Speakers
Joe Duran
Joe Duran is a serial entrepreneur and an industry visionary in wealth management and wealthtech.
Most recently, Joe and his team launched Rise Growth Partners (‘Rise’), the industry’s first synergistic financial partner. With genuine experience and knowledge building national enterprise RIAs, Rise’s team will partner alongside middle-market RIAs, providing the tools and minority stake capital essential for their growth.
Previously, Joe was a Partner at Goldman Sachs as Co-Head of the Workplace and Personal Wealth business. Joe founded and was CEO of United Capital, one of the nation’s largest independent wealth management firms, which was acquired by Goldman Sachs in July, 2019. Prior to that he built and sold Centurion Capital, one of the first Turnkey Asset Management Platforms to General Electric where he served as President of GE Private Asset Management (now NYSE listed AssetMark.)
He is the author of three acclaimed books focusing on investing and entrepreneurship, earning him a coveted spot on both the New York Times and USA Today’s bestseller lists. Widely recognized for his expertise, Joe is a highly sought-after conference speaker and makes frequent appearances across a diverse range of media platforms, from CNBC to Goop.
Joe holds an MBA from both Columbia University and UC Berkeley and an undergraduate degree from Saint Louis University. As a CFA Charterholder and an active member of YPO, Joe is dedicated to using his vast experience to have a positive impact on the wealth management industry.
Together, Joe and his wife Jennifer reside between Southern California and New York City. They have three daughters they cherish and you can frequently find them traveling, dining, dancing and enjoying live music.
Darius Mirshahzadeh
Darius is an award-winning high growth CEO, entrepreneur, author, advisor and podcaster with over 24 years of experience growing companies from startup to scale.
Alongside Joe Duran, he co-founded and launched Rise Growth Partners (‘Rise’), the industry’s first synergistic financial partner. At Rise, Darius is the managing partner in charge of all new partnerships including deal origination, M&A, inorganic growth and recruiting for partner firms.
Prior to Rise, he was the CEO of TMS which he grew from 30 to 1000 employees in just 3 years and was named the #9 highest rated CEO in America on Glassdoor.com. Under his leadership, Darius has led his businesses to raise over $400M in institutional capital, and generated $1.2B in top line revenue.
He is the author of the Best-Selling business book, The Core Value Equation, is a 2020 graduate of the renowned Integral Leadership Program from the Stagen Institute, is a 2008 graduate of MIT’s Birthing of Giants Entrepreneurial Masters Program, and holds a Bachelor of Arts from UC Santa Barbara in Business and Economics.
A lover of all things pizza, Darius practices transcendental meditation daily, plays the ukulele, loves books, lifting heavy things, and meeting amazing people on his iTunes top rated entrepreneurial podcast, The Greatness Machine.
He lives in Austin Texas with his amazing wife Maria, sons Rumi and Pablo, and dog Desi.
Bryan Burrough
Bryan Burrough is the author or co-author of eight books, including the New York Times best-sellers Barbarians at the Gate, Public Enemies, The Big Rich and Forget the Alamo. After ten years at The Wall Street Journal and twenty-five at Vanity Fair, he now lives in Austin, where he is Editor at Large at Texas Monthly.
Last year his Texas Monthly podcast, ``Stephenville,’’ peaked at No. 8 of nationwide downloads. His next book, The Gunfighters: How Texas Made the West Wild, will be published by Penguin Press in June.
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Speakers
Doug Huber
Doug Huber brings 15+ years of financial services experience to his current role of Deputy Chief Investment Officer at Wealth Enhancement Group. In his role, he is responsible for driving the investment process for portfolios managed by Wealth Enhancement Advisory Services (WEAS), leading functional investment areas, and monitoring the investment landscape to ensure advisors have competitive solutions and the highest quality investment choices available to offer clients.
Doug previously served as VP, Investment Strategy of Wealth Enhancement Group where he led the firm’s external manager research across both traditional and alternative investment strategies. Prior to joining Wealth Enhancement Group in 2021 through the North American Management acquisition, Doug spent time at Federal Street Advisors as the lead analyst where he led the alternative investment program.
Tom Graff
Tom is Chief Investment Officer for Facet Wealth, joining the firm in 2022. Tom comes to the firm with 23 years of experience in investment markets. Prior to coming to Facet, Tom spent 12 years with Brown Advisory, the last 9 of which were as Head of the Fixed Income department. He was also part of the firm’s CIO committee. In these roles, Tom was both a Portfolio Manager and the firm’s primary voice on macroeconomics and how that impacted various asset classes. Tom has a passion for markets and the economy. Tom graduated from Loyola University in Maryland with a degree in Economics and holds a CFA designation.
Min Zhang
Min Zhang, CFA joined Farther as CIO in 2024. Previously, she served as VP of digital products and investments at Goldman Sachs/United Capital, asset allocation product manager at PIMCO, quantitative analyst at Causeway Capital, and equity research analyst at Lehman Brothers. Her wealth tech startup Totum Risk was acquired by TIFIN. Min earned an MBA from Stanford Graduate School of Business and AB in Computer Science and Economics with Honors from Dartmouth College.
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Workshops
Workshops
Buffering the Downside: ETFs that manage risk in portfolios and keep clients invested
Despite signs that inflation is cooling and as economic uncertainty persists, an increasing number of Americans want financial products that help mitigate market risks. How can investment professionals thrive amidst the ambiguity?
Allianz Investment Management LLC’s suite of risk-managed investment strategies can equip investors’ portfolios with an added layer of risk mitigation during these unpredictable times. The ETFs seek to provide a level of protection against market drops with either a buffer or floor, while allowing investors to participate in the upside potential of the S&P 500® with capped or uncapped options.
AllianzIM explains how these ETFs are designed to perform within client portfolios across a range of market scenarios and their behavior relative to other risk managed, volatility strategies.
Workshop Objectives: Help clients feel more confident amid market volatility and inflation with ETFs that seek to provide a level of protection against market drops with either a buffer or floor from AllianzIM.
Company Profile: Allianz Investment Management LLC (AllianzIM) is a registered investment adviser and wholly-owned subsidiary of Allianz Life Insurance Company of North America. Both are part of the Allianz Group, one of the world’s strongest financial communities in asset management and insurance. Founded over 130 years ago, more than 122 million clients in 70 countries rely on the knowledge, financial strength, and solidity of the Allianz Group.
Driven by nearly a century of growth and the globalization of financial markets, the Allianz Group established the global Allianz Investment Management network in 2007 to steer the investment of premiums generated by Allianz insurance companies worldwide, serving as the bridge between the insurance and capital markets for the Allianz Group.
Speakers
Brian Peterson
ETF Regional Vice President | Southeast
As the ETF Regional Vice President for the Southeast, Brian Peterson is responsible for working directly with advisors to continually educate on the AllianzIM ETF offerings and assist with implementation. In the industry since 2007, Brian has worked with products such as mutual funds, annuities, ETFs, & SMA’s, covering IDB, RIA, and Wirehouse channels. Prior to Allianz, Brian worked at various firms, including Prudential and Raymond James.
Brian, his wife and two children reside in Columbia, SC.
Representatives
John McElhiney
ETF Platform Sales Manager
As the ETF Platform Sales Manager, John McElhiney is responsible for working with National Account distribution partners on driving business development, canter-of-influence connectivity, and durable relationships. John has 16 years of financial services industry experience, having previously worked as a Regional Vice President, covering all distribution channels, such as wires, RIAs, independents, banks, etc. John, his wife, three kids and his dog reside in Wakefield, MA.
Courtney Nichols
Director of Projects & Strategic Planning | ETFs
As the Director of Projects & Strategic Planning for ETF Distribution, Courtney Nichols partners with ETF leadership on day-to-day functionality of the business. Courtney works closely with internal and external partners, including sales, product, and other stakeholders to create and enhance processes to further business strategy.
Courtney has 10 years of financial services industry experience, having previously worked in the alternative investment space, working closely with IBD and RIA channels, both on the advisor and firm level.
Courtney & her husband reside in Gilbert, AZ.
Venture Capital for Wealth Management Portfolios
Venture capital is likely the most difficult asset class for wealth advisers to include in client portfolio construction. Return dispersion between top and bottom managers is the widest among all alternative assets and access to the top venture funds has long been awarded to institutional and ultra-affluent investors. Wealth advisers have historically had limited options to include institutional quality venture in client portfolio construction.
