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Finance

Investment Management Summit

New York |
Speakers include:
Gary Shilling

Gary Shilling

A. Gary Shilling & Co

Frank Ahimaz

Frank Ahimaz

The Museum of Modern Art

Bernard Abdo

Bernard Abdo

Deutsche Asset & Wealth Management

Overview

The Financial Times, in association with Financial Advisor IQ, FundFire and Ignites, was pleased to present the 5th Annual Investment Management Summit at the world-famous New York Stock Exchange. This year’s Summit explored the evolving landscape of the global economy and the re-thinking of principles and wisdom that investment experts used to guide new investment strategies for generating greater returns and managing ever-changing risks.  

By providing the latest and most innovative updates on investment and risk management strategies, the full-day Summit delivered informative and lively discussions as well as an unique networking opportunity for the industry’s leading financial advisors.

View the 2014 event photos now.

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Speakers (27)

Gary Shilling

Gary Shilling

President
A. Gary Shilling & Co

Dr A. Gary Shilling is President of A. Gary Shilling & Co., Inc., economic consultants, and publisher of INSIGHT, a monthly report of economic forecasts and investment strategy. He also is a Registered Investment Advisor, managing institutional and individual client investment portfolios.

His seventh of eight books, The Age of Deleveraging: Investment strategies for a decade of slow growth and deflation, was published by John Wiley & Sons in late 2010. That followed his sixth book, Letting Off Steam – a collection of commentaries on matters great and small, complex and mundane, serious and frivolous, and its 2013 sequel Letting Off More Steam. His five earlier books covered the economic outlook and related investment strategies.

Dr Shilling graduated from Amherst College A.B. in Physics, magna cum laude, Phi Beta Kappa, and Sigma Xi, and earned his M.A. and Ph.D. in economics at Stanford University. While on the West Coast, he served on the staffs of the Federal Reserve Bank of San Francisco and the Bank of America.

Twice, the Institutional Investor magazine ranked Dr. Shilling as Wall Street’s top economist and Futures Magazine rated him the country’s number one Commodity Trading Advisor. In 2003, MoneySense Magazine, named him the third best stock market forecaster in the world, right behind Warren Buffett.

Frank Ahimaz

Frank Ahimaz

Chief Investment Officer
The Museum of Modern Art

Frank Ahimaz joined The Museum of Modern Art in mid 2008 as the Chief Investment Officer after spending more than 15 years on Wall Street. Prior to joining MoMA, Mr Ahimaz worked at Citigroup as a Director covering the Retail and Consumer sectors. In his role there, Mr Ahimaz executed numerous transactions for private equity and hedge fund clients.  Prior to working at Citigroup, Mr Ahimaz was one of three founding partners at Dover Management, an alternative investment fund. In his role at Dover Management, Mr Ahimaz was responsible for research and investing of the fund’s portfolio companies. Mr Ahimaz has also worked at Chemical Venture Partners, Merrill Lynch Global Private Equity, Goldman Sachs and Morgan Stanley in both private equity and investment banking.  While on Wall Street, Mr Ahimaz executed numerous transactions including the sale of Pathmark to A&P, the sale of Wild Oats to Whole Foods, the purchase of Saks’ NDSG unit for Bon-Ton Stores and the purchase of Monet Jewelry with Richard Rainwater and Ray Chambers. Mr Ahimaz graduated with an MBA in finance from the Wharton School at University of Pennsylvania and a B.S in aerospace engineering from the Massachusetts Institute of Technology. Mr Ahimaz is a member of the Board of Trustees for the Alvin Ailey Dance Foundation.

Bernard Abdo

Bernard Abdo

Head of Alternatives and Fund Solutions
Deutsche Asset & Wealth Management

Bernard Abdo is Head of Alternatives and Fund Solutions for the Americas and Member of the Deutsche Asset & Wealth Management ("DeAWM") Alternatives and Fund Solutions Executive Committee, DeAWM Americas Executive Committee and Wealth Management Americas Executive Committee: New York

Mr Abdo Joined the Company in 2007 with 8 years of industry experience. Prior to his current role, Mr Abdo served as Head of Fund Derivatives for the Americas in the Corporate Banking & Securities Division. Prior to joining, he worked as Head of Fund Derivatives for the Americas at Goldman Sachs, as a Marketer for the Structured Fund Products Group at IXIS Capital Markets and as an Investment Professional at Axalon Capital Group. Mr Abdo began his career as an Associate at White & Case LLP.

Mr Abdo received a Bachelor's Degree with Honors in Finance and Economics from McGill University School of Management, Dual Common and Civil Law Degrees with Honors from McGill Law School, and Series 7, 24 and 63 Licenses.

Matthew Allain

Matthew Allain

CEO and Co-founder
The Leo Group

Matthew J Allain is the CEO and Co-founder of The Leo Group, a partner/employee owned SEC registered investment advisor, multi-family office and private wealth management firm. The Leo Group offers wealth management, tax strategies, capital markets and asset management solutions on a bespoke level to wealthy individuals and families, institutions and endowments globally. Mr Allain previously served as Vice President of Financial Counseling in the Ayco division of Goldman Sachs for nearly twelve years. Earlier in his career, he worked in the insurance industry with a focus on property and casualty exposures and small commercial lines. Mr Allain received a BS in architecture and civil engineering from Catholic University, a JD from Suffolk Law School, and an Investment Marketing Certificate from Wharton’s executive education program. Mr Allain resides in New Jersey with his wife and three sons.

