The goal of the Showcase is to streamline the traditional due diligence path for Financial Advisors, RIAs, Research Managers and Portfolio Managers by providing access, insight and interaction in a research oriented setting that empowers decision makers and fosters informational exchange, networking and enhancement of personal relationships.
– Open to leading advisors, fiduciary gatekeepers, due diligence and research managers from across multiple industry channels.
– Advisors and gatekeepers gain insight from individual portfolio manager, and subject matter presentations covering a broad range of highly relevant and timely topics.
– Benefit from one on one meetings along with group networking opportunities available throughout the event.
– Get the latest thinking on current events and insight on how leading portfolio managers are implementing their strategies in today’s volatile market.
Richard Bernstein founded Richard Bernstein Advisors LLC (RBA) in 2009. The firm oversees $3.5 billion utilizing a unique top-down approach, which focuses on macro trends rather than individual stock selection. Bernstein is one of only fifty analysts inducted into the Institutional Investor “Hall of Fame.”
Daniel J. Fuss
Daniel Fuss has 56 years of experience in the investment industry and has been with Loomis, Sayles & Company since 1976. He is vice chairman of the firm and manage the firm’s flagship Loomis Sayles Bond Fund – which won the 2009 Morningstar Fund Manager of the Year award in the fixed income category – in addition to the Loomis Sayles Investment Grade Bond, Investment Grade Fixed Income, Strategic Income, Fixed Income, Institutional High Income, Dividend Income and Global Equity and Income funds.
Jeffrey P. Davis
Jeffrey P. Davis, CFA, is the chief investment officer and management committee member for LMCG Investments. He is portfolio manager of the LMCG Global Multi-Cap Fund. He previously was CIO at Rockefeller & Co., State Street Global Advisers and The Boston Company. He holds a B.A. from Duke University and an M.B.A. from Vanderbilt University.
David Ellison has over three decades of investment management experience and, according to Morningstar, is the most tenured mutual fund portfolio manager in the financial services sector. He received a bachelor’s degree in economics from St. Lawrence University and an M.B.A. from the Rochester Institute of Technology.
Michael Gaviser (New York) joined KKR in 2012 and is a member of the client and partner group. He leads the firm’s global efforts for registered products, focusing on fundraising, new products, marketing and distribution. He earned a bachelor of arts degree from the University of Pennsylvania and an M.B.A. from Columbia Business School.
David Haviland is the portfolio manager for the BCM Strategies. Haviland chairs the BCM investment committee and serves on the BFP Investment and Allocation Committees. Haviland, a managing partner of the firm, has worked in the financial services business since 1986 and is a graduate of The University of Vermont.
Paul Hilton, a chartered financial analyst, was previously vice president of sustainable investment business strategy at Calvert Investments. He also served as portfolio manager for socially responsible investing at The Dreyfus Corporation and as social research analyst at Smith Barney Asset Management.
Portfolio Manager of the ASTON/Guardian Capital Global Dividend Fund
Mr. Iyer joined Guardian Capital in 2001 to help lead Systematic Strategies. Prior to joining Guardian, Sri was with Global Value Investors. He holds a Bachelor of Commerce from the University of Bombay, a Chartered Cost and Works Accountant (India) designation, and his MBA from Rutgers Graduate School of Management.
Gordon Johnson is lead portfolio manager for the Global Market Neutral Fund. His prior positions include senior portfolio manager at Evergreen Investments and Colonial Management. A graduate of California State University, he holds an M.B.A. from the University of Washington and Ph.D. in finance from the University of Massachusetts.
Catherine LeGraw, CFA
Ms. LeGraw is a member of GMO’s Asset Allocation team. Prior to joining GMO in 2013, she worked as a director at BlackRock. Previously, Ms. LeGraw was an analyst at Bear, Stearns & Co. She received her B.S. and her B.A. in Economics from the University of Pennsylvania.
Michael Miller, portfolio manager of the firm’s mutual funds, oversees convertible research, product development and portfolio holdings. He provides advice to many of the firm’s institutional clients and frequently speaks at national investment conferences. He received his bachelor’s degree in business administration from American University’s Kogod School of Business and his M.B.A. from Babson College.
Portfolio Manager of the ASTON/LMCG Small cap Growth Fund
Mr. Morey joined LMCG in 2012 as Portfolio Manager of the Small and SMID Cap Growth strategies through LMCG’s acquisition of Crosswind Investments. Prior to Crosswind, he was the founder and lead portfolio manager of Tartan Partners. Andrew holds a BA from Vanderbilt University and an MBA from Columbia Business School.