Alumni Ventures (“AV”) has been building professionally managed direct venture portfolios for over 10y. AV Apex Fund was designed specifically to bring wealth advisers a high-quality portfolio of follow-on investments diversified by sector and geography. This mid-stage venture strategy leverages AV’s incumbency position with its portfolio companies to identify the strongest investment opportunities while simultaneously reducing the risk and duration typically attached with early-stage venture investments.
Workshop Objective: Introduce the benefits of venture capital for client portfolios and AV’s approach to building a portfolio of mid-stage venture investments.
Company Profile: Alumni Ventures was founded in 2014 to bring professionally managed venture portfolios to individual investors. As of 3/31/24, AV has raised $1.3b from 10,000+ direct investors and invested that capital across 1,400 operating
ventures. AV manages over 30 alumni-affinity investment programs, 10 thematic strategies, and bespoke single asset syndications.
The core of AV’s investment program is to invest early and continue to back the teams and business models best demonstrating the ability to capture their market opportunity.
Speakers
Mark Edwards
Chief Investment Officer
Mark Edwards is a seasoned private equity executive who was an early investor in Alumni Ventures and has served on the investment committees for Green D Ventures (Dartmouth) and Spike Ventures (Stanford) since inception. Edwards has over 20 years of direct investing experience, having served in leadership roles at Five Peaks Capital Management, JLL Partners, and DLJ Merchant Banking Partners. Edwards holds a BA degree with honors from Stanford University and an MBA degree with distinction from the Amos Tuck School of Business at Dartmouth College, where he graduated as an Edward Tuck Scholar.
Representatives
Jack Barlow
Head of Capital Formation/Business Development
Jack has over 20y experience in the asset management industry mainly oriented around the development and distribution of traditional private and open-ended alternative investment solutions to the wealth management. At AV, Jack is responsible for introducing AV’s capabilities to the financial intermediary community and other traditional asset allocators. Prior to AV, he helped lead BlackRock’s effort to bring its private market franchise to wealth including the launch of four evergreen solutions covering private credit, private equity, and hedge fund strategies. Jack was one of the original members of Blackstone’s Private Wealth Solutions team where he co-led the national account effort. Earlier in his career, he held corporate positions with Bank of America’s Alternative Investment Group, FleetBoston Financial, and management consulting. Jack has an Economics degree from Hobart College and an MBA from University of Chicago’s Booth School of Business.
Rob Adams
Executive Partner
Rob is a former entrepreneur, institutional fund manager, and software executive. He has served on many corporate boards and has founded or financed more than 40 companies, raising capital in both public and private markets. He is an internationally recognized expert and speaker on innovation, commercialization, and entrepreneurship. Most recently, Rob was on the faculty of The University of Texas at Austin, where he taught entrepreneurshipin the MBA program and was the Founder and Director of Texas Venture Labs. He was CEO and Founder of Business Matters, a venture-backed developer of financial modeling products that was acquired. He was also an executive with Pervasive Software, a company he helped take public. Rob holds a BS in Industrial Engineering from Purdue, an MBA from Babson’s Olin School of Management, and a PhD in Management from Capella University.
Emerging Markets: Why Bother?
Many asset allocators are taking a fresh look at the Emerging Markets asset class, whilst others are questioning its role in portfolios. Over the last decade, investors in EM haven’t been compensated for the additional risk, as returns have lagged Developed Markets…but that hasn’t always been the case. Looking back through the history of EM investing, it’s hard to remember a time where the outlook for EM has looked stronger.
Workshop Objective: To provide reasons to be positive on Emerging Markets. A comparison to developed markets, a discussion on why active and where we believe there is growth
Company Profile: Baillie Gifford & Co, headquartered in Edinburgh, Scotland, is one of the UK’s oldest independent fund management firms having been founded in 1908. We are, we believe, unique for a company of our size in being an independent partnership with no outside shareholders and unlimited liability to our clients, for whom nowadays we invest US$290bn as at the end of March 2024. Our single focus is on providing outstanding investment returns and service for those clients. We measure success by the value we add for clients after fees, not by our own revenues. If we deliver for clients, we can be confident about our own future.
Baillie Gifford International LLC is wholly owned by Baillie Gifford Overseas Limited which is the legal entity that provides client service and marketing functions in North America. Baillie Gifford Overseas is wholly owned by Baillie Gifford & Co.
Speakers
John Rae
Investment Specialist Manager
John is an investment specialist within the Emerging Markets Client Team. He joined Baillie Gifford in 2017 and initially worked in the portfolio implementation team before taking up his current role in 2020. John graduated BSc (Hons) in Physics from the University of Glasgow in 2015
Representatives
Joseph Stellato
Client Relationship Director
Joseph is responsible for driving the relationship between Baillie Gifford and private banks, registered investment advisors (RIA’s), trust banks & family offices across the country. Before joining the firm, Joseph was responsible for similar client partnerships at OppenheimerFunds and prior to that, Neuberger Berman. He began his career on the Equity Finance trading desk of Lehman Brothers/Barclays Capital. Joseph graduated BS in Finance and BA in psychology. He is also a CFA Charterholder.
Connor Warren
Client Relationship Manager
Connor is a Relationship Manager for intermediary clients in the United States. In this role, he is responsible for driving the relationship between Baillie Gifford and private banks, registered investment advisors (RIA’s), trust banks, & family offices across the country. Before joining the firm, Connor was responsible for similar client partnerships at GQG Partners and prior to that, Jackson National Life Distributors. Connor graduated BS in Political Science from the University of Richmond in 2017.
Introduction to Private Real Estate & Triple Net Lease
Introduction to Private Real Estate & Triple Net Lease seeks to define private real estate investment and introduce the concept of private real estate investment via the triple net lease structure. The content explores the structural and investment attributes of private real estate, compares its historical performance relative to public asset classes, and identifies core considerations for investors when evaluating potential allocations.
Workshop Objectives:
• Define private real estate and identify well-known real estate investment strategies
• Compare the historic performance of private real estate investment strategies with the performance of public market counterparts
• Define triple net lease and identify the investment characteristics of the strategy
• Explain how market conditions impact the traditional gross lease structure compared to triple net lease
• Define sale-leaseback and illustrate the market opportunity
• Outline the benefits of sale-leasebacks for tenants and investors
• Explain how private real estate fund structures have evolved to create greater access for wealth investors
Company Profile: Blue Owl (NYSE: OWL) is a leading asset manager that is redefining alternatives.
With over $192 billion in assets under management as of June 30, 2024, we invest across three multi-strategy platforms: Credit, GP Strategic Capital, and Real Estate. Anchored by a strong permanent capital base, we provide businesses with private capital solutions to drive long-term growth and offer institutional investors, individual investors, and insurance companies differentiated alternative investment opportunities that aim to deliver strong performance, risk-adjusted returns, and capital preservation.
Together with over 820 experienced professionals globally, Blue Owl brings the vision and discipline to create the exceptional.
Speakers
Matt Belikov
Real Estate Portfolio Strategist, Blue Owl
Matt Belikov is a Senior Associate at Blue Owl and member of the Private Wealth Team. As a Real Estate Product Specialist on the Global Portfolio Solutions & Strategy Team based in New York, he is responsible for supporting the growth and expansion of Blue Owl’s real estate vehicles.
Prior to joining Blue Owl, Matt was an associate on Blackstone’s Real Estate Institutional Client Solutions team. Prior to Blackstone, he worked at Bridge Investment Group, one of the largest Private Equity Real Estate managers with expertise in Multifamily & Opportunity Zones.
Matt holds a BSBA with concentrations in Finance and Real Estate from Boston University’s Questrom School of Business.
Representatives
Shane Plunkett
Regional Market Leader, Blue Owl
Shane Plunkett is a Vice President at Blue Owl and member of the Private Wealth Team. As a Regional Market Leader in the RIA & Family Office Investor Relations group, he focuses on supporting the firm’s partners and prospective investors in his role.
Shane received his BBA in Finance from the University of Rhode Island College of Business and his MBA from D'Amore-McKim School of Business at Northeastern University.
The Active Advantage of ETFs within Fixed Income
In this presentation, Capital Group’s Sr. portfolio consultant Vahid Friedrich will share an overview of the growth of the ETF market, the background on what ETFs CG brought to market & why and then a deeper dive on ETFs in the fixed income space. They will cover the reasons why ETFs offer a number of benefits to investors, particularly in the fixed income space.
