Financial Advisor Summit: The Innovative Advisor

CNBC Financial Advisor Summit: The Innovative Advisor

The CNBC Financial Advisor Summit brings together forward-thinking advisors 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. The mid-year virtual conference will feature discussions on how to leverage the firm’s succession plan as a marketing strategy; how to bolster the firm’s cyber defenses; and how to recruit and train the next generation of great financial advisors. Plus the latest on the markets and the economy from CNBC’s signature guest speakers.

This event has been approved for 3.5 CFP continuing education credits.

To read more about CNBC’s list of top-rated financial advisory firms, visit us here.


Rupal Bhansali

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.

Leon Cooperman

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.

Tim Kochis

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.

Cynthia Lummis

Cynthia Lummis was sworn into the United States Senate on January 3, 2021, becoming the first woman to serve as United States Senator from the great State of Wyoming.

Born on a cattle ranch in Laramie County, Senator Lummis has spent her entire career fighting for Wyoming families, communities, businesses and values. From the halls of the Wyoming House to the halls of the U.S. House, her time in public service has always been focused on advocating for Wyoming’s future.

First elected to the U.S. House in 2008, Senator Lummis quickly earned her reputation as a no-nonsense conservative and principled policymaker. She was a founding member of the House Freedom Caucus, a group consisting of the most unflinching conservative Members of the House of Representatives. She fought throughout her tenure in Congress to rein in spending and reduce the federal deficit, working with the bipartisan Committee for a Responsible Federal Budget and ultimately co-sponsoring several bipartisan budget proposals.

In the House of Representatives, Senator Lummis effectively elevated western issues, pushing through the first Interior and Environment (EPA) Appropriations bill to pass the House in seven years under her chairmanship. This marked a significant milestone for the Western Caucus and the rural communities across the West they represent. She also worked to keep public lands open to the public and available for multiple use. She successfully passed the National Forest System Trails Stewardship Act in 2016, a bipartisan effort led by Cynthia to maintain over 157,000 miles of trails within our national forests.

Senator Lummis is a dedicated champion of Wyoming’s mineral and energy resources. In Washington, she fought off attacks from the environmental left while advocating for market opportunities both at home and abroad. She is the proud godmother of the ANSAC Wyoming, a commercial shipping vessel transporting trona from the U.S. to Southeast Asia and is the recipient of the lifetime achievement award from the Washington Coal Club.

Prior to serving in the House of Representatives, Senator Lummis spent eight years as Wyoming State Treasurer and 14 years as a member of the Wyoming State House and Senate. She also worked as general counsel to Wyoming Governor Jim Geringer and Director of the Office of State Lands and Investments, as well as a law clerk at the Wyoming Supreme Court.

After departing U.S. House of Representatives in 2016, Senator Lummis operated her family’s cattle ranches, and the Sweetgrass development in Laramie County, with her brother and sister. She is a three-time graduate of the University of Wyoming in animal science, biology and law. She and her late-husband, Al Wiederspahn, have one daughter, Annaliese, son-in-law Will Cole and grandsons Gus and Al.

Lee Baker

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

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 Gerend

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

Carla Harris is a Senior Client Advisor at Morgan Stanley. She was most recently a Vice Chairman responsible for increasing client connectivity and penetration to enhance revenue generation across the firm. She was the founder and creator of the award winning, Multicultural Innovation Lab at Morgan Stanley, and the award winning podcast, Access and Opportunity. She formerly headed the Emerging Manager Platform, the equity capital markets effort for the consumer and retail industries and was responsible for Equity Private Placements. In her 30+ year career, Ms. Harris has had extensive industry experiences in the technology, media, retail, telecommunications, transportation, industrial, and healthcare sectors. In August 2013, Carla Harris was appointed by President Barack Obama to chair the National Women’s Business Council.