Kamal Bhatia

Kamal Bhatia

Head of Investment Products
OppenheimerFunds

Kamal Bhatia is the Head of Investment Products at OppenheimerFunds. His group is responsible for managing the product development and management and client portfolio management efforts for the global fixed income, alternative strategies and multi-asset funds. Prior to joining OppenheimerFunds in September 2011, Mr Bhatia served as Managing Director for investment products in the real assets and socially responsible investments space at TIAACREF. Previously, he served as First Vice President for Mellon Institutional Asset Management, holding various roles in investment analytics, corporate strategy and product development. Mr Bhatia started his career with the Global Corporate and Investment Banking Group at Citigroup where he last held the position of Vice President, Client Servicing with the Global Commercial Credit unit.  Mr Bhatia holds a Bachelor of Technology from the Indian Institute of Technology, Kanpur (India) and a MS from Washington University in St. Louis as a Sever Fellowship Scholar. He serves on the board of a local not-for-profit “Big Apple Greeter” in New York City.

Spencer Edge

Spencer Edge

Principal
Tiedemann Wealth Management, LLC

Spencer Edge is a Principal of the Firm, Senior Vice President and a member of the Investment Management Team, with responsibility for investment research and strategy. As a lead analyst on the research and manager due diligence team, he performs initial and ongoing due diligence on prospective and existing investments. Mr Edge also performs financial and economic analysis in support of Tiedemann’s Chief Investment Strategist. Prior to joining Tiedemann in 2007, Mr Edge was in the Global Risk Advisory Services practice at Ernst & Young LLP. During his tenure, he worked with the Credit & Market Risk Management teams and a derivatives specialist group, serving a broad range of clients, including a Fortune 10 multi-national conglomerate, global investment banks and large hedge funds. In this capacity, Mr Edge performed complex analyses of these companies’ investment and loan portfolios, as well as their derivatives portfolios and strategies. Mr Edge earned a Master of Accounting degree from the Kenan-Flagler School of Business at the University of North Carolina at Chapel Hill and a Bachelor of Arts degree in History from Dartmouth College. He is a Chartered Financial Analyst and a Chartered Alternative Investment Analyst, and a member of the CFA Institute, the New York Society of Security Analysts, the CAIA Institute, the Foreign Policy Association, the National Committee on American Foreign Policy and the Brookings Society.

Stephen Foley

Stephen Foley

US Investment Correspondent
Financial Times

Stephen Foley is US investment correspondent for the Financial Times, covering the asset management industry, hedge funds and institutional and retail investment issues. He is based in New York. Previously, he was a markets correspondent for the FT, covering bond and credit derivatives, market developments, regulatory reform and their impact on the wider economy. Prior to joining the FT, Mr Foley was the Associate Business Editor of The Independent, where he covered the credit crisis and US business issues in New York. Prior to this, he covered the UK stock market and the pharmaceuticals industry for The Independent in London. In March 2009, he was named Business and Finance Journalist of the Year at the British Press Awards. Mr Foley holds a degree from Cambridge University, as well as a diploma in Newspaper Journalism from City University in London.

Hannah Glover

Hannah Glover

Managing Editor
Ignites

Hannah Glover is the managing editor of Ignites. She joined the FT’s Money-Media unit in 2007 as a reporter on Ignites and later was managing editor of sister-publication GatekeeperIQ. Before covering the mutual fund industry, she reported for the Record-Journalin Meriden, Conn. She is a graduate of the Columbia University Graduate School of Journalism and of Boston College.

Syed Haque

Syed Haque

Portfolio Manager - Global Equities
UPS Group Trust

Syed Haque serves as the Portfolio Manager – Global Equities for United Parcel Service, where he maintains investment oversight for $11-$12 billion of equity portfolio of defined benefit assets. His responsibilities include portfolio construction, investment selection, risk management, options overlay, performance monitoring and presentation for the equities portfolio. Prior to joining UPS Investments, Mr Haque was Senior Investment Risk Analyst at Emory Investment Management, where he was responsible for design and implementation of risk analytics and systems, across asset classes for the overall Endowment portfolio. Before Emory, Mr Haque worked for leading Technology and Telecom companies. He is a MBA graduate of Duke University Fuqua School of Business and received his MS in Computer Science from George Mason University and BS in Civil Engineering from Indian Institute of Technology (BHU), Varanasi.

Stephen Horan

Stephen Horan

Managing Director and Co-Lead, Education
CFA Institute

Stephen Horan, PhD, CFA, CIPM leads the development of CFA Institute’s education programs, including the globally recognized CFA Program, and publications.  The author or co-author of several books, including The New Wealth Management: A Financial Advisers Guide to Managing and Investing Client Assets and the Forbes/CFA Institute Investment Course, Dr Horan has also edited the volume Private Wealth: Wealth Management in Practice. His articles have appeared in peer-reviewed journals, such as the Financial Analysts Journal, Harvard Business Review Latin America, Journal of Financial Research, Journal of Wealth Management, and Financial Services Review. He has received numerous research grants, including the 2012 Graham and Dodd Readers’ Choice Award. Dr Horan currently serves on the editorial board of the Journal of Wealth Management and the Financial Services Review.  Before joining CFA Institute, he was active both locally and nationally with CFA Institute, drafting monographs, serving as a consultant to the Financial Accounting Policy Committee, and as Education chair for the CFA Society of Buffalo.  He has been a frequent invited speaker at professional, academic, and CFA Institute events.

