CNBC Financial Advisor Summit: Vision 2022
The CNBC Financial Advisor Summit brings forward-thinking advisors together virtually to hear from industry heavyweights about the state of the markets and to learn new and innovative ways to address the needs of their clients and their firm.
As we reach the end of the year, we look ahead to 2022 – what will be the key investment themes in the new year? How will client needs change as the world continues its return to pre-pandemic life? What new challenges await? Plus, we celebrate the 2021 Financial Advisor 100 – CNBC’s annual list of top advisory firms.
To read more about CNBC’s list of top-rated financial advisory firms, visit us here.
PAST EVENTS: 2020
Rupal Bhansali is chief investment officer and portfolio manager of Ariel’s international and global equity strategies. In this capacity, she oversees our global research effort and manages multi-billion dollar portfolios. She also co-manages our global concentrated strategy. Rupal joined Ariel in 2011 after 10 years with MacKay Shields where she was senior managing director, portfolio manager and head of international equities. Previously, she spent 5 years at Oppenheimer Capital, where she was responsible for international and global equity portfolios and was promoted to co-head of international equities. Additionally, Rupal has held various roles at other financial services firms since she began her career in 1989, including Soros Fund Management. In 2009, Forbes International Investment Report named her a “Global Guru,” in 2015, Barron’s recognized her as a “Global Contrarian,” and in 2017 PBS’s Consuelo Mack referred to her as an “unconventional thinker.” In January 2019, Rupal became the newest member of the prestigious Barron’s Investment Roundtable, which showcases “10 of Wall Street’s smartest investors.” She is a frequent guest on Bloomberg, CNBC and Fox Business News, and authored the book, Non-Consensus Investing: Being Right When Everyone Else Is Wrong. In 2020, Rupal obtained the FSA credential, awarded by the Sustainable Accounting Standards Board (SASB) for professionals who understand the link between sustainability and financial performance. Rupal serves on the Advisory Board of Directors of the Ira M. Millstein Center for Global Markets and Corporate Ownership at Columbia Law School, and the Board of Directors of the 100 Women in Finance Global Association. Fluent in several Indian languages including Hindi, Rupal earned a Bachelor of Commerce in accounting and finance, as well as a Master of Commerce in international finance and banking from the University of Mumbai. She later earned an MBA in finance from the University of Rochester, where she was a Rotary Foundation Scholar.
At the end of 1991, following 25 years of service, Leon Cooperman retired from his positions as a General Partner of Goldman Sachs & Co. and as Chairman and Chief Executive Officer of Goldman Sachs Asset Management to organize and launch an investment-management business, Omega Advisors, Inc.
At Goldman Sachs, Cooperman spent 15 years as a Partner and one year (1990-1991) as of-counsel to the Management Committee. In 1989, he became Chairman and Chief Executive Officer of Goldman Sachs Asset Management and Chief Investment Officer of the firm's equity product line, managing the GS Capital Growth Fund, an open-end mutual fund, for one-and-a-half years. Prior to those appointments, Cooperman had spent 22 years in the Investment Research Department as Partner-in-charge, Co-Chairman of the Investment Policy Committee and Chairman of the Stock Selection Committee. For nine consecutive years, he was voted the number- one portfolio strategist in Institutional Investor Magazine's annual "All-America Research Team" survey.
As a designated Chartered Financial Analyst, Cooperman is a senior member and past President of the New York Society of Security Analysts. He is Chairman Emeritus of the Saint Barnabas Development Foundation, a member of the Board of Overseers of the Columbia University Graduate School of Business, a member of the Board of Directors of the Damon Runyon Cancer Research Foundation, a member of the Investment Committee of the New Jersey Performing Arts Center, and Board Chairman of Green Spaces, a committee organized to rebuild 13 parks in Newark, NJ.