Workshop objective: An opportunity to examine the active advantages and overall benefits of ETFs within the fixed income space.
Company Profile: Since 1931, Capital Group, home of American Funds®, has been singularly focused on delivering superior results for long-term investors using high-conviction portfolios, rigorous research and individual accountability. As of December 31, 2023, Capital Group manages $2.5 trillion in equity and fixed income assets for millions of individual and institutional investors around the world.
Capital Group is a private firm that employs more than 9,000 associates and has offices in Europe, Asia, Australia and the Americas. For more than 90 years, our goal has remained the same: to improve people’s lives through successful investing.
Speakers
Vahid Friedrich
Senior Portfolio Consultant
Vahid Friedrich is a senior portfolio consultant at Capital Group, home of American Funds. He has 24 years of industry experience and has been with Capital Group for nine years. Prior to joining Capital, Vahid worked as a sales coach at Fidelity Investments Institutional Services. He holds an MBA from the University of Dallas and a bachelor's degree in history from University of Texas. He also holds the Certified Investment Management Analyst® designation. Vahid is based in San Antonio.
Representatives
Antonio Bass
Senior RIA Relationship Manager
Antonio Bass is a senior RIA strategic relationship manager at Capital Group, home of American Funds, covering RIAs, consultants and bank trusts. He has 13 years of industry experience and has been with Capital for five years. Prior to joining Capital, Antonio worked as a regional investment consultant and an internal sales consultant at T. Rowe Price. He holds a bachelor's degree in communications from University of Michigan. He also has the Chartered Financial Analyst® certification. Antonio is based in Washington, D.C.
Robert Peche
RIA Relationship Manager
Robert J. Peche is a relationship manager at Capital Group. He has 22 years of investment industry experience, all with Capital Group. Earlier in his career at Capital, he was a registered investment advisor specialist; recently, in addition to working with RIA firms, he has worked with institutional consulting and bank/trust firms. He holds a bachelor’s degree in economics from the University of Texas, Austin. He also holds the Certified Investment Management Analyst® designation and the CFA Institute Certificate in ESG Investing. Robert is based in Houston.
Private Real Estate Investment: Leveraging the Trends Through a Recovering Market
Moderating inflation, interest rates below peak levels and a reset of real estate values are all positive signs indicative of a recovering market. What are the long-term benefits of an allocation to private real estate and why is now a good time to invest? This discussion will focus on real estate investment fund strategies and tactics used to not only navigate through a recovery, but when utilized over the long term can unlock the potential of an allocation to private real estate by the individual investor.
Workshop Objective: This discussion will focus on real estate investment fund strategies and tactics used to not only navigate through a recovery, but when utilized over the long term can unlock the potential of an allocation to private real estate by the individual investor.
Speakers
Janis Mandarino
Senior Vice President, Portfolio Manager
Janis Mandarino, equity owner and Senior Vice President, is a Portfolio Manager for the Clarion Partners Real Estate Income Fund (CPREX). Her primary responsibilities include portfolio construction and fund strategy, and overseeing their execution through acquisitions, dispositions, and financings. Previously, Janis held positions in acquisitions, portfolio management, asset management, and corporate finance. Janis joined Clarion Partners in 2006 and began working in the financial industry in 2000. She is a member of the Urban Land Institute (ULI).
Representatives
Vince DiPaolo
Vince joins us from Nuveen where he was an advisor consultant in South Texas. He worked to develop and manage relationships by offering consultative investment solutions to financial professionals. He was committed to bringing fresh ideas, perspectives, and capital markets insights with a strong presentation background.Prior to joining Franklin Templeton, Vince spent the better part of a decade with Nuveen, Oppenheimer Funds and Invesco covering all channels in the Southeastern U.S. and South Texas. He began his career on the advising side of Northwestern Mutual and JP Morgan Chase in Denver, CO.
In his current role, Director of Alternative Investments at Franklin Templeton, he leads the alternative fundraising efforts for RIAs, MFOs & Bank Trusts in the Southeast and Mid Atlantic, supporting strategies at
Franklin Templeton’s wholly owned subsidiaries: Benefit Street Partners (private debt & credit), Clarion Partners (real estate), Lexington Partners (secondary PE and co investing) and K2 (hedged strategies & FOFs).
Vince graduated with a B.S. in Business Administration from Hastings College, where he played baseball collegiately. He also graduated with a Masters of Finance from the University of Denver where he was born and raised. He currently holds the FINRA Series 6, 7, 63 and 65 and the
Certified Financial Planner (CFP ® )
Vince currently resides in Denver with his wife, children, and Golden Retriever. He spends his free time rooting for local Denver sports and coaching his son’s competitive youth baseball team.
Shane Ward, AIF®
V.P. Private Wealth AdvisorSouth Central Region (TX, OK)
Shane Ward began his career in financial services in 2010 and joined Franklin Templeton in 2017. Prior to joining Franklin Templeton, he spent over seven years as an Investment Consultant with CapTrust Advisors, LLC.
As an advisor to financial professionals, Shane provides a valuable perspective in the areas of market insights, practice management, and portfolio construction. He consults with financial professionals to help them deliver better outcomes for their clients and grow their business. Shane has a wealth of industry knowledge and a deep understanding of Franklin Templeton investment solutions including mutual funds, ETFs, separately managed accounts, model portfolios, 529 plans and insurance products.
Shane earned an Accredited Investment Fiduciary designation in 2013. He holds FINRA Series 7 and 63 licenses.
Shane currently resides in Dallas,Texas with his wife, two sons and daughter. In his free time, he enjoys spending time with his family, playing golf and watching football.
Delivering Goldman Sachs to RIAs: Accessing Unique, Customized Solutions through Goldman’s Capital Markets Desk
Join the GS team to discuss the institutional services available to you and your firm!
Structured Notes & Hedging Portfolios: Direct access to customize structures across income alternatives, buffered equity, and 100% principal protection
GS Select: High tech/high touch digital banking and lending platform for financial advisors Fixed Income Trading & Primary Markets: Trade individual bonds with our desk (treasuries, corporates, and municipals)
Hedging & Monetization: Solutions for concentrated stock positions
Alternatives: Access to unique third party alternatives
Hedge Fund Alternatives: Systematic, rules based strategies
Investment Banking Services: dedicated resource that provides full suite of IB services
Private Stock Liquidity: For clients with a $20mm+ private holding, we can help find a buyer
RIA Custody: Goldman Sachs Custody Solutions
Workshop Objective: Learn how Goldman’s services and products can be customized to meet your market outlook and your clients’ objectives.
Company Profile: The Goldman Sachs Group, Inc. is a leading global financial services firm providing investment banking, securities and investment management services to a substantial and diversified client base that includes corporations, financial institutions, governments and high-net-worth individuals. Founded in 1869, the firm is headquartered in New York and maintains offices in London, Frankfurt, Tokyo, Hong Kong and other major financial centers around the world. To learn more, visit www.gs.com.
Speakers
Sammi Lee
Vice President, RIA Capital Markets Solutions
Sammi Lee is a Vice President on the Private Investor Products Group at Goldman Sachs. At Goldman, Sammi focuses on providing RIA’s access to a variety of products within capital markets. She joined Goldman Sachs from Barclays where she was covering insurance companies for FIA/VA hedging, new mandates and FIA/Smart Beta marketing and more recently RIA’s for structured notes, ETN’s and other derivative products. She is a graduate of the University of Georgia, where she was a member of the golf team and studied Finance.
Representatives
Lindsay DiStaso
Associate, RIA Capital Markets Solutions
Lindsay is an Associate on the Private Investor Products Group at Goldman Sachs where she focuses on providing solutions to sophisticated RIAs and Family Offices outside of traditional stock and bonds. Her role concentrates primarily on structuring and marketing derivative packages to help clients achieve market outperformance. In addition to her involvement with RIAs, she also has experience on the institutional side with regards to fixed income structured products. She joined Goldman Sachs from Vanderbilt University where she studied Economics with a concentration in Finance & Accounting.
How Opportunity Zone Funds Can Help Advisors Generate more High-Net-Worth Clients and Prospects.
Opportunity Zone Funds give advisors an opportunity to present a holistic solution that combines tax planning, financial planning and after-tax investment alpha in a singular solution. It’s a versatile tool that can address the issues that high-net-worth investors care most about, planning, liability mitigation and after-tax investment outcomes and one of the best tools available to help cultivate the referral sources that most advisors seek.
