Tiburon CEO Summits

Tiburon has held 29 prior Tiburon CEO Summits, with the first Tiburon CEO Summit taking place in 2001. Details of the recent Tiburon CEO Summit XXIX are included below. For details of earlier Tiburon CEO Summits, please click here: Most Recent, 2014-2015, 2012-2013, 2010-2011, 2008-2009, 2006-2007, 2004-2005, & 2001-2003.

Tiburon CEO Summit XXIX: October 13-14, 2015


Tiburon CEO Summit XXIX was held October 13-14, 2015, at the Ritz Carlton Hotel in San Francisco, CA. Tiburon CEO Summit XXIX officially started at 7:45am on Tuesday, October 13, 2015, at the Ritz Carlton Hotel in San Francisco, CA, included a group dinner that night, and finished at 11:30am on Wednesday, October 14, 2015. Senior industry executives took two days out of their busy schedules to participate. There were over twenty sessions. Along with Tiburon's Managing Partner Chip Roame, Tiburon CEO Summit XXIX included speakers Blaine Aikin (CEO, fi360), Anil Arora (CEO, Yodlee), Noreen Beaman (CEO, Brinker Capital), Carol Benz (Managing Principal, Bingham Osborn & Scarborough), Adam Blitz (CEO, Evanston Capital Management), Matt Brown (CEO, CAIS), Rob Brown (Chief Investment Officer, United Capital Financial Advisers), Bruce Cameron (CEO, Berkshire Capital Securities), James Carney (CEO, ByAllAccounts), Jeff Dekko (CEO, Wealth Enhancement Group), Stuart DePina (President, Envestnet Tamarac), Joe Duran (CEO, United Capital), Shannon Eusey (President, Beacon Point Advisors), Ray Ferrara (CEO, ProVise Management Group), Jim Feuille (Partner, Crosslink Capital), Tom Florence (CEO, 361 Capital), Mike Furlong (CEO, Sliced Investing), Stewart Gross (Managing Director, Lightyear Capital), Scott Hanson (Co-CEO, Hanson McClain), Margaret Hartigan (CEO, Marstone), Pete Hess (CEO, Advent Software), Spencer Hoffman (Managing Director, Lovell Minnick Partners), David Jegen (Partner, F Prime Capital), Chris Jones (Chief Investment Officer, Financial Engines), Kunal Kapoor (President, Global Client Solutions Group, Morningstar), Zachary Karabell (Head of Global Strategy, Envestnet), Aaron Klein (CEO, Riskalyze), Jan Kolbusz (Founder, Decimal Software), Brad Matthews (CEO, Trizic), Ed Moore (President, Edelman Financial Services), Hans Morris (Managing Partner, Nyca Partners), Patricia Nakache (General Partner, Trinity Ventures), Michael Pinsker (CEO, Docupace Technologies), Eduardo Repetto (Co-CEO, Dimensional Fund Advisors), John Rooney (Managing Principal, Commonwealth Financial Network), Babu Sivadasan (President, Envestnet Retirement Solutions), Bill Sowell (CEO, Sowell Management Services), Hal Strong (Operating Executive, Genstar Capital), Jason Thomas (CEO, Savos Investments), Allen Thorpe (Managing Director, Hellman & Friedman), Jim Tracy (Vice Chairman, Morgan Stanley Wealth Management), Hardeep Walia (CEO, Motif Investing), Amy Webber (President, Cambridge Investment Research), Spencer Williams (CEO, Retirement Clearinghouse), & Bob Worthington (President, Hatteras Funds). Tiburon CEO Summit XXIX also featured the firm's traditional client-centric panel discussions and two networking-based social events.

Keynote Presentation

Tiburon CEO Summit XXIX featured a keynote presentation by Tiburon Managing Partner Chip Roame regarding the state of the financial services industry, focused on the rapid evolution being driven all across the business value chain. This presentation served as the backdrop and overview of the entire Tiburon CEO Summit. 




Tiburon CEO Summit XXIX
Keynote Presenter
Chip Roame
Managing Partner
Tiburon Strategic Advisors







Chip Roame (Managing Partner, Tiburon Strategic Advisors)

Tiburon Strategic Advisors is pleased to provide a summary of the content of its Tiburon CEO Summit XXIX Keynote Presentation. Chip Roame (Managing Partner, Tiburon Strategic Advisors) gave a presentation broadly addressing the state of the financial services industry, with a specific focus on the growing wealth management market.

Charles ("Chip") Roame is the Managing Partner of Tiburon Strategic Advisors and a leading strategic consultant to CEOs, other senior executives, & boards of directors in the banking, insurance, brokerage, & investment management markets. Prior to forming Tiburon in 1998, Mr. Roame served in similar capacities, first as a management consultant at McKinsey & Company, and later as a business strategist at The Charles Schwab Corporation. Mr. Roame is quoted daily throughout the media and, due to Tiburon's widely shared research, he may be the most frequently demanded board advisor. His particular expertise is that of corporate strategy for larger financial services firms, designing broad multi-faceted strategies and making trade-offs between alternative businesses, products, & markets.

At Tiburon, Mr. Roame has responsibility for all of the firm's consulting, research, & marketing activities which keeps him on the leading-edge of strategic initiatives in the industry's fastest growing businesses -- mutual funds, exchange traded funds, hedge funds & other alternative investments, financial planning, wealth management services, life insurance, annuities, family office services, online financial services, and the growing independent advisor markets. He has also taken a substantial interest in financial services industry venture capital & private equity opportunities and mergers & acquisitions transactions. At Tiburon, Mr. Roame has led over 1,700 client engagements for over 400 corporate clients since 1998.

Mr. Roame has won numerous awards throughout the consulting and financial services industries, including being named one of the power 25 elite by Investment News, one of the 25 most influential individuals in the advisor business by Investment Advisor magazine, & one of the five experts with the answers by Boomer Market Advisor. Tiburon has also been named one of the fastest growing companies by the San Francisco Business Times in multiple years.

Mr. Roame is frequently sought as a board member by Tiburon client company boards. He presently serves as a board member at Envestnet (NYSE: ENV), as a board member of the parent company of The Edelman Financial Group (Ric Edelman’s business backed by Lee Equity Partners), and as a trustee of the SA mutual funds family which is sponsored by Loring Ward and employs Dimensional Fund Advisors as its sole sub-advisor.

Overview of Tiburon CEO Summit XXIX Keynote Presentation

The objectives of the Keynote Presentation are to anchor Tiburon CEO Summit discussion on consumers; offer a broad view of the wealth management industry (with a new theme at each Tiburon CEO Summit), with the theme at Tiburon CEO Summit XXIX being The Six Most Important News Stories; set a discussion agenda for Tiburon CEO Summit XXIX (framing the dozens of “three big points” and introducing 40+ speakers); & address recent strategic activity. The basis of the Tiburon CEO Summit XXIX Keynote Presentation was industry developments (“the news”), recent Tiburon & third-party research findings, the Tiburon CEO Summit XXIX content survey, & Tiburon CEO Summit XXIX guest speaker presentations (and prior presentations).

Tiburon CEO Summit XXIX --> Insights Behind The Six Biggest News Stories

Context Setting: Consumers & Their Money

Consumer households have $38.3 trillion investable assets, $59.4 trillion financial assets, $96.9 trillion total assets, and $85.7 trillion net worth. There are 10.1 million consumer households with over $1.0 million net worth, back above its prior peak of 9.2 million in 2007. Tiburon CEO Summit XXIX attendees estimate that ~50%-75% of financial advisor clients are baby boomers. Tiburon CEO Summit XXIX attendees believe that baby boomers are not financially ready for retirement. Tiburon CEO Summit XXIX attendees continue to believe that the lack of savings is baby boomers’ biggest financial issue. Tiburon CEO Summit XXIX attendees expect that more consumers will retire at later ages over the next five years. Baby boomers will liquidate some portion of the $58.6 trillion in retirement plans, personal assets, & small businesses.

The Future Of Wealth Management: The Six Most Important News Stories

Exchange Traded Funds

Tiburon CEO Summit XXIX attendees have repeatedly said that they cannot predict stock market movements. Tiburon CEO Summit XXIX attendees increasingly believe that they cannot predict interest rate movements (it took some convincing!). Tiburon CEO Summit XXIX attendees mostly utilize a mix of active & passive portfolio management styles, with the passive-only crowd growing larger than the active-only crowd. Exchange traded funds have gathered $2.1 trillion assets under management, up from $102 billion in 2002. Exchange traded funds have $232 billion net flows, up from $29 billion in 2001. BlackRock is the leading investable assets firm in terms of assets under management with $4.7 trillion, with the three ETF leaders all in the top four. Tiburon CEO Summit XXIX attendees increasingly expect that ETFs will surpass mutual funds in net flows over the next five years. Tiburon CEO Summit XXIX attendees expect that ETF market share will broaden in the next five years. Tiburon CEO Summit XXIX attendees expect that ETF strategists will see huge growth over the next five years (in spite of F-Squared). Tiburon CEO Summit XXIX attendees anticipate that active exchange traded funds will have moderate growth over the next five years. Index mutual funds have gathered $2.1 trillion assets under management, up from $384 billion in 2000. Index mutual funds’ assets under management have been primarily gathered in equity funds. The Vanguard Group has $216 billion net flows, up from $85 billion in 2010. The five largest stock mutual funds are all low cost Vanguard & American Funds mutual funds. The Vanguard Group has gathered over three-quarters on its assets under management in index mutual funds & exchange traded funds. The Vanguard Group has gathered one-third of its assets under management from financial advisors. Dimensional Fund Advisors has gathered $406 billion assets under management, up hugely since 1983. Dimensional Fund Advisors has gathered more than half of its assets under management from financial advisors. Dimensional Fund Advisors’ financial advisor channels business has gathered $165 billion assets under management, up from $13 billion in 2002.

Liquid Alternatives

Liquid alternative funds have gathered $309.2 billion assets under management, up from $174.6 billion in 2012. Liquid alternative funds’ net flows are $3.1 billion, down from their peak of $96.9 billion in 2013. Tiburon CEO Summit XXIX attendees have become decidedly less optimistic on liquid alternatives over the next five years. Hedge funds have gathered $2.8 trillion assets under management, up from $491 billion in 2000. Hedge funds have $76.4 billion net flows, up from $23.3 billion in 2000 and -$131.2 billion in 2008. Hedge funds returned 3.3%, down from 9.1% in 2013. Tiburon CEO Summit XXIX attendees mostly believe that hedge fund managers do not add value on post fee basis. Hedge funds have not been performing as well as some low cost mutual funds that do some of the same things.

Robo Advisors

There are at least 46 online advice firms. All online advice firms have gathered $217.4 billion assets under management, up from $118.0 billion in 2012. Online advice firms can specifically be defined to include defined contribution plan focused firms & B2C focused firms. Online advice firms’ assets under management are dominated by the defined contribution focused firms. The leading online advice firms are the defined contribution plan focused firms & the large discount brokerage firms & mutual fund companies. Tiburon CEO Summit XXIX attendees have become far more aware of the online advice models when asked to name the most impressive. Tiburon CEO Summit XXIX attendees have become decidedly optimistic on online advice firms over the next five years. Two-thirds of financial advisors believe that online advice firms will have no or little impact on their business. Tiburon CEO Summit XXIX attendees said that the discount brokerage firms will see moderate growth over the next five years. Motif Investing offers 100 pre-built motifs, up from 50 in 2011.