Cooperman received his MBA from Columbia Business School and his undergraduate degree from Hunter College. He is a recipient of Roger Williams University's Honorary Doctor of Finance; a recipient of Hunter College's Honorary Doctor of Humane Letters; an inductee into Hunter College's Hall of Fame; and a recipient of the 2003 American Jewish Committee (AJC) Wall Street Human Relations Award, the 2006 Seton Hall Humanitarian of the Year Award, the 2009 Boys & Girls Clubs of Newark Award for Caring, and the 2009 UJA-Federation of New York's Wall Street and Financial Services Division Lifetime Achievement Award. In 2013, Cooperman was inducted into Alpha Magazine's Hedge Fund Hall of Fame and was honored by the AJC at their 50th anniversary with the Herbert H. Lehman Award for his professional achievements, philanthropic efforts, and longstanding support for AJC. In 2014, Columbia Business School awarded Lee its Distinguished Leadership in Business Award, and Bloomberg Markets named him to its fourth annual "50 Most Influential" list (one of only ten money managers globally to be so honored, selected "based on what they're doing now, rather than past achievements"). He was inducted into the Horatio Alger Association in April 2015.
Cooperman and his wife, Toby, have two sons and three grandchildren.
With 47 years of experience, Tim Kochis has long been recognized as one of the key leaders of the wealth management industry, both within the US and overseas. He is the inaugural recipient of the Charles Schwab IMPACT Award, the FPA’s Kemp Fain Award, the Veres Leadership Award, and several others. He is a member of the Estate Planning Hall of Fame and the University of California, Berkeley confers an annual award for Teaching Excellence in his name.
Tim is the former CEO and Chairman of Aspiriant, one of the industry's largest and most admired firms, He led the wealth management practices at Bank of America and at Deloitte through the 1980’s before co-founding Kochis Fitz in 1991. Kochis Fitz merged with Quintile in 2008 to form Aspiriant, in one of the RIA industry’s most strategic M&A transactions. Throughout those organizations, Tim worked with thousands of clients, with a special focus on senior corporate executives. Tim now provides training and mentoring and strategic consulting for wealth management firms around the world and writes and speaks extensively in the US and overseas. In the US, as a Special Advisor to the DeVoe & Co. organization, he focuses heavily on issues of management and equity succession for RIA firms. He is the author of many professional articles and several books: 2 editions of Wealth Management; Success & Succession; 2 editions of Managing Concentrated Stock Wealth; and Wealth Management for China’s New Elite.
Tim was also a co-founder of the Personal Financial Planning Program at the University of California, Berkeley, where he has taught for many years. He has been very active within industry organizations, globally, having chaired the CFP Board, the Foundation for Financial Planning, and the international certification authority, the Financial Planning Standards Board.
Tim has an MBA from the University of Chicago, a JD from the University of Michigan, and a Bachelor of Arts degree from Marquette University. He served in the US Army during the Vietnam era and received a Purple Heart for wounds received in action.
Lee Baker, a certified financial planner, began his financial planning career while still an undergraduate student at the Georgia Institute of Technology. His passion for helping people achieve financial security combined with a desire to bring a little bit of “Wall Street” to “your street” led him to establish Apex Financial Services.
Baker is President of AARP of Georgia and chair of the advisory board for the financial planning program at Clark Atlanta University. He has been recognized as one of the top wealth managers in Atlanta four years in a row, as published in the October 2014 thru 2019 issues of Atlanta Magazine. Baker was an inaugural recipient of the Investment News Diversity and Inclusion Role Model Award in 2018. He is the past president of the Georgia Chapter of the Financial Planning Association and served on the National Board of Directors for the Financial Planning Association from 2008 to 2010.
Baker is frequently quoted in various publications including Black Enterprise Magazine, The Wall Street Journal, Kiplinger’s, Christian Science Monitor and Financial Planning Magazine. He also writes a column for MarketWatch.