Workshop Objectives: To discuss how Griffin’s top advisors have used Opportunity Zone Funds to grow their businesses by cultivating the types of high-net-worth clients, prospects, and referral sources they want.
Company Profile: Griffin Capital is a deeply experienced real estate investment management firm that has been investing across different sectors of the property markets throughout the country in a variety of investment vehicle structures for almost 30 years.
The firm has raised over $17 Billion of equity through its relationships with private wealth intermediaries and has sponsored or co-sponsored investment strategies totaling over $23 billion. The firm’s management team and employees have co-invested over $300 million of their own capital alongside investors.
Today the firm is focused specifically on multifamily development due to the attractive long-term tailwinds that support demand for the multifamily sector, its resiliency through economic cycles, and the attractive premium that can be earned through the development process.
Speakers
Andy Marrone
SVP – National Sales Director
Andy Marrone serves as National Sales Director at Griffin Capital. At Griffin, Mr. Marrone focuses his efforts on Managing the firm's relationships across all channels and plays an integral role in supporting the financial intermediaries Griffin Capital serves. Mr. Marrone has extensive experience managing high-performing individuals and a deep understanding of the capital markets and intermediary distribution.
Prior to joining Griffin Capital, he served as a Senior Vice President at Ecovest Capital where he was head of Sales and Distribution and a key member of the Executive Leadership Team. Prior to EcoVest, he spent more than two decades in sales and leadership roles with firms such as FS Investments, Cole Capital, and AXA Equitable.
Representatives
Darren Scott
SVP – Wealth Solutions
Darren Scott is a Senior Vice President with Griffin Capital Company, LLC. He is responsible for raising capital throughout the Central region of TX, OK, AR, LA & MS for the various investment programs sponsored by Griffin Capital Company. Prior to joining Griffin Capital in 2023, Darren spent 10 years with PGIM investments as a Vice President. Prior to PGIM, he worked in a similar capacity at Vanguard. Darren Scott is a registered Series 7 and 63 licensed representative and attended Hobart college.
HPS – Private Markets & Direct Lending
Current trends in the private credit market, how HPS is positioned to capitalize on the opportunity set in private credit, how HPS & HLEND’s approach is differentiated vs the variety of other managers in the private credit space. Detailing where HPS fits in the broader eco-system of private lending and our differentiating factors including sourcing, structuring, diligence, and type of assets we invest in. Overview HPS as a firm, history of our company, our offerings/strategies – among a broader discussion around private credit and the current opportunity set including, but not limited to, public credit vs private credit, M&A activity, among other pertinent market related topics.
Workshop Objective: Education on private credit as an asset class and current opportunity, education on HPS & HLEND and how we differentiate ourselves in private credit
Speakers
Chris Hunter
Managing Director and the Head of Private Wealth Solutions
Mr. Hunter is a Managing Director and the Head of Private Wealth Solutions at HPS Investment Partners. Prior to joining HPS in 2021, Mr. Hunter was a Vice President in the Alternative Investment Solutions Group at Goldman Sachs, where he was responsible for managing the firm’s RIA and broker dealer client relationships. Prior to Goldman Sachs, Mr. Hunter was a Principal at The Blackstone Group, where he was responsible for managing the firm’s wealth management relationships across each of the four business units: private equity, private credit, real estate, and hedge fund solutions. Prior to Blackstone, Mr. Hunter was a Regional Director for Hatteras Funds. Mr. Hunter is a CAIA charterholder and holds a BA in Economics from the University of North Carolina at Chapel Hill.
Representatives
Dimitri Loupakos
Executive Director
Mr. Loupakos is an Executive Director at HPS Investment Partners. Prior to joining HPS in 2022, Mr. Loupakos spent 13 years as a Vice President at Guggenheim Partners, where he was responsible for Guggenheim’s public and private investment funds’ capital raising efforts from RIA, bank and trust entities. Prior to Guggenheim, Mr. Loupakos was an Associate at John Hancock Retirement Plans Services. Mr. Loupakos is a CAIA charterholder and holds a BS in Business Economics & Public Policy from Indiana University’s Kelley School of Business.
Tax Deferral Strategies for Real Estate
Invesco Real Estate manages $91B+ across the globe and has been in the industry for 40+ years. This session will dive into Invesco’s real estate platforms robust investment capabilities and specific tax-deferral strategies. The 1031/721 exchange solution provides investors the opportunity to potentially exchange, on a tax-deferred basis, an active investment in real estate for a passive investment in an institutionally managed portfolio of high-quality, diversified commercial real estate. The speakers will provide an update on the 1031/721 exchange requirements, discuss client scenarios for deferring taxes on appreciated real estate, and give an overview of the key benefits and reasons to consider syndicated DST programs. These programs are designed to seamlessly merge illiquid real estate into a framework that is compatible with the wealth management business.
Workshop Objectives:
• Provide a broad overview of the 1031 exchange landscape
• Simplify and breakdown the phases in the 1031/721 exchange process
• Give advisors the ability to discuss the benefits of 1031 exchanges with clients to help emphasize the importance of tax and estate planning
Company Profile: Invesco Ltd. is a global independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. Our distinctive investment teams deliver a comprehensive range of active, passive, and alternative investment capabilities. With offices in more than 20 countries, Invesco managed $1.66 trillion in assets on behalf of clients worldwide as of March 31, 2024. For more information, visit www.invesco.com.
Speakers
Kyle Connor
Private Markets Specialist
Kyle Connor is a Real Estate Exchange Specialist at Invesco Real Estate. Kyle assists financial advisors, help clients navigate the process of exchanging investment real estate into Invesco’s Private Market offerings, and serves as a subject matter expert on Real Estate Exchange.Kyle earned his Bachelor of Science in Business Administration with a concentration in Finance from the University of California, Riverside. Kyle holds the Series 7 and 63 licenses.
Representatives
Stephan Donovan
Market Leader
Steve Donovan is a Senior Advisor Consultant for the Registered Investment Advisor (RIA) Division at Invesco. Mr. Donovan joined Invesco in 2019. Prior to joining the firm, he served as vice president at Neuberger Berman, Old Mutual Asset Management, and Evergreen. Mr. Donovan earned a BS degree in marketing from Viterbo University. He is a Certified Investment Management Analyst (CIMA) professional and holds the Series 7, 63, and 65 registrations.
Victor Monte
Market Consultant
Victor Monte is a Market Consultant for the Broker Dealer Division at Invesco, covering the Houston and Dallas wealth centers with each market leader. Mr. Monte takes a consultative approach to support financial professionals, taking time to understand their practices and providing insights and resources to enhance their businesses.
Mr. Monte earned a BBA degree from Georgia College and State University. He is a Certified Investment Management Analyst® (CIMA) professional and holds the Series 7 and 66 registrations.
Asset-Based Lending: The Next Frontier of Private Credit ?
Asset-based lending has emerged as the fastest-growing segment of private credit, able to deliver a differentiated source of income. It achieves this through exposure to a wide range of underlying assets that have the potential to generate predictable cash flows, quality income, and diversify investors’ risk premia exposure. Offered by John Hancock with subadvisor Marathon Asset management, Marathon is a leading public and private credit manager with current AUM of over $23B and 190 professionals worldwide. Marathon is a leading expert at sourcing, underwriting, and monetizing senior secured asset-based loans with multiple teams of dedicated specialists with significant domain expertise (physicians, pilots etc.).
Workshop Objective: Gain insights into the benefits of asset-based lending in the current environment, how it fits within a portfolio, and hear directly from sub-advisor Marathon Asset Management in this presentation.
Company Profile: As part of Manulife Investment Management, we draw on more than a century of financial stewardship and the full resources of our parent company to serve individuals, institutions, and retirement plan members worldwide. Navigating the challenges of today’s markets requires unique talents and expertise on a global scale. That’s why we’ve spent the past three decades building an unrivalled network of specialized asset managers, backed by some of the most rigorous investment oversight in the industry. The result is a diverse lineup of time-tested investments from one of America’s most trusted brands: John Hancock Investment Management.
