end in sight? This session provides expert perspective on the prospects for further deals across various channels and types of players – and what it means for the asset and wealth management industries.

Joe Mrak, Global Head of Wealth Management, Refinitiv

Mark Bruno, Managing Director, ECHELON Partners
Ben Cukier, Partner, Centana Growth Partners
Brendan Ryan, Co-Head of Technology & Services, Investment Banking, Raymond James
Arjun Saxena, Partner, Head of Wealth Management, Financial Services, PwC

Regulatory Guideposts for Plan Fiduciaries: The DOL Proposal’s Impact on ESG Investments
The Labor Department’s recent proposal to limit the use of investments with ESG-focused criteria in defined contribution plans, such as 401(k) plans, has sparked sharp pushback from the industry. Under the proposal, plan fiduciaries are instructed not to make investment decisions that promote ESG goals above achieving the highest return possible for retirement savers. Opponents argue that the proposal reflects an outdated notion of ESG investments and fails to recognize that ESG criteria are material to the evaluation of an investment. In this session, two experts look at both sides of the argument and the proposal’s far-reaching implications for gatekeepers, asset managers, and fiduciaries.

Jackie VanderBrug
, Head of Sustainable & Impact Investment Strategy, Bank of America

Heather Slavkin Corzo, Head of U.S. Policy, Principles of Responsible Investing (UN PRI), Director of Capital Markets Policy, AFL-CIO & Senior Fellow, Americans for Financial Reform
Alicia H. Munnell, Peter F. Drucker Professor of Management Sciences & Director, Center for Retirement Research, Boston College

The 2020 Elections – and the Implications for Investors
With just over a week to go before Election Day, Greg Valliere provides an insider’s look at the election cycle, pivotal factors that will decide the results, and how the markets may react to a Trump re-election – or a Biden win. He will also address the U.S economy and expectations for interest rates, the potential impact of surging budget deficits on the markets, the prospects for tax changes, and the outlook for trade disputes and specific geopolitical hotspots.

Joel Hempel, Managing Director and Chief Operating Officer, Lockwood, BNY Mellon | Pershing

Greg Valliere, Chief U.S. Policy Strategist, AGF Investments

Closing Remarks