Brian Edelman is a nationally recognized Cybersecurity expert specializing in the Financial Services industry. He is the CEO of FCI, a NIST-based Managed SOAR (Security Orchestration, Automation & Response) Service Provider, which he founded in 1995. FCI offers a comprehensive suite of Endpoint and Network Cyber Security & Compliance solutions customized for Financial Services firms. One of Brian’s areas of expertise is Cybersecurity regulations and compliance at both the Federal and State levels. This includes the 23 NYCRR 500 regulations from the NY Department of Financial Services (NYDFS), which impact every major Financial Services organization. Brian is frequently asked to speak at major industry conferences such as TD Ameritrade LINC, The Financial Planning Association, and T3 TechHub. He has been quoted in industry publications such as CNBC, Financial Planning Magazine, and Investment News. Brian serves as a Cybersecurity Technology Expert of Forbes NY Council and holds a Certificate in Cybersecurity Risk Management from Harvard University.
Timothy J. Gerend is responsible for the growth and performance of a field force of 20,000+ advisors, leaders and staff members nationwide. He works with enterprise partners to maintain a healthy and strong field system delivering comprehensive plans that combine life insurance and investment solutions in support of clients' financial goals.
Carla Harris is vice chairman of Wealth Management and senior client advisor at Morgan Stanley. She was chair of the Morgan Stanley Foundation from 2005 to 2014 and sits on the boards of several community organizations. In August 2013 Carla was appointed by President Barack Obama to chair the National Women’s Business Council. She is a gospel recording artist and a popular public speaker who gives impactful career guidance to corporate audiences based on her book, “Expect to Win.” Carla joined Morgan Stanley in 1987 after completing an AB in economics from Harvard University and an MBA from Harvard Business School.
Maria Ho is a Professional Poker Player and Broadcaster.
Mark A. Pitre is a Financial Planner and Principal of California Financial Advisors in San Ramon. Mr. Pitre earned his Bachelor of Science degree in Business Administration with an emphasis in Finance from the University of San Francisco in 1986, and his Master’s in Business Administration with an emphasis in Finance from the University of San Francisco in 1988.
He received his Certified Financial Planner (CFP®) designation from the College for Financial Planning in Denver, Colorado in 1992. He is also a member of the Financial Planning Association (FPA).
Mr. Pitre has taught Risk Management and Personal Financial Planning for the Graduate School of Business at Golden Gate University, located in Los Altos, California. He has also been quoted numerous times in The Wall Street Journal and Bottom Line Personal Finance.
Mark enjoys spending time with his family and is a lifelong fan of the San Francisco Giants.
Josh Richards is a Social media influencer, Serial Entrepreneur and Operating Partner at Animal Capital.
Samantha Russell is the Chief Marketing & Business Development Officer at Twenty Over Ten, a digital marketing platform for financial advisors. She is also the Chief Evangelist at FMG Suite. Samantha helps financial advisors attract and retain clients through digital marketing strategies that produce explosive growth, including website development, content marketing, SEO, social media and video.
Tim Seymour is founder and Chief Investment Officer of Seymour Asset Management (SAM). SAM provides both asset management and wealth management services for its clients, including direct investment and allocation to private equity and alternative assets. Tim is also the Portfolio Manager of the Amplify Seymour Cannabis ETF ticker: $CNBS.
Tim has over 24 years of investment experience as a portfolio manager, allocator and capital markets professional across multiple asset classes. Tim is a recognized voice within the investment community as a trader and market strategist on CNBC. For over a decade, Tim has been a primary investor voice on CNBC’s Fast Money. Tim is often cited as one of the top finance professionals on Twitter, including The Wall Street Journal’s “Top Tweets For Your Money”.
Tim was the CIO and co-founder of Triogem Asset Management where the firm’s flagship fund was a long short global equity strategy. Triogem’s investment approach was rooted in running a low volatility portfolio that managed top down risks while employing a rigorous research process to bottom up stock picking.
Prior to Triogem, Tim was co-founder and Managing Partner at Red Star Asset Management (Moscow, New York), where the firm managed a multi-strat fund investing across Russia/Eastern Europe.