Speakers
Jonathan Glass
Managing Director
Jonathan Glass is a Managing Director, responsible for the firm’s business development, product development, capital raising and client service activities, focused on leading private wealth and intermediary platforms, high net worth individuals and registered investment advisors (RIAs). Prior to joining Marathon, Mr. Glass worked as a Director at FS Investments (fka Franklin Square) on the Product Development team, where he was responsible for researching, designing, and launching alternative credit investment offerings. Before FS Investments, Mr. Glass worked as an Associate in BlackRock’s alternatives division where he helped position and sell the firm’s hedge fund and private equity strategies across their global institutional client base. Mr. Glass began his career as a fixed income sales and trading analyst at Royal Bank of Scotland. He holds a B.A. from the University of Michigan.
Representatives
Chris Salemme, CIMA®
Vice President, RIA Business Consultant
Chris is a Vice President and RIA Business Consultant at John Hancock Investment Management. He supports RIAs and Family Offices in the South Central representing JHIM’s subadvised line-up of mutual funds, SMAs, ETFs and private market strategies. Chris has 15 years of investment industry experience with a strong emphasis in the RIA Channel. Chris is a graduate of Stonehill College in Easton, MA and currently resides with his family in Grapevine, TX.
Jennifer Kahane
Vice President, RIA Business Consultant
Jenny is a Vice President and RIA Business Consultant at John Hancock Investment Management. She supports RIAs and Family Offices in the Southeast region of the US, representing JHIM’s subadvised line-up of mutual funds, SMAs, ETFs and private market strategies. Jenny has more than 12 years of experience working with RIAs, including 10 years at John Hancock. Jenny is a graduate of University of Vermont and is currently based in Tampa, FL.
Active, Active, Active: Three ingredients for Muni success: The evolution of Muni Bond Investing and the aligned benefits to a proactively active approach in duration, sector, and security selection
Andrew Clinton, CEO of Clinton Investment Management, will discuss changing the dynamic changes in the municipal bond market that present challenges and opportunities for advisors providing advice to high-net-worth investors and institutions. Andrew will discuss commons misconceptions about the municipal bond market and the benefits of ongoing active management relative to passive strategies.
Workshop Objectives: Providing insight around the significant reinvestment rate risk investors are exposed to in cash and preferred savings and how active municipal bond management could deliver superior taxable equivalent yields and total rates of return over time.
Company Profile: MassMutual Investments provides a suite of unique equity fixed income investment solutions providing style purity with both institutional and boutique asset managers. Managers include: Barings, a $300+ billion global investment manager offering High Yield, Core Bond, Global Credit Income Opportunities, Global Floating Rate solutions and Clinton Investment Management, a boutique municipal bond manager specializing in tactical, actively managed strategies delivering significant relative value through a dynamic and research-driven investment process.
Speakers
Andrew Clinton
CEO, CIO
Andrew is CEO and Founder of Clinton Investment Management, LLC. He is responsible for municipal bond portfolio oversight and construction as well as investment strategy setting. Prior to founding CIM, Andrew began his career in 1993 building and managing UBS Global Asset Management’s* separately managed municipal investment capabilities. In his role as Senior PM with UBS, Andrew was responsible for the management and oversight of all separately managed municipal accounts and the SMAr*T Series M Fund. His assets under management totaled over $4.5 billion. His mandate included managing portfolios for high-net-worth, ultra-high-net-worth, and institutional clients. Andrew’s responsibilities included credit selection, buy/sell decisions, average weighted maturity selection, sector allocations, and security selection.
Mr. Clinton was a member of the firm’s Investment Strategy Committee. He is also a member of both the CFA Institute and the New York Society of Security Analysts. He earned a BS from Marist College with a concentration in finance and international trade management.
Representatives
Geoffrey Irungu
Head of Strategic Accounts, Wealth Distribution Management
As Head of Strategic Accounts- Wealth Management Distribution at MassMutual, I lead the firm's National accounts platform across U.S Financial Intermediaries including Wirehouses, Independent Broker Dealers, RIAs, Single/Multi Family offices and TAMP relationships. Objective: Deeply understand these clients’ business and priorities, clearly define MassMutual’s value proposition in process, philosophy, Investment objectives and value beyond strategy to enable a consultative conversation to collaboratively identify aligned opportunities for partnership in mutually profitable fields of play.
David Selbovitz, CFA, CAIA
Head of Portfolio Strategy & Analytics
David joined MassMutual in 2019 as a senior, client-facing team leader. He heads the team responsible for the client portfolio management, risk oversight, and data infrastructure for MassMutual Investments. In this role, David is the lead external investment professional, working closely with everyone from the Manager Research and Asset Allocation investment teams to sales and relationship management to enhance the client experience and expand MassMutual’s marketplace presence.
Prior to MassMutual, David was a Portfolio Strategist for the Alternative Investment platform at State Street Global Advisors, where he represented the firm’s public and private marketing strategies. He also worked as a Portfolio Specialist at The Boston Company, supporting a wide range of fundamental equity strategies.
David holds the Chartered Financial Analyst and the Chartered Alternative Investment Analyst designations and is a member of the CFA Boston and CAIA Association. He graduated Magna cum Laude with a B.S. in Economics and Finance from Bentley University, and received an M.B.A. in Finance from Babson College.
The Future of Wealth Creation: Democratizing Access to Private Markets For All
Breaking the traditional barriers to accessing private markets, Meketa Capital opens doors for investment in middle market private equity buyouts and infrastructure co-investments from top GPs in the U.S. and Europe. With a simple click, advisors gain diversification across GPs, sectors, vintage years, and portfolio companies—no J-Curve, accreditation requirements, fees, or carry. This closed-end interval fund democratizes access for individuals, family offices, and institutions, providing a direct route to harness the potential of private market investments. Regardless of your investing experience, you can learn how to seize this opportunity to expand your client portfolios and thrive in the private market landscape.
Workshop Objectives: Attendees will explore the benefits of co-investments, private markets, and how a leading institutional consultant approaches private market investing. They will learn how to incorporate private market investments efficiently into client portfolios.
Company Profile: Meketa Capital is an asset management firm focused on expanding access to private market investments without the complexity of subscription documents, high investment minimums, and the complex tax treatment associated with traditional institutional private market investment structures.
As a subsidiary of Meketa Investment Group, a global public and private markets investments, consulting, and fiduciary management (OCIO) firm, Meketa Capital provides investment solutions for RIAs and other advisors to support their clients.
Meketa Capital also provides asset allocation for model portfolios, manages customized private market fund vehicles, provides OCIO services, as well as specialized general consulting services to advisors.
Speakers
Stephen McCourt, CFA
Managing Principal/Co-Chief Executive Officer, Meketa Investment Group
Stephen McCourt joined Meketa Investment Group in 1994 and has over 30 years of investment experience. He is Managing Principal and Co-Chief Executive Officer of the firm and lead consultant for several institutional funds, with public, Taft-Hartley, endowment, and non-profit plan sponsors. Stephen’s consulting work includes investment policy design, strategic and tactical asset allocation modeling, asset-liability modeling, investment education, and investment manager analysis. In addition, he sits on our firm’s Board of Directors and is a member of our Private Markets Policy, Meketa’s Fiduciary Management (OCIO) Investment, and Diversity Leadership Committees.
Stephen holds a Master of Liberal Arts (ALM) in History, from Harvard University, and a Bachelor of Science in Economics and Political Science from the University of Vermont. He holds the Chartered Financial Analyst® designation from the CFA Institute and is a member of the CFA Society of San Diego. He is also a member of the International Foundation of Employee Benefit Plans.
Representatives
Matt Barley
Senior Vice President, Business Development, Meketa Capital
Matt has more than 14 years of experience in the financial services industry. His prior experience includes Director of Advisor Sales at TIFIN, where he led the go-to-market sales for Magnifi by TIFIN, a conversational, AI-based investment management software. Before that, he was the Regional Director for a large asset management platform, responsible for generating investment flows within the Rocky Mountain region. Previously, he also worked as a relationship banker at Key Bank and Union Bank. Matt holds a Bachelor of Science degree in business administration from the University of Colorado – Boulder, with an emphasis in Marketing.
Julian Lane
Senior Vice President, Business Development, Meketa Capital
Julian has more than 15 years of experience in the investment management industry. Prior to Meketa Capital, he was a Senior Regional Vice President for Carillon Tower Adviser, where he covered the Private Wealth, RIA, independent ,and wirehouse channels. Carillon Tower Advisers (formerly Eagle Asset Management) is a subsidiary of Raymond James and is an asset advisor of five unique investment affiliates. Julian holds a Bachelor of Science in Economics from Presbyterian College and a Masters of Business Administration from the University of South Florida. He is a Certified Investment Management Analyst® designee.
