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.
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 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 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 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.
Agenda subject to change
10:45am EDT
11:00am EDT
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
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
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
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
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
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
Have intimate and unique exposure to the most influential players and firms in the FA community
Hear from top financial leaders, and network and exchange notes with the nation's top FAs
We're convening the premier FAs to leverage and share their expertise and inspire the community
Registration for the CNBC FA Summit is now closed. To connect with our team about future event opportunities, please email events@cnbc.com.
The Alliance for Lifetime Income is a non-profit 501(c)(6) educational organization based in Washington, D.C., that creates awareness and educates Americans about the value and importance of having protected lifetime income in retirement. Our vision is for a country where no American has to face the prospect of running out of money in retirement. The Alliance provides consumers and financial advisors with educational resources, interactive tools, and actionable research and insights to use in building retirement income strategies and plans. We believe annuities – one of only three sources of protected lifetime income – can be an important part of the solution for retirement security in America.
Learn more at allianceforlifetimeincome.org and ProtectedIncome.org.
Build America Mutual is the only bond insurer that solely guarantees timely payment of interest and principal on U.S. municipal bonds, and has insured more than $115 billion of financing for essential public projects in more than 5,000 communities nationwide. BAM is rated AA/Stable by S&P Global Ratings, and the BAM GreenStar assessment provides an independent, third- party verification of a transaction’s green bond status. Learn more at www.buildamerica.com.
Advisors and firms choose Fidelity Institutional for our continual commitment to service, innovative technology, and forward-thinking insights—but they also get the strength and stability that comes with more than seventy years of navigating change. That means the assurance of a provider you can depend on—in any market.
J.P. Morgan Asset Management builds stronger portfolios to meet real client needs. With over $2 trillion AUM and a global team across 70+ offices in 26 countries, they use their global reach and breadth of knowledge to turn challenges into opportunities. With technology and tools to empower clients to make better investment decisions, J.P. Morgan Asset Management offers time-tested solutions positioned to meet real client needs now and for the future.
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Nuveen has $1.3 trillion in assets under management as of 31 Dec 2021 and operations in 27 countries. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information, please visit www.nuveen.com.