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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.

PAST EVENTS: 2020

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

SPEAKERS

Rupal
Bhansali

Ariel Investments

Rupal Bhansali is CIO and Portfolio Manager of Ariel Investments.

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

Omega Advisors

Leon Cooperman is Chief Executive Officer of Omega Advisors.

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

Devoe & Company

Tim Kochis, CFP is Special Advisor at Devoe & Company.

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

(R-Wyo.)

Cynthia Marie Lummis is an American politician and attorney serving as the United States Senator from Wyoming.

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

Apex Financial Services

Lee Baker is Apex Financial Services Owner and President

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

FCI

Brian Edelman is Chief Executive Officer of FCI.

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

Northwestern Mutual

Timothy Gerend is Chief Distribution Officer at Northwestern Mutual.

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

Morgan Stanley

Carla Harris is Vice Chairman of Wealth Management and Senior Client Advisor at Morgan Stanley.

Carla Harris

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.

SPEAKERS

  • Rupal Bhansali

    Ariel Investments

    Read Bio ⟶

    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

    Omega Advisors

    Read Bio ⟶

    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

    Devoe & Company

    Read Bio ⟶

    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

    (R-Wyo.)

    Read Bio ⟶

    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

    Apex Financial Services

    Read Bio ⟶

    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

    FCI

    Read Bio ⟶

    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

    Northwestern Mutual

    Read Bio ⟶

    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

    Morgan Stanley

    Read Bio ⟶

    Carla Harris

    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

    Professional Poker Player

    Read Bio ⟶

    Maria Ho

    Maria Ho is a Professional Poker Player and Broadcaster.

  • Mark Pitre

    California Financial Advisors

    Read Bio ⟶

    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

    Social media influencer

    Read Bio ⟶

    Josh Richards

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

  • Samantha Russell

    FMG Suite

    Read Bio ⟶

    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

    Seymour Asset Management

    Read Bio ⟶

    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, 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

    Sun Group Wealth Partners

    Read Bio ⟶

    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

    Bank of America

    Read Bio ⟶

    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

    T. Rowe Price

    Read Bio ⟶

    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

    Global X

    Read Bio ⟶

    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

    RiverFront Investment Group

    Read Bio ⟶

    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

    Goldman Sachs Asset Management

    Read Bio ⟶

    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

    T. Rowe Price

    Read Bio ⟶

    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

    Build America Mutual

    Read Bio ⟶

    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

    Interactive Brokers

    Read Bio ⟶

    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.

AGENDA

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)  

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 

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 

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, CNBC.com Markets Editor

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 

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 

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 

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 

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 

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

REGISTRATION

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

SPONSORED BY

SPONSORED BY

PAST SPEAKERS

Jay
Clayton

U.S. Securities and Exchange Commission

Jay Clayton is Chairman of the U.S. Securities and Exchange Commission.

Jay Clayton

Chairman Clayton was born at Fort Eustis in Newport News, Virginia and was raised primarily in central and southeastern Pennsylvania. In his professional career, he has lived in Philadelphia, New York, London, and Washington, D.C.

Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm's Management Committee and co-head of the firm's corporate practice. From 2009 to 2017, Chairman Clayton was a Lecturer in Law and Adjunct Professor at the University of Pennsylvania Law School.

Prior to joining Sullivan & Cromwell, Chairman Clayton served as a law clerk for the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania. A member of the New York and Washington, D.C. bars, Chairman Clayton earned a B.S. in Engineering from the University of Pennsylvania (summa cum laude), a B.A. and M.A. in Economics from the University of Cambridge (Thouron Scholar), and a J.D. from the University of Pennsylvania Law School (cum laude, Order of the Coif).

Josh
Brown

Ritholtz Wealth Management

Joshua Brown is CEO of Ritholtz Wealth Management.

Josh Brown

Josh Brown is the CEO of Ritholtz Wealth Management, a New York City-based investment advisory firm where he helps people invest for the future.