Alanson Houghton

Alanson Houghton

Managing Director – Head of New York Office
Pitcairn

Alanson B. Houghton is Managing Director of Pitcairn, one of the world’s leading family offices. Mr Houghton is the head of Pitcairn’s New York office and leads its relationship management team, advising multi-generational families. He is primarily responsible for developing, implementing, and monitoring long-term investment programs and financial plans that meet clients’ short-term needs and long-term objectives. In particular, he focuses on strategic and tactical asset allocation, succession planning, generational wealth transfer planning, and tax optimization strategies to achieve the goal of wealth preservation for clients. Mr Houghton has over 20 years of experience in the investment management and family office industries. Prior to joining Pitcairn, Alan was Principal and Chief Investment Officer of Shelterwood Financial Services, a multi-family office based in New York. Additionally, Mr Houghton served for 11 years as non-executive chairman of Market Street Trust Company, a family-owned financial services business in Corning, New York, where he is now a director and member of the Investment, Nominating and Governance (Chair), and Trust Loan committees. He also serves on the Investment Committee for a single family office in the Northeast US.

Dodd Kittsley

Dodd Kittsley

Head of ETF Strategy
Deutsche Asset & Wealth Management

Dodd Kittsley is the Head of ETF Strategy in the Americas for Deutsche Asset & Wealth Management (Deutsche AWM). Focusing on the ETF research and due diligence community, his role is to foster strong partnerships between Deutsche AWM and professionals who manage ETF models and produce ETF research content.

Prior to joining the firm, Mr. Kittsley was the Global Head of ETP Research for BlackRock and Head of Due Diligence for iShares. At Barclays Global Investors (BGI), he was responsible for providing customized portfolio solutions and product analytics to financial intermediaries and was Director of Sales Strategy, leading a team that created and delivered ETP product and industry related insights. He has also held research and fund due diligence positions at State Street Global Advisors and Morgan Stanley. He has published extensively and is a frequent speaker at industry conferences and in the media.

Mr Kittsley earned a B.A. degree from the Hamilton College and a Masters degree from University of Houston. He holds various U.S. securities licenses and serves on the MMI ETF Committee as well as FINRA’s continuing education committee. He received the Chartered Financial Analyst (CFA®) designation and is a member of CFA® Institute.

Waldemar Kohl

Waldemar Kohl

Vice President of Practice Management and Consulting
Fidelity Institutional Wealth Services

Waldemar Kohl is Vice President of Practice Management and Consulting for Fidelity Institutional Wealth Services, a leading provider of custody and brokerage services and a unit of Fidelity Investments. In this role, he is responsible for helping IWS’ advisor clients drive more effective business growth. Mr Kohl manages the practice management programs, consulting, platforms, and third-party partnerships that serve clients in the areas of business development, talent management, M&A and succession planning. He regularly facilitates workshops, roundtables and study groups to help advisors learn and act on industry best practices. Mr Kohl provides hands-on consulting support to individual advisors, while also innovating programs that benefit IWS’ broader client base. He was responsible for the rollout of the innovative online HNW search tool Referral-EDGE®, and most recently was awarded two U.S. Patents (#8,533,017, #8,660,873) for a succession planning program for RIAs.

Prior to joining Fidelity in 2007, Mr Kohl was Executive Director of USAA Financial Planning Services, overseeing all branch operations for USAA's 80+ financial advisors and planners. He held numerous other leadership positions in marketing and product development for USAA during his 11 year tenure.

Raynald Leveque

Raynald Leveque

Director of Risk
New York State Common Retirement Fund

Raynald Leveque is the Director of Risk Management for the New York State Common Retirement Fund. He joined the Office of the State Comptroller in 2010. Mr Leveque is responsible for overseeing the Fund’s approach to identifying, assessing, aggregating and managing risk through the creation of a comprehensive Total Fund Risk Management program. These responsibilities include advising the Comptroller, his Advisory Committees, the Chief Investment Officer (CIO) and CRF staff in all aspects of investment strategy and policy, operations, governance, fund asset allocation and multi-asset class investment and risk concerns. Mr Leveque administers risk policy through the Risk Advisory Council, a cross-asset- class strategic group created for the purpose of designing and customizing the risk program for the CRF.  In his most recent experience, Mr Leveque was a quantitative analyst for the Main Street Team of OppenheimerFunds, Inc., where his team managed a $16 billion portfolio across three U.S. mutual fund products using disciplined quantitative strategies. Mr Leveque is a graduate of the Fordham Graduate School of Business, where he earned a Masters of Business Administration degree in Finance, and holds a Bachelor of Science degree in Computer Engineering from the Rochester Institute of Technology.

Ralph Lipford

Ralph Lipford

Managing Director
Botty Investors

Ralph J. Lipford Jr is a Managing Director at Botty Investors, LLC (BI).  BI serves as the CIO to multiple family offices in the US, Europe and Latin America.  Mr Lipford has 19 years of capital markets and portfolio management experience.  Mr Lipford’s responsibilities include overall asset allocation, portfolio management, and outside hedge fund due diligence. Prior to joining BI, Mr Lipford was a Managing Director and Portfolio Manager for Hartline Investment Corporation from 1995 to 2009 serving Institutions and HNW families.  Mr Lipford graduated from the University of Michigan with a BA in Economics in 1995.  He earned his CFA charter in 2001 and is a member of the Chicago CFA Society.  Mr Lipford is a CIC charter holder and an active member of the Investment Adviser Association (IAA) serving on the Government Relations Committee.

