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2023 MMI Summit

March 29 - 30, 2023

Vinoy | St. Petersburg, FL

CE Credits


Investments & Wealth Institute® has accepted MMI Summit 2023 for 9.0 hours of CE credit towards the CIMA®, CPWA®, CIMC®, and RMA® certifications.


Conference Co-Chairs:
Jean Heath, Principal Director, Asset Management Relations, Envestnet
Brian Schappert, SVP, Co-Head of US Intermediary Distribution, American Century Investments

The Summit is MMI’s marquee annual leadership event that brings together the investment advisory industry’s senior business leaders from asset managers, wealth managers, and solutions providers. Join us for two days of elevated perspective, thought-provoking insights, and lots of dedicated time for small group, peer-to-peer discussions.

Our Summit program will focus on the issues that are top-of-mind for advisory leaders right now – everything from maintaining a growth mindset in uncertain times to upskilling and talent strategies, preparing for the next big disruptor, and harnessing the power of digital transformation. Don’t miss this unique chance to explore key opportunities and challenges with the brightest minds and most innovative leaders in the advisory space.

Note: The MMI Summit is a leadership conference built for senior-level executives and restricted to MMI member firms. As a rule, attendees are C-suite level, EVPs, SVPs, Managing Directors, Directors, and business unit leaders with responsibility for investment advisory distribution, product, platform, technology, and strategy. To preserve the intimate feel of the Summit, each member firm is permitted to send up to four attendees this year.


Day 1

Wednesday, March 29th 2023

Time Description  
11:30 AM - 1:00 PM
1 Hour(s) 30 Min(s)
Registration and Executive Networking Luncheon  
1:00 PM - 1:15 PM
Welcome & Opening Remarks
Craig Pfeiffer, President and Chief Executive Officer, Money Management Institute
Joan Lensing, Executive Vice President, Chief Programming Officer, Money Management Institute

Conference Co-Chairs:
Jean Heath,
Principal Director, Asset Management Relations, Envestnet
Brian Schappert, Senior Vice President, Co-Head of U.S. Intermediary Distribution, American Century Investments
1:15 PM - 1:45 PM
30 Min(s)
Opening Keynote Presentation
Leading Through Critical Decision-Making During Times of Risk and Uncertainty

The impact of high-performance leadership manifests through the critical decisions that leaders and leadership teams make especially during times of high risk and uncertainty. This engaging session provides you with a proven model to approach critical decisions, especially when there is often too little–or too much–data available. Gain an understanding of the multiple behavioral dynamics and biases that leaders fail to mitigate in high-stakes decision-making and how to up your leadership game.

Yael Grushka-Cockayne, Professor of Business Administration, Darden School of Business
Introduction: Abby Salameh, Chief Marketing Officer, CAIS
1:45 PM - 2:15 PM
30 Min(s)

Research Speed Round
Clients, Product and Talent: Critical Trends That Will Impact Your Business

Clients, Product and Talent are three essential considerations in the delivery of investment advice and solutions. To frame our Summit discussions, a trio of leading industry researchers share their takes on the most critical trends in each of these areas–and the implications for how asset managers, wealth managers, and solutions providers should position their firms for growth, profitability, and success in the rapidly evolving advisory landscape
Moderator: Doug Fritz, Founder and CEO, F2 Strategy

Tyler Cloherty, Managing Director, Head of the Strategy and Analytics’ Knowledge Center, Deloitte
Tim Kresl, Principal, Distribution Insight, Broadridge
Daniil Shapiro, Director, Product Development, Cerulli Associate

2:15 PM - 2:45 PM
30 Min(s)
Data-Driven Marketing: How CMOs Are Challenging the Status Quo in Financial Services

In today's saturated market, effective marketing requires a strategic approach that leverages data and analytics, reimagines creative and content, and fosters digital innovation. For financial services firms with their vast scale, significant marketing spend, and access to customer data, hyper-personalization is the key to success. But are financial services firms keeping pace with other industries in terms of their marketing strategies? What can we learn from the experiences of other sectors? Join us for a candid discussion with two innovative CMOs who will share their insights on how to create marketing strategies that challenge the status quo, improve the customer experience, and drive ROI. Discover the benefits, challenges, and best practices for implementing a modern marketing strategy that will help your firm stay ahead of the curve.

