THE 3RD ANNUAL
MUTUAL FUND
DISTRIBUTION FORUM
Practical Strategies and Insights to Boost AUM with a Top-flight Distribution Game Plan
D E C E M B E R 8 - 9 2 0 1 4
T H E P R I N C E T O N C L U B
N E W Y O R K , N Y
D E C E M B E R 8 - 9 2 0 1 4
T H E P R I N C E T O N C L U B
N E W Y O R K , N Y
HIGHLY ACCLAIMED BY DISTRIBUTORS AND DISTRIBUTION PROFESSIONALS ACROSS THE AUM SPECTRUMHailed as one of the best conferences in the industry, the Mutual Fund Distribution Forum brings
together the top leadership in the field to engage in substantive conversations on the issues critical to
success.
TOPICS AT A GLANCE
•
Current trends and future outlook: where’s wealth management headed?
•
Advisors speak out: views on products, distribution and the challenges of wealth management today
•Product expansion and the changes and challenges in distribution
•
Emerging trends and disruptors in wholesaling
•
Gatekeepers’ insider perspectives on gaining access to productive platforms
•
Fund executive roundtable: What drives distribution strategy? What are the key factors in strategy implementation?
•Keys to successfully integrating marketing and distribution strategy
•
Exploring the role of the product specialist
Paul Hatch
Group Managing Director, Head of Advice & Solutions
UBS Wealth Management Americas
K E Y N O T E
K E Y N O T E
S P O N S O R S
S P O N S O R S
S I L V E R
B R O N Z E
G O L D
Dennis Bowden, Strategic Insight, an Asset International company
Scott Ketner, Berkshire Capital
Laura Varas, Hearts & Wallets, LLC
Joseph DeVico, Blackrock
Loren Fox, Ignites Research
Karen C. Altfest, Altfest Personal Wealth Management℠
Zung Nguyen, Athena Capital Advisors LLC
Paul Weisenfeld, Perella Weinberg Partners LLP
Rachel Schnoll, Goldman Sachs Asset Management
Bill Connolly, Putnam Investments
Robert Jenkins, Thomson Reuters
Jeff Welday, Invesco
Lars W. Schuster, Fidelity Investments
Rochelle Lamm, Acceleration Partners, LLC
John Salvatierra, Celera Systems, LLC
Chris Riggio, BrightScope
Robert Bruno, First Eagle Funds Distributors, LLC
John McDonough, OppenheimerFunds Distributor, Inc.
Paul Hatch, UBS Wealth Management Americas
Kirsten Pickens, Ivy Funds Distributor, Inc.
Scott Brady, Merrill Lynch
Benjamin Huneke, Morgan Stanley
Scott Lavelle, PNC Asset Management
Lee Kowarski, Kasina, LLC
Andrew Provencher, BNY Mellon Investment Management
Andrea Lisher, JPMorgan Asset Management
George D. Riedel, T. Rowe Price
Todd Buck, Wheelhouse Analytics
Barry Mandinach, Virtus Investment Partners
Carter Sims, Schroder Investment Management
Aric Faber, SalesPage Technologies
Jeffrey T. Cerutti, AMG Funds
Karen McCafferty, John Hancock Investments
Theresa Goldberg, Head of National Accounts,
RBC Global Asset Management
Steven B. Plump, PIMCO
Christie Loftus, OppenheimerFunds, Inc.
Jeff Duckworth, John Hancock Investments
Bryan Burke, Federated Securities Corp
Raleigh G. Peters, JP Morgan Asset Management
Joshua Bogen, Natixis Global Asset Management
Amy Mathis, Calvert Investments
Mark Magnacca, President and Co-Founder
Allego
F A C U L T Y L I S T
F A C U L T Y L I S T
T O R E G I S T E R : C A L L ( 8 0 0 ) 2 8 0 - 8 4 4 0 O R V I S I T U S A T W W W . F R A L L C . C O M
FINANCIAL RESEARCH ASSOCIATES PRESENTS
IMPORTANT INFORMATION
The Mutual Fund Distribution Forum
December 8-9, 2014 The Princeton Club
15 West 43rd Street, New York, NY 10036 (212) 596-1200
If you require overnight accommodation for this conference, please
contact any of the following nearby hotels to check their best available
corporate rate over this time frame, or consult your local travel agent. Please note that FRA has not negotiated rates with any of these hotels.