Technology is the new wrapper: unlocking operational alpha with Multi-Asset Direct Indexing
Personalization and tax loss harvesting are the new alphas that improve client outcomes, but they come at a significant cost for RIAs. Boosting operational efficiency -- or operational alpha -- is the key to scaling growth for today's advisors. While direct indexing has been the solution for enabling greater personalization and tax-efficiency in equities -- making it the fastest growing segment of the SMA market -- we have taken a step further by extending the concept of direct indexing to fixed income assets as well. Technology is the new wrapper that is now empowering advisors to scale across all public markets. Hear from Brooklyn's CEO, Erkko Etula, to explore how AI can power advisors -- ranging from custom index creation and thematic investment interests to boosting operational efficiencies, and take a look behind the curtain to understand how the digital era can unlock client engagement and growth.
Workshop Objectives:
• Understand how multi- asset direct indexing can eliminate workflows associated with rebalancing and managing cash flows
• Explore how AI can power custom index creation, catering to thematic investment interests
• Add value in trade execution through algorithmic trading
• Automate concentrated position management to diversify out of concentrated risks, in a tax aware way
• How to evaluate technology, platforms, and develops to obtain the scale necessary to support your business
Speakers
Erkko Etula, Ph.D
CEO & Co-Founder
Erkko is CEO and Chief Investment Officer of Brooklyn Investment Group. Prior to co-founding Brooklyn, Erkko was a Managing Director at Goldman Sachs, where he gained over a decade of investment experience creating and managing systematic strategies for Goldman Sachs wealth management clients.
Erkko began his career as an Economist at the Federal Reserve Bank of New York and has also served as an Adjunct Professor at NYU Stern School of Business. He has published in top finance journals, including the Journal of Finance and Journal of Portfolio Management. He is the winner of the 2015 Amundi Smith Breeden Prize for outstanding capital markets research and the 2016 Engle Prize in financial econometrics.
Erkko earned a Ph.D. and M.A. in Economics from Harvard University where he was a Presidential Scholar. He also holds a B.S. Phi Beta Kappa from MIT.
Katie Salvaterra
Head of SMA Sales
Katie Salvaterra is Head of SMA Sales at Nuveen. In her role, Katie works closely with Nuveen’s RIA, Family Office, Wires, and Institutional clients to deliver personalized SMA solutions. Prior to joining Nuveen, Katie spent 16 years at Aperio (now part of BlackRock) in various roles, most recently heading up Aperio’s West Region Client Relationship Management team. She received her BA in International Studies and Spanish from the State University of New York (SUNY) Brockport and her MBA in International Management from the Middlebury Institute of International Studies at Monterey
Representatives
Austin Weichbrodt, CIMA ®
Vice President, Market Leader Nuveen
Austin is a Vice President and Market Leader for the state of Texas. With over 20 years of investment experience, He brings deep expertise in traditional and alternative investments (both public and private).
Austin began his career as a stockbroker in 2000 and has held several roles in the finance industry including, Vice President at Wells Real Estate Funds, and US Bank and as Senior Vice President at PIMCO for 15
years before retiring in 2022. This allowed him the opportunity to launch a brand new RIA serving individual clients and foundations, EQ Wealth Advisors, he sold it in January 2024, prior to joining Nuveen.
Austin received a scholarship to play basketball at Oklahoma Baptist University and graduated cum laude in 2000 with a BBA in Finance and International Business, with a minor in Spanish. He is a Certified
Investment Management Analyst (CIMA), and earned his CIMA designation from the Investments & Wealth Institute (IWI).
The New Playbook for Investing in Alternative Credit
Gain a comprehensive understanding of how the access points to invest in alternatives have changed and why PIMCO believes semi-liquid vehicle structures (e.g., interval funds) are optimal for capitalizing in markets where banks have pulled back from lending.
Workshop Objectives: This workshop will provide an overview of PIMCO’s alternative credit platform and product suite, including interval funds like PFLEX, PMFLX, and REFLX.
Company Profile: PIMCO is a global leader in active fixed income with deep expertise across public and private markets. We invest our clients’ capital in income and credit opportunities that span the liquidity spectrum, leveraging our decades of experience navigating complex debt markets. Our flexible capital base and deep relationships with issuers have helped us become one of the world’s largest providers of traditional and alternative investment solutions and a valued financing partner.
Speakers
Christian Clayton
Executive Vice President, Product Strategist
Mr. Clayton is an executive vice president and strategist in the Newport Beach office. He leads PIMCO’s global wealth alternatives product strategy team, providing strategic oversight, product development, fundraising and servicing support to PIMCO’s global wealth management channels across alternative strategies. Prior to joining PIMCO in 2014, he worked in the investment banking division at Citigroup in Hong Kong. He holds an MBA from the Marshall School of Business at the University of Southern California and a master’s degree in East Asian Studies from Columbia University. Mr. Clayton received an undergraduate degree from Brigham Young University.
Representatives
Christopher Quagliata
Senior Vice President, Account Manager
Mr. Quagliata is a senior vice president and account manager in the Austin office and a member of the private client group within PIMCO’s global wealth management (GWM) team. He is responsible for covering strategic relationships with registered investment advisers, family offices, private banks, and trust companies. He also serves on the U.S. GWM portfolio analysis group, a consultative resource for PIMCO's financial advisor clients. Prior to joining PIMCO in 2015, he was a U.S. Treasuries broker at ICAP in Jersey City, NJ. He has 13 years of investment experience and holds an undergraduate degree from the Gabelli School of Business at Fordham University. Mr. Quagliata is a CFA and CAIA charterholder.
Seizing the opportunity: The case for private real estate credit
The market dynamics today favor the real estate credit market: There’s a large supply and demand mismatch; Traditional lenders are not as active as they deal with legacy real estate exposures and liquidity issues. Add to that a $2 trillion wall of commercial real estate loan maturities which are coming due. This has given way to private lenders coming into the space to fill that void. This discussion will provide an overview of the market and will present the case for the versatility of real estate credit, where it fits in, and the potential benefits it can bring to any portfolio.
Workshop Objectives: Explore the strategic advantages of private real estate credit, understanding its role in diversifying portfolios, mitigating risks, and capturing unique opportunities in an evolving investment landscape.
Company Profile: About Principal Asset ManagementSM
With public and private market capabilities across all asset classes, Principal Asset ManagementSM and its specialist investment teams are focused on harnessing the potential of every opportunity to secure an advantage for its clients.
The 27th largest manager of worldwide institutional assets under management of 434 managers profile, Principal Asset Management applies local insights with global perspectives to identify compelling investment opportunities and deliver distinctive solutions aligned with client objectives.1
Principal Asset Management is the global investment management business for Principal Financial Group® (Nasdaq: PFG), managing $553.1 billion in assets and recognized as one of the “Best Places to Work in Money Management” for 12 consecutive years. 2,3
Learn more at PrincipalAM.com.
1 Managers ranked by total worldwide institutional assets as of December 31, 2022.
2 Principal Asset Management AUM as of June 30, 2024.3 companies with 1,000 or more employees, December 2023.
3 Pensions & Investments, “The Best Places to Work in Money Management” among companies with 1,000 or more employees, December 2023
Speakers
Kirloes Gerges
Managing Director-Portfolio Management
Managing Director-Portfolio Mgmt Kirloes is a managing director of portfolio management at Principal Real Estate, the dedicated real estate unit of Principal Asset Management. Kirloes focuses on high yield debt investments. Prior to joining Principal, Kirloes was the portfolio manager for Aon’s OCIO group where he was a four-quadrant investor with an emphasis on debt research and investments. Kirloes hold’s a bachelor’s degree in Economics from Rutgers University, and an MBA from Seton Hall University. Kirloes also holds a post graduate certificate in Real Estate Finance and Investment from New York University.
Representatives
Mitch Curtis
National Director – Institutional Wealth Management
Leveraged Finance: where to next in the world of bonds, loans & private credit?