Stuart Lucas

Stuart Lucas

Chairman
Wealth Strategist Partners

Stuart Lucas is the Chairman and Chief Investment Officer of Wealth Strategist Partners LLC, which acts as an outsourced Chief Investment Officer for a select number of individuals and families of exceptional net worth. Mr Lucas has worked as an investment professional for over 30 years. Prior to founding Wealth Strategist Partners (WSP) in 2004, Mr Lucas was the Senior Managing Director of the Ultra- High Net Worth Group within Private Client Services at Bank One (now JP Morgan Chase). He has been co-CIO of his own family’s investment office for many years. Mr Lucas designed and teaches the Private Wealth Management executive education program, exclusively for wealth owners, for the University of Chicago Booth School of Business (Chicago and Madrid). His book, Wealth: Grow It and Protect It (FT Press, 2012), in its second edition, has been published on three continents and is used in both the Booth and Wharton Schools’ Private Wealth Management programs. He is the author of numerous articles on investing and wealth management, including “The 50% Rule”. Mr Lucas serves on the Boards of the National Public Radio Foundation and the Stuart Foundation, and chairs NPR’s Investment Committee. He has a B.A. with honors from Dartmouth College, an M.B.A. from Harvard Business School, and is a Chartered Financial Analyst.

Krishna Memani

Krishna Memani

Chief Investment Officer
OppenheimerFunds

Krishna Memani oversees all investment teams at OppenheimerFunds. He is also currently the Head of Fixed Income.  In addition to his investment leadership roles, Mr Memani is currently a portfolio manager for Oppenheimer Core Bond Fund, Oppenheimer Global Strategic Income Fund, Oppenheimer Corporate Bond Fund and Oppenheimer Capital Income Fund.  Before he joined the company in 2009, Mr Memani was a managing director at Deutsche Bank, heading U.S. and European credit analysis. Earlier, he headed global credit research at Credit Suisse; was in charge of high grade and high yield portfolios at Putnam Investments; and was a credit analyst at Morgan Stanley, heading U.S. fixed income strategy and mortgage research.  Mr Memani earned a Bachelor of Engineering from Birla Institute of Technology and Science in India and graduated from the University of Florida with an MBA in finance and an MA in economics with a focus on econometrics.

Simon Mendelson

Simon Mendelson

Head of Product Management & Development, Americas
Deutsche Asset & Wealth Management

Mr Mendelson joined Deutsche Asset & Wealth Management in 2014 with 23 years of industry experience. Prior to joining, Mr Mendelson was a Managing Director at BlackRock for 9 years where he led corporate strategy, ran the global liquidity and securities lending businesses and, most recently, was Global Head of Product Development. Before BlackRock, he was a Senior Partner in the financial institutions practice at McKinsey & Co.  Mr Mendelson has a BA in philosophy from Yale University and a JD from Harvard Law School.

Clarke Moody

Clarke Moody

Partner and Portfolio Specialist
Harding Loevner

Clarke Moody is a Partner of the $40bn Global, International, Emerging and Frontier Markets equity manager Harding Loevner LP. In his role as Portfolio Specialist, he represents all of the firm’s equity strategies to clients and prospects around the world. He has over 30 years of industry experience, having worked on corporate finance transactions with clients in the Health Care, Industrial, Technology, Media, and Telecommunications industries for global institutions such as Chase Manhattan Bank, Barclays de Zoette Wedd, and ABN Amro.

Mr Moody joined Harding Loevner in 1996 and has served in a variety of roles in both the investment and business development sides of the firm, including Analyst, Client Portfolio Manager, and Director of Institutional Marketing. In his current position, he works with the firm’s portfolio managers and analysts to develop effective communications regarding portfolio structure, risk and performance analytics, and investment insights and outlook to internal and external audiences.

Mr Moody attended the University of London and graduated from Colby College in 1978 with a BA in English Literature. He holds the Chartered Financial Analyst (CFA®) designation.

Billy Nauman

Billy Nauman

Managing Editor
FundFire

Billy Nauman is Managing Editor of Fund Fire. He joined FundFire as a reporter in 2012 covering consultants, foundations and endowments. He also served as a senior reporter covering asset managers. He is a graduate of Florida State University. Prior to joining FundFire,Billy worked as a reporter for MandateWire covering university endowments and pension funds.

Rebecca Patterson

Rebecca Patterson

Managing Director and Chief Investment Officer
Bessemer Trust

Rebecca Patterson is a Managing Director and Chief Investment Officer for the Bessemer Trust Companies. In that capacity, she has overall responsibility for investments, including asset allocation, strategic portfolio direction, and research. She is chair of the Investment Policy and Strategy Committee and a member of the Management Committee.

Prior to joining Bessemer, Ms Patterson was Chief Markets Strategist at JP Morgan Asset Management, where she headed the global client advisory group and was a member of the private bank’s investment committee. Ms Patterson joined JP Morgan as an investment bank research analyst and later became the Global Head of Foreign Exchange and Commodities for the private bank, working in the US, Europe, and Asia. Prior to her career at JP Morgan, Ms Patterson was a journalist who covered politics, economics, and financial markets for Dow Jones and the Associated Press in the US and Europe.