For more than a decade, Ms. Harris was a senior member of the equity syndicate desk and executed such transactions as initial public offerings for UPS, Martha Stewart Living Omnimedia, Ariba, Redback, the General Motors sub-IPO of Delphi Automotive, and the $3.2 Billion common stock transaction for Immunex Corporation, one of the largest biotechnology common stock transactions in U.S. history. Ms. Harris was named to Fortune Magazine’s list of “The 50 Most Powerful Black Executives in Corporate America”, Fortune’s Most Influential List, U. S. Bankers Top 25 Most Powerful Women in Finance (2009, 2010, 2011), Black Enterprise’s Top 75 Most Powerful Women in Business (2017), and “Top 75 African Americans on Wall Street”, and to Essence Magazine’s list of “The 50 Women Who are Shaping the World”, Ebony’s list of the Power 100 and “15 Corporate Women at the Top” and was named “Woman of the Year 2004” by the Harvard Black Men’s Forum and in 2011 by the Yale Black Men’s Forum.

Prior to joining Morgan Stanley, Carla received an MBA, Second Year Honors from Harvard Business School and an AB in economics from Harvard University, Magna Cum Laude. Carla has also received Honorary Doctorates of Laws, Humanities and Business from Marymount Manhattan College, Bloomfield College, Converse College, Jacksonville University, Simmons College, the College of New Rochelle, St. Thomas Aquinas College, Babson College and Fisk University, Wake Forest University and Felician University respectively. Carla Harris is actively involved in her community and heartily believes that “we are blessed so that we can be a blessing to someone else.”

She is the past Chair of the Board of the Morgan Stanley Foundation and of The Executive Leadership Council, and sits on the boards of Sponsors for Educational Opportunity (SEO), The Sesame Workshop, Mother Cabrini Health Foundation and is an active member of the St. Charles Gospelites of the St. Charles Borromeo Catholic Church. She was a member of the board of overseers of Harvard University and is a member of the board of directors of the Walmart Corporation, Cummins Corporation and MetLife. Ms. Harris was co-chair of the National Social Action Commission of Delta Sigma Theta Sorority, Incorporated. She has been named to the New Jersey Hall of Fame (2015) and has received the Bert King Award from the Harvard Business School African American Alumni Association, the 2005 Women’s Professional Achievement Award from Harvard University, the Pierre Toussaint Medallion from the Office of Black Ministry of the Archdiocese of New York, the Women of Power Award given by the National Urban League, the Women of Influence Award from The Links, Incorporated and many other awards. In her other life, Carla is a singer who has sold out concerts at Carnegie Hall and the Apollo Theatre, and released 4 Gospel CDs:“O This is Christmas” (2021) “Unceasing Praise” (2011), “Joy Is Waiting”(2005), and her first CD entitled, “Carla’s First Christmas”(2000), was a bestseller on in New York and was featured on the CBS Evening News with Dan Rather in his “American Dream” segment. She is also an internationally renowned public speaker. She was named one of the top 50 speakers in the world by Real Leaders Magazine (2023) and one of the Top 40 female Speakers (2020). She is the author of the books, Strategize to Win (2014), Expect to Win (2009) (Hudson Press) and of Lead To Win (2022).

Maria Ho

Maria Ho is a Professional Poker Player and Broadcaster.

Mark Pitre

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

Josh Richards is a Social media influencer, Serial Entrepreneur and Operating Partner at Animal Capital.

Samantha Russell

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

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. 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.

He acts in an advisory capacity to multiple cannabis companies. He also 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

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

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

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.

Jay Jacobs

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 Konstantinos

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

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

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.

Laura Levenstein

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 Magnani

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.


11:00am ET - 3:00pm ET

Program Begins

The Bitcoin Senator

Less than six months into her first term as a U.S. Senator, Wyoming Republican Cynthia Lummis has taken up the cause of creating a more inclusive financial system through digital transformation, founding the Bipartisan Financial Innovation Caucus last month with her Democratic colleague Kristen Sinema of Arizona. Senator Lummis leads off our summit in a wide-ranging conversation about bringing financial regulation up to the speed of financial change, from the use of artificial intelligence and machine learning in banking, to the regulation of cryptocurrencies.   

Senator Cynthia Lummis (R-WY)  

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Leon Cooperman and the Long-Term View

With more than 50 years on Wall Street, and a stellar and consistent track record, few can match the wisdom and market intelligence of Leon Cooperman. He’s been known in more recent years as a vocal advocate for wealth creation and philanthropy, and sometimes sparring with DC regulators and lawmakers. Hear his latest unabashed and uncensored views on the market opportunities, the economy, taxes, the national debt, and more.