Area Hotels:
InterContinental Times Square - 212-803-4500 Westin Times Square - 866-837-4183
Millennium Broadway Hotel - 212-768-4400 Hotel Sofitel New York - 212-354-8844
The Princeton Club, New York City
The Club offers you the best of everything—in the heart of everything.
You’ll find us at 15 West 43rd Street, between 5th and 6th Avenues, in New York City’s iconic Midtown Manhattan district. Grand Central Station,
the Empire State Building, the Theater District, and Central Park are all within easy strolls of our front door. And we're just 20 minutes from
LaGuardia Airport and 30 minutes from John F. Kennedy International
Airport.
TEAM DISCOUNTS
• Three people will receive 10% off. • Four people will receive 15% off. • Five people or more will receive 20% off.
In order to secure a group discount, all delegates must place their registrations at the same time. Group discounts cannot be issued retroactively. For more information, please contact Kathie Eberhard at 704-341-2439 or email [email protected]
REFUNDS AND CANCELLATIONS
For information regarding refund, complaint and/or program cancellation
policies, please visit our website: www.frallc.com/thefineprint.aspx
WHO SHOULD ATTEND?
This conference is designed for mutual fund executives including (but not
limited to):
• C-Suite mutual fund executives • Distribution heads
• Heads of sales organizations • Heads of marketing departments
• Product development professionals • Third-party distributors
• Directors of manager research • Research analysts
• Mutual fund consultants
For more than 20 years, Strategic Insight has been at the forefront of thorough, unbiased mutual fund industry research and business intelligence. We provide our variety of products and services to a range of
clients, including executives from more than 200 investment management and
insurance companies, distributors, investment banks, hedge funds, consultants
and law firms. Strategic Insight’s parent company, Asset International, delivers critical, cutting edge data, research and marketing programs to mutual fund
companies, banks, asset managers and insurance companies worldwide. The
company has offices in New York, Boston, Hong Kong, London, Melbourne, Toronto and Stamford, CT. For additional information, visit www.SIonline.com.
Allego: The Mobile Video Knowledge Platform — The most easy-to-use application that leverages video technology and
mobile devices to help you capture, socialize, and build on your teams’ best stories and content. Allego provides an
innovative approach to boost performance across distributed teams using
tablets, laptops or smart phones to create, collaborate, and share valuable
ideas in real time.
Allego has a proven track record of helping companies capture mobile-accessible
content to spread ideas faster replicating the success of top performers, accelerate onboarding of new staff, provide ongoing coaching and training, and absorb best practices and key content more quickly. Share your stories, drive your company performance, leverage mobile-first technology - www.allego.com
Founded in 2010 by industry experts, Wheelhouse Analytics serves the investment management industry
through innovative technology solutions. Our Clients
adopt our technology to get ahead.
Wheelhouse’s core offerings include industry specific solutions in three main areas:
• Mobile Meeting Management – Drive better meeting in the field with our Admiral and Builder mobile solutions
• Analytics and Oversight – Better understand your distribution relationships through Intermediary Oversight and Distribution Analytics
• Educational solutions – WheelhouseEd, education created by the industry,
for the industry
For more information please visit us at www.wheelhouseanalytics.com or call us at 215-240-7063
TM
BrightScope is a leading independent provider of soft
-ware, analytics, and data to the financial services industry.
BrightScope Beacon® is the premier data stewardship,
integration, visualization, and exchange platform for the world’s top financial institutions. Beacon connects disparate datasets to deliver unprecedented visibility into the mutual fund and broader financial products marketplace.
