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2014 Asset Manager Partners/Presenters

Baron Funds

Founded in 1982 by Ron Baron, Baron Capital Management, Inc., is a research driven, long-term equity investment firm. We invest in growth businesses with substantial competitive advantages and strong management teams, using a value-oriented purchase discipline. Our clients are institutional and individual investors through SMA, sub-advisory services and mutual funds. Our funds and strategies invest across market caps and geographies.


Founded in 1979, BTS Asset Management is one of the oldest unconstrained fixed income managers, providing quantitative risk management solutions. BTS has multi-year track records in tactical fixed income and equity management. They have combined traditional and non-traditional portfolio theories to find opportunities with the potential to take advantage of rising markets while working to manage losses during downturns.

BTS Funds offer an unconstrained approach to bond investing. Their tactically managed strategies employ a “right bond at the right time” investment philosophy versus a widely diversified bond approach. The funds are managed using quantitative models that seek to increase exposure to bond sectors when indicators are positive, decrease exposure when indicators are negative or even go 100% into cash if needed, in an attempt to preserve capital. They believe that investing in bonds with low correlations to one another may offer upside potential and downside protection and may produce a better sequence of returns.

BTS seeks to:
• Preserve capital
• Offer upside potential and downside protection
• Deliver consistent steady returns over the long term
For more information, please visit or call 800 343 3040

College for Financial Planning

The College for Financial Planning is the leading institution focused on meeting the education needs of financial services professionals. Founded in 1972, the College created the prestigious Certified Financial Planner™ (CFP®) certification and has trained over 135,000 professionals. Flexible instructor-led/Web-delivered classes featuring eBooks and interactive quizzes bring the classroom to your home or office. Graduates of the College are consistently ranked as the best financial advisers in the nation. Designations awarded include the AAMS®, AWMA®, CRPC®, CRPS®, CMFC®, and RP®. The College is also home to 3 Graduate degree programs. Customized training materials are available to corporate clients.

Context Asset Management

Context Asset Management is an innovative provider of alternative mutual funds for retail and institutional clients. Our solutions provide access to cutting edge alternative investment strategies but with the ease and simplicity of traditional mutual fund investing. We offer a platform of unique alternative mutual funds that combine the historically low correlation and low volatility of hedge fund strategies with the transparency and liquidity of traditional mutual funds. Context’s management team, comprised of senior leaders with experience in investing, allocation and manager selection at traditional and alternative asset management firms, family offices and endowments, is committed to integrity, quality, innovation and performance.


DALBAR, Inc. is the financial community’s leading independent expert for evaluating, auditing and rating business practices, customer performance, product quality and service.

Launched in 1976, DALBAR has earned the recognition for consistent and unbiased evaluations of investment companies, registered investment advisers, insurance companies, broker/dealers, retirement plan providers and financial professionals.

DALBAR awards, certifications and credentials are recognized as marks of excellence in the financial community.

Folio Institutional

Folio Institutional is a division of FOLIOfn Investments, Inc., a self-clearing broker-dealer and a direct member of The Depository Trust & Clearing Corporation ("DTCC") since 2001. With access to innovative, patented online brokerage and investing solutions, advisors can maintain diversified portfolios of securities, retain hands-on control over investments, manage tax liabilities, efficiently rebalance portfolios, produce reports, promote compliance, and take many other actions for the clients' benefit. Folio Institutional provides custody and brokerage services for billions of dollars of investor assets, and services to hundreds of registered investment advisors.

Franklin Square

Franklin Square is a leading manager of alternative investment funds designed to enhance investors’ portfolios by providing access to asset classes, strategies and asset managers that typically have been available to only the largest institutional investors. The firm’s funds offer “endowment-style” investment strategies that help construct truly diversified portfolios and manage risk. For more information, please visit or call 877-372-9880.