She is a member of the Council on Foreign Relations (CFR), the New York Federal Reserve’s Foreign Exchange Committee, the Economic Club of New York, the University of Florida Investment Corporation’s Advisory Board, and the Committee of 200. A regular CNBC contributor, she was named one of “The 25 Most Powerful Women in Finance” by American Banker in 2014 and 2015, and Private Asset Management recognized her efforts in the industry as one of the “50 Most Influential Women in Private Wealth” in 2015.

Ms Patterson earned a BS in Journalism from the University of Florida, an MA in International Relations from The Johns Hopkins University School of Advanced International Studies, and an MBA from New York University.

Mary Pierson

Mary Pierson

Portfolio Manager and Co-Founder
Fairpointe Capital

Mary L Pierson is Portfolio Manager and Co-Founder of Fairpointe Capital LLC and serves as a member of the Mid-Cap Investment Team and the firm’s Executive Committee. Her responsibilities include investment research, portfolio management and client relationships, including serving as co-manager of the Aston/Fairpointe Mid Cap Fund (CHTTX) and the Parvest Equity USA Mid Cap Fund. Prior to co-founding Fairpointe Capital, Ms Pierson served as a member of the Mid-Cap Investment Team at a predecessor firm for the past seven years. She co-managed the Aston Mid Cap Fund (CHTTX), the Parvest Equity USA Mid Cap Fund and separately managed institutional accounts as well as providing research and analysis of existing and potential mid-cap equity holdings. Ms Pierson’s prior experience includes fifteen years with Harris Bancorp and Harris Futures Corporation, a wholly-owned subsidiary. While serving as General Manager at Harris Futures Corporation, she was responsible for managing all aspects of the institution, which operated as a financial futures broker. In prior positions at Harris, Ms Pierson conducted in-depth international economic research and analysis of foreign exchange exposure issues, along with currency trends and foreign political conditions related to investments.

William Rhind

William Rhind

Managing Director, Institutional Investment
World Gold Council

William Rhind is Managing Director and Head of Institutional Investment for the World Gold Council in the US & Europe. In this role, Mr Rhind leads gold investment activities focused on institutional investors. He is also responsible for developing educational campaigns to build greater understanding of the role of gold in portfolio construction for pension funds, endowments and asset managers. Prior to joining the World Gold Council, Mr Rhind was a Managing Director and head of the US business of ETF Securities, a commodity focused ETF provider. Mr Rhind started the US operations of ETF Securities in 2009 and helped grow the business from $0 to approx $3.5bn of ETF AUM in 4 years. He was previously a Principal at iShares ETF business for 5 years based in the UK distributing ETFs to UK & Irish investors. Prior to iShares, Mr Rhind was an investment banking analyst with Nomura International in London.

Mr Rhind earned his BA from the University of Bath, United Kingdom.

Ashish Shah

Ashish Shah

Partner and Head of Global Credit
AllianceBernstein

Ashish Shah is Head of Global Credit and a Partner at AllianceBernstein. He is also a member of the Absolute Return portfolio management team. Prior to joining the firm in 2010, Mr Shah was a managing director and head of Global Credit Strategy at Barclays Capital, where he was responsible for the High Grade, High Yield, Structured Credit and Municipal Strategy Groups, and the Special Situations Research team. Prior to that, Mr Shah served as the head of Credit Strategy at Lehman Brothers, leading the Structured Credit/CDO and Credit Strategy Groups and covering the cash bond, credit derivatives and CDO product areas for global credit investors. Before that, Mr Shah served as North American CFO at Level 3 Communications from 1999 to 2000 and gained trading experience at Soros submanager Blue Border Partners and Bankers Trust, where he ran US equity arbitrage from 1994 to 1999. He holds a BS in economics from the Wharton School at the University of Pennsylvania. Mr Shah is located in New York.

Matthew Stroud

Matthew Stroud

Head of Delegated Portfolio Management - Americas
Towers Watson Investment Services

Matthew Stroud is Towers Watson Investment Service’s Head of Strategy and Portfolio Construction. He is also a member of the firm’s Global Investment Committee, which sets all of the firm’s views on the economy and the markets. Mr Stroud has 21 years of capital markets and investment advisory experience. Prior to joining Towers Watson in 2003, Mr Stroud was an asset consultant at Towers Perrin for six years. He was responsible for helping clients to meet their goals and objectives with regard to asset allocation, asset class structure and investment manager selection, oversight, and performance evaluation. Prior to this, Mr Stroud developed and assessed the NASD’s first formal action against a NASDAQ market maker for trading ahead of customer limit orders (see: United States vs. Gruntal, 1996). Prior to this, Mr Stroud was a Financial Consultant at Merrill Lynch & Co. Mr Stroud received an M.B.A. from New York University’s Stern School of Business, with concentrations in finance and statistics/operations research; a B.A. (cum laude) in Economics from New York University; and was awarded the William R. Salomon Scholarship from Salomon Bros. as well as the New York University Trustee Scholarship. Mr Stroud is a Chartered Financial Analyst (CFA) Charterholder and a member of the New York Society of Security Analysts.

Joan Warner

Joan Warner

Managing Editor
Financial Advisor IQ

Joan Warner has been Financial Advisor IQ’s Managing Editor since the service’s launch in 2013. She was previously Managing Editor of Agenda, the corporate governance weekly. Both Financial Advisor IQ and Agenda are members of the Financial TImes family of news services. Previously, Ms Warner held senior editorial positions at Directorship and at Business Week, where she worked for almost 20 years. In 2007, she wrote a book about how to create a great photo album. She holds a BA in Classics & English and an MA in Comparative Literature, both from Harvard.