Break-Away Brokers

Two-thirds of wirehouse & regional broker/dealer brokers who move on their own in any year move to other wirehouses or regional broker/dealers. The bulk of the break-away broker movement really just goes in circles, with brokers moving from one wirehouse to the next for upfront payments. Wells Fargo Advisor Network’s share of financial advisors coming from wirehouses is 65%, compared to 12%-31% at some other leading independent broker/dealers. Tiburon CEO Summit XXIX attendees said that the break-away brokers trend will grow hugely or at least moderately over the next five years. Some have huge predictions for the share of wirehouse brokers who may break-away. Tiburon CEO Summit XXIX attendees believe that wirehouses have a neutral or negative future over the next five years.

Independent Advisors

The insurance & independent broker/dealer channels lead the financial advisor channels in terms of number of financial advisors with 74,804 & 67,290. The wirehouse channel leads the financial advisor channels in terms of assets under administration with $5.9 trillion. The five year CAGR of dually registered advisors is 9.0%. Primerica, Morgan Stanley, Bank of America Merrill Lynch, & Wells Fargo Corporation have the most financial advisors. Both the retail and financial advisor support models at both Fidelity Investments & The Charles Schwab Corporation are now amongst the leading financial advisor channel firms. Tiburon CEO Summit XXIX attendees said that LPL financial & The Charles Schwab Corporation have the most impressive financial advisor forces. Tiburon CEO Summit XXIX attendees said that the number of independent advisors will grow the fastest over the next five years. Independent advisors can specifically defined to include independent reps & fee-based financial advisors (RIAs). Independent broker/dealer reps still account for the largest share of independent advisors, although both fee-based financial advisors & dually registered financial advisors are gaining market share. LPL Financial leads the independent reps market in number of financial advisors. LPL Financial also leads the independent broker/dealer market in assets under administration. The Charles Schwab Corporation, Td Ameritrade, & Fidelity Investments are the leading fee-based financial advisor custodians in terms of number of fee-based financial advisor clients, with 7,100, 5,000, & 3,300 respectively. Schwab Advisor Services & Fidelity Institutional Wealth Services are the leading fee-based financial advisor custodians in terms of assets under administration, with $1.1 trillion & $753 billion respectively. TD Ameritrade had a 229% change in fee-based financial advisor assets under custody from 2007-to-2014. Some analysts have huge predictions for the fee-based financial advisor market, with one suggesting 36,900 fee-based financial advisors by 2019. Tiburon CEO Summit XXIX attendees have become less optimistic on independent broker/dealers over the next five years. Tiburon CEO Summit XXIX attendees remain very optimistic about custodians over the next five years.

Turnkey Asset Management Programs (TAMPs)

Envestnet has gathered $713.4 billion assets under administration & management, up 800% since 2007. FolioDynamix’s FDx platform has gathered $700 billion assets under administration, up from $445 billion in 2012. Loring Ward Group’s LWI Financial has gathered $13.0 billion assets under management, up from $1.6 billion in 1996. Dimensional Fund Advisors’ Dimensional Fund Advisors (US)’s fee-based financial advisor business’ TAMPs business has gathered $50 billion assets under management, up over 400% since 2005. Tiburon CEO Summit XXIX attendees believe that TAMPs will realize huge or at least moderate growth over the next five years.

The Missing News Story: Financial Advisor Bifurcation

Financial Advisor Stagnation

Financial advisor channels firms have 301,126 financial advisors, down from its peak of 339,450 in 2004. Tiburon CEO Summit XXIX attendees increasingly think that the number of financial advisors will decrease or at best remain steady over the next five years. Tiburon CEO Summit XXIX attendees believe the role of financial advisors is gaining value to clients, although this view is declining. Tiburon will seek to prove the financial advisor bifurcation; it is possible that a few dozen fee-based financial advisors are driving the markets’ growth. The mutual fund store has 133 offices, up from 73 in 2011. United Capital Financial Partners has 70 offices, up from fourteen in 2007. HighTower Holding has 49 offices, up from twelve in 2011. Edelman Financial Services has 41 offices, up from one in 2005. The Mutual Fund Store serves 37,000 clients, up from 30,000 in 2010. Edelman Financial Services serves 28,000 clients, up from 5,000 in 2003. Fisher Investments’ Private Client Group serves 27,000 private client group clients, up from 12,000 in 2004. Fisher Investments’ Private Client Group manages $35 billion in assets, up from $1 billion in 1997. Edelman Financial Services has gathered $14.9 billion assets under management & administration, up over 400% since 2003. Tiburon CEO Summit XXIX attendees said that United Capital Financial Partners, Edelman Financial Services, & HighTower have the best chance at building nationwide financial advisory business. Edelman Financial Services has $131.9 million assets under management & administration per financial advisor.


Edelman Financial Services’ average client has $522,000 assets under management & administration, up from $380,000 in 2009. Edelman Financial Services has 113 financial advisors, up from nineteen in 2003. Fisher Investments’ investment counselors, vice presidents, account executives, & client operations associates account for over half of its employees. Fisher Investments’ private client group creates over three-quarters of its leads from direct mail and web advertisements. Fisher Investments’ private client group attracts two-thirds of its clients to seminars each year. Edelman Financial Services will conduct over 600 seminars, up from 75 in 2012. Tiburon CEO Summit XXIX attendees said that consumers understand that rising rates will impact investment portfolios, but do not understand the specifics. Tiburon CEO Summit XXIX attendees said that downside protection strategies will experience huge growth over the next five years. Tiburon CEO Summit XXIX attendees said that the importance of video service will see moderate growth over the next five years. And in a strange twist…financial advisor fees are down…err…up. Financial advisor average fees range from 1.26% to 0.66% based on portfolio size. Fisher Investments’ private client group’s pricing schedule ranges from 1.25% to 1.00%, and the firm uses a blended methodology. Edelman Financial Services’ pricing schedule ranges from 2.00% to 0.50%.

Strategic Activity

Financial Services Industry Venture Capital & Minority Growth Equity Investments

Venture capital firms raised $33.0 billion funds, up 75% since 2010 but down from $85.1 billion in 2000. Venture capital investment reached $48.4 billion, up from $30.0 billion in 2013 but down from its peak of $105.0 billion in 2000. SoFi has raised the most venture capital amongst financial services firms, with $1.2 billion. Wealthfront, Betterment, & Personal Capital Corporation have raised the most venture capital amongst the online advice firms. Tiburon CEO Summit XXIX attendees said that venture capital’s bet on online financial advice will continue at a high or moderate level in 2016.

Financial Services Industry Initial & Secondary Public Offerings

There were 275 initial public offerings in 2014, up from 222 in 2013 but down from its peak of 406 in 2000. Initial public offerings raised $85.3 billion in 2014, up from $54.9 billion in 2013 but down from its peak of $96.9 in 2000. There were 36 initial public offerings in the financial sector in 2014, down from 45 in 2013. Financial services industry public offerings included Worldpay, National Commercial Bank, & Medibank Private. Tiburon CEO Summit XXIX attendees said financial services industry initial & secondary public offerings will experience moderate growth.

Financial Services Industry & Financial Advisor Mergers & Acquisitions

Financial Services Industry Mergers & Acquisitions

Mergers & acquisitions’ deal value was $3.5 trillion, up from $2.3 trillion. Private equity firms invested $12.0 billion in financial technology firms, up from $4.0 billion in 2013. Financial technology companies Sungard, Advent Software, Russell Investments, & SNL Financial all sold in the last year for large sums. Leading investment management firms mergers & acquisition deals included TIAA-CREF’s acquisition of Nuveen, Santander Asset Management’s Acquisition of Pioneer Global Asset Management, and the pending acquisition of Russell Investments. The leading public brokerage merger & acquisition deal was Stifel Financial Group’s acquisition of Sterne Agee for $150 million. Tiburon CEO Summit XXIX attendees said that financial services firm merger & acquisition activity will increase.

Financial Advisor Mergers & Acquisitions

There were 54 fee-based financial advisors mergers & acquisitions transactions in 2014, up 35% since 2006. There have been $32.6 billion fee-based financial advisors assets under management acquired through mergers & acquisitions transactions in 2014. Hellman & Friedman’s acquisition of Edelman Financial Services was the leading financial advisors acquisition at $14.8 billion. Tiburon CEO Summit XXVIII attendees said that the most successful financial advisor aggregators are HighTower & Focus Financial Partners. Tiburon CEO Summit XXIX attendees said that financial advisor consolidation activity will remain steady or accelerate this year. Tiburon CEO Summit XXIX attendees said that roll-up firms will be the most frequent financial advisor acquirer.

Financial Services Industry Valuations & Activists Opportunities

Financial services firms account for 10%+ of the US economy and 20%+ of the Standard & Poor’s 500. Activist funds have gathered $120 billion assets under management. Activist hedge funds have $10.1 billion net flows, up from $3.4 billion in 2005. Carl Icahn & Southeastern are the leading activist investor funds in terms of value of disclosed US equities with $22.3 billion & $18.3 billion. The average net return among activist hedge funds outpaced the total hedge fund universe in both the short & long term. Financial services industry activist fund specific targets include American Realty Capital Partners, LPL Financial Holdings, State Street Corporation, & The Bank of New York Mellon Corporation.



Along with Tiburon's Managing Partner Chip Roame, Tiburon CEO Summit XXIX included speakers Blaine Aikin (CEO, fi360), Anil Arora (CEO, Yodlee), Noreen Beaman (CEO, Brinker Capital), Carol Benz (Managing Principal, Bingham Osborn & Scarborough), Adam Blitz (CEO, Evanston Capital Management), Matt Brown (CEO, CAIS), Rob Brown (Chief Investment Officer, United Capital Financial Advisers), Bruce Cameron (CEO, Berkshire Capital Securities), James Carney (CEO, ByAllAccounts), Jeff Dekko (CEO, Wealth Enhancement Group), Stuart DePina (President, Envestnet Tamarac), Joe Duran (CEO, United Capital), Shannon Eusey (President, Beacon Point Advisors), Ray Ferrara (CEO, ProVise Management Group), Jim Feuille (Partner, Crosslink Capital), Tom Florence (CEO, 361 Capital), Mike Furlong (CEO, Sliced Investing), Stewart Gross (Managing Director, Lightyear Capital), Scott Hanson (Co-CEO, Hanson McClain), Margaret Hartigan (CEO, Marstone), Pete Hess (CEO, Advent Software), Spencer Hoffman (Managing Director, Lovell Minnick Partners), David Jegen (Partner, F Prime Capital), Chris Jones (Chief Investment Officer, Financial Engines), Kunal Kapoor (President, Global Client Solutions Group, Morningstar), Zachary Karabell (Head of Global Strategy, Envestnet), Aaron Klein (CEO, Riskalyze), Jan Kolbusz (Founder, Decimal Software), Bo Lu (CEO, FutureAdvisor), Brad Matthews (CEO, Trizic), Ed Moore (President, Edelman Financial Services), Hans Morris (Managing Partner, Nyca Partners), Patricia Nakache (General Partner, Trinity Ventures), Michael Pinsker (CEO, Docupace Technologies), Eduardo Repetto (Co-CEO, Dimensional Fund Advisors), John Rooney (Managing Principal, Commonwealth Financial Network), Babu Sivadasan (President, Envestnet Retirement Solutions), Bill Sowell (CEO, Sowell Management Services), Hal Strong (Operating Executive, Genstar Capital), Jason Thomas (CEO, Savos Investments), Allen Thorpe (Managing Director, Hellman & Friedman), Jim Tracy (Vice Chairman, Morgan Stanley Wealth Management), Hardeep Walia (CEO, Motif Investing), Amy Webber (President, Cambridge Investment Research), Spencer Williams (CEO, Retirement Clearinghouse), & Bob Worthington (President, Hatteras Funds). Tiburon CEO Summit XXIX also featured the firm's traditional client-centric panel discussions and two networking-based social events.