Leveraged finance is a broad and nuanced investment universe. It includes high yield bonds, leveraged loans (both syndicated and direct), and private credit. As such, the implications of the sector can span from traditional public fixed income all the way to complex, public or even private securitizations. The uses, purposes, and sizes of the various components of this investment universe have changed and evolved over time as subsectors of the asset class have matured and market conditions have changed. Additionally, as the loan and private credit markets have ballooned in size and performed quite well over the past years the types of investors considering engaging with the space is expanding. History tells us that this added attention can lead to increased regulatory scrutiny and adverse selection in the investment universe. As such, what opportunities presently exist within leveraged finance and the broader universe of the fixed income market given the current macro backdrop and evolving landscape of this particular asset class?
Workshop objective: We seek to deliver a broad education of leveraged finance and its nuances. Additionally, we will speak to current investment opportunities across fixed income in the current macro environment.
Company Profile: RBC Global Asset Management (RBC GAM) strives to provide clients an unrivaled experience of investment and service excellence, offering a comprehensive range of solutions and services. We operate as a global firm of specialized investment teams with more than $453 billion under management as of March 31, 2024. In addition to broad-based capabilities in equities, liquidity management and alternatives, our BlueBay fixed income platform seeks to embody the best aspects of alternative and traditional fixed income investing. We manage more than $118 billion as of February 29, 2024 across a full spectrum of active fixed income strategies—all of which are designed to generate alpha within a capital preservation context. Our platform spans multiple investment dimensions and leverages our collective skill set to create differentiated portfolios. Through this approach, we seek to meet our clients’ risk/return objectives for a specific asset class while providing additional diversification across their overall portfolio.
Speakers
Stephen Fitzsimmons
Institutional Portfolio Manager
Stephen is an institutional portfolio manager on the BlueBay Fixed Income team at RBC Global Asset Management (US) Inc. based in Stamford. In this role, he is responsible for representing the U.S.-based fixed income team in support of the company’s distribution, marketing, and client engagement efforts. Stephen works closely with the investment team to ensure that the sales, service, and consultant relations team members are equipped to deliver market-leading perspectives on firm’s fixed income investment strategies in external meetings with clients and prospects. Prior to joining the organization in 2023, Stephen worked as an investment portfolio manager for a global life insurance company, having earlier worked in various roles, including as a portfolio manager and a trader, across financial services and asset management companies. Stephen holds a Bachelor of Arts in Economics from the University of Connecticut. Stephen started his career in the investment industry in 2011
Representatives
James Vigue
Director, Intermediary Sales Midwest
James is director, Intermediary Sales - Midwest Region at RBC GAM US. In this role, he is responsible for developing relationships and representing investment strategies to various financial intermediaries, including RIAs, retirement, wealth management, and family office investment platforms. Prior to joining RBC GAM in 2022, James had served as a senior vice president portfolio consultant at an asset manager in Chicago where he acted as a team leader servicing RIA firms in the Midwest region, having earlier served a 10-year stint as a senior sales manager covering RIA firms and key accounts across the Midwest territory for a large, multi-boutique asset manager. He started his career in the investment industry in 2000. James holds a BS in Physiology and Business Administration from Eastern Illinois University. He also holds a CIMA certification, and FINRA Series 6, 63, 7, and 65 licenses.
Kristin Coons, CFA®
Director, Intermediary Sales West
Kristin is director, Intermediary Sales - Western Region at RBC GAM-US. In this role, she is responsible for developing relationships and representing the firm’s investment strategies to various financial intermediaries including RIAs and retirement, wealth management, and family office investment platforms. Prior to joining RBC GAM in 2019, Kristin was the director of capital markets for a peer-to-peer investment platform, where she worked to secure financing and credit lines from institutional and accredited investors to facilitate business growth. In addition, Kristin has held various positions in the investment industry including trading fixed income securities, managing institutional client relationships, and overseeing relationships on institutional mutual fund clients. She joined the investment industry in 1992. She earned a Bachelor of Science in Business and Economics from the University of Arizona and is a CFA® charterholder. She holds FINRA Series 6, 7 and 63 licenses, and is registered as an Associated Person with the National Futures Association.
Gold Outlook For The Next 6-18 Months
Join George Milling-Stanley, Chief Gold Strategist at State Street Global Advisors, to discuss gold’s:
Economic outlook - Soft landing, “extended period of below trend growth”, or recession?
Geopolitics - Actual: Ukraine, Israel and broader middle East. Possible: Increasing China aggression, ugly US election.
How will gold react? Demand outlook, especially jewelry, investment, and central banks. Supply outlook, including mine production and recycling.
Gold’s role in a portfolio.
Outlook for the gold price.
Company Profile: For four decades, State Street Global Advisors has served the world’s governments, institutions and financial advisors. With a rigorous, risk-aware approach built on research, analysis and market-tested experience, we build from a breadth of index and active strategies to create cost-effective solutions. As stewards, we help portfolio companies see that what is fair for people and sustainable for the planet can deliver long-term performance. And, as pioneers in index, ETF, and ESG investing, we are always inventing new ways to invest. As a result, we have become the world’s fourth-largest asset manager* with US $3.48 trillion† under our care. *Pensions & Investments Research Center, as of 12/31/21. †This figure is presented as June 30, 2022 and includes approximately $66.43 billion of assets with respect to SPDR products for which State Street Global Advisors Funds Distributors, LLC (SSGA FD) acts solely as the marketing agent. SSGA FD and State Street Global Advisors are affiliated. *Pensions & Investments Research Center, as of 12/31/21.
Speakers
George Milling-Stanley
Chief Gold Strategist, State Street Global Advisors SPDR
George Milling-Stanley is Chief Gold Strategist with State Street Global Advisors SPDR. He joined SPDR as a Vice President and Head of Gold Strategy in November 2014. Before joining SPDR, George ran the independent consultancy George Milling-Stanley on Gold, LLC. He retired from the World Gold Council in 2011 after a 15-year career there. Most recently he had been responsible for all programs involving central banks, governments, and regulatory authorities. Before that, he was a key member of the small team that pioneered the development of gold-backed Exchange Traded Funds. His earlier career included six years on the precious metals trading desk of Lehman Brothers. Previously he worked for Consolidated Gold Fields in London, and before that spent 10 years as a reporter and columnist with the Financial Times.George Milling-Stanley is Chief Gold Strategist with State Street Global Advisors SPDR. He joined SPDR as a Vice President and Head of Gold Strategy in November 2014. Before joining SPDR, George ran the independent consultancy George Milling-Stanley on Gold, LLC. He retired from the World Gold Council in 2011 after a 15-year career there. Most recently he had been responsible for all programs involving central banks, governments, and regulatory authorities. Before that, he was a key member of the small team that pioneered the development of gold-backed Exchange Traded Funds. His earlier career included six years on the precious metals trading desk of Lehman Brothers. Previously he worked for Consolidated Gold Fields in London, and before that spent 10 years as a reporter and columnist with the Financial Times.
Representatives
David Bonds
Vice President, Regional Consultant State Street Global Advisors SPDR
David is Vice President at State Street Global Advisors. He is a Regional Consultant responsible for distribution of SPDR ETFs within RIA Group covering TX, MO, KS, OK, NE, OK, LA, SD, ND.
Ramiro Higuera
Ramiro Higuera is a Regional Consultant for State Street Global Advisors and responsible for sales and relationship management within the RIA Channel in the Western US. He has worked within asset management since 2007 and primarily partnered with RIAs. He has the distinct privilege to co-lead the Women in ETFs Pacific Northwest Chapter as its founder while also serving as a Board Director for CFA Society Seattle.
Ramiro resides in Bellevue Washington with his wife and children. He loves spending time outdoors and enjoys his free time hiking, trail running in addition to competing on his Peloton. He passionately gives back to his local community, serving on the Board of Directors and Investment Committee for the Community Foundation of Snohomish County.
High Yield Credit - What’s the Outlook for Sub-Investment Grade Fixed Income?
Ares Portfolio Manager will discuss the fund’s team, objective and investment style.
The fund seeks total return, primarily from income and capital appreciation by investing primarily in global debt securities.
• Employs flexibility by allocating assets among core investments and opportunistic investments as market conditions change
• Identifies companies and securities that are believed to offer attractive relative values when compared to their fundamental credit risk
• Actively hedges portfolio risks, including credit, interest rate, and currency, in an effort to preserve capital
• Consists of several broad investment categories, including high yield bonds, bank loans, special situations, structured credit and hedges
Workshop Objectives: Touchstone Investments believes in being Distinctively Active. To us this means delivering active investment management via institutional assets managers recognized for their particular expertise, delivering our industry leading practice management tools to help you actively manage your practice and offering unique perspectives on the economy and markets via our in-house thought leadership.