He has been named by The Wall Street Journal, Barron’s and TIME Magazine as the most important financial follow on Twitter. Josh’s blog, The Reformed Broker, is read by millions of investors, traders and advisors around the world. He is also the author of the books “Backstage Wall Street” and “Clash of the Financial Pundits.” His investment advisory firm, based in New York City, is focused on financial planning, retirement solutions, and institutional asset management.

Winnie
Sun

Sun Group Wealth Partners

Winnie Sun is Co-Founder and Managing Director of Sun Group Wealth Partners.

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.

Mona
Naqvi

S&P Dow Jones

Mona Naqvi is Senior Director and Head of ESG Product Strategy, North America of S&P Dow Jones.

Mona Naqvi

Mona is Senior Director, Head of Environmental, Social, and Governance (ESG) Product Strategy, North America at S&P Dow Jones Indices (S&P DJI). In this role, Mona leads the strategy for developing ESG indices for the North American market, from best-in-class approaches like the world-renowned Dow Jones Sustainability Index, to broad-market ESG alternatives and core solutions like the S&P 500® ESG Index. She also serves as the global spokesperson for S&P DJI’s ESG Indices, educating the market on the values of ESG investing and our industry-leading ESG lineup.

Prior to joining S&P DJI, Mona was Director at Trucost (part of S&P Global) and advised some of North America’s biggest institutional investors on low-carbon and fossil fuel free strategies, energy transition alignment, and meeting the recommendations of the TCFD for investors. Mona also led the North American presence of the 2° Investing Initiative, a prominent sustainable finance think tank focused on aligning the finance sector with climate goals. In addition, Mona served as an advisor to the Obama Administration on climate and energy policy and worked for several years as an economist at the UK’s Bank of England. Mona also ran for public office in UK local government elections of 2010 and 2014 and devised the local Liberal Democrat party’s communication strategy around education and the environment.

Mona graduated Summa Cum Laude with a Bachelor of Science degree (with honors) in Government and Economics (double major) from the London School of Economics and Political Science (LSE). She is an experienced public speaker and regular market commentator on sustainable finance issues, with published works on topics as diverse as disruptive technologies to the problem of “short-termism” in mainstream finance. She is a recipient of the FiNext Excellence in Finance Leadership Award 2019 and was a shortlisted nominee for the Women in Asset Management Awards in the Index Category of 2019.

Mario
Gabelli

GAMCO Investors

Mario J. Gabelli is the Chairman and Chief Executive Officer of GAMCO Investors.

Mario Gabelli

Mario J. Gabelli is the Chairman and Chief Executive Officer of GAMCO Investors, Inc., the firm he founded in 1977. A 1965 summa cum laude graduate of Fordham University's College of Business Administration, he also holds an M.B.A. from Columbia University Graduate School of Business, and honorary doctorates from Fordham University and Roger Williams University.

Mr. Gabelli serves on the Boards of Boston College, Roger Williams University, Columbia University Graduate School of Business, the American-Italian Cancer Foundation, the Foundation for Italian Art & Culture and is a Trustee of the Winston Churchill Foundation of the United States and of the E.L. Wiegand Foundation. He was Morningstar's Portfolio Manager of the Year in 1997. He was named Money Manager of the Year by Institutional Investor for 2011 and is a member of Barron's All Star Century Team.

Mary Beth
Franklin

Social Security Guru

Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

Mary Beth Franklin

Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

An award-winning journalist and Certified Financial Planner, Mary Beth writes a weekly column on retirement issues for Investment News, a publication for financial advisers. She is also author of the ebook, Maximizing Your Social Security Retirement Benefits.

In 2016, Mary Beth was honored with a Hero Award from the Women’s Institute for a Secure Retirement (WISER) for her efforts to improve retirement security among women. She is also an inaugural member of the Certified Financial Planner Board of Standard’s Women’s Initiative Council which focuses on improving gender and racial diversity in the financial services profession.

Previously, Mary Beth served as the tax and retirement editor for Kiplinger’s Personal Finance magazine and editor of Kiplinger’s annual Retirement Planning Guide. Earlier in her career, Mary Beth was a Capitol Hill reporter for United Press International. She is a frequent guest on numerous radio and television programs.