Ali Motamed, CFA, manages the firm’s Long/Short Equity Fund (BPLSX). He is also a long/short generalist, specializing in fundamental research. He previously held positions at Deutsche Bank and BT Wolfensohn, where he was a member of the global mergers and acquisitions teams.
Howard Needle has spent the past 30 years working in convertible security, equity, equity derivative, and credit markets. Before forming Acuity in 2003, his previous experience included Greenwich Capital Markets, Bank of America Securities, Lehman Brothers, and Merrill Lynch. He holds a B.A. from Harvard College and an M.B.A. from UCLA.
Margie Patel has more than 30 years of investment experience. She manages the Wells Fargo Advantage Diversified Capital Builder Fund, Diversified Income Builder Fund, and High Yield Bond Fund. In 2015, the Diversified Capital Builder Fund, Institutional Class, was named the Best Mixed Asset Target Allocation Growth Fund (out of 465 funds) for the five-year period.
Albert Richards, a chartered financial analyst with 20 years in equity research, has perfected the art of finding value and opportunity in financial statements. He serves as Alambic’s primary strategy architect and is creator of the firm’s innovative stock selection models. Richards received a Ph.D. in chemical engineering from MIT.
Leslie Samuelrich focuses on the firm’s investment strategies, business development and impact investing program. She also serves on the advisory board for the Intentional Endowments Network. Previously she served as chief of staff for Corporate Accountability International.
Tom Sandell founded the firm in January 1998. Previously, he joined Bear Stearns in 1989 to establish the proprietary international risk arbitrage operation, becoming a senior managing director and co-head of the risk arbitrage department before departing the firm in 1997. He received an M.B.A. From Columbia Business School.
Jack Sharry has been a financial industry innovator for nearly 30 years as an executive at Morgan Stanley, Putnam Investments and Phoenix (now Virtus) Investment Partners, serving as a senior leader in sales, marketing, product development and distribution strategy. He is chairman of the Money Management Institute’s goals-based wealth management committee.
Kirk Strawn has over 21 years of experience and is senior vice president and national director of intermediary relationships for Altegris Investments. He graduated cum laude from George Washington University with a bachelor’s degree in finance. He is a certified investment management analyst (CIMA) and a chartered financial analyst (CFA).
Randy Swan developed the Swan Defined Risk Strategy (DRS) in 1997 to help protect clients from large losses. The DRS seeks to use options strategically and tactically to structure risk/reward parameters in portfolio management. He was a previously a CPA and senior manager for KPMG’s Financial Services Group.
Subject to change
October 7, 2015
8:00 am - 8:30 am
8:30 am - 9:20 am
Assessing Risk And Global Asset Prices
After a six-year bull market for financial asset prices, signs of risk are surfacing in many corners of the world. China is only the most obvious source of concern. Geopolitical turbulence, slow growth and aging demographics make many markets riskier places to invest than they were a few years ago. In this session, several leading money managers will assess the situation and the opportunities created in detail.
Evan Simonoff, Financial Advisor Magazine
Ali Motamed, Boston Partners
Jeff Davis, LMCG
9:25 am - 10:00 am
Dave Ellison, Hennessy Funds
Kirk Strawn, Altegris & Michael Gaviser, KKR
Opening the Door to a New Era in Private Equity
10:05 am - 10:40 am
Srikanth Iyer, Guardian Capital
The case for global dividend investing
Gordon Johnson, Ph.D., LMCG Investments
How an Allocation to Global Market Neutral May Lower Overall Portfolio Risk and Diversify Sources of Alpha
10:45 am - 11:20 am
Dave Haviland, Beaumont Capital
What the industry is not talking about: ETF Strategists as a Total Solution
Ignacio Sosa, DoubleLine
Fixed income/bond market discussion
11:25 am - 12:00 pm
Michael Miller, Wellesley
Protecting Portfolios: From Downside Risk and Enhancing Risk-Adjusted Returns with Convertible Bonds
12:05 pm - 1:20 pm
Dann Fuss, Loomis, Sayles & Company
Margie Patel, Wells Capital Management
1:20 pm - 1:40 pm
1:45 pm - 2:20 pm
Randy Swan, Swan Capital
The Swan Defined Risk Strategy, a Strategic Long Term Strategy Seeking to Improving Returns while Lessening Risk
2:25 pm - 3:00 pm
3:00 pm - 3:15 pm
3:20 pm - 3:55 pm
Martin Kyle, WHV: Tactical Credit - Why and How to Invest
4:00 pm - 4:35 pm
4:00 pm - 4:35 pm
In this session, industry thought leaders will take you through the progress to date of one of the financial services’ most talked about topics – Goals-Based Wealth Management (GBWM).The discussion, which will be led by Jack Sharry, Executive Vice President, Strategic Development, LifeYield LLC and Chair of the Money Management Institute’s GBWM Committee, will provide an overview of what the industry has achieved so far, what is in the pipeline, and the shape of the emerging competitive landscape.