Company Profile: Touchstone Investments is a Distinctively Active fund company committed to providing investors with access to strategies sub-advised by institutional asset managers. Touchstone’s diverse but focused product offering gives investors a full breadth of investment options across styles and asset classes, includes U.S. equity, international equity, income and multi-asset funds.
Speakers
Chris Mathewson
Partner & Portfolio Manager, Ares Capital Management II LLC
Chris Mathewson is a Partner and Portfolio Manager of U.S. Liquid Credit in the Ares Credit Group, where he is primarily responsible for managing Ares' U.S. high yield credit strategies. Additionally, he serves as a member of the Ares Credit Group's U.S. Liquid Credit Investment Committee
Representatives
Todd Nuss
Vice President, Institutional Business DevelopmentTouchstone Investments
Todd Nuss, Vice President - Institutional Business Development, has experience in the investments industry since 2012. He is responsible for the distribution of Touchstone Funds to a variety of firm relationships including, institutional markets and national partnership programs, throughout the entire Midwest and Western U.S. He earned a BS in Anthropology from The University of Kansas and is a Level I CFA candidate.
Jason Lind, CFA
Vice President, Institutional Business DevelopmentTouchstone Investments
Jason Lind, CFA, Vice President, Institutional Business Development, has experience in the investments industry since 1994. He is responsible for the distribution of Touchstone Funds to institutional markets and national partnership programs throughout the West Coast. Previously, he served as Director of Financial Institutions Group at Lazard Asset Management, Sr. National Account Executive and Product Specialist at Victory Capital, and Head of Advisory Platforms and Product Management at RS Investments.
The End of the Gilded Age and The Dawn of Reason.
The “Gilded Age” of ultra-low interest rates and meme stocks are relics of the past. As the market shifts back to fundamentals, future performance will be driven by resilient companies, offering above market growth at sensible valuations. Downside protection must be front and center as uncertainty becomes a key feature of the increasingly complex global economy.
For over 40 years, the Vontobel Quality Growth boutique has not wavered from this approach – preserving and compounding our clients’ capital over market cycles through high conviction, concentrated portfolios of quality stocks.
Workshop Objectives: The objective of the workshop is to explain to prospective investors: 1. Define our flavor of quality; 2. Leverage non traditional sources to avoid group think and 3. Build portfolios that balance growth with downside protection.
Company Profile: Vontobel Asset Management, Inc. is a global investment management firm (“VAMUS”, “we” or “our”) registered as an investment adviser with the U.S. Securities and Exchange Commission. VAMUS is based in New York, NY, and have provided global asset management services to investors since 1984. We are a wholly owned subsidiary of Vontobel Holding AG, a Swiss holding company in Zurich, Switzerland.
We offer fundamental analysis-based investment advisory and sub-advisory services to a broad array of institutional and intermediary clients, respectively. Our client base includes a list of corporations, public and private pension plans, and foundations and endowments.
Speakers
David Souccar
Portfolio Manager, Senior Research Analyst Vontobel Quality Growth
His role as Senior Research Analyst within Quality Growth also includes Portfolio Manager since June 2016. His current responsibilities entail managing the International Equity strategy and conducting research analysis on individual stocks, which may be included in the portfolios managed within Quality Growth. He focuses on the energy, industrials, real estate, and utilities sectors.
Prior to joining Vontobel, he was a Senior Investment Analyst at Federated Investors from 2005 to 2007. From 1998 to 2005, he worked as a sell-side analyst at Morgan Stanley. He began his financial career in 1996 at McKinsey & Co., where he worked as a consultant until 1998.
David received a Master of Business Administration in Finance and Management from New York University’s Stern School of Business and a Bachelor of Science in Chemical Engineering from Escola de Engenharia Mauá in Brazil.
Alexandra Russo
Client Portfolio Manager Vontobel Quality Growth
She is Client Portfolio Manager within Quality Growth, responsible for fostering growth of the Quality Growth investment strategies and intensifying client engagement.
Prior to joining Vontobel, she was Head of ESG Client Portfolio Management at Candriam, a New York Life Investments company. Previously, she was a Product and Sustainability Specialist in the Thematic Equity team at Allianz Global Investors, where she began her career in finance.
Alexandra holds a Bachelor of Arts in Economics from Rhodes College.
Representatives
Jared Buell CFA®
Head of Intermediary Distribution, North America
He is Head of Intermediary Distribution, North America, managing the US distribution strategy and leading the partnership, US global bank, and sub-advisory sales team.
Prior to joining Vontobel, from 2016 to 2021, he was Head of Intermediary at Stone Harbor Investment Partners, where he led the firm’s intermediary distribution efforts in the US and Canada. Prior to that, he held senior-level positions in sub-advisory and retirement distribution at RS Investments (2008-2016) and Virtus Investment Partners (2005-2007). He started his career as an Investment Analyst at MassMutual Retirement Services (2000-2005).
Jared holds a Bachelor of Arts in Mathematics from the College of the Holy Cross in Massachusetts. He is also a CFA® charterholder and received the FINRA Licenses Series 6 and 63.
Tech Sponsors
Workshops
PPB Capital Partners is a full-service alternative investment provider that meets wealth advisors like you, in their private market investment journey.
That can mean providing access to highly differentiated funds and managers through what is historically known as “feeder funds” and white-labeled customized solutions, all bringing operational efficiencies to support your businesses.
Here are the three main business verticals:
1. Capital Market Solutions – differentiated, durable alternative investment funds, spawned by peer collaboration, accessible for the private wealth community.
2. Customized Solutions – designs, builds, launches, and operates completely customizable proprietary investment vehicles for private wealth advisors, fit to their scope with a scalable service model, supported by our in-house operations teams.
3. Legacy Operations Solution – complete operational, back, and middle office support to wealth advisors who manage an in-house alternative fund
Speakers
Evan Deussing, CIMA®
Managing Director, Head of Distribution
Evan Deussing joined PPB Capital Partners in 2023 to lead the external and internal sales distribution teams and manage PPB’s business development strategies, bringing more than 20 years of financial investment experience.
Most recently, Evan was the Executive Director, IBD/RIA Business Development, and Divisional Sales Manager for FS Investments.
Evan, his wife, and three children live in Haddonfield, N.J. He enjoys supporting all Philadelphia sports teams, DIY projects, and running a real estate investment business. Evan earned his bachelor’s degree from Johnson & Wales University
Jeremy Diem
Managing Director, Advisor Relations
Jeremy Diem joined PPB Capital Partners in 2021 and has 18 years of experience building business relationships with wealth advisors across both institutional and private channels. In his role he supports the complex needs of the private wealth community in the eastern and southern United States.
Prior to joining PPB, Jeremy founded Cave Creek Investments and has also held senior sales positions at Edge Capital Group and Dakota.
Jeremy and his family live in West Chester, Pa. Jeremy earned his bachelor’s degree and his MBA from Penn State University.
Representatives
SMArtX also licenses its proprietary technology to enterprise firms looking to create, customize, or upgrade their existing managed accounts technology as a standalone or fully integrated solution. SMArtX is the managed account technology and TAMP platform of choice for multiple RIAs, broker-dealers, asset managers, custodians, and FinTech firms. Learn more at www.smartxadvisory.com.
Speakers
Brad Haag
EVP, Asset Manager Solutions
Brad Haag currently serves as the Executive Vice President and Head of Asset Manager Solutions at SMArtX Advisory Solutions. In this role, he leads a dedicated team responsible for several key functions, including recruiting new asset management firms, onboarding firms and investment products, conducting due diligence at both firm and strategy levels, providing ongoing relationship management support, and supporting advisor & manager data analytics.
Mr. Haag brings over two decades of experience in the investment industry, having joined SMArtX in 2020. Prior to his current role, he held a similar position at Envestnet, where he led a division and oversaw the integration of managed products across various platforms.
Brett Murray
SVP, Enterprise Sales
Brett Murray, Senior Vice President of Enterprise Sales at SMArtX Advisory Solutions, brings over 25 years of financial experience. Known for his client-focused approach, Brett has been instrumental in driving growth and cultivating strategic relationships since joining SMArtX.
Mr. Murray’s career began in trading operations, followed by eight years at Northern Trust, where he excelled in account management and building key industry connections. Brett's leadership and dedication to understanding client needs continue to play a critical role in SMArtX's success.