Mary Ellen Dugan, Chief Marketing Officer, Envestnet
Josh Golden, Chief Marketing Officer, Quad
2:45 PM - 3:15 PM
30 Min(s)
Refreshment and Networking Break  
3:15 PM - 3:55 PM
40 Min(s)

Engaging with Advisors: The New Rules of the Road

Ask any asset management distribution professional, and he or she will tell you that the biggest challenge they–and their teams–face today is getting access to financial advisors. In this session, hear straight from an advisor, a branch manager, and a home office gatekeeper what they are looking for from asset manager partners in the current environment. Our panelists will share what works–and what doesn’t–to get you in the door, tips for successful engagement, and how smaller asset managers can work with them.

John McDonough, Head of U.S. Wealth Management Intermediaries Distribution, Invesco

Brian Kilczewski, Senior Vice President, Branch Manager, Wells Fargo Advisors
Bill Marsh, Managing Principal, Financial Consultant, Capstan Financial Consulting Group, LLC
Tom Thornton, Research Director, Asset Management Services, Raymond James

4:05 PM - 4:45 PM
40 Min(s)

Concurrent Round Table Discussions: Marketing & Data Enablement

Ready to delve deeper with your industry colleagues? Our first set of small-group Round Table Discussions focuses on all aspects of data-enabled marketing. Wherever your firm is in the journey, this is your chance to discuss successes, challenges, use cases, and much more. Choose the topic that resonates the most with you and join a table of your peers for a candid download of information, ideas, and inspiration.

  • The modern role of marketing in growing and retaining AUM
    Discussion Leaders:
    Neil Bathon, Managing Partner, FUSE Research Network
    John Hackett, Chief Marketing Officer, Thornburg Investment Management
  • Lead generation–focusing on quality over quantity
    Discussion Leaders:
    Patty Quinn McAuley, Senior Vice President, Head of Marketing, Clark Capital Management Group
    Matt Schiffman, Principal, Distribution Insight, Broadridge
  • Technology advances and the future of marketing–separating myth from reality
    Discussion Leaders:
    Maureen Bromwell, Chief Marketing Officer, Northern Trust Asset Management
    Kelly Vives, Chief Marketing and Communications Officer, Allspring Global Investments
  • Getting started–implementing a data-driven marketing strategy
    Discussion Leaders:
    Alex Golub-Sass, Principal, Distribution Insight, Chief Data Scientist, Broadridge
    Vanessa Touma, Head of Client Strategy & Digital Sales, Invesco
4:55 PM - 5:35 PM
40 Min(s)

Concurrent Round Table Discussions: Engaging with Advisors and Gatekeepers

Our next group of Round Table Discussions address effective ways to engage with financial advisors and platform gatekeepers. Pick a topic and do a deep dive with a small group of your industry colleagues.

  • Is everyone now a hybrid?–reskilling, upskilling, and rethinking traditional distribution roles
    Discussion Leaders:

    Ronice Barlow, Senior Vice President, Co-Head of U.S. Retail Sales, Franklin Templeton
    David Chorba, Managing Director, National Sales Manager, Macquarie Asset Management
  • Making asset management partnerships work for both sides
    Discussion Leaders:
    Matt Goulet, Head of Asset Manager Services & Business Development, Fidelity Investments
    Pete Thatch, Senior Vice President, Director of National Accounts, Capital Group
  • RIA consolidators–understanding their different business models and what they look for in partners
    Discussion Leaders:
    Drew O’Hearn, Senior Director, Account Management, Cerulli Associates
    Mark Spina, President and Chief Operating Officer, FLX Networks
  • Covering professional buyers–the blurring lines between large practice and home office decision makers
    Discussion Leaders:
    Jim Devaney, U.S. Head of Distribution, PGIM Investments
    Anne Steer, Head of Distribution, Congress Asset Management

Evening Activities

Wednesday, March 29th 2023

Time Description
5:40 PM - 7:30 PM
2 Hours  30 Min(s)
Evening Reception and Networking

Relax and reconnect with industry friends and colleagues during a special outdoor reception at the historic Vinoy® to cap the first day of the Summit. We’ll provide the cocktails, tasty “Floribian” fare, and good company. Afterwards, the sights and sounds of St. Pete and nearby Tampa await those who want to explore the local area.