Visit www.brightscope.com/beacon to see why asset managers, broker-dealers,
and recordkeepers choose Beacon for their management reporting, sales
tracking, and market intelligence needs.
SPONSORS
SILVER
GOLD
BRONZE
Since its founding in 2000, Celera Systems has been
recognized as an innovator in information technology solutions for mutual fund and institutional managers, insurance companies, retirement plan providers, banks and broker dealers. Celera’s flagship platform, SalesStation, is an elegant all-in-one- data management, business intelligence and CRM solution that enables asset managers to outsource the operational and distribution nightmares associated with omnibus accounting, sub-accounting, trade reconciliation and advisor information to Celera’s specialized team of operations and data stewardship pros. SalesStation retrieves daily asset and transaction feeds from over 100
sources, aligns and consolidates data to suit each client’s unique business
needs, maintains business-critical information, and delivers consistent, timely and reliable reporting from a single source. The addition of CRM capability is the latest enhancement to SalesStation, providing seamless integration
with Salesforce.com, the dominant CRM provider worldwide, and featuring
reports, dashboards, and templates customized specifically to capture and display information unique to asset management companies. For small and fast-growing asset management organizations, SalesStation eliminates the need to divert scarce and precious capital and staffing resources to build and manage complex business and sales reporting systems, analytics and CRM
tools in house.
SalesPage provides data management, sales
reporting and CRM solutions to financial services firms with intermediary, institutional and direct distribution channels. SalesPage DataCenter provides trade reconciliation and sales reporting, either stand-alone or integrated with existing tools, to manage and leverage production, asset, market share and entity data throughout your organization. SalesPage Financial, a turnkey CRM solution, incorporates
all the functionality in DataCenter to deliver real-time access to crucial information via the web and mobile devices.
WHO ATTENDS THE MUTUAL FUND DISTRIBUTION FORUM?
This is THE leading mutual fund distribution forum in the industry—a virtual “Who’s Who”! Look who’s attended in the past:
Aberdeen Asset Management
Acceleration Partners, LLC Access Data Corp./Broadridge Access Distribution Partners
Acuity Sales Decision Science AdvisorAdit
Aegis Funds AIG Advisor Group
Albridge Analytics, a division of
Albridge, a BNY Mellon company AllianceBernstein Investments Allianz Global Investors American Century Investments
API Funds & Portfolios Arrow Funds/Arrow Shares Artisan Partners
Aston Funds
Babson Capital Management Baron Capital Behringer Harvard Blackrock BNY Mellon BPV Capital Management Brightscope
Broadmark Asset Management
Broadridge Financial Solutions
BTS Asset Management CAIS
Calvert Investment Distributors, Inc. Campbell & Company
Capstone Asset Management Company Cardinal Capital Catalyst Funds Celera Systems Century Management Cerulli Associates Cetera Financial Group Charles Sterling Group
Christian Brothers Investment Services
Clearbridge Advisors Columbia Management Investment Advisors
Commonwealth Financial Network
Confluence
CoreData Research Davis Advisors
Delta Data Software
Denver Investments Diamond Hill Diefendorf Capital
Direxion Dodge and Cox Dolan Capital Group, LLC Dreyfus Investments DSM Capital Partners DST Systems Dubick & Associates Eaton Vance Distributors, Inc. Eaton Vance Management EF Donnelly LLC
ETF Business Review
Expect Miracles Foundation
FactSet Research Systems FAM Funds
Fenimore Asset Management Funds
Fidelity Institutional Wealth Services Fidelity Investment Institutional
Services Company, Inc
Financial Advisor and Private Wealth Magazines
First Eagle Funds
First Investors Corporation
FolioMetrix
FrontLine Compliance Fuse Research Network GatekeeperIQ Geneva Advisors
Goldman Sachs Asset Management Golub Group
Graham Capital Management Grosvenor Capital Management, L.P. GuideStone Financial Resources
Hatteras Funds
Heartland Advisors, Inc Hearts & Wallets Highland Associates Highland Funds Horizon Investments Hotchkis & Wiley HSBC Asset Mgmt.