Speaker: Jack Sharry, MMI
4:45 pm - 5:45 pm
October 8, 2015
8:00 am - 9:00 am
9:00 – 9:50 am
Is it different this time? Investing as the Fed tightens.
Investor concerns over the fed tightening cause many to suggest this is a unique cycle, but is it really different this time? Richard Bernstein discusses his firm’s positioning in global financial markets within the context of the Fed tightening policy.
9:55 am - 10:30 am
Small-cap growth investing and outlook
10:35 am - 11:10 am
Leslie Samuelrich, Green Century Capital Management & Paul Hilton, Trillium
Impact Investing: Learn how a growing number of firms are responding to client demand for a portfolio approach to deploying capital across asset classes for return and impact
11:15 am - 11:30 am
11:30 am - 12:05 pm
12:10 - 1:00 pm
The Singularity: How the Most Significant Event in the History of Mankind will Impact You, Your Business, and Your Clients
This workshop is designed for financial advisors, financial planners and wealth managers. You will learn how to thrive in the new world of digital-advisors and exponential/disruptive technologies. So what’s a human to do if the machines get too good to compete with? Double-down on your people skills! You can’t compete w/ a machine on their turf. And the machines can’t compete with you on what remains uniquely human. What are those things? And how do you capitalize on them?
Sponsors and Exhibitors
Alambic Investment Management
San Francisco-based Alambic Investment Management was founded in 2006 by Albert Richards and Brian Thompson, who were professors at MIT in the mid-1980s. They built a systematic strategy that leverages their team’s equity research background, programming and statistical skills to develop return-forecasting and portfolio-optimization models.
Altegris searches the world to find what we believe are the best alternative investments. Our suite of alternative investment solutions are designed for financial professionals and individuals seeking to improve portfolio diversification.
ALTMFX is a leading, independent platform of liquid alternative mutual funds managed by leading hedge fund managers selected for their industry expertise and performance history. The platform seeks to deliver a range of alternative investment strategies to the US Wealth Management and Retirement industry in a daily, liquid mutual fund structure. ALTMFX is regulated by the Investment Company Act of 1940.
Aston Asset Management
Aston Asset Management, LLC is a diversified investment management firm whose subadvisers drive investment performance through rigorous and disciplined institutional investment processes. We offer a broad selection of mutual fund products for both individual and institutional investors. Consulting with you, we deliver solutions that you can deliver to your clients.
Beaumont Capital Management
Beaumont Capital Management’s (BCM) growth strategies help investors participate in bull markets while seeking to protect against large bear market losses. BCM provides rules-based investment solutions to advisors, institutions and retirement plan providers. Clients can opt for purely quantitative strategies or portfolios that combine quantitative and fundamental approaches. All eligible BCM strategies are GIPS verified by an independent third party.
DoubleLine Capital LP
DoubleLine Capital LP, a registered investment adviser under the Investment Advisers Act of 1940, is headquartered in Los Angeles, CA. As of March 31, 2015, DoubleLine managed approximately $72 billion in assets across 1940 open- and closed-end fund, separately managed account, variable annuity, UCIT and hedge fund vehicles. DoubleLine® is a registered trademark of DoubleLine Capital LP.
Folio Institutional provides custody and brokerage services to financial professionals and institutions nationwide, servicing billions of dollars in assets. Their patented online brokerage and investing solutions enable advisors to manage thousands of client accounts, implement diversified investment strategies, manage tax liabilities, and fully integrate billing, performance reporting, and other services.
Green Century Capital Management
Green Century Capital Management is the investment advisor to the Green Century Funds and offers two environmentally and socially responsible funds: the Green Century Equity Fund and the Green Century Balanced Fund. Green Century works to curb climate change through fossil-fuel-free investing, reinvestment in sustainable companies and advocating with companies to improve their environmental policies and supply chains. Green Century also is the only U.S. mutual fund company owned by environmental non-profits.
Guardian Capital LP
Founded in 1962, Guardian Capital LP is an independent, institutional investment firm managing over $18.56 billion in assets on behalf of its clients as of June 30th, 2015. Guardian offers its investment management expertise in equity, fixed-income and real estate management to pension fund clients, institutions, endowment/foundations, charitable organizations, mutual funds and high net worth individuals. Guardian Capital LP is wholly-owned by Guardian Capital Group, a public company that trades on the Toronto Stock Exchange. Guardian Capital LP is registered as a Portfolio Manager with the Securities Commissions of all provinces and with the SEC.