Leon Cooperman, Omega Advisors Chairman and CEO
Interviewer: Becky Quick, CNBC “Squawk Box” Co-Anchor 

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Building the Next Generation

Securing the next generation’s wealth will require a new crop of financial advisors. In this session, we discuss ways to attract a new, more diverse group of young people to the financial advisor profession, how to grow and diversity the market for financial planning and advice, and how to build investment plans that fit the financial needs and evolving goals of the younger generations.

Carla Harris, Morgan Stanley Vice Chairman of Wealth Management and Senior Client Advisor
Timothy Gerend, Northwestern Mutual Chief Distribution Officer
Moderator: Sharon Epperson, CNBC Personal Finance Correspondent 

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Making Succession Planning an Opportunity

As the average age of financial advisors continues to climb, hundreds of firms face uncertain futures, and no client wants to stay with a firm that might not outlive its current owners. Tim Kochis, a leading expert on succession planning, joins Mark Pitre of California Financial Advisors, a CNBC FA 100 firm that has leveraged succession planning to grow its practice, to discuss the big opportunity to acquire new clients, keep the current clients happy, all while setting your firm on a course for lasting success.

Tim Kochis, DeVoe & Company Special Advisor
Mark Pitre, California Financial Advisors Principal
Moderator: Darla Mercado, Markets Editor

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Breakout Sessions

Inflation Hedging Investment Moves

Inflation presents challenges for investors. Even if investments are growing in value, inflation will reduce that value on the back end. Inflation fears have unsettled financial markets and raised concerns that it could weaken the economic recovery from the pandemic recession. Investors now find themselves scrambling for solutions as they seek an inflation hedge to protect their portfolios from the emerging threat. This session looks at investment strategies that will give the investor a return greater than the current rate of inflation.

Winnie Sun, Sun Group Wealth Partners Co-founder and Managing Director
Lee Baker, Apex Financial Services Owner and President
Moderator: Jim Pavia, CNBC Money Editor 

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Environmental and Social Impact Investing with Muni Bonds

Sponsored and programmed by Build America Mutual

U.S. municipal bonds are increasingly recognized by investors globally because they offer a unique combination of low risk returns and environmental and social impact. The volume of labelled green, sustainability, and social impact bonds sold by municipal issuers has grown steadily in recent years. This session will discuss impact-driven accounts and offer practical advice for how your clients can add exposure to their portfolios.

Michael Kashani, Goldman Sachs Asset Management Global Head of ESG Portfolio Management
Laura Levenstein, Build America Mutual Chief Risk Officer
Moderator: Jen Rogers, Financial Reporter 

Thematic Investments: How to Make Them Work in 2021

Sponsored and programmed by Global X ETFs

Thematic ETFs grew nearly 5-fold during the pandemic. Experts discuss the growth of thematic investing, ways to incorporate themes in portfolios, and take a look at which ones are most promising in 2021.

Anna Ginzburg, CFA, Bank of America Director, Portfolio Manager
Chris Konstantinos, CFA, Riverfront Investment Group Director of Investments
Moderator: Jay Jacobs, CFA, Global X ETFs SVP, Head of Research & Strategy

Smart Solutions for Complex Investment Challenges

Sponsored and programmed by Interactive Brokers

Investment advisors face multiple challenges managing global assets. As cross-border complexities evolve, it’s an important time to examine how technology can help assess risk, reduce overhead and commissions, and enhance trading capabilities. This discussion will focus on the importance of best execution in wealth management.

Frank A. Magnani, Interactive Brokers Global Institutional Sales- RIAs, Hedge Funds, Broker Dealers
John C. Seeberg, Interactive Brokers Investment Advisor and Prime Brokerage Platform Solutions
Moderator: Rhonda Schaffler, Business Anchor

Main Stage Returns

Matching Target Date Options to Your Clients’ Needs

Sponsored and programmed by T. Rowe Price

Plan sponsors and retirement investors may have different needs and goals, presenting a challenge for advisors who need to help match clients with a target date solution. While there is no single target date option that works for everyone, understanding the glide path design considerations and ways to select a target date solution will help deliver on client needs and preferences.