GL Capital Partners

GL Capital Partners is a global asset management firm with offices in the U.S. and Asia. GLCP provides investment solutions to advisors, institutions, and individual investors. The firm has launched multiple liquid alternative offerings designed to provide investors access to highly differentiated strategies and asset classes. The global perspective and risk management philosophies embraced by the portfolio management and research teams combine to produce solutions that we believe distinctly enhance the risk and return characteristics of investment portfolios.


Hedgeable is redefining “alternative” investing. We offer a low cost & multi-asset class managed account (SMA/UMA) platform focused on risk management. Hedgeable manages over 30 strategies with industry leading risk/return metrics, while using no leverage, derivatives, shorting, illiquidity, or active trading. Founded at the height of the financial crisis, we focus on downside protection and alpha creation. We have created 100+ pieces of proprietary investment technology. Hedgeable is based in the Flatiron section of Manhattan, far from the noise created by the asset management old guard, and is built on a company culture of openness, innovation, and disruption.

Huntington Funds

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

Meritage Portfolio Management is an institutional portfolio management boutique founded in 1991.  The firm is located in the Kansas City metro area and provides separate account management of equity and balanced portfolios for institutions and private clients.  It has $1.4 billion in assets under management. In late 2013 Meritage launched mutual funds based on its three equity strategies - Value, Growth and Yield-Focus Equity – and selected Huntington Asset Services as its partner to distribute the funds.


Larkin Point Investment Advisors LLC is an asset management firm and investment adviser registered with the Securities and Exchange Commission.  The Larkin Point Solution seeks to capture growth in bull markets, protect and preserve gains in down markets, and generate income in all markets in an attempt to cover the cost of protection and add to total return.

Larkin Point provides solutions for wealth managers and financial advisors. Larkin Point was founded by Michael Winchell, and is based in Rumson, NJ.


Oberweis Funds

Oberweis Asset Management, Inc. ("OAM") is an independent investment management firm that invests in high growth companies around the world. The firm specializes in Small and Mid-Capitalization growth strategies globally for institutional investors and its own proprietary mutual fund family. Established in 1989, OAM is headquartered in suburban Chicago with a subsidiary Oberweis Asset Management (Asia) Limited ("OAMA") located in Hong Kong.

Orion Advisor Services

Orion Advisor Services, LLC, is the premier portfolio accounting service provider for advisors. The firm has unique insights into the advisory profession because it was founded for investment advisors by investment advisors in 1999. Orion frees advisors from back-office tedium so they can enjoy their business again by devoting their time and energy to better serving clients. Orion provides the integrated and fully customizable technology solutions that advisors need to grow their businesses over the long term. The firm’s technology solutions empower more than 400 advisory firms with total assets under administration in excess of $150 billion from more than 650,000 individual accounts.

For more information about Orion Advisor Services, LLC, visit or follow Orion at @orionadvisor.



Oberweis Funds

The Pax Ellevate Global Women's Index Fund, managed by Pax Ellevate Management LLC, is the result of a partnership between Pax World Management LLC and Ellevate Asset Management LLC, whose principal is Sallie Krawcheck. Pax and Ellevate came together because they share the same vision about the critical role that gender diversity plays in business success over time, as well as investment opportunity associated with investing in women.


Pear Tree Funds

U.S. Boston Capital Corporation, distributor of the Pear Tree Funds, was established in 1969 as an independent, privately-owned company providing wealth management services to high net worth clients. In 1985, U.S. Boston launched a registered mutual fund family subadvised by boutique, high-quality institutional investment firms. The Pear Tree Funds provides access for all investors currently offering six funds – three domestic funds  and three international funds.


Polaris Capital Management, LLC, is a global value equity manager, serving the investment needs of institutions and individuals. They believe markets are generally efficient over time, but investor behavior creates volatility that leads to inefficiency somewhere in the world. Using proprietary investment technology combined with Graham & Dodd style fundamental research, we seek to identify companies with the most undervalued sustainable cash flow or assets worldwide (regardless of country, industry or market capitalization). With over $4 billion in assets under management, they have one of the longest global and international track records of any firm presently in operation and continuously managed by the same individuals.