Huntington
Ignites Distribution Research
ING Investment Management
International
Interactive Communications International Legg Mason & Co., LLC
Invesco
Invesco PowerShares InvestmentNews Investor's Business Daily Ionic Capital Management
IronHorse Capital Janus
Jefferson National
Jensen Investment Management John Hancock Investments LLC JP Morgan Asset Management kasina, LLC
Lazard Asset Management Legg Mason Global Asset Management
Litman Gregory Asset Management LJM Partners
LPL Financial
Market Strategies International
Matrix, a Broadridge Company
Matthews Asia
Merrill Lynch
Merrill Lynch Managed Solutions
Group
MFS Fund Distributors MFS Investment Management
Mizuho Securities Co Ltd. Money Management Institute
Money-Media Inc. Montage Investments
Morgan Stanley Wealth Management Motley Fool Asset Management
Nationwide Financial
Natixis Global Asset Management
Neuberger Berman New York Life Investment Management
New York Life Mainstay Investments Newfound Research, LLC Northern Lights Distributors, LLC
OneAmerica Oppenheimer Funds Pacific Life Funds
Pear Tree Funds
Penn Capital Management Penton Wealth Management Group Pershing LLC
PIMCO
Pioneer Funds Distributor Pioneer Investments
Principal Funds Distributor, Inc.
Profitable Channels Prudential Investments
Putnam Investments
Pzena Investment Management Raymond James
Realty Capital Securities
Ridgeworth Investments Royal Bank of Canada
Royal Fidelity Merchant Bank and Trust
Royce & Associates, LLC RPG Asset Management RS Investments Russell Investments
SalesFocus Solutions
SalesPage Technologies Samson Capital Advisors LLC Saturna Capital
Schroder Investment Management
Securities and Exchange Commission
SEI Seismic
Sentinel Investments
Shelton Capital Management State Street Global Advisors Stone Harbor Investment Partners LP Strategic Insight T Hayes Consulting, LLC TD Ameritrade Institutional TD Asset Management TD Bank Group TFS Capital LLC The Carlyle Group
The Dillon Group/UBS
The ETF Business Review
The Wholesaler Institute
TIAA-CREF
Tiburon Strategic Advisors Tocqueville Asset Management Torchlight Investors
Touchstone Funds
Tradewinds Global Investors, LLC Two Sigma Investments
UBS Financial Services Inc. Ultimus Fund Solutions, LLC
Virtus Investment Partners Wasatch Advisors
WCM Investment Management WealthManagement.com
Weitz Investment Management, Inc. Wellesley Investment Advisors Wells Fargo Advisors
Wheelhouse Analytics
William Blair & Co.
WJR Consulting
ZS Associates, Inc.
OFFICIAL PUBLICATIONS AND MEDIA PARTNERS
SPONSORSHIP AND EXHIBIT OPPORTUNITIES
Enhance your marketing efforts through sponsoring a special event or exhibiting your product at this event. We can design custom sponsorship packages tailored to your marketing needs, such as a cocktail reception or
a custom-designed networking event.
To learn more about sponsorship opportunities, please contact Menna
Lloyd-White at 704-341-2440 or [email protected] “Excellent content, agenda & panelists! Very impressive!
Best conference I have been to in years! Congrats!”
Paula Jurcenko, HUNTINGTON
“Great hearing ideas from heads of distribution, someone who spoke my language in understanding difficulties and managing employees.”
Kenan Bell, API FUNDS
“Excellent contributions from the panelists!”
DAY ONE: MONDAY, DECEMBER 8
12:00 – 1:00
REGISTRATION & LUNCH
1:00 – 1:15
CHAIRMAN’S OPENING REMARKS
Dennis Bowden,
Managing Director, U.S. Mutual Fund Research
Strategic Insight, an Asset International company
1:15 – 2:00
EXECUTIVE ROUNDTABLE
A FORWARD LOOK INTO WEALTH
MANAGEMENT: EMERGING, IMPENDING
AND COMPELLING TRENDS SHAPING THE
DISTRIBUTION
LANDSCAPE
• What are important trends affecting the wealth management industry? • What is the future landscape among wealth management providers?
