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2014 Asset Manager Partners/Presenters


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. At 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


Founded in 2002, the Chartered Alternative Investment Analyst (CAIA) Association® is the international leader in alternative investment education and provider of the CAIA designation, the global industry benchmark. The Association grants the CAIA charter to industry practitioners upon the successful completion of a rigorous two-level qualifying exam. The CAIA Association advocates for the highest standards of professional conduct. Additionally, it furthers its educational mandate through the dissemination of research, webinars, videos, as well as its three publications—, a leading online voice; The Journal of Alternative Investments; and the Alternative Investment Analyst Review. Finally, it connects alternative investment experts around the world through chapter events, networking and social media platforms. (formerly is the leading independent authority on ETFs, indexes and index funds. It covers product and market developments related to index funds, ETFs, index derivatives, and the sophisticated investment strategies that use these financial tools. The web site aims to provide the industry's best news, columns, research and features about the dynamic field of index-based investing and trading. It also offers valuable tools and data to assess markets and investment products, and incisive commentary designed to help advisers cut through the clutter and find the right products for their clients.

Fort Point Capital Partners is an SEC-registered investment adviser formed in 2008 that helps RIAs grow their business with innovative risk management strategies, trading, rebalancing, tax loss harvesting, marketing, and reporting solutions that can be custom-fit to their business and investment portfolios.  This enables RIAs to differentiate, enhance their value proposition, and create efficiencies throughout their business.

Creative liquidity structures, volatility strategies, tax efficiency, and technology are foundational pillars of their advisory offering.


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.

Guinness Atkinson
Guinness Atkinson Asset Management offers eight no-load mutual funds which combine a forward-thinking worldview with the fundamental research of an experienced investment team. Investing in human progress is intrinsic to every Guinness Atkinson investment strategy, which are broadly grouped under three key themes: Asia, Energy and Innovation.

The Guinness Atkinson family of funds is designed to help investors capitalize on innovation and profound change, including long term global trends such as the development of emerging Asian markets, the transformation of the manufacturing economy to a New Economy and the long-term rise in energy prices.

For Jensen, quality is key. They invest in a select group of America’s top businesses to create competitive strategies composed of companies that value consistency, stability and shareholder value as much as we do.  Jensen offers two unique investment strategies: The Jensen Quality Growth Portfolio and the Jensen Quality Value Fund.

Kellner Capital
Founded in 1981, Kellner Capital, LLC is one of Wall Street’s oldest alternative investment management firms. Kellner’s investment strategies emphasize event-driven opportunities and can be accessed through its hedge funds and alternative mutual funds. Based in New York City, Kellner is an independently owned registered investment advisor.

Litman Gregory
Founded in 1987, Litman Gregory is a San Francisco Bay-area firm that manages assets for high net worth individuals, institutions, and other advisors using strategies that draw on its global tactical asset allocation expertise and in-depth manager due diligence. The firm also publishes its research for investment professionals through AdvisorIntelligence. Litman Gregory advises a family of no-load mutual funds, including a fully liquid, multi-strategy alternatives fund. In total, Litman Gregory manages or advises on approximately $8 billion in assets.

Osterweis Capital Management was founded in 1983 by John Osterweis to serve the portfolio management needs of high net worth individuals.  Since then, the firm has grown to over $5 billion in assets under management in individually managed portfolios and mutual funds.  

The fundamentals underlying the firm's investment philosophy are flexibility and disciplined investment analysis.  Flexibility allows the firm to shift allocations away from areas of perceived risk, while discipline allows it to uncover securities the firm believes have significant potential for appreciation.  Osterweis Capital Management is focused on helping financial advisors and their clients meet their long-term investment goals.


Peach Tree
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.

Regulatory Compliance brings 25 years of experience to assisting broker-dealers and investment advisers in meeting critical compliance requirements and regulatory filing deadlines. They offer a full- service suite of cost effective compliance consulting services including FINOP, Outsourced CCO, compliance and procedures manuals, business continuity and identity theft plans, continuing education, advertising review, onsite examinations and testing of procedures (206(4)-7 examinations, 3012 Testing), preparation for FINRA and SEC visits or examinations.