Hennessy Funds has a longstanding track record of proven performance and offers a broad range of mutual funds, with strategies that can play a role in nearly every investor’s portfolio allocation. Our line-up includes traditional equity, specialty category and sector funds, as well as more conservative balanced and fixed income products.
Each of the Hennessy Funds employs a consistent and repeatable investment process, combining time-tested stock selection strategies with a highly disciplined, team-managed approach.
Huntington Asset Advisors
Huntington Asset Advisors (HAA) is the advisor to Huntington Funds. HAA is a wholly-owned subsidiary of The Huntington National Bank, which is a subsidiary of Huntington Bancshares Incorporated, a $59 billion regional bank holding company headquartered in Columbus, Ohio. At Huntington Funds, they focus on four key investor needs: strategic income, protection against impending inflation, managing volatility and capital appreciation. Their teams of experienced investment professionals shape their investment decisions through a continual analysis of general U.S. and international economic trends, forecast of interest rates, and review of the stock and bond markets. Huntington Funds is dedicated to the following:
- Top Down Investment Process
- Macro Driven Philosophy
- Tactical Money Manager
- Option Overlay with no use of Leverage
KKR is a leading global investment firm that manages investments across multiple asset classes, including private equity, energy, infrastructure, real estate, capital markets, credit strategies and hedge funds. KKR aims to generate attractive investment returns by following a patient and disciplined approach, employing world-quality people and driving growth and value creation. KKR invests its own capital alongside its partners’ capital and brings opportunities to others through its capital markets business.
LMCG Investments LLC
LMCG Fund’s adviser is LMCG Investments LLC (LMCG), a $6.5 billion multi-strategy boutique investment firm. The leadership has a history of working together and provided trading, settlement and operational expertise for strategies invested in over 40 countries for long-only, alternatives, fixed-income and equity-based strategies.
Since 1997, the Money Management Institute (MMI) has been the leading voice for the global financial services organizations that provide financial advice and professionally managed investment advisory solutions to individual and institutional investors. Through industry advocacy, educational initiatives, regulatory affairs, data reporting and professional networking, MMI supports and advances the growth of a diverse spectrum of investment advisory solutions that serve an evolving worldwide financial landscape. MMI member organizations are committed to the highest standards of fiduciary responsibility and ethical conduct and to creating the most successful outcomes for investors at every level of assets. For more information, visit www.MMInst.org.
Swan Global Investments
Swan Global Investments is an independent advisory firm with $2.4 billion in assets under management. It was formed in 1997 to offer a proprietary strategy designed to hedge against large stock market declines. The Defined Risk Strategy is an actively managed, hedged equity, rules-based process. It is available in mutual funds, separately managed accounts and as an overlay to customize equity portfolios. Through a combination of techniques that seek to hedge the market and generate market-neutral income, the goal of minimizing losses in bear markets and outperforming the S&P 500 over full market cycles has been achieved over the long term on a risk-adjusted and absolute basis. Swan’s expanding portfolio of investment offerings is managed out of Durango, Colo., with affiliated offices in Tampa, Fla., and Puerto Rico. For more information, please visit www.swanglobalinvestments.com.
Wellesley Investment Advisors Inc.
Founded in 1991 by Greg Miller, CPA, and Darlene Murphy, CPA, CFP, Wellesley Investment Advisors is an SEC registered investment advisory (RIA) firm that specializes in just one thing, convertible bonds, deploying an absolute return-oriented strategy. The professionals at Wellesley manage over $1.8 billion and have been investing client funds in convertible bonds for over 20 years. The firm’s institutional group works with financial intermediaries such as wire-houses, independent broker-dealers, RIAs and investment consultants for pension plans and endowments. Our convertible bond SMA and mutual fund strategy is offered on a variety of fee-based platforms wherein we function as the sub-advisor. Our mutual fund is also available to registered representatives on numerous brokerage platforms. External wholesalers in the institutional group provide direct support to advisors and brokers across the country.
Wells Fargo Advantage Funds
Wells Fargo Advantage Funds® skillfully guides institutions, financial advisors, and individuals through the investment terrain to help them reach their financial objectives. Everything we do on behalf of investors is backed by our unique combination of qualifications.
WHV Investments is a multi-boutique asset manager with offices in San Francisco, New York, Seattle and Denver. They engage exceptional investment teams worldwide to create compelling investment strategies for their clients, focusing on a variety of equity and alternative credit asset classes.