Blaine Aikin
(CEO, fi360)



Blaine Aikin
(CEO, fi360








Blaine Aikin is CEO of fi360. fi360 is a national and international leader in the field of investment fiduciary responsibility, providing training, web-based analytical tools, and resources for those who manage money on behalf of others. Mr. Aikin is the author of numerous articles on the subjects of fiduciary responsibility and investment management, and the author of the monthly Fiduciary Corner column in InvestmentNews magazine. Upon graduation from Carnegie-Mellon University, Mr. Aikin was selected for the prestigious Presidential Management Intern Program which involved management assignments in the US Department of Treasury and the US Senate. He subsequently served as budget officer for Prince William County, Virginia. Mr. Aikin then entered the private sector in professional financial management. He earned the Certified Financial Planner (CFP) and Chartered Financial Analyst (CFA) designations and served as a principal and chief investment officer of Allegiance Financial Advisors. After providing contract training and consulting services for PNC Financial Services Group, Mr. Aikin became a senior vice president and director of product development and management for PNC Advisors. For several years, he also served as an adjunct faculty member of the College for Financial Planning; providing instruction in investment planning and other subjects leading to the Certified Financial Planner designation.

Mr. Aikin's recent comments have included:

  • "For RIAs, the change that would best fit this bill is for the rule [the Department of Labor's proposed fiduciary rule] to more clearly distinguish the special obligations attendant to advice on rollovers versus advice that involves ongoing conflicts of interest associated with variable compensation"
  • "The rollover decision is a one-time event and the DOL should craft an exemption designed to handle the point-in-time situation when a fiduciary retirement adviser to a plan is called upon to assist a plan participant with a rollover decision"
  • "The SEC exams tend to be thorough and effective; they are just not done often enough"
  • "A lot of lobbying money comes from the financial services industry. Congress does not want to lose any power of the purse over the SEC"
  • "Advisers who can successfully incorporate digital investment tools into an client-friendly customer experience will surely stand out in the crowded market of advisory services. To construct a successful hybrid model, advisers should be thinking about the human and computer interfaces they have with clients in at least four key aspects: access, consistency, literacy and trust"

Anil Arora
(CEO, Yodlee)



Anil Arora
(CEO, Yodlee








Anil Arora is President & CEO of Yodlee. Under his leadership, Yodlee has been a disruptive catalyst for change in the financial industry by pioneering a unique cloud-based platform. Today, Mr. Arora is helping Yodlee lead the charge for the safe use of global financial data to accelerate innovation and transform the delivery and use of digital financial services. Mr. Arora has extensive experience building some of the world’s most recognized brands at companies like General Mills, Kraft, and Gateway, as well as innovating new market strategies and increasing the lifetime customer value for companies in a variety of industries.

Mr. Arora's recent comments have included:

  • “We are in the early innings of our vision to transform financial services by improving and simplifying the lives of anyone with a financial account. As the leading financial cloud platform, there is a massive addressable opportunity to power digital financial solutions for over two billion financial users globally across both financial institutions and internet innovators”
  • “Our growth is a function of executing on our stated three key strategies: one, growing our subscription revenue and increasing penetration at existing financial institutions, while adding new customers globally; two, driving user growth and subscription revenue with emerging Internet digital financial service providers who have enormous potential by adding new customers around the globe and with new used cases; three, leveraging our unique big data assets and analytics to further accelerate subscription revenue with existing and new customers. Our subscription revenue is experiencing strong growth driven by all three of these key strategies”
  • “The most exciting aspect of our growth opportunity with financial institutions and internet innovators is that we believe that the best is still ahead of us”
  • “One interesting example of the power of Yodlee data analytics is how we have worked closely with an innovative food company to develop their marketing strategy based on consumer spending trends. Their chief marketing officer shared with us that they have shifted the majority of their research spending to Yodlee data analytics due to the power of Yodlee data. For us, the data business is additive across the board. It is an incremental revenue opportunity with both existing and entirely new customers and perhaps as important it is sticky”
  • “The Yodlee Financial Cloud is uniquely positioned to drive innovation and is transforming digital financial services among Financial Institutions as well as Internet innovators. We are excited about Yodlee's market opportunity, and our recent IPO was a seminal milestone for our company and provides the strategic position to continue to drive growth"

Noreen Beaman
(CEO, Brinker Capital)



Noreen Beaman
(CEO, Brinker Capital








Noreen Beaman is CEO of Brinker Capital. Ms. Beaman is responsible for developing and executing the firm’s detailed operating plan and for the oversight of the company’s short and long term strategies. Previously, Ms. Beaman served as the firm’s chief operating officer responsible for policy and oversight of operations, administration, performance, reconciliation, technology, and human resources. Ms. Beaman has more than 25 years of investment experience working with financial advisors and institutional and high net worth investors in strategic planning and investment management. Additionally, she is a member of the firm’s investment, management, and finance committees. As one of Brinker Capital’s original partners, Ms. Beaman previously held a variety of regional and national sales positions at the firm, including new business development and client service in New York and New Jersey. Ms. Beaman is a frequent speaker at industry conferences and has been quoted extensively in top financial and advisor media. Prior to joining Brinker Capital, Ms. Beaman was treasurer at Mutual Benefit Capital Companies, a subsidiary of Mutual Benefit Life Insurance Company. She also worked at Ernst and Young.

Ms. Beaman's recent comments have included:

  • "Failure is probably the best gift someone can give you"
  • "One thing we do is hold people accountable. We make sure everyone is in a position to be successful. Then, when you are not successful, we have to have a conversation. You need to hold up your end of the bargain. Sometimes you are not a good culture fit because you do not want to be held accountable, and sometimes you are a great culture fit and we just did not give you the right training, so we will do that. Sometimes you will make a mistake. Life happens. But let us not do it again. One of our mantras is, find it, fix it, prevent it"
  • "In our world today, if you are not actively learning every day, you really are not competitive. There is too much going on. I can never know everything going on around me, so I need to know that there are people around me who are learning other things, so we create a more cohesive view"
  • "One of the things I keep telling our staff — and this is something I had to do — is that you have to do two jobs before you get the next job. You have to do your job really well and start doing the next job a little bit by, say, raising your hand for a project"

Carol Benz
(Managing Principal, Bingham Osborn & Scarborough)



Carol Benz
(Managing Principal, Bingham Osborn & Scarborough








Carol Benz is Managing Principal of Bingham Osborn & Scarborough. Ms. Benz joined the firm in 2001 and also serves as the firm’s Chief Operating Officer and is responsible for firm management, including finance and reporting, portfolio operations, human resources, compliance, technology, strategic planning, and office administration. Prior to joining the firm, Ms. Benz worked for ten years for Barclays Global Investors (currently known as BlackRock) where she managed account operations, domestic operations, international operations, and the data services group and for three years with Ernst & Young as a supervising senior where she worked with insurance, technology, and manufacturing clients. Ms. Benz is currently the vice chair of the Stanford Alumni Association and the treasurer of the San Francisco Ballet Auxiliary.

Ms. Benz's recent comments have included:

  • [Coming Soon]

Adam Blitz
(CEO, Evanston Capital Management)



Adam Blitz
(CEO, Evanston Capital Management








Adam Blitz is CEO of Evanston Capital Management. Mr. Blitz helped establish ECM, joining the firm at inception in 2002. He is a member of ECM's board of managers, investment committee, operating committee, & valuation committee. Mr. Blitz leads all investment research and portfolio management as well as executive firm management. He previously worked in the prime brokerage area at Goldman Sachs, where he was responsible for developing, selling, and managing funding and financing products to offer to hedge funds. He was also employed in the asset management division at Goldman Sachs as a member of the quantitative research group. Mr. Blitz previously served as head trader at AQR Capital Management, a multi-strategy quantitative investment manager.  At AQR, he assisted in risk management and strategy research, providing extensive modeling and analysis of strategy and fund-level volatilities and correlations. Mr. Blitz is a member of the board of advisors of Northwestern University's School of Education and Social Policy.

Mr. Blitz's recent comments have included:

  • "Most hedge funds are not any good, but if you can identify talent early, when they are hungry, you have the potential to generate outsized performance"
  • "Finding that young talent is always at a premium. You are seeing household name hedge funds becoming big institutions. It might be good for business but not for investors looking for differentiated returns"
  • "Our thesis is we do not think that there are a lot of great hedge funds out there"
  • "Our goal... is to remind investors to take a holistic look and to evaluate each investment within the context of the full portfolio"
  • "There are some managers who buy and hold a position, sometimes for years, for very sound fundamental reasons. During bouts of volatility, you often see hedge fund managers without strong fundamental conviction about the stock sell off, while more fundamental managers tend to ride out the volatility"

Matt Brown



Matt Brown








Matt Brown is CEO of CAIS. Mr. Brown is responsible for firm strategy, management and business development. He has over twenty-three years of experience in the financial services industry, having worked at firms including Shearson Lehman Brothers, Smith Barney and Brownstone Advisors.

Mr. Brown's recent comments have included:

  • "CAIS felt the need to broaden its lineup of structured offerings and have more companies competing against each other to fill an advisor’s order, resulting in better execution and pricing to the end user"
  • "We look very carefully at the track record of the lead underwriter’s success and aftermarket performance. The banks we work with have very strong records of success with aftermarket performance of underlying securities"
  • "CAIS adds value because we take the advisor’s request for the intended note and can have all of the different banks bid on filling that order, and the best price wins"
  • "By having a more open-architecture platform, we are allowing advisors to see different credits of the banks and the pricing they come up with to fill the orders"
  • "CAIS is a demand-based platform, and we are seeing a lot of RIAs and broker-dealers effectively utilize structured notes––mainly plain-vanilla ways to get access to indices and the like. But overall, we want to create a better forum for advisors to be able to access these products, and we are trying to lower the cost and increase transparency and education for advisors"

Rob Brown
(Chief Investment Officer, United Capital Financial Advisers)



Rob Brown
(Chief Investment Officer, United Capital Financial Advisers








Rob Brown is Chief Investment Officer of United Capital Financial Advisers. Mr. Brown provides the inspiration, leadership, and experience that enable the United Capital Investment Management department to ensure that advisers are fully supported as they transition to the United Capital investment platform and that they are fully informed on how to use the cutting edge strategies available on the platform to provide customized portfolios for their clients. Mr. Brown is a senior level investment professional with 30 years of experience in portfolio management for large, sophisticated foundations, endowments, pensions, and the ultra-high net worth. Prior to United Capital, he held senior level executive positions with Genworth Financial, SEI, Envestnet, and the CFA Institute where he directed the ongoing development of the educational curriculum for the CFA certification program and its examination. While at Genworth Financial, Mr. Brown served as the chief investment officer directing a $7.5 billion institutional portfolio of domestic and international securities. At SEI, he worked as the managing director of SEI’s research department that supported the wealth management needs of over $300 billion of pension, endowment, and foundation assets under advisement. At Envestnet, Mr. Brown served as the chairman - Investment Policy Committee, executive vice president, and senior managing director - Consulting Division for PMC International (later acquired by Envestnet) where he led the investment decision-making for a $3.3 billion portfolio. Mr. Brown also worked in the public sector where he held the position of chief investment officer for one of our nation’s larger state public pension plans, the $14 billion Arizona Public Safety Personnel Retirement System. Mr. Brown’s publications have appeared in the Journal of Derivatives and Hedge Funds, Journal of Investing, Journal of Investment Consulting, Pensions & Investments, FA Magazine, RIA Central, On Wall Street Magazine, Royal Alliance Associates Sourcebook, Bank Investment Consultant, Investment News Magazine, London Financial Times, Financial Planning, Financial Advisor, and Journal of Financial Planning.