Prudential Investments offers the strength of our institutional investment management capabilities to individuals and retirement plans in a wide range of mutual funds and separate accounts. Our success is rooted in a disciplined investment process, which reflects a unique combination of experienced investment talent, intensive in-house research, and sophisticated risk management from the following asset management firms:

  1. Quantitative Management Associates
  2. Jennison Associates
  3. Prudential Real Estate Investors
  4. Prudential Fixed Income



Founded in 1937, Putnam Investments is a leading global money management firm. Putnam offers investors a world of equity, fixed-income, multi-asset, and absolute-return portfolios to suit a range of financial goals. Our portfolio managers seek superior results over time, backed by original, fundamental research on a global scale. We believe in the value of experienced financial advice, in providing exemplary service, and in putting clients first in all we do.


RiverNorth is an investment management firm specializing in opportunistic investment strategies including the trading of closed-end funds and volatility. RiverNorth invests in under-followed, niche markets where the potential to exploit inefficiencies is greatest. RiverNorth serves as the investment adviser to RiverNorth Funds and the General Partner of multiple limited partnerships.



RiXtrema is a crash rating company for anyone managing money. Instead of crash testing cars, we offer tools to crash test investment portfolios and to mitigate risks.

At RS Investments, we’re domain experts, not generalists. We believe that marrying fundamental research and analytical tools helps us find opportunities that may have been overlooked by others. What this means is that our portfolio managers can focus on what they do best: pursuing significant and consistent performance. And our clients can focus on what matters most: achieving their goals.


Stanley-Laman Group

The Stanley-Laman Group is an Investment Advisory Firm that manages 6 theme-based Separate Account Portfolios.
Clients include other Investment Advisors, Institutions and High Net Worth Individuals. Additionally, affiliate SEL Asset Management manages two Publicly Registered Mutual Funds distributed by American Realty Capital.
SLG's core approach across all portfolios is the AD-STAR system created by SLG's portfolio managers in 2004.
The system screens every listed marketable security available on the Bloomberg Platform and analyzes over 400 Metrics to determine superior returns on shareholder invested capital. The SLG team believes that the numbers will take you to the “Story”.
Senior Manager, David Gong, one of the leading and most veteran Emerging Markets Managers utilizes AD-STAR's analytics to acquire stocks with high growth and low debt in local currencies across 35 International Markets.
PSN Informa has named SLG a Top Gun Performer and Bull and Bear Master for its performance in both up and down markets.


History Isn't Made Overnight.
Since 1989, Steben & Company has specialized in bringing alternative investments to sophisticated investors. There are few companies in the alternative investment world with the experience and expertise that Steben employs when selecting, monitoring and allocating to hedge fund managers and futures trading advisors.
Steben & Company uses its experience to help investors and their financial advisors understand alternative investments and the potential diversification benefits to be gained from adding them to an investment plan.
The company's flagship managed futures fund has operated continuously for over 24 years.



SICM was founded to enable investors to benefit from the transition to a resource-constrained economy. They believe today's most forward-thinking companies are responding to the challenges and opportunities created by population growth, natural resource scarcity, climate change, urbanization and globalization. Their research suggests that markets are inefficient and not accurately pricing securities to reflect these macro trends. Leaders who manage sustainability risks have historically demonstrated superior performance, produced more stable cash flows and delivered higher dividend growth over time.


Touchstone Investments

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. Their convertible bond SMA and mutual fund strategy is offered on a variety of fee-based platforms wherein we function as the sub-advisor. Their 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.


Strength. Expertise. Partnership.
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 our investors is built on the standards of integrity and service established by our parent company, Wells Fargo & Company; the expertise of our independent investment teams and rigorous ongoing investment review; and the collaborative level of superior service that is our trademark.

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