Bill
Winterberg

FPPad.com

Bill Winterberg is Founder of FPPad.com.

Bill Winterberg

Bill Winterberg is Founder of FPPad.com.

Lazetta
Rainey Braxton

2050 Wealth Partners

Lazetta Rainey Braxton is Co-CEO of the 2050 Wealth Partners and Chair of the Board of the Association of African American Financial Advisors.

Lazetta Rainey Braxton

Lazetta Rainey Braxton MBA, CFP®, Co-CEO of 2050 Wealth Partners and CEO of Lazetta & Associates, is on a mission to transform human capital to equitable financial capital through holistic financial planning for underserved households and consulting for financial advisory firms who value Diversity, Equity and Inclusion. She provides access to financial planning for “the rest of us” while also advising C-Suite financial services leaders who are accustomed to the 1%.

Lazetta, a nationally-recognized financial expert, has appeared on NBC Nightly News with Lestor Holt and CNBC’s Closing Bell. She is a member of the CNBC Digital Financial Advisor Council and a Wall Street Journal Financial Experts blog contributor.

Recognized for her leadership and dedication to the financial planning profession, Lazetta was named one of Investment News’ inaugural Women to Watch and Excellence in Diversity and Inclusion recipients. She also received the Association of African American Financial Advisors’ Leadership Legacy Award and the Heart of Financial Planning award from the Financial Planning Association. She currently serves as Chair of the Board for the Association of African American Financial Advisors (AAAA) and President of AAAA Foundation.

PAST SPEAKERS

  • JAY CLAYTON

    U.S. Securities and Exchange Commission

    Read Bio ⟶

    JAY CLAYTON

    Chairman Clayton was born at Fort Eustis in Newport News, Virginia and was raised primarily in central and southeastern Pennsylvania. In his professional career, he has lived in Philadelphia, New York, London, and Washington, D.C.

    Prior to joining the Commission, Chairman Clayton was a partner at Sullivan & Cromwell LLP, where he was a member of the firm's Management Committee and co-head of the firm's corporate practice. From 2009 to 2017, Chairman Clayton was a Lecturer in Law and Adjunct Professor at the University of Pennsylvania Law School.

    Prior to joining Sullivan & Cromwell, Chairman Clayton served as a law clerk for the Honorable Marvin Katz of the U.S. District Court for the Eastern District of Pennsylvania. A member of the New York and Washington, D.C. bars, Chairman Clayton earned a B.S. in Engineering from the University of Pennsylvania (summa cum laude), a B.A. and M.A. in Economics from the University of Cambridge (Thouron Scholar), and a J.D. from the University of Pennsylvania Law School (cum laude, Order of the Coif).

  • JOSHUA BROWN

    Ritholtz Wealth Management

    Read Bio ⟶

    JOSHUA BROWN

    Josh Brown is the CEO of Ritholtz Wealth Management, a New York City-based investment advisory firm where he helps people invest for the future.

    He has been named by The Wall Street Journal, Barron’s and TIME Magazine as the most important financial follow on Twitter. Josh’s blog, The Reformed Broker, is read by millions of investors, traders and advisors around the world. He is also the author of the books “Backstage Wall Street” and “Clash of the Financial Pundits.” His investment advisory firm, based in New York City, is focused on financial planning, retirement solutions, and institutional asset management.

  • WINNIE SUN

    Sun Group Wealth Partners

    Read Bio ⟶

    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.

  • MONA NAQVI

    S&P Dow Jones

    Read Bio ⟶

    MONA NAQVI

    Mona is Senior Director, Head of Environmental, Social, and Governance (ESG) Product Strategy, North America at S&P Dow Jones Indices (S&P DJI). In this role, Mona leads the strategy for developing ESG indices for the North American market, from best-in-class approaches like the world-renowned Dow Jones Sustainability Index, to broad-market ESG alternatives and core solutions like the S&P 500® ESG Index. She also serves as the global spokesperson for S&P DJI’s ESG Indices, educating the market on the values of ESG investing and our industry-leading ESG lineup.