Mr. Brown's recent comments have included:

  • "The problem is not lack of opportunity. The problem is not lack of talent. The problem is, not in all cases, but in many cases, the structure of the mutual fund [regarding fund managers underperforming the market]"
  • "We have gone to portfolio managers at some of the large-name fund companies in the world, but that is more the exception than the rule for obvious internal business reasons. If a portfolio manager is running a couple mutual funds with $10 billion, does their parent organization have a separate agreement with us where they're sending us their ten best ideas? That is going to be a rare circumstance whether they are going to be comfortable with that"
  • "It would be interesting to know how many of the people who actually put their money into (the Voya Corporate Leaders Trust Fund) actually know what it is. In a lot of cases, I bet they do not"
  • "Good managers can add an extra one percent to returns over time compared with an index-only strategy"

Bruce Cameron
(CEO, Berkshire Capital Securities)



Bruce Cameron
(CEO, Berkshire Capital Securities








Bruce Cameron is CEO of Berkshire Capital Securities. Mr. Cameron joined Mr. McEver in establishing Berkshire Capital in 1983 as the first independent investment bank covering the investment management and securities industries. As president and CEO, Mr. Cameron is responsible for the overall development and direction of the firm. Mr. Cameron leads the firm’s new business efforts and is actively involved in advising the firm’s major clients. He is also a frequent speaker at industry conferences and events. From 2005 to 2010 Mr. Cameron was a co-founder and the chairman of the board of directors of Highbury Financial, a publicly traded investment management holding company. Prior to the formation of Berkshire Capital, Mr. Cameron was associate director of Paine Webber Group’s strategic planning group. He began his career at Prudential Insurance Company, working first in the comptroller’s department and then in the planning & coordination group.

Mr. Cameron's recent comments have included:

  • "With approximately $5.0 billion of assets under management, a unique suite of attractive investment products and several promising avenues for long-term growth, we are excited to deliver this transaction to our stockholders. We are partnering with a talented management team that is committed to the growth of the business and whose track record of developing innovative investment products and delivering superior investment results will deliver long-term value to both clients and stockholders of ZAIS"

James Carney
(CEO, ByAllAccounts)



James Carney
(CEO, ByAllAccounts








James Carney is CEO & co-founder of ByAllAccounts. He and his teams have had a proven track record of effectively building, marketing and selling highly scalable, complex solutions on time and within budget. ByAllAccounts became a subsidiary of Morningstar in 2014. Prior to co-founding ByAllAccounts, Mr. Carney was a co-founder and CEO of Bidder's Edge, the largest online auction portal servicing greater than 500,000 users on a monthly basis with information available on over eight million items on a near real time basis. Company revenue grew in excess of 100% each year with expanding profit margins. Prior to Bidder's Edge, Mr. Carney was a co-founder and CEO of Workgroup Technology, which developed product information management systems for the engineering and manufacturing environments. The company had a successful IPO on the NASDAQ exchange. Previously, Mr. Carney was CEO and co-founder of WSI (a UNIX based system integrator that developed solutions for the engineering market), which was acquired by BOM Nesbitt Burns; and he ran the Northeast Operations for Computervision, the worldwide leading provider of CAD/CAM systems..

Mr. Carney's recent comments have included:

  • "Since June, three separate clients have told us they compared Morningstar’s ByAllAcounts with Quovo and ByAllAccounts had superior data quality and consistency"
  • "Thousands of firms and more than 40 redistributors rely on us to aggregate more than $1 trillion in investor assets from more than 12,000 sources every day. Clearly technology is important, and we continue to invest in technology to provide a great experience for our clients. Since becoming part of Morningstar, we have added Morningstar asset classes and security information that is not available through any other aggregator. In the end, it is all about the data and the client experience"
  • “We are focused on super high-quality transactions. Yodlee is more consumer based. We are not competing day to day"

Jeff Dekko
(CEO, Wealth Enhancement Group)



Jeff Dekko
(CEO, Wealth Enhancement Group








Jeff Dekko is CEO of Wealth Enhancement Group. Mr. Dekko has more than twenty years of business experience in marketing, technology, operations and finance. Mr. Dekko began his career with General Mills, where he served in a variety of marketing management positions including Wheaties, Cheerios, International and New Product Development. In 1994 he joined Recovery Engineering, where he was instrumental in the developing the firm from a small public company to a national brand (PUR). During his time with the firm, he was involved in several secondary offerings and the sale of the company to Procter & Gamble. After the sale, he supported a small technology company in completing an equity financing by two PE firms and two strategic firms: HP and Novell. He bought Wealth Enhancement Group in 2003 with two outside partners. The company focused on organic growth and quadrupled assets in five years. Since 2007, he has led the company in two sale processes: 2007 to Norwest Equity Partners and 2015 to Lightyear Capital while simultaneously increasing employee ownership participants by 800%. While the firm primarily grows from a marketing driven model, Wealth Enhancement Group is actively pursuing acquisitions for geographic reach, and has completed several in recent years. Mr. Dekko is active on a number of United States Ski Association (USSA) boards and various committees.

Mr. Dekko's recent comments have included:

  • "We thank Norwest Equity Partners for being such supportive and collaborative partners with us over the years. We achieved a great deal of growth and success together. We're excited about carrying that momentum forward into our new relationship with Lightyear Capital, which will allow us to continue to deliver consistent growth in new markets as we build our firm into a top national wealth management and financial planning brand"
  • "Strategically, we are looking to partner with firms that have demonstrated a commitment to growth and see value in integrating with our proprietary marketing capabilities for new client development and creating efficiencies by utilizing our centralized platform to gain investment management, planning and administrative leverage"
  • "Over the last eighteen months we started to pursue acquisitions, but the strategy is different from the aggregators. It is about an integration of services, not just the split on profit and then running the business autonomously. We have one RIA and a centralized investment management group. Unless you integrate, you cannot get that efficiency"

Stuart DePina
(President, Envestnet Tamarac)



Stuart DePina
(President, Envestnet Tamarac








Stuart DePina is President of Envestnet Tamarac. Mr. DePina manages the long-term growth strategy of Tamarac. His balanced leadership is rooted in deep financial experience and the belief that a solid organization is built on customer focus, commitment and thoughtful business practices. Mr. DePina's professional history is distinguished by leadership roles in guiding firms through various stages of development including initial public offerings and acquisitions. Most recently, Mr. DePina served as CEO for Who's Calling, a web-based application that uniquely measured online and traditional direct marketing performance, where he succeeded in doubling the company's revenue base and drove profitability. He served as president and CEO of xSides Corporation, a developer of trusted computing and digital rights management technology. He was chief financial officer for Ticketmaster Corporation, and a partner in the big four firm of KPMG, where he provided consulting and assurance services to a number of clients in the firms' financial services practice.

Mr. DePina's recent comments have included:

  • "For years they [Advent Software] said, bundling is not a smart strategy; it is better to be great at one thing. They are right but that one thing is a platform"
  • "The number of RIA firms embracing Envestnet Tamarac's Advisor Xi solution continues to climb because we help them more efficiently serve their clients and in the process help build more profitable businesses. Advisors who have migrated to Advisor Xi stay there, which is why we have had a 97% client renewal rate for more than five years running while continuing to grow our client base with both large and small firms"
  • "What we do is designed for a more scalable solution for advisors including proposal generation, research, rebalancing, reporting etc. All that plumbing is there but it’s not what the end investor sees. This Upside technology is the last mile and it allows us to offer the full spectrum"

Joe Duran
(CEO, United Capital)



Joe Duran
(CEO, United Capital








Joe Duran is CEO and Founding Partner of United Capital, the nation’s first and largest financial life management company. A proven entrepreneur, investor, best-selling author and sought after industry speaker, Mr. Duran previously built Centurion Capital, creating a nationwide investment platform that was successfully sold to General Electric Financial (GE) and renamed GE Private Asset management, where he served as president. Since he started the firm in 2005, United Capital has been one of the fastest growing and most innovative companies in the industry. Bringing together top advisors, behavioral economics, and a suite of digital tools, United Capital has revolutionized how people interact with their financial life. United Capital currently manages over $15 billion in client assets and advises on $7 billion in plan assets. The firm has over seventy locations and 600 employees. United Capital has financial backing from Bessemer Venture Partners, Sageview Capital and Grail Partners. Mr. Duran is a renowned industry visionary with featured columns in both Investment News and Time magazine’s Money.com. He is a frequent contributor to CNBC, Fox Business, Bloomberg and PBS and appears regularly in both traditional and online media. Mr. Duran is a recipient of a prestigious Ernst & Young Entrepreneur of the Year award in 2015 and the Schwab Pacesetter Impact award. His most recent book, The Money Code: Improve Your Entire Financial Life Right Now, achieved best seller status on both the New York Times and USA Today lists.

Mr. Duran's recent comments have included:

  • "Our goal is to become the largest financial life management platform in the country. We want to be the first billion-dollar brand in financial life management"
  • "We used to call it wealth management like everyone else…but nobody understands what that means anymore. Everybody calls themselves wealth managers in our industry"
  • "A financial life is not about money. It is about one’s entire life; all our industry talks about…is money"
  • "Every major turning point is about having to make a trade-off. The thing that people remembered was that life was a choice; they could not have it all"
  • “We are very big relative to any independent advisory firms. We do not have a lot of peers. We are large enough to make a difference, large enough to have a voice and be heard”

Shannon Eusey
(President, Beacon Point Advisors)



Shannon Eusey
(President, Beacon Point Advisors








Shannon Eusey is the President of Beacon Pointe Advisors and a member of Beacon Pointe’s Investment Committee.  Ms. Eusey is a member of the CNBC Financial Advisor Council and is very passionate about financial education.  She is a founding member of the catchy finance-based educational email subscription program known as The Sense and Beacon Pointe's Women's Advisory Institute.  Prior to launching Beacon Pointe, Ms. Eusey served as senior managing director and portfolio manager at Roxbury Capital Management. She was in charge of the socially responsible investments for several years at Roxbury. Ms. Eusey serves on the board of the Young Presidents Organization (YPO) for the Orange County chapter, serves on the UCI Athletic Fund Board and is currently an adjunct professor for the UCI Merage School of Business.  She also serves on the Children’s Hospital of Orange County Professional Advisory Committee and the Investment Committee of Sisters of St. Joseph in Orange.