Robert Whitelaw

Robert Whitelaw

Edward C. Johnson 3d Professor of Entrepreneurial Finance and Chair of the Finance Department
Leonard N. Stern School of Business, New York University

Professor Robert F. Whitelaw is the Edward C. Johnson 3d Professor of Entrepreneurial Finance and Chair of the Finance Department at the Leonard N. Stern School of Business, New York University. Professor Whitelaw teaches investments/capital markets and international finance in the MBA and undergraduate programs. He also teaches fixed income securities, equity investments, derivatives, and risk management at the executive level and asset pricing at the doctoral level.  Professor Whitelaw's research interests include the relation between risk and return in the stock and bond markets, the pricing and hedging of fixed income derivative securities, risk measurement and management, and market efficiency. His papers have been published in academic journals such as the Journal of Finance, the Journal of Financial Economics, and the Review of Financial Studies, as well as practitioner journals such as the Journal of Derivatives, the Journal of Fixed Income, Risk, the Financial Analysts Journal and the Journal of Investment Management.  His research has received awards from organizations including Goldman Sachs Asset Management and the Chicago Quantitative Alliance. In addition, he is a Research Associate at the National Bureau of Economic Research (NBER), Program on Asset Pricing, and a past Associate Editor of the Review of Financial Studies and the Journal of Finance.

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Agenda - 6th Oct

  • 6:30pm
    Welcome Reception sponsored by OppenheimerFunds

    New York Academy of Sciences

    For registered delegates only. RSVP required.

Agenda - 7th Oct

  • 8:15am
    Breakfast and Registration
  • 9:00am
    Opening Remarks

    Stephen Foley, US Investment Correspondent, Financial Times

  • 9:05am
    Panel Discussion: The Global Economic Landscape: An Overview of the Trends

    Investors and their financial advisors rely on accurate and timely information on the global economy in order to make informed decisions that generate returns with minimal risks. This esteemed panel of economic experts will survey the global economy, highlighting areas of opportunities and challenge.

    Krishna Memani, Chief Investment Officer, OppenheimerFunds

    Rebecca Patterson, Managing Director and Chief Investment Officer, Bessemer Trust

    Matthew Stroud, Head of Delegated Portfolio Management - Americas, Towers Watson Investment Services

    Chaired by: Stephen Foley, US Investment Correspondent, Financial Times

  • 10:00am
    Keynote Interview

    Frank Ahimaz, Chief Investment Officer, The Museum of Modern Art

    Interviewed by: Stephen Foley, US Investment Correspondent, Financial Times

  • 10:30am
    Panel Discussion: Risk Management Strategies that Adapt to Global Change

    Sudden natural and political events can change global dynamics in ways that wreak havoc on a portfolio. Given the interconnectedness of global markets, investors find that they are impacted by events even when not directly invested in the market experiencing upheaval. How can the portfolio be protected against risks that are unforeseeable? What is the best way to incorporate agility and responsiveness?

    Alanson Houghton, Managing Director – Head of New York Office, Pitcairn

    Raynald Leveque, Director of Risk, New York State Common Retirement FundMary L Pierson, Portfolio Manager and Co-Founder, Fairpointe Capital

    Moderated by: Joan Warner, Managing Editor, Financial Advisor IQ

  • 11:25am
    Networking Break
  • 11:55am
    Roundtable Discussions

    1) The Long and the Short of Liquid Alternatives
    with Bernard Abdo, Head of Alternatives and Fund Solutions, Deutsche Asset & Wealth Management and
    Simon Mendelson, Head of Product Management & Development, Deutsche Asset & Wealth Management

    2) How Firms Can Elevate Their Growth and Become A High Performing Advisor
    with Waldemar Kohl, Vice President of Practice Management and Consulting, Fidelity Institutional Wealth Services

    3) Considerations for Emerging & Frontier Markets Investors
    with Clarke Moody, Partner, Harding Loevner

    4) The Next Generation of Alternatives
    with Kamal Bhatia, Head of Investment Products, OppenheimerFunds

    5) The Investment Case for Gold
    with William Rhind, Managing Director - Institutional Investment, World Gold Council

  • 12:55pm
    Lunch

    Brief address by Waldemar Kohl, Vice President of Practice Management and Consulting,

    Fidelity Institutional Wealth Services

  • 1:55pm
    Panel Discussion: Smart Beta Strategies

    A new class of rules-based equity index products has emerged known as strategy indexes, or smart betas. These strategies seek to answer the question of active versus passive strategies, offering aspects of both. The goal is to provide the broad market exposure, diversification, liquidity, transparency, and low cost access to markets of traditional capitalization-weighted indices while offering superior performance relative to traditional indices. This panel will examine these strategies and discuss their uses.

    Syed Haque, Portfolio Manager - Global Equities, UPS Group Trust
    Dodd Kittsley, Head of ETF Strategy, Deutsche Asset & Wealth Management
    Robert Whitelaw, Edward C. Johnson 3d Professor of Entrepreneurial Finance and Chair of the Finance Department Leonard N. Stern School of Business, New York University

    Moderated by: Billy Nauman, Managing Editor, FundFire

  • 2:50pm
    Networking Break
  • 3:20pm
    Panel Discussion: Creating a Tax Efficient Portfolio

    Taxes can have a profound impact on an investor's financial health. This is a subject that never grows old, but concern has increased in recent years due to the need to balance budget deficits as both the federal and state levels. How do you prevent taxes from wiping away the gains generated from the investment portfolio? What portfolio mix provides the most tax efficient returns? How do global investments impact the tax scenario for investors?