• What are the current trends in consolidation by independent wealth
management providers?
• What are the implications?
• How challenged are smaller independents?
• Will large regional and some national players emerge?
• What forces are driving ownership changes by independent firms? What alternatives besides sale do independent RIAs have?
• What disruptive forces exist, such as the re-entry of banks into the sector,
the computer-based wealth management of wealth management, the ability
of broker-dealers to provide managed solutions to clients? Scott Ketner, Managing Director, Berkshire Capital
Laura Varas, Partner, Co-Founder, Hearts & Wallets, LLC
Joseph DeVico, Managing Director, Blackrock
2:00 – 2:45
ADVISORS RESPOND & REACT! INSIGHTS
INTO ADVISOR PERSPECTIVES ON ADAPTING
TO NEW PRODUCTS, EMERGING TRENDS
AND NEW INDUSTRY DEVELOPMENTS
• How are financial advisors responding to succession planning and new challenges with client investing goals?
• How is the plethora of new products affecting financial advisors? • Effectively working with the younger generation and other emerging client shifts
• How’s the industry responding to robo-advisors?
Moderator: Loren Fox, Director of Research, Ignites Research
Panelists:
Karen C. Altfest, Ph.D., CFP®, Principal Advisor, Executive Vice President Client Relations
Altfest Personal Wealth Management℠
Zung Nguyen, Director, Executive Wealth Advisor Athena Capital Advisors LLC
2:45 – 3:00
NETWORKING BREAK
sponsored by
3:00 – 4:00
SPECIAL ROUNDTABLE DISCUSSION!
SHAPING YOUR DISTRIBUTION STRATEGY IN
AN ERA OF NEW PRODUCT PROLIFERATION
• With actively-managed ETFs, smart beta ETFs, non-transparent ETFscompeting for attention with open-end active and index funds, how are the worlds of active and passive funds coming together?
• How are liquid alternatives defined? How are they being incorporated into asset
allocation?
• What are the biggest challenges in creating and promoting liquid alternatives? • How is the distribution landscape evolving to accommodate these new
products?
• What will asset allocation look like in the near future?
• What is the profile of asset managers who will win in this environment? • How are asset managers working on educating advisors including
the use of technology?
Moderator: Paul Weisenfeld, Partner, Perella Weinberg Partners LLP
Panelists:
Rachel Schnoll, Managing Director, Head of Product Strategy Goldman Sachs Asset Management
Bill Connolly, Co-Head of Global Distribution, Putnam Investments
Robert Jenkins, Global Head of Research – Lipper, Thomson Reuters Jeff Welday, CIMA® Executive Vice President, Head of Retail Business Development Invesco
Lars W. Schuster, Institutional Portfolio Manager, Strategic Advisers, Inc. Fidelity Investments
4:00 – 5:00
INSIDE WHOLESALING: EXPLORING NEW
MODELS AND CUTTING-EDGE INDUSTRY
DEVELOPMENTS
• Data challenges for wholesaling
• Advantages and limitations for net sales models? • Challenges in compensation models
• How are hybrids changes the playing field? • Effective methods to help your wholesalers
• High Tech Wholesaling: CRM as a transformative agent for activity management
and sales effectiveness
• The intersection for wholesalers of social media, compliance and impactful communication in today’s Twitter, Facebook, Instagram and Linked In world • What are you doing to help your wholesalers sell more effectively?
Moderator: Rochelle Lamm, Chairman and CEO Acceleration Partners, LLC
Panelists:
John Salvatierra, Director of CRM Consulting , Celera Systems, LLC
Chris Riggio, Chief Revenue Officer, BrightScope
Robert Bruno, President, First Eagle Funds Distributors, LLC
John McDonough, Head of Distribution, OppenheimerFunds Distributor, Inc.