Ms. Eusey's recent comments have included:

  • "We are in the sixth year of a bull market, valuations are at historic highs, and we have uncertainty about the economy and interest rates. I think we will continue to see a lot of volatility"
  • "Men [advisors] are talking to women [clients] the way they talk to men, and that is not going to work"
  • "As it stands today, our director of marketing, female. Our director of research, female. Our director of planning, female. Our CFO, female. It just so happens that that is how the firm was built out because of the qualifications of the women. As we look at it today, 65% of our firm roughly is female, which is really different from the industry"
  • “The conversation tends to be a little bit different when thereis a woman in the room. It [having more women in the firm] has allowed us to bring more women clients to the table, or spouses of clients to the table"
  • "Diversity of degree and education is extremely important, and we promote whatever educational path people want to go down. We are huge proponents of education. We have somebody who is studying for their divorce degree in financial planning, and somebody who is studying for the CAIA [chartered alternative investment analyst]"

Ray Ferrara
(CEO, ProVise Management Group)



Ray Ferrara
(CEO, ProVise Management Group








Ray Ferrara is CEO of ProVise Management Group. Mr. Ferrara brings four decades of experience to ProVise. He has served on the board of directors for CFP Board of Standards (chair 2014), the Financial Planning Association (FPA), Institute of Certified Financial Planners (ICFP) and National Advisor's Trust Company (NATC). He is active in the community and serves on the board of directors of Eckerd Youth Alternatives, Morton Plant Mease Healthcare, BayCare Health System, and the University of Maryland College Park Foundation, and has served on the board of directors for the West Central Florida Council Boy Scouts of America and the Clearwater Regional Chamber of Commerce. Mr. Ferrara has been a featured speaker for many organizations, as well as at business conferences throughout the United States. For over ten years, he hosted radio's Talking Money and authored several articles, videos, and CDs on various financial topics including living trusts, IRAs, college financial aid, asset protection, estate planning, and Section 529 plans. Ray has been quoted in numerous publications, including The Wall Street Journal; The New York Times; USA TODAY; Bloomberg News; Investor Business Daily; Tampa Bay Times; Tampa Tribune; and Business Week. Mr. Ferrara was featured as one of America's best financial planners in the book Secrets of the Wealth Makers and is a recipient of the Lifetime Achievement Award given by the Tampa Bay Chapter of the FPA.

Mr. Ferrara's recent comments have included:

  • "When most people hear the words financial planner, they immediately assume that what is really meant is investment advisor. We place the emphasis on integrated financial planning and view investment management, retirement planning, estate planning, asset protection, etc. as subsets of financial planning"
  • "Vanguard's rock-bottom fee absolutely should cause [financial-planning firms] to justify to the client the extra expense of what they are doing"
  • "It is very concerning the lack of literacy that people have. It is not taught in our schools and where it is taught, it is not taught as well as it could be. We need to raise public awareness"
  • "The biggest lesson I have learned is to listen to the wisdom of the board and not hear echoes of your own voice in your head. The collective wisdom is the voice that needs to be heard. On boards it is hard sometimes to listen, but that is what I try to do. But I have found with the boards, especially with non-profits, the right people seem to be in the room at the right time"
  • "I have been a CFP for 24 years and I think it’s helped from the standpoint of continuing education. It forces me to remain current with what is happening and apply new thoughts and ideas to solutions that I deliver to client"

Jim Feuille
(Partner, Crosslink Capital)



Jim Feuille
(Partner, Crosslink Capital








Jim Feuille is a Partner at Crosslink Capital. Mr. Feuille is a member of Crosslink’s venture team, focusing on investments in digital media & internet services, financial technology, and software & business services. Mr. Feuille joined Crosslink in 2002, bringing 20 years of technology investment banking and management experience to the firm. Mr. Feuille’s prior positions included global head of technology investment banking at UBS, where he built a powerful global technology investment banking practice from scratch, chief operating officer at Volpe Brown Whelan & Company, where he ran all aspects of the firm’s investment banking and brokerage operations and led the firm to record growth in revenue and market share prior to its acquisition by Prudential, and head of technology investment banking at Robertson Stephens, where he built the technology investment banking team into a leadership position in the industry. Mr. Feuille's board seats have included Chime, DevonWay, Global Analytics, NWP Services, Pandora, Personal Capital, & Reltio.

Mr. Feuille's recent comments have included:

  • "The data-driven applications and data management market is exploding, and Reltio is poised to play a major role. Reltio is the first company in this arena to put tailored data-driven applications into the hands of business users, with the data management compliance and discipline that IT requires"
  • "We believe Chime has the opportunity be a leader in payments and a trusted financial services brand for both young adults and the broader population"

Tom Florence
(CEO, 361 Capital)



Tom Florence
(CEO, 361 Capital








Tom Florence is CEO & President of 361 Capital, responsible for the general management of the firm. He has over 29 years of experience in the financial services industry having been exposed to all facets including investment management, sales and marketing, operations, and general business management. Mr. Florence began his career at Merrill Lynch in equity capital markets before moving on to investment management in the wealth management group. He then spent many years at Fidelity Investments where he was an officer in the Institutional Services Company. After Fidelity, Mr. Florence was a managing director at Morningstar, and on the six person executive management committee which had responsibility for general oversight of the company. While there, he founded and was president of Morningstar Investments Services, a registered investment advisor managing mutual fund portfolios for advisors and their clients. After Morningstar, Mr. Florence was an owner and a managing partner of Dividend Capital Group, a real estate investment management company. In addition, he was co-founder and president of Dividend Capital Investments, a registered investment advisor managing portfolios of real estate securities. Mr. Florence has been on the board of trustees at two mutual fund companies including the Janus Mutual Funds. He has been a frequent industry speaker and a guest lecturer at the University of Denver’s Daniels College of Business.

Mr. Florence's recent comments have included:

  • "In many of the strategies in alternatives, there is capacity constraint and there are already examples in the marketplace where funds have taken on a lot of capacity because they are very good marketing machines. The returns have decreased and, in the end, it has not been a good thing for the investors. At 361 we are very focused on capacity and making sure we limit capacity within our funds"
  • "Long/short equity is the largest category in Morningstar’s classification of alternative mutual funds, but there is currently a shortage of quality funds with track records. By partnering with a proven manager like Analytic Investors, we are able to meet a real need in the marketplace"
  • "Macroeconomic issues and concerns about volatility are pushing investors into liquid alternative mutual funds. Individual investors are seeking out liquid alternatives because they are less expensive than hedge funds, yet offer much greater transparency and liquidity"

Mike Furlong
(CEO, Sliced Investing)



Mike Furlong
(CEO, Sliced Investing








Mike Furlong is CEO of Sliced Investing.

Mr. Furlong's recent comments have included:

  • --

Stewart Gross
(Managing Director, Lightyear Capital)



Stewart Gross
(Managing Director, Lightyear Capital








Stewart Gross is a Managing Director at Lightyear Capital and a member of the investment committee. Prior to joining Lightyear in 2005, Mr. Gross spent seventeen years at Warburg Pincus, where he was a partner and member of the operating committee. Mr. Gross began his career as an investment banking analyst in mergers and acquisitions at Morgan Stanley. Mr. Gross is a board member of Lightyear portfolio companies Alegeus Technologies, RidgeWorth Investments and Wealth Enhancement Group and a former board member of Cetera. Mr. Gross is a trustee of Boys and Girls Harbor and a director of the New York City Partnership Foundation.

Mr. Gross' recent comments have included:

  • [Coming Soon]

Scott Hanson
(Co-CEO, Hanson McClain)



Scott Hanson
(Co-CEO, Hanson McClain








Scott Hanson is Co-CEO of Hanson McClain. Mr. Hanson is also a senior partner and founding principal of Hanson McClain. Mr. Hanson has been named to Barron’s list of the Top 100 Independent Wealth Advisors in America for 2011, 2012, 2013 and 2014, and has been listed as one of the 25 most influential people in the financial services industry nationwide. Mr. Hanson has been a guest on both Fox News and Fox Business, has appeared on Closing Bell, and has provided commentary for numerous print and digital outlets, including CNBC.com, The Wall Street Journal,The New York Times, and the Los Angeles Times. The author of Money Matters: Essential Tips and Tools for Building Financial Peace of Mind, and the co-author of Investment Advisor Marketing, for twenty years Mr. Hanson has co-hosted Money Matters, a weekly call-in talk radio program that airs on KFBK 1530, Sacramento’s largest AM station. Mr. Hanson is the 2011 winner of the Salvation Army’s Spirit of Caring Award.

Mr. Hanson's recent comments have included:

  • "The retirement system in the United States is in chaos. Government retirement vehicles are grossly underfunded, most companies have dropped their defined benefit pension plans, and for those fortunate enough to have a 401K, the savings and investments are at the mercy of their employer's plan administrator. Our nation's approach to retirement is ripe for change, and it would be inspiring to see the president or Congress offer some viable alternatives"
  • "Rather than merely tinkering with our current system, I think it is time for drastic measures. I believe the time is right to decouple retirement savings from our employers"
  • "Does it really make any sense to tie our retirement savings to our employers? Our employers already provide our wages and, in most cases, our health coverage, as well. Why have employers been cast in the position of not only telling their workers how to invest their retirement dollars but of serving as the retirement-plan administrators as well? The entire approach is not only absurd, it also begs the question: when did we become so fragile?"
  • "The downside of 401K plans is that the current system does not allow an employee any freedom. It does not allow the employee to invest his or her own saved dollars how he or she sees fit. Instead, employers throw together a limited menu of investment options, and the employee is left with very little choice. There is no option to choose a favorite investment company or a trusted relative or friend, nor is there the option of hiring an advisor. Let us be frank, here: when it comes to modern retirement plans, you and I are pretty much at the mercy of our employers"
  • "It is time we allow the people who are actually saving for their own retirement to decide what is best for themselves. It is time to limit the power and influence of the employer, the Department of Labor and our elected officials. It is time to place the control of our futures, and of our retirements, back in the quite capable hands of the American people"

Margaret Hartigan
(CEO, Marstone)



Margaret Hartigan
(CEO, Marstone








Margaret Hartigan is CEO of Marstone. Inspired to create a financial services site that not only addressed the primary needs of investors, but enabled them to recast their relationship with money and investments in a manner they never dreamed possible, Ms. Hartigan conceived Marstone. Prior to Marstone, Ms. Hartigan was a top quintile financial advisor for ten years in the Global Wealth Management Group at Merrill Lynch. Her practice was split between New York and San Francisco and her clients were comprised of high net worth individuals and Fortune 1000 companies.  She is a former trustee of Sonoma Academy in Santa Rosa, California, and an active leader in the alumni and major development efforts at Brown University and Phillips Exeter Academy..