    Prior to joining S&P DJI, Mona was Director at Trucost (part of S&P Global) and advised some of North America’s biggest institutional investors on low-carbon and fossil fuel free strategies, energy transition alignment, and meeting the recommendations of the TCFD for investors. Mona also led the North American presence of the 2° Investing Initiative, a prominent sustainable finance think tank focused on aligning the finance sector with climate goals. In addition, Mona served as an advisor to the Obama Administration on climate and energy policy and worked for several years as an economist at the UK’s Bank of England. Mona also ran for public office in UK local government elections of 2010 and 2014 and devised the local Liberal Democrat party’s communication strategy around education and the environment.

    Mona graduated Summa Cum Laude with a Bachelor of Science degree (with honors) in Government and Economics (double major) from the London School of Economics and Political Science (LSE). She is an experienced public speaker and regular market commentator on sustainable finance issues, with published works on topics as diverse as disruptive technologies to the problem of “short-termism” in mainstream finance. She is a recipient of the FiNext Excellence in Finance Leadership Award 2019 and was a shortlisted nominee for the Women in Asset Management Awards in the Index Category of 2019.

  • MARIO GABELLI

    GAMCO Investors

    Read Bio ⟶

    MARIO GABELLI

    Mario J. Gabelli is the Chairman and Chief Executive Officer of GAMCO Investors, Inc., the firm he founded in 1977. A 1965 summa cum laude graduate of Fordham University's College of Business Administration, he also holds an M.B.A. from Columbia University Graduate School of Business, and honorary doctorates from Fordham University and Roger Williams University.

    Mr. Gabelli serves on the Boards of Boston College, Roger Williams University, Columbia University Graduate School of Business, the American-Italian Cancer Foundation, the Foundation for Italian Art & Culture and is a Trustee of the Winston Churchill Foundation of the United States and of the E.L. Wiegand Foundation. He was Morningstar's Portfolio Manager of the Year in 1997. He was named Money Manager of the Year by Institutional Investor for 2011 and is a member of Barron's All Star Century Team.

  • MARY BETH FRANKLIN

    Social Security Guru

    Read Bio ⟶

    MARY BETH FRANKLIN

    Mary Beth Franklin is one of the country’s leading experts on Social Security and Medicare.

    An award-winning journalist and Certified Financial Planner, Mary Beth writes a weekly column on retirement issues for Investment News, a publication for financial advisers. She is also author of the ebook, Maximizing Your Social Security Retirement Benefits.

    In 2016, Mary Beth was honored with a Hero Award from the Women’s Institute for a Secure Retirement (WISER) for her efforts to improve retirement security among women. She is also an inaugural member of the Certified Financial Planner Board of Standard’s Women’s Initiative Council which focuses on improving gender and racial diversity in the financial services profession.

    Previously, Mary Beth served as the tax and retirement editor for Kiplinger’s Personal Finance magazine and editor of Kiplinger’s annual Retirement Planning Guide. Earlier in her career, Mary Beth was a Capitol Hill reporter for United Press International. She is a frequent guest on numerous radio and television programs.

  • BILL WINTERBERG

    FPPad.com

    Read Bio ⟶

    BILL WINTERBERG

    Bill Winterberg is Founder of FPPad.com.

  • LAZETTA RAINEY BRAXTON

    2050 Wealth Partners

    Read Bio ⟶

    LAZETTA RAINEY BRAXTON

    Lazetta Rainey Braxton MBA, CFP®, Co-CEO of 2050 Wealth Partners and CEO of Lazetta & Associates, is on a mission to transform human capital to equitable financial capital through holistic financial planning for underserved households and consulting for financial advisory firms who value Diversity, Equity and Inclusion. She provides access to financial planning for “the rest of us” while also advising C-Suite financial services leaders who are accustomed to the 1%.