Day 2

Thursday, March 30th 2023

Time Description
7:30 AM - 8:15 AM
45 Min(s)
Networking Breakfast 
8:15 AM - 8:25 AM
10 Min(s)
Opening Remarks

Conference Co-Chairs:
Jean Heath, Principal Director, Asset Management Relations, Envestnet
Brian Schappert, Senior Vice President, Co-Head of U.S. Intermediary Distribution, American Century Investments
8:25 AM - 8:40 AM
15 Min(s)
President’s Update

Craig Pfeiffer provides an update on MMI’s strategic areas of focus and key initiatives on behalf ofmember firms and the investment advisory industry.

Craig Pfeiffer, President and CEO, Money Management Institute
8:40 AM - 9:05 AM
25 Min(s)
Executive Fireside Chat

Where are we headed as an industry? Join us for a candid conversation on what the industry is getting right–and where it can do better. Discover ways you can think differently to deliver cutting-edge strategies, bring unparalleled customization and flexibility at scale, and ensure your people are up for the challenges of tomorrow.

Roland Kastoun, Asset and Wealth Management Consulting Solutions Leader(U.S.), PwC
Craig Pfeiffer, President and Chief Executive Officer, Money Management Institute
9:05 AM - 9:45 AM
40 Min(s)
The Talent Imperative: Reimagining Today’s Challenges for a More Productive Tomorrow

Today’s business leaders are being confronted with a broad range of human capital challenges. The transition over the past three years from working fully in-office, to entirely remote, and now–in many instances–to a hybrid model, has caused repercussions across our workforce. Leading effectively in 2023 requires strategies that address the demand for flexible work arrangements, a tight labor market, escalating talent costs, and DEI concerns. This session starts with a review of the macro landscape, and then you’ll hear from a panel of experts on their own best practices and what they have seen as effective measures in the critical areas of talent acquisition, retention, and development.

Tyler Cloherty, Managing Director, Head of the Strategy and Analytics’ Knowledge Center, Deloitte

John Halaby, Executive Vice President, Head of Distribution, Harbor Capital
Monica Patel, Head of Human Resources, Americas, Invesco
Lauren Ziadie, Executive Director, Head of Women Without Limits, Morgan Stanley
9:45 AM - 10:15 AM
30 Min(s)
The Evolution of Investment Advisory Product: Innovation & Continuous Improvement

With holistic wealth management, customization, and values alignment increasingly in demand by investors, how are organizations evolving product strategy across the advisory value chain? In this session, two senior industry executives provide a look a head at the next evolution of advisory product. Hear how they are reimagining Product as a strategic asset for firms and modernizing the approach to providing solutions to meet client demands for today and the future.

Cheri Belski, Head of Global Product, T. Rowe Price
Stephen Patrickakos, Head of Managed Investments, Bank of America Merrill Lynch
10:15 AM - 10:30 AM
15 Min(s)
Refreshment and Networking Break
10:30 AM - 11:10 AM
40 Min(s)
Concurrent Round Table Discussions: Trends in Investment Advisory Product