Ms. Hartigan's recent comments have included:

  • "We need more tools to automate and scale our businesses. These businesses are hard to scale. Any tool to help the stay connected with clients I think is beneficial"
  • "We are not here to disrupt advisors at all and is why we launched into the institutional space first. Marstone will educate investors through design"
  • "There is a belief that the robo advisor will disintermediate traditional advisors from the planning process, but that is not true"
  • "There are 50,000 fewer advisors in the industry today then in 2008. We need technology simply to handle the wealth transfer. This is why robo-advisors will complement, rather than replace, traditional advisors. Finance is intimidating for the majority of Americans, so they want the personal relationship, but it’s not a scalable business if it is purely human-driven. Technology devoid of humanity will not win"
  • "Technological advancements have forever shifted consumer behavior, redefined our expectations of the companies we do business with, and fundamentally altered how we communicate with the world. Combining humanity with technology and design will result in deeper client engagement, retention and recruitment"

Pete Hess
(CEO, Advent Software)




Pete Hess
(CEO, Advent Software)








Pete Hess is CEO of Advent Software. Mr. Hess is responsible for vision, strategy, & execution across the firm’s global business. Prior to his appointment to CEO, Mr. Hess served as the company's president for three and a half years, with responsibility for strategy, sales, marketing, services, & product teams worldwide. Mr. Hess has been with Advent Software since 1994 and has held a variety of positions in the company, including executive vice president and general manager of the company's largest businesses, and, previously, vice president of sales and vice president of marketing.

Mr. Hess' recent comments have included:

  • "We have seen movement away from internally developed technology toward outsourced solutions. Among wirehouses this has been an interesting trend"
  • “The client space has certainly been evolving a lot more quickly in the last five years than it had previously. If you look at the buy side and go back ten or fifteen years ago, you had mostly traditional asset managers who serviced high net worth institutional clients around the globe. What you see today is a lot more specialization in the buy-side landscape. You have dedicated hedge funds, dedicated, traditional asset managers, & people who manage mutual funds and long-only investment portfolios”
  • “From the 1990s until about 2009, we saw a lot of firms that were single product specialists. Since the market crisis, it seems that a lot of those firms are now diversifying into other products, which has created an opportunity for Advent Software”
  • "We did not want to force the wrong system on the wrong client. That decision was the right decision long-term. And we feel really good about the fit of the products that we are rolling out to our clients"
  • “I am really thrilled. We had to earn the trust of the marketplace back and we are making good progress"

Spencer Hoffman
(Managing Director, Lovell Minnick Partners)



Spencer Hoffman
(Managing Director, Lovell Minnick Partners








Spencer Hoffman is Managing Director of Lovell Minnick Partners. Mr. Hoffman is a member of Lovell Minnick Partners' investment committee, joining the firm in 2007. Prior to joining LMP, Mr. Hoffman was a principal at Safeguard Scientifics, a publicly-traded growth capital investor, where he completed over 20 private equity and public transactions.  Prior to pursuing his MBA, Spencer was the manager of corporate affairs at MicroStrategy, and also was in the global investment banking group at Merrill Lynch & Company. He is a member of the board of directors of HD Vest Financial Services, Worldwide Facilities, and is a member of the executive committee and former co-president of the Wharton Private Equity & Venture Capital Association. Prior board positions include ALPS Holdings and Leerink Swann Holdings.

Mr. Hoffman's recent comments have included:

  • "HD Vest’s brand, combined with its track record of growth and client service, firmly establishes the company’s leadership in providing financial advice through the tax professional market. HD Vest’s continued focus on tax professionals, and the specific needs they and their clients have, create a differentiated platform that we believe will thrive for years to come"

David Jegen
(Partner, F Prime Capital)



David Jegen
(Partner, F Prime Capital








David Jegen is a Partner with F Prime Capital, the venture capital firm affiliated with the owners of Fidelity Investments, formerly part of Devonshire Investors. He has led investments in Cloudant (acquired by IBM), Kensho, FutureAdvisor (acquired by BlackRock), peerTransfer, Tradier and Eris Exchange. Mr. Jegen was a co-founder of Sensoria, and vice president of Product at Into Networks, a Fidelity Ventures and Venrock-backed company acquired by Softricity, now part of Microsoft. Most recently, Mr. Jegen was a senior executive at Cisco Systems. He held early positions with JP Morgan & Company and The Boston Consulting Group. In 2014 Mr. Jegen co-founded FinTech Sandbox, a nonprofit that serves FinTech entrepreneurs by aggregating data and infrastructure for free during a startup’s development phase, backed by leading institutions like ThomsonReuters, FactSet, Yodlee, Amazon, S&PCapitalIQ and Fidelity Investments.

Mr. Jegen's recent comments have included:

  • "FinTech entrepreneurs have a unique problem, which is the high cost of data to help them build applications. They raise $2 million of venture capital funding, and then spend $100,000 of it buying market data from Bloomberg or Thomson Reuters. Or they show up to customers, who say, nice app, but it has not been tested on robust data sets. We think that is a problem we can help solve"
  • "Bankers will get direct feedback and much more frequent feedback from the startups in the Sandbox using their data. So if they value that proximity and ability to go in and talk to the founders of those companies, we will be able to give them that "

Chris Jones
(Chief Investment Officer, Financial Engines)



Chris Jones
(Chief Investment Officer, Financial Engines








Chris Jones is Chief Investment Officer of Financial Engines.

Mr. Jones' recent comments have included:

  • --

Kunal Kapoor
(President, Global Client Solutions Group, Morningstar)



Kunal Kapoor
(President, Global Client Solutions Group, Morningstar








Kunal Kapoor is President of the Global Client Solutions Group at Morningstar.

Mr. Kapoor's recent comments have included:

  • [Coming Soon]

Zachary Karabell
(Head of Global Strategy, Envestnet)



Zachary Karabell
(Head of Global Strategy, Envestnet








Zachary Karabell is Head of Global Strategy at Envestnet. Mr. Karabell helps shape and communicate Envestnet’s investment perspective and deep research capabilities to clients and the media alike, acts as portfolio manager of the Ascent funds, and advises the PMC Investment Committee in connection with PMC’s portfolio solutions. He also consults with the senior management of Envestnet on corporate strategy, branding, and market position. Mr. Karabell is President of River Twice Research, a consulting company. Previously, he was executive vice president, chief economist, and head of marketing at Fred Alger Management, a New York-based investment firm. He was also president of Fred Alger & Company, a broker-dealer; portfolio manager of the China-U.S. Growth Fund (CHUSX); and executive vice president of Alger’s Spectra Funds, a no-load family of mutual funds that managed the Spectra Green Fund. At Alger, he oversaw the creation, launch, and marketing of several funds, led corporate strategy for strategic acquisitions, and represented the firm at public forums and in the media. Mr. Karabell has taught at several leading universities, including Harvard and Dartmouth, and has written widely on economics, investing, history, and international relations. He is the author of twelve books and sits on the board of the New America Foundation and the Carnegie Council on Ethics. In 2003, the World Economic Forum designated him a Global Leader for Tomorrow. He is a senior advisor for BSR, a membership organization that works with global corporations on issues of sustainability. As a commentator, Mr. Karabell is a contributing editor and regular columnist for Politico, and he previously penned the weekly column The Edgy Optimist for Slate, Reuters, & The Atlantic. He is a commentator on CNBC and MSNBC, contributing editor for The Daily Beast, and writes for such publications as The Washington Post, Time Magazine, The Wall Street Journal, The Los Angeles Times, The New York Times, Foreign Policy, The Financial Times, Foreign Affairs, and Barron's.

Mr. Karabell's recent comments have included:

  • “Many, many Americans are concerned about stagnant wages. But more to the point, they are concerned about whether their income can meet their needs. If everyone’s income stayed about the same but the costs of living went down, it wouldn’t matter if incomes were stagnant – or at least it should not. There is substantial evidence that many of life’s necessities are getting either cheaper or not getting any more expensive”
  • “The only thing that is clear about employment and wages, therefore, is the following: jobs in the United States are relatively plentiful but well-paying jobs are less so. And you had better pick a job in a rising rather than a declining sector, or you are screwed. Wages are booming for jobs that are attached to the evolving technology-infused economy of tomorrow; they are not booming and may be contracting for anything that can be done by almost anyone. As a result, wages may rise somewhat, but only because they are rising well above inflation for some and not much in real terms for most”
  • “In the waning moments of 2014, something happened that had been a long-time coming but seemed it might never arrive: the public mood in America shifted, ever so slightly yet significantly, from negativity and pessimism about the arc of the economy to something approximately hope about the future”
  • “United States stocks are now modestly positive for the year (the S&P 500 is up just shy of 1.5% as of February 12), while global equities are for the first time in a long while outperforming considerably. The lack of panic in the face of volatility and the modest start should be seen as quite positive signs. Equities are not galloping too far ahead, and fear seems as much in check as euphoria. That equilibrium rarely lasts, so we should use it well to position and tweak”
  • “Active versus passive. No, it is not a debate to stir the passions of the public, but in the world of investing and deciding how to gain exposure to sectors, it is a rivalry up there with the Hatfields versus the McCoys, the North versus the South, the Yankees and the Red Sox... in truth, however, while the polarized positions speaks to different groups of managers battling for fund flows and for the upper hand in a market debate, most investors are best served not by an either-or approach. Instead, placing select bets on select active managers can and likely should be combined with select positions in select passive funds”

Aaron Klein
(CEO, Riskalyze)



Aaron Klein
(CEO, Riskalyze








Aaron’s career has largely been at the intersection of finance and technology. As Co-Founder and CEO at Riskalyze, he led the company to twice being named one of the world’s top 10 most innovative companies in finance by Fast Company Magazine. Today, 90 Riskalyzers serve thousands of advisors who manage over $90 billion on the platform. In his spare time, Mr. Klein serves as a Sierra College Trustee, and co-founded a school project for orphans and vulnerable kids in Ethiopia. He has been honored by Investment News as one of the industry’s top 40 Under 40 executives.

Mr. Klein's recent comments have included:

  • "Advisors today are spending 50, 60, 70 basis points on their clients’ money trying to manually manage the money and provide all of that client service. What Is incredible about Autopilot is that for 25 basis points that advisor gets to put all of their hassles of their business on autopilot – the trading; the rebalancing; the client-service calls, you know, the pedestrian client-service calls to liquidiate some money, withdraw some money, and transfer some money in. They get to put all of that on autopilot, and they get to get back to focusing on their clients and running their business”
  • "The Autopilot platform is pretty unique in its ability to democratize access to advice, because, it really gives advisors the ability to profitably serve clients large and small"
  • "When advisors have gone in to advise on a 401K plan they [are] usually … only focusing on the 5% of participants who have a lot of outside assets, but, with the Autopilot platform that advisor can profitably serve every single plan participant, which means every one of them is going to get higher quality advice overall. We think that is really important for advisors"
  • "We went from the denial stage where advisors refused to believe it would affect their business to the alarmist stage, which we are in now, where suddenly they believe they have to become robo-advisors to survive. But we cannot out-robo the robo-advisors. In the race to depersonalize the investor experience, the venture capital-backed money will win"
  • "Advisors say they want simplicity, and then they send us requests on a monthly basis to make it more complicated. We simply say no, because at the end of the day they still want simplicity, and it is something they love us for”

Jan Kolbusz
(Founder, Decimal Software)



Jan Kolbusz
(Founder, Decimal Software








Jan Kolbusz is Founder of Decimal Software, the world's first patented, cloud-based financial services platform to provide a seamless end-to-end solution for offering customer driven advice and fulfilment to a mass market across all personal financial product types. After beginning his career leading technology developments in health, Mr. Kolbusz moved to financial services where he pioneered industry leading portfolio administration service, Asgard.