Before launching Red Star, Tim was a Partner and Managing Director at Troika Dialog, Russia’s largest investment bank in Moscow. At Troika Tim served in various roles including running fixed income sales and trading and launching the firm’s US broker/dealer and overseeing all US capital markets activity.
Tim started his career at UBS in New York, focusing on international macro (cash bonds, swaps, forex). Tim completed the firm’s capital markets training program after graduating with an MBA in International Finance from Fordham University. Tim received his undergraduate degree at Georgetown University.
Tim acts in an advisory capacity to multiple cannabis companies and all his disclosures can be found below. Tim serves as an Advisory Board Member for The Georgetown Wall Street Alliance.
Tim lives in New York City with his wife and two children. When he is not with his family, Tim is playing drums and singing in his two bands.
Winnie Sun is Managing Partner of Sun Group Wealth Partners, and is one of the most trusted and followed financial voices on social media. Her trending business tweetchat averages over 150 MM impressions per week on Twitter.
With more than 20 years of experience in the financial services industry, Winnie serves on the CNBC Financial Advisor Council, is a popular Forbes contributor, is a regular Good Day Los Angeles, Fox News and Digital Trends television contributor.
She is frequently quoted in publications including The Wall Street Journal, CNBC, ABC, The New York Times, Yahoo! Finance, AOL Finance, and many others.
Winnie was previously First Vice President of Wealth Management, Senior Investment Management Specialist and Lead Advisor for the Sun Group at Morgan Stanley Smith Barney.
She serves as the host of LevelUp With Winnie, which airs on NASDAQ (8MM MUV), Amazon FIRE TV, and Roku, executive producer and host of ModernMom Mondays LIVE for Modern Mom (1.6MM MUV) and hosts a daily weekday livestream show on Twitter, Facebook, LinkedIn, Twitch, and YouTube.
Anna Ginzburg is a Director and Portfolio Manager for the Chief Investment Office (CIO) within Bank of America Corporation. Anna is responsible for the portfolio management and construction of CIO centralized discretionary multi-asset class portfolios. As part of her role, she has done extensive research in thematic investing.
Previously, Anna was a Market Risk Manager overseeing market risk for the repo, treasury, and agency trading desks at Bank of America.
Anna earned her B.A. degree in Economics and Political Science from Columbia University. She holds the Chartered Financial Analyst® (CFA®) designation and is a member of the New York Society of Security Analysts (NYSSA).
Andrew Jacobs van Merlen is a portfolio manager and co-portfolio manager for the target date strategies in the Multi-Asset Division. Andrew is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Trust Company, T. Rowe Price Associates, Inc., and T. Rowe Price International Ltd.
Andrew’s investment experience began in 2003, and he has been with T. Rowe Price since 2000, beginning in investment communications. Andrew was then an associate portfolio manager for the target allocation strategies and co-portfolio manager of the T. Rowe Price® ActivePlus Portfolios.
CFA® and Chartered Financial Analyst® are registered trademarks owned by CFA Institute.
Having joined Global X in 2013, Jay leads the firm’s research team, which originates the firm’s unique insights on the markets and ETFs. He also guides the planning and development of the firm’s strategic direction. Jay is a frequently cited expert in the financial media, including CNBC, Bloomberg, and The Wall Street Journal.
Prior to joining Global X, Jay was a business analyst at the New York Stock Exchange (NYSE), in the ETF and Indexing Group, where he helped to launch hundreds of ETFs on the NYSE Arca trading platform.
Jay holds a BA from Emory University in International Studies and an MBA from Columbia Business School. He is also a CFA charterholder.
He can be followed on Twitter @JayJacobsCFA
Chris serves as the Director of Investments and Chief Investment Strategist, with over 20 years of experience as an equity sector analyst, portfolio manager, and portfolio risk manager across domestic and international securities.
Chris has been with RiverFront since the company’s founding in 2008. He began his career in 2000 as a corporate finance analyst in the Technology sector at a predecessor to Wachovia Securities.