    Lazetta, a nationally-recognized financial expert, has appeared on NBC Nightly News with Lestor Holt and CNBC’s Closing Bell. She is a member of the CNBC Digital Financial Advisor Council and a Wall Street Journal Financial Experts blog contributor.

    Recognized for her leadership and dedication to the financial planning profession, Lazetta was named one of Investment News’ inaugural Women to Watch and Excellence in Diversity and Inclusion recipients. She also received the Association of African American Financial Advisors’ Leadership Legacy Award and the Heart of Financial Planning award from the Financial Planning Association. She currently serves as Chair of the Board for the Association of African American Financial Advisors (AAAA) and President of AAAA Foundation.

  • CHUCK TODD

    MTP Daily; NBC News

    Read Bio ⟶

    CHUCK TODD

    Chuck Todd, NBC News political director and moderator of Meet the Press, spearheads the network’s premier political coverage, offering insider analysis and translation of Beltway politics across all platforms – zeroing in on what really matters in Washington and why.

    Todd is also a primary anchor for the network’s primetime election coverage and is known for holding politicians and newsmakers accountable: from pressing White House Counselor Kellyanne Conway on “alternative facts,” a term that has now become a common occurrence in American politics, to news-making interviews with lawmakers on both side of the aisle.

    Todd has earned the reputation as one of Washington’s most respected political journalist, paving the way for Meet the Press to become the #1 Sunday public affairs program, winning across the board for the 2018-2019 broadcast season.

    The success of the Sunday program inspired the 1 p.m. weekday show on MSNBC, MTP Daily. Both the MSNBC show and The Chuck ToddCast showcase Todd’s hard-hitting interviewing style, expanding the longest-running show in television history into the modern age. In Nov. 2017, the brand commemorated its 70th anniversary, launching its first-ever film festival, The Meet the Press Film Festival in Collaboration with the American Film Institute (AFI).

    In February 2020, Todd co-moderated the network’s third presidential debate of the 2020 cycle. In June 2019, Todd co-moderated the first Democratic presidential debate hosted by NBC News, MSNBC and Telemundo, which set records as the most-watched Democratic presidential debate in history with 18.1 million viewers and nine million live stream viewers. In the spring of 2016, he co-moderated a Democratic primary debate with MSNBC’s Rachel Maddow.

    Prior to taking the helm of Meet the Press in September 2014, Todd served as NBC News chief White House correspondent (2008 - 2014), traveling around the world with President Obama and reporting on the main pillars of his presidency, including the passage of the Affordable Care Act. From 2010 to 2014, Chuck also hosted MSNBC’s The Daily Rundown, featuring daily interviews with top congressional members. He has been named "The Most Powerful Journalist in Washington” by GQ as part of the magazine's "50 Most Powerful People in Washington" list.

    In 2009, Todd co-authored with Sheldon Gawiser the definitive election result analysis book for the 2008 presidential campaign, titled How Barack Obama Won. His second book, The Stranger: Barack Obama in the White House was released in November 2014.

    In 2007, Tim Russert, then-Washington bureau chief and Meet the Press moderator, recruited Todd to join NBC News as the network’s political director. Prior to joining NBC News, Todd worked at the National Journal’s “The Hotline” for 15 years, serving for six of those years as the editor-in-chief.

    Todd is a native of Miami and currently resides in Arlington, Va. with his wife, Kristian, and two children.

  • DANI FAVA

    EnvestNet

    Read Bio ⟶

    DANI FAVA

    As Head of Strategic Development, Dani works closely with Envestnet, Inc.’s business, product, and client-facing teams to advance and accelerate the firm’s strategic vision. Dani is part of Envestnet’s newly created Strategy Office, which manages strategic development, engagement, and planning across the Envestnet organization to help advisors make financial wellness a reality for more people.

    Dani draws on more than 15 years of wealth management and technology experience to identify and prioritize transformative opportunities for enabling financial advisors to provide essential advice in a rapidly evolving marketplace. She most recently served as Director of Institutional Innovation at TD Ameritrade Institutional, where she managed the launch of the iRebal portfolio rebalancing solution on the Veo platform, as well as the rollout of the Model Market Center, an innovative approach to bringing outsourced investment management capabilities to RIAs.