Our third set of Round Table Discussions explores developments on the product side of the advisory business. There is a lot to review and discuss. Select a topic and get ready for a free-flowing exchange with a table of your industry counterparts.
  • Demystifying personalization– a product solution, a technology solution, an experience, or something else?
    Discussion Leaders:
    Randy Bullard, Global Head of Wealth, Charles River Development
    Brendan Powers, Director, Product Development, Cerulli Associates
  • Alternative investments–areas of opportunity in 2023
    Discussion Leaders:
    Parker Roy, Chief Revenue Officer, Axxes Capital
    Daniil Shapiro, Director, Product Development, Cerulli Associates
  • ESG at a crossroads–future trends and expectations
    Discussion Leaders:
    Edward Allen, Managing Director, Head of ESG & Climate Client Coverage–Americas, MSCI
    Garrett Cox, Global Head of Product & Investor Marketing, Northern Trust Asset Management
  • Customized SMAs–the next frontier in personalized portfolios?
    Discussion Leaders:
    Sam Marciano, Head of SMA Distribution, Franklin Templeton
    Russell Tipper, General Partner, Investment Advisory, Edward Jones
11:20 AM - 12:00 PM
40 Min(s)
Concurrent Round Table Discussions: Effective Talent Strategies

For our final group of small-group conversations, we have saved a set of topics that are critical for business and team leaders  advisory industry–namely, dealing with the talent challenges brought on by the pandemic, the Great Resignation, Quiet Quitting, and today’s hybrid work model. Choose your biggest pain point, pull up a chair, and be prepared to cross-pollinate ideas with other leaders who are wrestling with similar challenges.
  • Acquiring talent in a tight labor market–how to position your firm as a destination for top talent
    Discussion Leaders:
    Rocco Benedetto, Executive Vice President, Head of U.S. Retail Distribution, Invesco
    Brad Jung, Head of North America, Advisor & Intermediary Solutions, Russell Investments
  • Re-engineering retention–current trends behind transitions and how to thoughtfully defend your firm from turnover Discussion
    Kathy Freeman, Founder and President, Kathy Freeman Company
    Karen Lutomski, Senior Managing Director, Co-Head of Private Wealth, Nuveen
  • Talent development and engagement–maximizing coaching & development to elevate your workforce
    Discussion Leaders:

    Michael Galkoski, National Sales Manager, U.S. Wealth Management, ETF & SMA Distribution, American Century Investments
    Monica Patel, Head of Human Resources, Americas, Invesco
  • Moving the DEI needle–how to become more intentional and effective with DEI initiatives amid a volatile jobs market
    Discussion Leaders:
    Josean Fernandez, Director of National Accounts, Institutional Marketing, Ariel Investments
    Lauren Ziadie, Executive Director, Head of Women Without Limits, Morgan Stanley
12:10 PM - 12:40 PM
30 Min(s)
Closing Keynote Presentation Megatrends in Data, Tech, Space and Geopolitics for 2030, 2040 and 2050

Given our rapidly changing world, business leaders have an imperative to be positive “change agents” and help their organizations go beyond the status quo. The 7 billion networked devices on the planet in 2013 doubled to 14 billion in 2015, and 2025 is forecast to have more than 75 billion networked devices globally relative to only 8.3 billion people on the planet. The amount of data is also growing exponentially, so much that estimates suggest that by 2025 there will be more data than three times all the conversations we ever had for the entire history of human species. With these rapid changes, the nature of leadership is also changing. This requires recognition of the exponential technology trends that have been growing in such fields as data, tech, space, and geopolitics. This presentation will provide you with awareness of the potential trends for 2030, 2040, and 2050 as well as action-oriented ways to be bold, brave, and benevolent for the future ahead.

Dr. David A. Bray, Distinguished Fellow, Henry L. Stimson Center
Non-Resident Distinguished Fellow, Business Executives for National Security

Introduction: Denise Wypiszenski, Founder and Co-Chief Executive Officer, 4U Platform
12:40 PM- 12:45 PM
5 Min(s)

Closing remarks

Conference Co-Chairs:
Jean Heath, Principal Director, Asset Management Relations, Envestnet
Brian Schappert, Senior Vice President, Co-Head of U.S. Intermediary Distribution, American Century Investments

Featured Speakers

Yael Grushka-Cockayne

Darden School of Business | Harvard Business School

David Bray

Henry L. Stimson Center | Business Executives for National Security

Partners & Sponsors

2023 Titanium Partner

2023 Platinum Partners

2023 Cobalt Partners

2023 Keynote Sponsor

Branded Key Card Sponsor

Technology Sponsor

Diversity and Inclusion Sponsor Pioneer Sponsor