Mr. Kolbusz' recent comments have included:

  • Existing trusted product providers with the ability to add online robo-advice with zero operational overhead is the real game changer”
  • “The combination of robo-advisor ease and convenience coupled with existing trusted brands and products is everything the majority of consumers will ever need”
  • “Consumers need to feel an advisor is instantly on hand even though they do not want to have to call on it”
  • "The contestable market for holistic advice is not where the growth is at present. The market that is not getting advice is those who want it online and with instant responses, with phone support an option"
  • "When an advisor generates a piece of advice automatically out of Decimal it is totally produced from inside the system, it is all captured in a database – there is no word processor in sight. So a compliance officer can absolutely see in real time what has been done"

Brad Matthews
(CEO, Trizic)



Brad Matthews
(CEO, Trizic








Brad Matthews is CEO of Trizic. Mr. Matthews has extensive investment management expertise and a penchant for technology innovation. Prior to founding Trizic, Mr. Matthews was a private banker with JP Morgan where his clients included hedge funds, sports teams, and high net worth individuals—including seven billionaires. He has also worked for Citi Private Bank, Barclays, and Bear Stearns. He has ten years of experience in investing and risk management, financial planning, and structured finance. Mr. Matthews holds FINRA Series 7 & 66 licenses.

Mr. Matthews' recent comments have included:

  • "We treated our foreign team like Spock. All logic, zero emotion. When you treat people like robots, you do not inspire outstanding work, convey your vision, or instill passion"
  • "A decade is a long time to get used to a global economy. Nonetheless, a Silicon Valley tech company, capable of easily knowing better, fell into the momentary trap of treating offshore people like machinery for the same reason you might: You are busy; it is easier to believe that clearly-worded commands solve everything. I get all that. But when it comes to building something awesome, you flat out need people who care deeply about you and your vision"
  • "Is it over for the direct-to-consumer robo advisor? It is sure starting to look that way, despite the phenomenal success of the early robo advisors"
  • "The biggest financial firms simply have too many financial resources and technology know-how to allow upstarts -- well-funded though they may be -- to undermine what has become a core business and earnings stream. As the largest banks, brokerages, wirehouses and asset managers begin offering digital investment advisory services, they will blunt the threat from stand-alone robo advisors and maintain their existing, significant market share. That is bad news for most of the robo advisors, whose business models are predicated on taking market share from the industry’s established players"
  • "If the robo advisor is such a good idea, why have the biggest firms been slow to embraced it? It is true the largest financial institutions have been caught off guard by the success of the early robo advisors. That is normal when innovation disrupts the status quo. Change often surprises the incumbents. To their credit, the industry has moved quickly beyond whether a robo advisor is a good idea. They’re now true believers. It’s just a matter of implementation. Many of the largest players are convinced not only because of the early robo advisors, but because of the success of institutional players such as Charles Schwab"

Ed Moore
(President, Edelman Financial Services)



Ed Moore
(President, Edelman Financial Services








Mr. Moore is a Certified Financial Planner practitioner and has been helping clients achieve their goals for 30 years. He joined Ric Edelman 25 years ago as the 6th employee of Edelman Financial Services. Working side-by-side with Mr. Edelman ever since, Mr. Moore has been a key contributor to Edelman’s amazing growth through the years, and he is responsible for all financial advisory, client service and operations functions for the firm, which now has 120 planners in 41 offices and 500 employees. He has served as EFS President since 1996.

Mr. Moore's recent comments have included:

  • “The organic growth of Edelman Financial Services is unprecedented. In 2009, we had 25 financial planners in the Washington, DC area managing $4.5 billion for 10,000 clients. Six years later, we have 120 planners in 41 offices coast-to-coast, managing $14 billion for 28,000 clients. And we have built a foundation that will allow us to accelerate our growth trajectory”
  • “Financial education has been the key to our success. We reach consumers through radio, television, print, digital and seminars. By demonstrating our abilities and approach to personal finance, many of those whom we have educated turn to Edelman Financial for help with their finances”

Hans Morris
(Managing Partner, Nyca Partners)



Hans Morris
(Managing Partner, Nyca Partners








Hans Morris is Managing Partner of Nyca Partners. Mr. Morris is a director of portfolio companies Lending Club, Payoneer and Cardworks. Previously, he was managing director at General Atlantic, a global growth equity firm, where he continues to serve as a director for KCG. From 2007-2009, Mr. Morris was president of Visa while it completed its reorganization and 2008 IPO, which remains one of the largest in history. He was at Citigroup and its predecessors for 27 years in various roles, including CFO of the institutional businesses, COO of the investment bank, and head of the financial services group.

Mr. Morris' recent comments have included:

  • "The ability to transfer money on social media with just a hashtag is revolutionary for the financial technology sector – a space ripe for disruption"
  • "Global financial services companies require the right application of technology, compliance and regulatory rigor, while also creating a compelling user experience. Payoneer continues to show it can excel in all of these areas, and continues to innovate and create compelling solutions for companies that need to make lots of payments or get paid in lots of places. It is a great leadership team, with a big vision, and I am excited to be part of it"
  • "SigFig sees the extraordinary opportunity to marry scalable automated investment advising with mainstream financial institutions and their millions of customers who need easy access to high quality, affordable advice. Our model at Nyca consists of investing both our time and money in what we believe in. We believe in SigFig’s mission and are excited to be a part of their journey"
  • "Technology advances in the consumer space have been breathtaking but in the institutional world, bank desktops are still dominated by legacy software. Banks clearly want to accelerate the development of financial applications, and OpenFin provides the technology to enable that to happen"
  • "Unless you are a really big company, making cross-border B2B payments is a shockingly bad experience. Businesses pay opaque fees, and neither the recipient nor the payer has any idea when the payment will be credited. Align Commerce has low fees, real-time tracking, and complete transparency on foreign exchange costs. We invest in companies with innovative solutions to big problems in financial services. This is central to our business model, and Align accomplishes just that"

Patricia Nakache
(General Partner, Trinity Ventures)



Patricia Nakache
(General Partner, Trinity Ventures








Patricia Nakache is General Partner of Trinity Ventures. Since joining Trinity Ventures in 1999, Ms. Nakache has focused on funding companies launching innovative Internet services around fundamental business or consumer needs.  Her passion is partnering with entrepreneurs to nail their value proposition and develop a scalable business model. Ms. Nakache has active investments in BeachMint, Care.Com, Kixeye, PayScale, Ruby Ribbon, and ThredUp, and was previously involved with Affinity Labs (acquired by Monster Worldwide), LoopNet (LOOP), MyNewPlace (acquired by RealPage) and Sabrix (acquired by Thomson Reuters, TRI). Prior to Trinity Ventures, Ms. Nakache worked at McKinsey & Company, helping enterprises in technology, financial services and retailing identify and address their strategic and operational issues. Previously, she also contributed to FORTUNE magazine and other publications on management best practices in technology companies. Ms. Nakache is a member of the Stanford Business School Trust Investment Committee.

Ms. Nakache's recent comments have included:

  • "There is an ironic, philosophical gap between the creative idealism of the startup industry and the investors who fund them. Our industry, with its insatiable appetite for ideas that will change the world, is stuck in a traditional paradigm that does a regrettable disservice to the industry it claims to support"
  • "Your career is a marathon, not a sprint. As you balance work and family, it may take you a little longer to achieve leadership roles than your male counterparts, but stay in the game and you will accomplish your goals"
  • "Another constant source of hope: the next generation. Millennials are the most passionate, value-driven and brand-savvy people the industry has known. They display stalwart loyalty to brands that share their own values. They are also the most diverse generation in US history, so naturally, diversity is important to them"
  • "The most successful female entrepreneurs are recruiting buy-in to their mission and culture"
  • "I sincerely hope that millennials will apply their unique ethos to their funding strategies and career decisions. I hope they seek out and partner with venture capitalists who share their same values about gender diversity, who are unafraid to invest in woman-led startups, and who have women on staff throughout their ranks. I hope they will embrace the diversity that helps to define their generation"

Michael Pinsker
(CEO, Docupace Technologies)



Michael Pinsker
(CEO, Docupace Technologies








Michael Pinsker is CEO of Docupace Technologies. Mr. Pinsker grew up in Kiev, the capital of Ukraine, where he studied math from a very young age. In 1991, when he emigrated to the United States, he turned that talent in mathematics towards focusing on technology and software development. Through projects with clients as diverse as Datamax Technologies, Unisys, and Paramount Pictures, Mr. Pinsker tested different workflow solutions and imaging strategies. This background and expertise led him to found Docupace Technologies in 2002, focusing on bringing those workflow solutions to the financial services arena in a unique software as a service model. By launching this innovative approach to workflow issues, Mr. Pinsker and Docupace hoped to provide the highest level of support and service at a reasonable price to truly make straight-through processing a reality for offices of any size.

Mr. Pinsker's recent comments have included:

  • "Docupace is dedicated to providing high quality, enterprise-class solutions for financial service firms. We have identified a need for complimentary cyber-security services that can be offered to firms of all sizes without diluting the service offering due to economic constraints. Together with Security Snapshot, we are excited to launch this new initiative to fill this critical need"
  • "Our vision for the industry and overall solutions we can provide is perfectly aligned. We consider RCS Capital a perfect partner for us in future stages of our growth"
  • "We are enhancing the depth and breadth of our ePACS productivity suite to bring added value to our current customers and the financial services industry at-large. Each of these new solutions leverages the strength and power of the ePACS technology platform, while addressing long-standing challenges for financial services firms"
  • "Last month, when it was announced that Pershing LLC (Pershing) had selected SIGNiX as the digital signature solution to be integrated into NetX360, we were extremely excited at Docupace. If Pershing's decision to move towards e-signatures was not a seismic shift in the industry moving toward STP, then I am not sure what is. This provides credibility that Straight-Through Processing is having a profound impact on the way the industry is progressing"
  • "Docupace is very excited to partner with JP Turner and leverage the efficiencies of the Docupace STP Network for all of their advisors"

Eduardo Repetto
(Co-CEO, Dimensional Fund Advisors)



Eduardo Repetto
(Co-CEO, Dimensional Fund Advisors








Eduardo Repetto is Co-CEO of Dimensional Fund Advisors. Mr. Repetto also serves as Co-Chief Investment Officer. He provides oversight across the investment, client service, marketing, and operational functions of the firm. Mr. Repetto is a director of both Dimensional Fund Advisors and the Dimensional US Mutual Funds and a member of the Investment Committee and Investment Policy Committee. He joined the firm in 2000.