    Dani was also responsible for launching TD Ameritrade’s voice-first capabilities, which deploy conversational AI for communicating with advisors. Prior to joining TD Ameritrade in 2012, Dani was a Senior Product Manager and Strategist at Fiserv.

    Dani was named to the 2020 IA25 by ThinkAdvisor, which also honored her as one of the Top Women in WealthTech for 2019. She earned a Bachelor of Science in Finance from Wagner College, and has a wide variety of interests, ranging from big data and fintech startups to basketball and CrossFit. Follow Dani on Twitter at @ENVDani.

  • TIM KOCHIS

    Devoe & Company

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    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.

  • MARVIN OWENS

    Impact Shares

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    MARVIN OWENS

    Marvin J. Owens, Jr. currently serves as Chief Engagement Officer for Impact Shares. In this role, Marvin has engagement responsibility for both fund managers and corporations. Marvin is also responsible for cultivating and maintaining relationships with financial intermediaries with the goal of AUM growth. Marvin is also responsible for strategic relationships with our social advocacy partners, and leads the firm in broader Social Impact and advocacy conversations. Prior to joining Impact Shares, Marvin served as Senior Director of Economic Programs for the NAACP. In this role, Mr. Owens was responsible for the NAACP's national Economic Inclusion agenda which includes Asset and Wealth Creation programs with efforts that support financial education, homeownership, minority business development, franchising, workforce development and diversity; Advocacy and Sustainability with efforts around economic justice and social impact investing; and Research with ongoing efforts to track and report economic conditions, as well as recommended public policy changes.

    Prior to joining the NAACP, Mr. Owens served a consultant, lecturer, and technical assistance provider in the areas of Community and Economic Development, Small Business Development, and Community Organizing. Mr. Owens serves as an Advisory Board Member of the Stonehenge Capital NMTC fund, where he advises, recommends, and monitors fund investments for economic impact. Guest lecturer credits include Oxford University’s Saïd School of Business on the subjects “Responsible Leadership,” and “Economic Development in the Black Church.”

    Prior to becoming an independent consultant, Mr. Owens served as Vice President for Economic Empowerment at the National Urban League (NUL) where he managed all aspects of NUL’s corporate, foundation, and government relationships with specific focus on affiliate economic development activities, small business development, and finance. Mr. Owens was responsible for implementing business and economic development efforts in more than 20 US cities. Mr. Owens oversaw implementation of the National Urban League’s Empowerment Fund, and was the lead staff in creating NUL’s current model of economic empowerment centers.

  • SAMANTHA RUSSELL

    FMG Suite

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    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.

  • LOUIS BARAJAS

    MGO Wealth Advisors

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    LOUIS BARAJAS

    Louis Barajas, a certified financial planner, is the COO and partner at MGO Wealth Advisors. His clients are successful celebrities and executives in the entertainment industry and professional sports. The author of five books, he also provides financial literacy workshops to underrepresented groups throughout America.

  • MICHAEL KHOUW

    Optimize Advisors

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    MICHAEL KHOUW

    Michael Khouw is a 20+ year veteran of the financial services industry with broad experience as a strategist, analyst, portfolio manager and proprietary trader of equities, commodities and equity and index derivatives for both buy-side and sell-side firms.

    Mike is the co-author of”The Options Edge” (Wiley) a comprehensive guide to understanding the value of options, optionality, volatility and strategy for both retail and institutional investors that includes practical real-life examples of do’s and don’ts for everyone from options novices to seasoned practitioners.

    Mike was previously a partner at Cantor Fitzgerald and a principal and managing director at CRT Capital. Mike also held senior trader positions at Bluefin Trading, LLC and Gateway Partners, LLC, both Proprietary Trading Firms based in New York, and as an analyst at Ivory Capital, a research-intensive, fundamental value-based investment firm headquartered in Los Angeles.