Andrew Jacobs van Merlen, T. Rowe Price Portfolio Manager
Wyatt Lee, T. Rowe Price Portfolio Manager
ModeratorCaroline Woods, Business Journalist

Changing the Locks: Cybersecurity Compliance

Recent mega-scale cyberattacks on the federal government and large corporations are forcing businesses of all sizes to take a hard look at their cybersecurity. FA firms, which tend to be smaller companies, can be left vulnerable and lacking expertise. In this session, leading experts on cybersecurity for advisors will explain how to ensure your firm is meeting key compliance regulations, give advice on how to shop for cyber services, and offer ideas on how to provide above-and-beyond protection for your clients and their wealth.

Brian Edelman, FCI CEO
Moderator: Jim Pavia, CNBC Money Editor 

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Digital Referrals and the Power to Grow Your Business

While referrals are still the best way for advisors to grow their business, prospective clients often search online or ask digital friends and communities for referrals. What are your ‘digital referrals’ saying about your business? Not just the reviews you gather but also your website and social presence. Join us as we discuss the changes in the SEC regulations over the last couple of months and the best way to use your digital presence to maintain and grow your business and the importance of ‘social proof’ in driving your business growth.

Samantha Russell, FMG Suite Chief Evangelist
Interviewer: Tyler MathisenCNBC “Power Lunch” Co-Anchor & Vice President, Events Strategy 

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Is 2021 the Year of the Value Investor?

A pending economic boom, easy policy from the Federal Reserve, and the promise of more government spending is creating opportunity for some previously unloved sectors like energy and financials. Ariel Investments’ Rupal Bhansali, a legendary contrarian known for her unconventional thinking, shares where she’s finding value in 2021.

Rupal Bhansali, Ariel Investments Chief Investment Officer and Portfolio Manager, International & Global Equities and Co-Portfolio Manager, Ariel Global Concentrated
Interviewer: Sara EisenCNBC “Closing Bell” Co-Anchor 

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The 2021 CNBC Stock Draft – Picking a Winning Strategy

CNBC’s annual stock-picking competition pits market professionals, athletes and celebrities against each other.  The winner is the player whose two stocks have the highest average price appreciation between the closing price on April 29, 2021 and the close on February 11, 2022. In this special session, we check the scoreboard two months into the competition, and hear from a few of the participants about the strategy behind their picks and their overall investment philosophies that drove their decisions.

Josh Richards, Social Media Influencer, Serial Entrepreneur and Animal Capital Operating Partner
Maria Ho, Professional Poker Player and Broadcaster
Tim Seymour, Seymour Asset Management Founder and CEO
Interviewer: Tyler MathisenCNBC “Power Lunch” Co-Anchor & Vice President, Events Strategy 

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FA Exchange

Join the conversation on camera for these interactive, topic-based sessions led by industry leaders.  Share your thoughts, ask questions, exchange ideas, and network with event speakers, our FA Council members, and your peers.

FA Exchange: Cybersecurity Solutions

Featured Guests:
Brian Edelman, FCI CEO
Jim Pavia, CNBC Money Editor

FA Exchange: Social Media Strategies

Featured Guest:
Samantha Russell, FMG Suite Chief Evangelist 

FA Exchange: Market Trends

Featured Guests:
Rupal Bhansali, Ariel Investments Chief Investment Officer and Portfolio Manager, International & Global Equities and Co-Portfolio Manager, Ariel Global Concentrated
Bob Pisani, CNBC Senior Markets Correspondent   

FA Exchange: Inflation

Featured Guests:
Winnie Sun, Sun Group Wealth Partners Co-founder and Managing Director
Lee Baker, Apex Financial Services Owner and President

Why sponsor

Have intimate and unique exposure to the most influential players and firms in the FA community

Why attend

Hear from top financial leaders, and network and exchange notes with the nation's top FAs

Why it matters

We're convening the premier FAs to leverage and share their expertise and inspire the community



Registration for the CNBC Financial Advisor Summit is now closed. Please reach out to if you have any questions.