The CNBC Financial Advisor Summit brings together the country’s top advisory firms to explore the state of markets.

Forward-thinking advisors meet to hear from financial industry heavyweights about the state of the markets and the economy, and to discover new and innovative ways they can address the increasingly complex needs of their clients.

This event has been approved for 4.5 CFP continuing education credits.

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

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

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.

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

    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.

  • MARVIN OWENS

    Impact Shares

    Read Bio ⟶

    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

    Twenty Over Ten

    Read Bio ⟶

    SAMANTHA RUSSELL

    Samantha Russell is the Chief Marketing & Business Development Officer at Twenty Over Ten, a digital marketing platform for financial advisors. 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

    Read Bio ⟶

    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

    Read Bio ⟶

    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

    Read Bio ⟶

    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

    Read Bio ⟶

    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

    Read Bio ⟶

    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

    Read Bio ⟶

    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.

AGENDA

Agenda subject to change

10:45am EDT

(Virtual) Doors Open

11:00am EDT

Program Begins & Main Stage Sessions

Keynote Conversation
As Chairman of the SEC, enhancing the standards of conduct governing broker-dealers and investment advisers has been at the top of Jay Clayton’s agenda. In this exclusive one-on-one conversation with CNBC’s “On-Air Stocks” Editor Bob Pisani, Chairman Clayton will offer a progress report on those enhanced standards and other key SEC initiatives and provide commentary on current market conditions.
Speaker: Jay Clayton, Chairman, U.S. Securities and Exchange Commission
Interviewer: Bob Pisani, “On-Air Stocks” Editor, CNBC

 

Zooming Out: “Super Mario’s” Long-time Long-term View
Long-term investing legend Mario Gabelli brings his wisdom, and undying faith in American capitalism, to the virtual stage, to discuss the opportunities that lie ahead, from digital transformation, to infrastructure, to renewable energy and beyond.
Mario Gabelli, Chairman and CEO, GAMCO Investors
Interviewer: Becky Quick, “Squawk Box” Co-anchor, CNBC

 

Embracing Diversity, Equity and Inclusion
As Americans of all backgrounds push for real change, financial advisors are being forced to embrace equity and inclusion as a value proposition or risk becoming irrelevant in an increasingly diverse environment. Consumers, talent, and investors, today, intentionally seek firms that represent their values and cultural preferences. This panel will provide tangible solutions for positioning an advisory firm for innovation, growth, and sustainability through its investment in human capital. When DEI is done right, a firm enhances its ability to attract and sustain diverse talent and to yield a greater financial return for equitable distribution to its stakeholders.
Louis Barajas, CFP, CEO and Partner, MGO Wealth Advisors
Lazetta Rainey Braxton, CFP, Co-Founder and Co-CEO, 2050 Wealth Partners
Winnie Sun, Managing Director and Founding Partner, Sun Group Wealth Partners
Moderator: Sharon Epperson, Senior Personal Finance Correspondent, CNBC

12:40pm EDT

Main Stage Sessions Continue

Retirement Reset in a Post-Covid World
Sponsored and Programmed by Alliance for Lifetime Income
With the markets fluctuating and Americans’ financial situations uncertain as a result of the coronavirus pandemic, Americans are reexamining how they approach their finances and planning – a phenomenon the Alliance has termed “Retirement Reset.” Those nearing retirement, or who are already retired, are feeling the effects of the market downturn the hardest, and many are reevaluating how they structure their retirement portfolios and plan for income to protect them from the possibility of running out of money.
David Blanchett, Head of Retirement Research, Morningstar
Interviewer: Jean Chatzky, CEO and Co-founder of HerMoney

 

FA100 Highlight
We honor the 100 firms named to CNBC’s second annual FA 100 List. These firms are recognized for offering top-level comprehensive planning and financial services that help clients navigate through their complex financial life.

1:10pm EDT

Concurrent Sessions - Part 1

Social Media for FAs: Strategies that actually convert followers
Social platforms are a must-have piece of every advisor’s marketing plan, but effective social media marketing requires lots of planning and attention. In this session, a leading digital marketing expert who specializes in financial advisor firms leads a conversation about how to convert followers into clients.
Samantha Russell, Head of Sales & Marketing, Twenty Over Ten
Interviewer: Alexandra Privitera, Senior Director & Supervising Producer, CNBC Strategic Content

 

ESG ETFs: What’s in them and which are the right ones?
Tens of billions of dollars have flowed into ESG funds in recent years, and trends suggest that younger clients are more likely to weigh environmental and social factors when making investment choices, or even when choosing an investment advisor. With demand high, ESG so many funds have flooded the market, but it can be hard to sort through the standards they apply and whether the goals of the funds match the objectives of socially and environmentally conscious clients. What to look for when looking for ESG funds.
Mona Naqvi, Senior Director, Head of ESG Product Strategy, North America, S&P Dow Jones Indices
Interviewer: Bob Pisani, “On-Air Stocks” Editor, CNBC

 

Building a Portfolio for 2021 and Beyond
Sponsored and Programmed by J.P. Morgan Asset Management
This session will educate financial professionals on developments within the markets and their effects on various investments and asset classes, to help build stronger portfolios. Attendees will explore effective frameworks for understanding the economy and global markets, along with common portfolio trends, considerations and ways to improve the portfolio construction process. Gain ideas about how to utilize data to address the economy and markets based on logic rather than emotion, while supporting your efforts to better evaluate investments and help your clients make sound investment decisions.
Stephen Kaplan, Head of Portfolio Insights, J.P. Morgan Asset Management
Dr. David Kelly, Chief Global Strategist, J.P. Morgan Asset Management