    In his current role as President and Chief Strategist of Optimize Advisors, Mike uses pioneering and proprietary artificial intelligence technology to advise hedge funds, banks, pensions, mutual funds, insurance companies, and family offices in the effective use of listed options for enhancing returns and managing risk.

    In addition, Mike shares his insights through articles and frequent speaking engagements at conferences and a broad array of topics including trading strategy, on market structure and regulation.

    Mike is a Former Member of the Philadelphia Stock Exchange, Nasdaq/OMX, NYSE-AMEX,and the New York Mercantile Exchange. Mike holds a B.A. from Tufts University.

  • JEFFREY MILLS

    Bryn Mawr Trust

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    JEFFREY MILLS

    Jeffrey D. Mills is the Chief Investment Officer at Bryn Mawr Trust (BMT). He has more than 15 years of experience in investment analysis, and specializes in providing investment advice to high-net worth individuals as well as institutional clients, including endowments and foundations. Jeff leads the firm’s investment research team, and also authors the firm’s many investment publications. Areas of expertise include macroeconomic analysis and its impact on asset allocation and positioning.

    Joining BMT in 2019, he previously served as Managing Director and Co-Chief Investment Strategist for PNC Financial Services Group. Prior to this position, he was Chief Investment Strategist for PNC’s ultra-high net worth family office division, Hawthorn. Jeff started his career with PNC Capital Markets in their fixed income investment banking area. He is also the co-founder of an early stage venture capital fund at the University of Oxford that seeds young companies run by Oxford students and alumni.

    He holds a bachelor’s degree in international relations from the University of Pennsylvania, where is was also a 4-year member of the men’s lacrosse team. He earned a Master of Business Administration from the University of Oxford, Oxford, U.K., and a Master of Science with a concentration in asset management and investments from the Massachusetts Institute of Technology (MIT).

  • DANIEL CLIFTON

    Strategas Securities

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    DANIEL CLIFTON

    Daniel Clifton is a Partner and Head of Policy Research for Strategas Securities. In this capacity, Mr. Clifton evaluates the financial market implications of policy and political developments. This includes analyzing trade, tax, healthcare, energy, and other policy initiatives to determine how public policy changes impact the economy and financial markets for institutional investors.

    Under Daniel’s leadership, Strategas’ policy research team has been one of the top ranked on Wall Street in each of the past eleven years according to Institutional Investor. Daniel is also a top ranked Wall Street analyst in the category of Tax and Accounting Policy.

    Prior to joining Strategas, Mr. Clifton was Executive Director of the American Shareholders Association (ASA), a non-partisan, non-profit organization which analyzes public policy affecting shareholders. In this capacity, Daniel was part of coalitions that successfully lowered capital gains and dividend tax rates to 15 percent in 2003, a repatriation tax holiday on foreign source revenue in 2004, and reform of the nation’s private-sector pension system.

    Prior to joining ASA, Mr. Clifton lobbied for tax reform and served as a senior staff member in two gubernatorial administrations working on economic and fiscal policy issues. Daniel has also worked in various capacities on elections at federal, state, and local levels.

    Mr. Clifton received both his BA in Urban Planning and his MS in Public Policy from Rutgers University where he was a Fellow at the Eagleton Institute of Politics and a Harold Martin Fellow for Public Policy.

  • JEAN CHATZKY

    HerMoney.com

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    JEAN CHATZKY

    Jean Chatzky is the founder and CEO of HerMoney.com and host of the podcast HerMoney With Jean Chatzky. The financial editor of NBC Today for 25 years and the Financial Ambassador for AARP, she appears frequently on CNN, MSNBC and was a recurring guest on The Oprah Winfrey Show. She is a New York Times and Wall Street Journal best-selling author. Her latest book is Women with Money: The Judgment-Free Guide to Creating the Joyful, Less Stressed, Purposeful (and Yes, Rich) Life You Deserve. An in-demand motivational speaker and fierce advocate for financial literacy, in 2015, she partnered with the PwC Charitable Foundation and Time for Kids to launch Your $, an in-school magazine that reaches 2 million school children each month. More at JeanChatzky.com and @JeanChatzky.