Chris Earned his BS in Business Administration from the Kenan-Flagler School of Business at the University of North Carolina at Chapel Hill. He received his Chartered Financial Analyst® designation in 2013 and is a member of the CFA Virginia Society.
Michael Kashani is the Global Head of ESG Portfolio Management within the Goldman Sachs Asset Management (GSAM) Fixed Income division. Michael is responsible for coordinating ESG integration efforts across all fixed income teams as well as serving as a lead portfolio manager for ESG-Enhanced and ESG-Impact mandates. As a representative of GSAM, Michael currently serves as a co-chair for ICMA's Sustainability-Linked Bond Committee on reporting, and leads the development of GSAM’s ESG-Enhanced product solutions focused on advancing inclusive growth and accelerating the climate transition. Michael was previously on the GSAM municipal team as a senior research analyst covering healthcare, education and distressed municipalities and was instrumental in developing its ESG capabilities. Prior to joining Goldman Sachs, Michael worked as a credit analyst at American Capital Access and Standard & Poor's, working primarily within the healthcare and education sectors.
Wyatt Lee is a portfolio manager in the Multi-Asset Division. He is co-manager and head of the Target Date Strategies. Wyatt also is a member of the firm's Asset Allocation and Multi-Asset Steering Committees. Wyatt is a vice president of T. Rowe Price Group, Inc., T. Rowe Price Trust Company, and T. Rowe Price Associates, Inc.
Wyatt’s investment experience began in 1998, and he has been with T. Rowe Price since 1999, beginning in the Fixed Income Division. Prior to this, Wyatt was employed by Summit Strategies Group as a research analyst.
CFA® and Chartered Financial Analyst® are registered trademarks owned by CFA Institute.
As Head of Risk Management, Laura Levenstein has responsibility for BAM’s risk management strategy and its oversight, including acting as chair of the Enterprise Risk Committee. Laura also serves on the Management, Underwriting and Credit Policy and Surveillance Committees. Before joining BAM, she was Senior Managing Director for Global Public, Project and Infrastructure Finance, which includes US public finance, global sub-sovereign, sovereign, project and infrastructure finance, at Moody’s Investors Service. In that position, as part of the evaluation of the various rated entities, she was responsible for evaluating all types of risk in these sectors to the extent it could impact the entities’ credit profiles. Laura was also responsible for managing all aspects of the rating business relevant to those sectors including, rating assignment, rating methodologies, process operations, strategy, financial performance, rating quality and reputational risks. Prior positions in her over 20-year career at Moody’s included Senior Managing Director for Americas and Global Financial Institutions.
Frank A. Magnani is an accomplished sales and marketing executive at Interactive Brokers whose experience spans across global prime brokerage and execution services, clearing, product development, operations, risk management, due diligence, and developing strategic alliances. His primary focus is on Advisors, Hedge Funds, Proprietary Trading Groups, and Broker Dealers. Over the years, he has founded and launched several prime brokerage divisions within existing financial institutions, launched a third party marketing firm, as well as implemented the operational, trading, sales and marketing infrastructures for those organizations. Mr. Magnani’s past experience includes being Global Head of Clearing and Prime Brokerage Sales for Investec Group USA. In this role, he was responsible for sales, marketing, branding, public relations, and advertising. In addition, he was responsible for managing on site the European Offices of the American Stock Exchange based in London and Amsterdam.
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The Alliance for Lifetime Income is a non-profit 501(c)(6) educational organization based in Washington, D.C., that creates awareness and educates Americans about the value and importance of having protected lifetime income in retirement. Our vision is for a country where no American has to face the prospect of running out of money in retirement. The Alliance provides consumers and financial advisors with educational resources, interactive tools, and actionable research and insights to use in building retirement income strategies and plans. We believe annuities – one of only three sources of protected lifetime income – can be an important part of the solution for retirement security in America.
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.2 trillion in assets under management as of 30 June 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information, please visit www.nuveen.com.