    Matthew Allain, Chief Executive Officer, The Leo Group

    Stephen Horan, Managing Director and Co-Lead, Education, CFA Institute

    Stuart Lucas, Chairman, Wealth Strategist Partners

    Moderated by: Joan Warner, Managing Editor, Financial Advisor IQ

  • 4:15pm
    Panel Discussion: The Role of Fixed Income Products

    The past year has seen a return to equities in a big way. While equities provide growth opportunities, fixed income products provide capital stability, income, liquidity and diversification to growth-oriented asset classes. As growth opportunities re-emerge in the global economy, what place should fixed income products hold in the portfolio? What is the optimal balance to ensure diversification and stability without missing out on growth opportunities?

    Spencer Edge, Principal, Tiedemann Wealth Management

    Ralph Lipford, Managing Director, Botty Investors

    Ashish Shah, Partner and Head of Global Credit, AllianceBernstein

    Moderated by: Hannah Glover, Managing Editor, Ignites

  • 5:10pm
    Keynote Presentation

    Dr. A. Gary Shilling, President, A. Gary Shilling & Co., Inc., economic consultant, and publisher of INSIGHT

  • 5:50pm
    Closing Remarks
  • 6:00pm
    Cocktail Reception on the NYSE Trading Floor

Who Attends?

This event is exclusively open to financial advisors and market experts to discuss the strategies and products that are being utilized in an interactive format with high levels of peer exchange. 

Conference attendees will:

  • Take away new strategies for managing risks that enable them to protect client investments while achieving investment goals.  
  • Gain insights on current trends in emerging markets and equities that will form the basis for making sound allocation decisions.
  • Participate in several in-depth discussions on specific investment strategies such as active vs. passive or currency hedging.

Please note there is a qualification process to attend the Investment Management Summit and we will not be able to accommodate all applications. 
You will be asked to provide the following information in addition to your contact details:

  • AUM
  • Products used
  • What channel you work in

Past attending companies include:

Altfest & CoAmerican Economic Planning GroupAmerican Financial & Tax StrategiesAmerican Financial GroupAmeriprise FinancialBBVA CompassBergin, Roberts & Co.Brewster Financial PlanningCambridge InvestmentResearchCarter BainChase Investment ServicesChatham Wealth ManagementChornyak & AssociatesCommonwealth Financial NetworkConrad Capital ManagementConvergent Wealth AdvisorsCreative Financial ResourcesCredit SuisseDelaware InvestmentsDeutsche BankEFP ConsultingEvercore Wealth ManagementFinancial Network GroupFirst Empire Asset ManagementFortigentGateway AdvisoryGeri Pell & AssociatesHarbor Investment Advisory

Harris myCFOHarvard UniversityHaynes FinancialHighline Wealth ManagementHighTower AdvisorsHorizon KineticsHPM PartnersInverness CounselInvestors CapitaliSharesBlackRockJHS Capital AdvisorsJPMorgan Funds
JSA Financial GroupKeats ConnellyLasure Capital ManagementLedford FinancialLemme Investment GroupLord AbbettLPL FinancialM Financial Wealth ManagementMarshall Financial GroupMartone Capital ManagementMassey QuickMedallion Wealth AdvisorsMerrill LynchMetLife Financial Group of NYMorgan Stanley Smith BarneyNeuberger Berman

Nicholas Pascarella & CompanyNoyes-Ryder Capital ManagementNuVerse AdvisorsParagon Capital ManagementPlanStrong Investment ManagementRaymond James Financial ServicesRBC Wealth ManagementRichard Brothers Financial AdvisorsRidgewood InvestmentsRockefeller & CompanyRoka Wealth StrategistsSafran Wealth AdvisorsSage HillSapient Private Wealth ManagementSmith Affiliated CapitalSontag AdvisorySouthwind AssociatesStrategic Wealth Management GroupSutherland Asbill & BrennanTomas A. Blanno and CompanyUBSValidea Capital ManagementVan EckVickery Creek Capital ManagementWalnut Street SecuritiesWander Financial ServicesWells FargoWescott Financial Advisory GroupYCMNET

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Venue

New York Stock Exchange
2 Broad Street (Entrance)
New York 10005

United States of America

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Contact Us

Nicole Rene Bullock
Delegate, Media Partner and Press Inquiries
Financial Times

Lead Sponsors (2)

Known for its tagline The Right Way to Invest, OppenheimerFunds, Inc. is one of the largest and most respected investment management companies. As of March 31, 2014, OppenheimerFunds, Inc., including subsidiaries, managed more than $237 billion in assets, including mutual funds having approximately 12 million shareholder accounts, including sub-accounts.

OppenheimerFunds, Inc. is known for its long history and acumen in global investing, beginning with the launch of one of the country’s first global funds in 1969.

For more information on OppenheimerFunds’ range of products and the Company’s perspective on solving for investor goals, visit www.growthincomeprotection.com.
 

With USD 1.27 trillion of assets under management (as of June 30, 2015), Deutsche Asset & Wealth Management¹ is one of the world's leading investment organizations. A dynamic blend of cultures and diverse talents delivers first-hand intelligence, insight and a breadth of perspective. Our global access, depth of expertise and client focus put us in a unique position to help you meet your investment objectives regardless of strategy – active, exchange-traded products, and alternatives.