  • DAVID M. BLANCHETT

    Morningstar Investment Management

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    DAVID M. BLANCHETT

    David M. Blanchett, PhD, CFA, CFP® is head of retirement research for Morningstar Investment Management LLC. In this role, he helps develop and maintain methodologies relating to wealth forecasting, general financial planning, automated investment selection, and portfolio assignment for Morningstar Investment Management LLC. Prior to joining Morningstar, he was the Director of Consulting and Investment Research for the Retirement Plan Consulting Group at Unified Trust Company. He has published over 100 papers in a variety of industry and academic journals. His research has received best paper awards from the Academy of Financial Services (2017), the CFP Board (2017), the Financial Analysts Journal (2015), the International Centre for Pension Management (2020), the Journal of Financial Planning (2007, 2014, 2015, 2019), and the Retirement Management Journal(2012).

    He is currently an Adjunct professor of Wealth Management at The American College of Financial Services, an Expert Panelist for the Wall Street Journal, a member of the Executive Committee for the Defined Contribution Institutional Investment Association (DCIIA), and a member of the ERISA Advisory Council. In 2014, InvestmentNews included him in their inaugural 40 under 40 list as a “visionary” for the financial planning industry, and in 2014, Money magazine named him one of the brightest minds in retirement planning. He holds a bachelor’s degree in Finance and Economics from the University of Kentucky, a master’s degree in financial services from the American College, a master’s degree in business administration from the University of Chicago Booth School of Business, and a doctorate in personal financial planning program from Texas Tech University. When David isn’t working, he’s probably out for a jog, playing with his four kids, or rooting for the Kentucky Wildcats.

  • STEPHEN KAPLAN

    J.P. Morgan Asset Management

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    STEPHEN KAPLAN

    Stephen Kaplan, Managing Director, is Co-Head of Global Product Strategy and Head of Portfolio Insights for J.P. Morgan Asset Management. He leads a team of strategists who shapes the firm’s product platforms by collaborating across investment teams. He spearheaded the development of the Portfolio Insights program, and leads a team of Portfolio Specialists who perform customized, in-depth analyses. The team also provides portfolio construction trainings to help clients make more informed investment-selection and portfolio-construction decisions. He is a member of the Funds Management Operating Committee, the Product Steering Committee, the ETF Steering Committee and the Product Development Leadership Team.

    Stephen joined J.P. Morgan in 2007. Prior to joining the firm, he was a Senior Product Associate at Smith Barney. Before that, he worked as a Senior Marketing Associate at Ryan Beck & Co. Mr. Kaplan began his career in 1999 at Neuberger Berman, focusing on fund distribution.

    Mr. Kaplan holds a B.A. from The State University of New York at Binghamton, an M.B.A. from St. John’s University, and earned the Chartered Mutual Fund CounselorSM designation.

  • DAVID KELLY

    J.P. Morgan Asset Management

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    DAVID KELLY

    Dr. David Kelly is the Chief Global Strategist and Head of the Global Market Insights Strategy Team for J.P. Morgan Asset Management. With over 20 years of experience, David provides valuable insight and perspective on the economy and markets to the institutional investor and financial advisor global communities.

    Throughout his career, David has developed a unique ability to explain complex economic and market issues in a language that financial professionals can use to communicate to their clients. He is a keynote speaker at many national investment conferences and a frequent guest on CNBC, Bloomberg, and other financial media outlets.

    Prior to joining J.P. Morgan Asset Management, David served as Economic Advisor to Putnam Investments. He has also served as a senior strategist/economist at SPP Investment Management, Primark Decision Economics, Lehman Brothers and DRI/McGraw-Hill.

    David is a CFA® charterholder. He also has a Ph.D and M.A. in Economics from Michigan State University and a B.A. in Economics from University College Dublin in the Republic of Ireland.