5:00 – 5:25
USING MOBILE TECHNOLOGY TO GROW SALES
• Learn how mobile technology enables companies to tap into
existing content to increase individual sales performance
•
Hear how your peer organizations are leveraging video to reduce
coaching and training costs
•
Understand how accessibility to information is transforming the
way companies accelerate their business
Mark Magnacca, President and Co-Founder,
Allego
Jeff Duckworth,
President of Retail Distribution
John Hancock Investments
5:25 – 6:25
COCKTAIL RECEPTION
sponsored by
Contact Menna Lloyd-White for more information at 704-341-2440 or
[email protected] about our sponsorship opportunities.
DAY TWO: TUESDAY, DECEMBER 9
8:00 – 8:45
BREAKFAST
sponsored by
8:45 – 9:00
CHAIR’S RECAP OF DAY ONE
Dennis Bowden
Managing Director, U.S. Mutual Fund Research
Strategic Insight, an Asset International company
9:00 – 9:45
KEYNOTE PRESENTATION
– A DIALOGUE WITH
PAUL HATCH, HEAD OF ADVICE AND SOLUTIONS
OF UBS WEALTH MANAGEMENT AMERICAS
Paul Hatch is a Group Managing Director and the Head of Advice & Solutions for UBS Wealth Management Americas.
In this role, he oversees the full breadth of WMA’s intellectual capital and
capabilities. He is a member of the WMA Executive Committee
and the WMA Operating Committee. Paul has more than three decades of
industry experience. Most recently, he served as chief executive officer of
management and wealth management Industries. Prior to that, Paul spent
30 years at Morgan Stanley, Citigroup Smith Barney and predecessor firms where he held several senior positions including Vice Chairman of Morgan Stanley Wealth Management, Director of National Sales and head of Advanced
Training
at both the combined Morgan Stanley-Smith Barney and, previously, at Smith
Barney. He began his career as an EF Hutton Financial Consultant to investors and small institutions before moving on to management.
Paul Hatch, Head of Advice and Solutions
UBS Wealth Management Americas
9:45 – 10:30
GATEKEEPERS SPEAK OUT! EMERGING TRENDS
IN MANAGER SELECTION
• How do you select asset managers?
• What kind of service do you need from an asset manager? • What does it take for an asset manager to be a valuable partner?
• How are you using managers in different programs?
• What are trends in the types of managers you are looking for? • What product structures do you utilize and where do you see trends? Moderator: Kirsten Pickens, SVP, Head of National Accounts, Head of
Retirement Sales
Ivy Funds Distributor, Inc.
Panelists:
Scott Brady, Director, Head of Mutual Funds, Merrill Lynch
Benjamin Huneke, Morgan Stanley
Scott Lavelle, Director, PNC Asset Management
10:30 – 10:45
MORNING BREAK
10:45 – 12:00
FUND EXECUTIVE STRATEGY POW-WOW:
WHERE DO WE GO FROM HERE? DRIVING
ALIGNMENT, STRATEGY AND SYNERGIES IN AN
EVOLVING
INDUSTRY
• How has distribution changed since 2008 and what will drive success in the future?
• What are firms doing to create alignment between distribution, marketing,
and product strategy?
• How are changes in advisor behavior (e.g. asset allocation decisions, communication preferences) impacting strategies?
• How do firms evaluate the effectiveness of strategies and ensure that compensation aligns behavior?
Moderator: Lee Kowarski, Partner
Kasina, LLC
Panelists:
Andrew Provencher, CFA, Head of US Retail BNY Mellon Investment Management
Andrea Lisher, Head of US Funds, Managing Director JPMorgan Asset Management
George D. Riedel, US Investment Services, Head of Financial Institutions T. Rowe Price
Todd Buck, President, Wheelhouse Analytics
Carter Sims, Head of US Intermediary Distribution Schroder Investment Management
12:00 – 1:15
LUNCH
sponsored by
1:15 – 2:00
INTEGRATING MARKETING, BRANDING,
PUBLIC RELATIONS AND SOCIAL MEDIA WITH
DISTRIBUTION
STRATEGY
• Effectively spreading your message to segmented markets • Coping with the marketing-sales tug of war
• Channel priorities
• How is social media helping or hurting your marketing efforts? What
does the future hold?