1:40pm EDT

Concurrent Sessions - Part 2

How to make the most of virtual client meetings
Covid-19 put a temporary stop to advisors meeting with their clients in their offices, at their homes, and over meals. A look at the essential digital tools and advanced technology that has helped advisors keep the personal touch when the client relationship went virtual, and what the lasting impact will be.
Dani Fava, Head of Strategic Development, EnvestNet 
Bill Winterberg, CFP, Founder & President, FPPad.com
Interviewer: Jim Pavia, Money Editor, CNBC.com

 

The Continuing Case for Boardroom Diversity
While research consistently shows that companies with more diverse boards deliver better returns to their investors, the number of black, latinx or Asian directors remains somewhere below 20 percent by most estimates. In this session, learn what investment professionals can do to influence and encourage more boardroom diversity across their portfolios.
Marvin Owens, Chief Engagement Officer, Impact Shares
Interviewer: Sharon Epperson, Senior Personal Finance Correspondent, CNBC

 

Evaluating Risk During the Pandemic and Beyond
Sponsored and Programmed by Interactive Brokers
We are living in one of the highest-risk environments of our lifetime. Advisors are facing unprecedented challenges navigating how to best serve clients, generate high returns, while being conscious of risk. This session will explore ways to evaluate risk across different asset classes as we make our way through this landscape-altering pandemic.
Judith Casasampere, Sales Representative, Interactive Brokers
John Seeberg, Institutional Investment Advisor, Interactive Brokers
Moderator: Joya Dass, Business Journalist

2:05pm EDT

Concurrent Sessions - Part 3

Artificial Intelligence for Money Management
Understanding AI, how it works, and how it can be used to help advisors make quicker, smarter investment decisions and uncover hidden opportunities.  Also, learn how to be a better educated AI consumer for your firm.
Mike Khouw, President, Chief Strategist and Co-founder, Optimize Advisors


Climate Change and Your Clients: Reassessing the Risk Extreme Weather Poses to Property and Portfolios
Sponsored and Programmed by Build America Mutual
Extreme weather events, including hurricanes, flooding, and wildfires, have become more frequent in recent years and the trend is expected to continue, with profound implications for everything from your clients’ municipal bond holdings to their homes and personal property. This panel will discuss how insurance companies are using new data and predictive analytics tools to manage the exposure to these risks in their businesses, and how you can help your clients take advantage of those insights to protect their investments and physical assets.
Chris Hartshorn, Chief Commercial Officer, risQ
Mark Paris
, Chief Investment Officer and Head of Municipal Strategies, Invesco Fixed Income
Jason Metzger, SVP, Head of Risk Management, PURE Group of Insurance Companies
Moderator: Suzanne Finnegan, Chief Credit Officer, Build America Mutual

 

401(k) strategies: When To Tap It, When To Protect It
In the face of economic hardship, households under pressure can feel tempted to use their nest egg as a rainy day fund. Many financial experts see 401(k) borrowing as a last resort, but the federal government raised the amount individuals can borrow as part of its response to the pandemic. So what do you tell your clients? Assessing 401(k) strategies for uncertain times.
Megan Gorman, Founding Partner, Chequers Financial Management
Jeffrey Levine, Director, Buckingham Strategic Wealth
Moderator: Darla Mercado, Personal Finance Writer, CNBC.com

2:45pm EDT

Main Stage Sessions

Enhancing Income Portfolios for Today’s Markets
Sponsored and Programmed by Nuveen
It wasn’t always this challenging. Financial professionals find it increasingly difficult to generate durable income with reasonable risk for their clients. With yields at historic lows, investors have been forced to choose between accepting lower income or higher risk investments. Too often, their expectations and their actual outcomes don’t match. This session will evaluate ways to expand the investable universe and deploy thoughtful diversification.
Lauren Ferry, Head of Portfolio Strategies, Nuveen
Interviewer: Caroline Woods, Business Journalist

 

The 2020 Election – What to expect and how to prepare
Whatever the outcome, the November election promises to bring a period of uncertainty and volatility to the markets. No predictions here, but a look at how FAs should prepare for all the possible outcomes.
Daniel Clifton, Head of Policy Research, Strategas Securities
Jeffrey Mills,
Chief Investment Officer, Bryn Mawr Trust
Chuck Todd, Political Director, NBC News; Moderator, “Meet the Press“; Host, “MTP Daily
Interviewer: Tyler Mathisen, “Power Lunch” Co-anchor and Vice President, Events Strategy, CNBC

 

The Evolving FA Firm
How do you value your company when you are ready to move along? How do you put together a succession plan that does not include your immediate employees or family? What’s the optimal transition plan and how do you communicate it to your clients? How can you prepare for changes in the environment? Our panelists will share key insights for financial advisors as they look for ways to grow their firms and plan for the future in uncertain times.
Josh Brown, CEO, Ritholtz Wealth Management
Tim Kochis, CFP, Special Advisor, Devoe & Company
Moderator: Sharon Epperson, Senior Personal Finance Correspondent, CNBC

 

Pandemic Effect – Resetting the Retirement and Social Security Timer
Deciding when and how to claim Social Security benefits is one of the most important decisions that retirees will ever make. The coronavirus pandemic and its devastating impact on the economy has prompted some Americans to rethink their previously planned Social Security claiming strategy to meet immediate income needs. Mary Beth Franklin, one of the country’s leading experts on Social Security, will explain the consequences of claiming reduced benefits early and possible remedies for reversing those claiming decisions in the future.
Mary Beth Franklin, CFP, Author and “Benefits Guru”

4:30pm EDT

Event Concludes

INTERESTED IN ATTENDING?

Registration for the CNBC FA Summit is now closed. To connect with our team about future event opportunities, please email events@cnbc.com.

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