¹ Deutsche Asset & Wealth Management is the brand name of the Asset Management and Wealth Management division of the Deutsche Bank Group. The legal entities offering products or services under the Deutsche Asset & Wealth Management brand are listed in contracts, sales materials and other product information documents.
R-039483-1 (9/15)

Luncheon Sponsor (1)

Fidelity Investments provides a comprehensive custody platform, brokerage services, trading capabilities, and practice management and consulting to registered investment advisors (RIAs), including strategic acquirers and turnkey asset managers (TAMPs), and retirement recordkeepers. Our goal is to help clients thrive by supporting the growth of their businesses, enhancing their operational efficiency and delivering insights that help to drive confidence, clarity and results.

Associate Sponsors (3)

Harding Loevner seeks superior returns through investment in growing, financially-sound, well-managed companies. We conduct in-depth research into global industries to identify companies that we believe enjoy sustainable competitive advantages, and to evaluate the long-term durability of their growth.

We offer a family of global and international portfolios, each managed according to the same quality growth investment philosophy and research-intensive stock selection process, and carefully diversified in an attempt to reduce risk:

- Global Equity
- International Equity
- International Small Companies
- Emerging Markets
- Frontier Emerging Markets

How would you like to streamline your shipping processes, save time and costs, and reach more businesses earlier? UPS can do that for you. Founded in 1907, UPS offers reliable delivery, advanced shipping and tracking technology, and a global network that serves customers in more than 220 countries and territories worldwide.

Learn how UPS:

  • Delivers to more U.S. businesses and ZIP Codes by 8:30 and 10:30 AM than FedEx
  • Reaches more countries by 9 AM than any other carrier
  • Offers you an exclusive opportunity to help your firm, and your brand, stand out with customized express envelopes for every overnight shipment
  • Features the one-driver advantage – which means one reliable driver for your air, ground and international pickup and delivery services
  • Saves labor time and costs with free technology to help you safely, securely and easily manage your shipping, tracking and billing

The World Gold Council is the market development organisation for the gold industry. Working within the investment, jewellery and technology sectors, as well as engaging in government affairs, our purpose is to provide industry leadership, whilst stimulating and sustaining demand for gold.

We develop gold-backed solutions, services and markets, based on true market insight. As a result, we create structural shifts in demand for gold across key market sectors. We provide insights into the international gold markets, helping people to better understand the wealth preservation qualities of gold and its role in meeting the social and environmental needs of society. The membership of the World Gold Council includes the world’s leading and most forward thinking gold mining companies.

Branding Sponsor (1)

Voya Investment Management (Voya IM) is a leading active asset management firm. As of March 31, 2014, Voya IM manages approximately $213 billion* for affiliated and external institutions as well as individual investors. Drawing on over 40 years of experience and an ongoing commitment to reliable investing, Voya IM has the resources and expertise to help long-term investors achieve strong investment results.

WiFi Sponsor (1)

Behringer creates, manages and distributes specialized investments through a multi-manager approach that presents unique options for allocating capital, managing risk and diversifying assets. Investments sponsored and managed by the Behringer group of companies have invested into more than $11 billion in assets. For more information, call toll-free 866.655.3600

Exhibitors (3)

FlexShares® offers funds specifically designed with real-world goals in mind. Each fund pursues distinct primary and secondary investment outcomes to help meet one of four core objectives: capital appreciation, risk management, income generation and liquidity management. FlexShares product engineering combines the understanding of these investor needs with thoughtful design and global portfolio expertise to produce investment strategies that are helping shape the next generation of ETFs.

Morgan Stanley Investment Management (Investment Management) is a client-centric, investor-led organization dedicated to providing asset management solutions to investors worldwide. Our global presence, thought leadership, and breadth of products and services enable us to partner with clients to help meet the evolving challenges of today’s financial markets. With over three decades of asset management experience, our investment strategies span the risk/return spectrum across geographies, investment styles and asset classes, including equity, fixed income, liquidity, alternatives and private markets. Each of our investment teams has a unique talent pool of experienced professionals and share the same core values of fiduciary responsibility and commitment to investment excellence that have been the hallmarks of Investment Management since its establishment.

Wasatch Funds (founded in 1975) is a family of 18 no-load mutual funds. Wasatch believes its performance is the result of a commitment to intensive research and the disciplined application of sound investment management practices. Over the years, this investment philosophy has provided superior returns to Wasatch clients and has helped them weather economic downturns, volatile financial markets and short-term trends.

Media Partners (4)

Founded in 1984 by investor and entrepreneur William J. O’Neil, Investor’s Business Daily (IBD®) provides individual and professional investors essential market-timing analysis, top performing lists and proprietary ratings to help them identify true market leaders.  The information is delivered through IBD’s leading-edge investing products and innovative investor education programs.  IBD created the world’s first stock database in the 1960’s to compare and rate stocks based on performance criteria to find emerging leadership.  Today IBD tracks data on over 8,000 publicly traded companies and is used by over 600 institutional investors worldwide.  IBD not only helps investors zero-in on emerging growth investments, but provides the buy and sell rules to properly execute trades to minimize risk and maximize profit potential.  The focus on fundamental criteria and technical indicators makes IBD unique.  IBD’s strategy has enabled countless financial advisors to better serve their clients and make their practices more successful.