Moderator: Aric Faber, Vice President Sales and Marketing
SalesPage Technologies
Panelists:
Jeffrey T. Cerutti, Chief Executive Officer, AMG Funds
Karen McCafferty, Head of Marketing, John Hancock Investments
2:00 – 2:45
A DEEP-DIVE FOCUS ON NATIONAL ACCOUNTS
• What is the role of National Accounts? • Where does it report to in distribution? • How does N/A connect to sales?
• Is there a separate group that calls on research analysts?
• What are skills of successful Account Mangers? Internal vs. external hires?
• How does the N/A role differ in big/small firms?
Moderator: Amy Mathis, Director of Relationship Management
CALVERT INVESTMENTS
Panelists:
Theresa Goldberg, Head of National Accounts RBC Global Asset Management
Steven B. Plump, Executive Vice President, Head of National Accounts, PIMCO Christie Loftus, Senior Vice President, Third Party Distribution
OppenheimerFunds, Inc.
Jeff Duckworth, President of Retail Distribution, John Hancock Investments
2:45 – 3:00
NETWORKING BREAK
sponsored by
3:00 – 4:00
PRODUCT SPECIALISTS BEST-PRACTICES
• The role of the product specialist in distribution• How to best establish a product specialist or group of specialists
• Best hiring practices for the product specialist
• Top issues product specialists are working on right now-Custom Target
Date/R-6/Fees/Revenue-Expense Analysis • Best practice(s) for interaction with Sales
• Best practices for being a mission critical team member • Review a sample project timeline best practice
Bryan Burke, AIF®, Senior Vice President, National Sales Manager-Retirement/ Insurance
Federated Securities Corp
Raleigh G. Peters, CIMA®, Managing Director, National Sales Manager - IBD Channel
JP Morgan Asset Management
Joshua Bogen, CIMC, Executive Vice President, Independent Advisor Group
Natixis Global Asset Management
4:00
CONFERENCE CONCLUDES
CPE CREDITS
Financial Research Associates, LLC is registered with the National
Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on
the acceptance of individual courses for CPE credit. Complaints
regarding registered sponsors may be submitted to the National Registry of
CPE Sponsors through its website: www.learningmarket.org.
The recommended CPE credit for this course is 10.5 credits in the following
field(s) of study: management advisory services. For more information, visit
our website: www.frallc.com/thefineprint.aspx
THE CONFERENCE ORGANIZER
Financial Research Associates provides the financial community with access to business information and networking opportunities. Offering highly targeted conferences, FRA is a preferred resource for executives and managers seeking cutting-edge information on the next wave of business opportunities. Please
visit www.frallc.com for more information on upcoming events. FRA’s cutting-edge events in the fund arena include:
Due Diligence for Professional Buyers The Sub-Advised Fund Forum TM
DECEMBER 8-9 2014
THE PRINCETON CLUB
NEW YORK, NY
DECEMBER 8-9 2014
THE PRINCETON CLUB
NEW YORK, NY
HIGHLY ACCLAIMED BY DISTRIBUTORS AND DISTRIBUTION PROFESSIONALS ACROSS THE AUM SPECTRUMFINANCIAL RESEARCH ASSOCIATES PRESENTS
T O R E G I S T E R : C A L L ( 8 0 0 ) 2 8 0 - 8 4 4 0 O R V I S I T U S A T W W W . F R A L L C . C O M FINANCIAL RESEARCH ASSOCIATES 200 WASHINGTON ST. SUITE 201 SANTA CRUZ, CA 95060 ATTENTION MAILROOM:
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T H E M U T U A L F U N D D I S T R I B U T I O N F O R U M
EARLY BIRD CONFERENCE (ENDS 10/30/14) $1895 $2095 STANDARD CONFERENCE