Regulatory Compliance's seasoned compliance professionals are highly skilled in navigating complex FINRA, SEC and state regulations and keeping registered firms in compliance. They offer ongoing compliance support and management through their customized PartnerProgram where you select the level of proactive support that best meets your needs. To find out more, call (603) 216-8980 or visit


Saratoga Research & Investment Management
Saratoga Research & Investment Management constructs and manages equity portfolios comprised of high caliber businesses utilizing common sense investment principles for individual and institutional investors. Their investment process has been designed to meet the needs of conservative, long-term investors. They seek to invest in businesses with healthy balance sheets and sustainable competitive advantages that are likely to experience significant earnings growth for many years into the future. Yet they only invest when share prices are far enough below what thry believe to be conservative estimates of intrinsic value. For more information, please see

Founded in 1983, Schafer Cullen Capital Management, Inc. and its affiliated firm, Cullen Capital Management, LLC, currently manage approximately $18.1 billion for institutions and individuals. They believe that our philosophy of investing for the long term, based on thorough fundamental research and a valuation discipline, is appropriate in any market environment.
The Schafer Cullen Small Cap Value Equity strategy focuses this low P/E discipline on stocks that generally have a market capitalization of more than $500 million and less than $5 billion.


Stanley Laman
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.


Touchstone Investments
Touchstone Investments is a mutual fund company dedicated to a sub-advisor model that offers investors access to institutional asset managers whose strategies are typically not available to the average investor.  These asset managers are selected and monitored by Touchstone using a disciplined due-diligence process over a broad range of criteria including organizational stability, personnel, investment discipline, infrastructure, and performance.

Touchstone offers strategically focused funds across styles and asset classes including U.S. equity, international/global equity, U.S. fixed income, international fixed income, diversified income, alternative investment, and asset allocation funds.

Touchstone distributes its funds exclusively through intermediaries including national, regional, and independent broker-dealers; registered investment advisors; private banks; and consultants. The Touchstone Funds are offered by Touchstone Securities Inc., (a registered broker-dealer and member FINRA/SIPC), a member of Western & Southern Financial Group.


UMB Fund Services provides a full suite of services for mutual funds and alternative investments.

Our services include:
•    Fund accounting
•    Administration
•    Tax
•    Investor services
•    Transfer agency
•    Distribution
•    Custody
•    Cash management

In addition, we offer turnkey solutions including:
•    Series trust
•    Collective trust
•    Industry-leading registered hedge fund services

They take pride in offering flexible, innovative solutions to meet your specific needs. UMB Fund Servicesclients benefit from their high-touch service, leading-edge technology, and the stability of a highly capitalized parent that’s been around for 100+ years.

Learn more at


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.

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.


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.

YieldShares LLC is an ETF Sponsor focused on investment income. Founded by ETF veteran Christian Magoon, the firm seeks to expand access to income focused investment strategies available inside an ETF.


Content Partners

Money Management Institute
About the Money Management Institute (MMI): Since 1997 MMI has been the leading voice for the global financial services organizations that provide advice and professionally-managed 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 advisory solutions. MMI members’ advice-driven investment solutions serve an evolving worldwide financial landscape and their organizations are committed to the highest standards of fiduciary responsibility and ethical conduct. For more information, visit

Permanent Portfolio
Permanent Portfolio Family of Funds, Inc., an investment company consisting of four distinct mutual funds, was founded in 1982 based on the need for reliable asset growth and capital preservation.  Permanent Portfolio seeks to provide a sound structure and disciplined approach to asset allocation; Short-Term Treasury Portfolio is a full-service, short-term U.S. Treasury security fund; Versatile Bond Portfolio, under normal market conditions, invests at least 80% of its net assets in bonds, which may include debt securities of all types and of any maturity; and, Aggressive Growth Portfolio is a multi-cap core, U.S. equity fund.

Mutual fund investing involves risk; loss of principal is possible. 
Distributed by Quasar Distributors, LLC. 


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