Mr. Repetto's recent comments have included:

  • "The moment you say index, you are telling the world you are going to be trading on this particular day. If you have zero flexibility when you trade, it is going to cost you money"
  • "I think people have been a bit disappointed by stock picking so people are trying to move away from it"
  • "Advisors are increasingly interested in moving towards making rational decisions based on very sound academic research, and that is what we provide"
  • "Momentum factors last for a shorter period than value factors. When that downward momentum decays, if the stock is still a good value, we will consider buying"
  • "We like to track the data on everything, so we can create a history, which could be useful if things change"

John Rooney
(Managing Principal, Commonwealth Financial Network)



John Rooney
(Managing Principal, Commonwealth Financial Network








John Rooney is Managing Principal of Commonwealth Financial Network. Mr. Rooney came to Commonwealth in 1988 after spending five years as a vice president at Moseley Securities in Boston. Arriving to work in the product department, Mr. Rooney handled mutual funds, many partnerships, commodities, variable annuities, qualified plans, and individual issues. Over time, he has helped engineer the growth of not only the product department but also Commonwealth as a whole and is relied upon by all parties for his advice and perspective on the direction of the firm. Mr. Rooney opened and now manages Commonwealth’s west coast office in San Diego. He has been a guest on numerous television shows and nationally syndicated radio programs. He also holds FINRA Series 7, 24, 63, and 65 securities registrations.

Mr. Rooney's recent comments have included:

  • "We have seen that our most successful inroads are through companies that are experiencing significant shifts in their business models or their ownership structure or organization"
  • "With variable annuities, the contracts are more expensive and the riders are less attractive. It is more difficult for advisers to do 1035 variable annuity exchanges, and the new business is not as attractive"


Babu Sivadasan
(President, Envestnet Retirement Solutions)



Babu Sivadasan
(President, Envestnet Retirement Solutions








Babu Sivadasan is President of Envestnet Retirement Solutions. Mr. Sivadasan has a distinguished record working with entrepreneurs, turning their ideas into innovative companies, and delivering solutions for Fortune 500 companies. He has extensive experience in global software delivery models and coordination of engineering activities across geographically distributed groups. He also is experienced in leading architecture, design, and development for large projects. For the past fifteen years, his focus has been on the internet and e-commerce application, and he has acted as a lead architect and programmer for Hewlett-Packard, where he worked on building a Java Virtual machine and an embedded application delivery platform. He was also the founding technology officer for several start-up companies, including Stamps.Com. Mr. Sivadasan has also worked as a technology consultant for application infrastructure companies like Quest Software and financial services companies like Discover Card.

Mr. Sivadasan's recent comments have included:

  • “Envestnet provides advisors with flexible, efficient, and scalable access to intellectual capital from more than 60 institutional managers through the Envestnet Fund Strategist Network. We are offering a similar service for retirement plan advisors"
  • "The ERS Fund Strategist Network enables us to provide the independent, unbiased fiduciary oversight and support that retirement plan sponsors, broker-dealers, and advisors are seeking. Given the adoption of the fiduciary standard and prudent investment practices in the retirement industry, we believe the Network can help broker-dealers, banks and trusts, and retirement advisors to truly act in the best interests of plan sponsors and participants"
  • "Startup Village must be commented for its vibrant environment and the opportunities it was providing to youngsters and for bridging the gap between Silicon Valley and Kerala"

Bill Sowell
(CEO, Sowell Management Services)



Bill Sowell
(CEO, Sowell Management Services








Bill Sowell is CEO & President of Sowell Management Services. Mr. Sowell began his career in the financial services industry in 1990 where he quickly became a top producer within the industry. In 1995, Mr. Sowell began a fee-only practice now known as Sowell Management Services, which services some of the top independent broker/dealers in the United States. As CEO and a member of the firm’s Investment Committee, Mr. Sowell’s primary role is to oversee sustainable and continued growth for the firm, regulatory compliance and public relations. He has series 7, 24, 51, 63 and 66 securities licenses as well as his life, health & disability insurance license. Mr. Sowell has strong roots in the community and has served as past president of the Rotary Club of Little Rock and is a Paul Harris Fellow. He served on the board of directors and also as past chair of Leadership Greater Little Rock and supported the Youth Leadership Institute and numerous other nonprofit organizations.

Mr. Sowell's recent comments have included:

  • [Coming Soon]

Hal Strong
(Operating Executive, Genstar Capital)



Hal Strong
(Operating Executive, Genstar Capital








Hal Strong is Operating Executive of Genstar Capital. Mr. Strong is responsible for expanding Genstar’s financial services practice, in particular in the areas of asset management, wealth management and financial technology. Mr. Strong serves as a director of Altegris, Asset International, and AssetMark. Prior to joining Genstar, Mr. Strong was most recently vice chairman of Russell Investments, where he helped build Russell into a global investment company with $250 billion in assets under management serving individual, institutional and advisor clients in more than 40 countries. During Mr. Strong’s eighteen-year career at Russell, he also served as Russell’s chief operating officer, chief financial officer, head of alternative investments and head of investment banking, having founded the latter two businesses at Russell. Mr. Strong has nearly 30 years of experience in the asset management and investment banking industries, beginning his career in the investment banking division of Salomon Brothers in New York.

Mr. Strong's recent comments have included:

  • [Coming Soon]

Jason Thomas
(CEO, Savos Investments)



Jason Thomas
(CEO, Savos Investments








Jason Thomas is CEO & Chief Investment Officer of Savos Investments, a division of AssetMark. He is responsible for the leadership and oversight of the Savos investment platform and the strategic direction of the division. Mr. Thomas joined Savos Investments in December 2014. Previously, he was the CEO of Portfolio Design Labs, a company he founded to provide next generation risk measurement and management to investment advisors and institutional investors. Prior to that, he was the chief investment officer of Aspiriant, the leading independent wealth management firm in the U.S. with $8 billion in assets under management and advisement. Mr. Thomas began his career at the Federal Reserve Bank of San Francisco.

Mr. Thomas' recent comments have included:

  • “We believe wealth is reliably created only through participation in profitable economic activity. Risk is unavoidable, but take it intelligently”
  • “Because so much of the total wealth generated by a bull market comes at the very end of the cycle, reallocating away from equities due to client concerns about the current market environment can be a very costly strategy”
  • “Remember that both advisors and clients evaluate their entire experience; we sometimes forget that an individual’s feelings are integral to the investment process”
  • “Like Billy Beane [the general manager of the Oakland A’s], Savos’ job is to build a championship team. When we build a stock portfolio, our goal is to combine companies with appealing individual characteristics that also complement the other holdings”
  • “Embrace volatility and look for undervalued areas of the market; for example, our research has indicated a significant current opportunity in high yield municipal bonds”

Allen Thorpe
(Managing Director, Hellman & Friedman)



Allen Thorpe
(Managing Director, Hellman & Friedman








Allen Thorpe is a Managing Director of Hellman & Friedman. He leads the firm’s New York office and focuses on the healthcare and financial services sectors. Mr. Thorpe is a Director of Pharmaceutical Product Development, and Emdeon, and is a member of the Advisory Board of Grosvenor Capital Management Holdings. He was formerly a director of LPL Financial (LPLA), Artisan Partners Asset Management (APAM), Mitchell International, Gartmore Investment Management Limited, Mondrian Investment Partners Limited, Vertafore, Activant Solutions, and Sheridan Holdings. Prior to H&F, Mr. Thorpe was a vice president with Pacific Equity Partners in Australia and was a manager at Bain & Company. Mr. Thorpe also currently serves on the Board of Trustees for the NYU Langone Medical Center and the Advisory Council of the Stanford Center on Longevity.

Mr. Thorpe's recent comments have included:

  • "We are proud to have been part of Sheridan’s successful growth and transformation over the last seven years, and we look forward to the promising union of AMSURG and Sheridan. As an ongoing significant shareholder of the combined company, we are confident in the growth and expansion prospects of the new AMSURG and the opportunities we see for continued equity value creation"

Jim Tracy
(Vice Chairman, Morgan Stanley Wealth Management)



Jim Tracy
(Vice Chairman, Morgan Stanley Wealth Management








Jim Tracy is Vice Chairman and a Managing Director of Morgan Stanley Wealth Management. Prior to his current role, Mr. Tracy was the director of Consulting Group Wealth Advisory Solutions. This organization included the Consulting Group, Graystone Consulting, Financial Planning Solutions, the Wealth Planning Centers, The Family Wealth Director Program, Philanthropic Programs and Impact Investing Initiatives. Consulting Group is one of the nation’s leading providers of investment consulting and managed money services. Under Mr. Tracy’s leadership the Consulting Group has grown to over $823 billion in advisory solutions and has achieved #1 market share leadership every year. Mr. Tracy was also formerly the director of national sales and business development for the Global Wealth Management Division of Morgan Stanley Wealth Management, responsible for national sales, business development and professional development. Mr. Tracy has served the firm in many leadership roles and has been with Morgan Stanley Wealth Management since 1988. In addition, Mr. Tracy was formerly the chairman of MMI (Managed Money Institute). Mr. Tracy has over 30 years of industry experience. He has held multiple roles that have progressed him through his career. He served as a financial advisor, branch manager and regional director, all helping him gain perspective on serving clients and developing an understanding of the importance of the advisor/client relationship. Outside his efforts at Morgan Stanley Smith Barney, Mr. Tracy has contributed numerous articles, presentations, workshops and has been a featured speaker on trends and innovations in the financial services industry. He currently serves on the board of Marietta College. In addition, Mr. Tracy is a solid supporter of the Special Olympics Organization and has been a contributor on multiple levels for the past twenty years.

Mr. Tracy's recent comments have included:

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Hardeep Walia
(CEO, Motif Investing)



Hardeep Walia
(CEO, Motif Investing








Hardeep Walia is CEO of Motif Investing. Mr. Walia co-founded Motif Investing to create an intuitive way to invest conceptually. He spent more than six years at Microsoft, where he was general manager of the company's enterprise services business, and prior to that was a director of corporate development and strategy, helping to oversee Microsoft's investments and acquisitions. He started his career at The Boston Consulting Group. He holds Series 7, 63 and 24 licenses in the securities industry, is an active member of FINRA's Small-Firm Advisory Board, serves on FINRA's Technology Advisory Committee and contributes frequently to Bloomberg TV, CNBC, Fox Business and Forbes.

Mr. Walia's recent comments have included:

  • "With interest rates poised to rise over the next few years, a large allocation to bonds, especially now, may result in significant capital loss"
  • "It [changing interest rates] hits every aspect of your daily life, from student loans to adjustable rates on your mortgage to your credit card debt, so you want to be very careful, making sure you understand the impact"
  • "If you think the Fed will indeed say yes to a rate hike in September, then you may want to take some of your allocation from your bond funds that are heavily exposed in a negative way to interest-rate increases"
  • "We have always been passionate about building a highly intuitive trading platform and now we are extending that attention to single stock trading with real-time dollar-based trading. Most investors think of trading in terms of whole dollars -- with Motif you no longer have to settle for rounding up to whole shares, you can trade any dollar amount that you want"
  • "It (Swell) is a way of getting market returns. You are investing in your retirement, your education and yourself personally and, while you are doing that, Pacific Life is doing something remarkable. I do not know of another fund that is investing 20% of its revenues to doing good"

Amy Webber
(President, Cambridge Investment Research)



Amy Webber
(President, Cambridge Investment Research








Amy Webber is President of Cambridge Investment Research. With over 25 years of experience, Ms. Webber’s commitment to independent rep-advisors is demonstrated in her passion for delivering high level, personal service and leading management solutions. Her personal interest lies with continually refining the independent broker-dealer model to best support the next generation of independent advisors – including creating innovative programs such as the Cambridge Source outsourcing program and the Cambridge Next Step internship program. Ms. Webber serves as vice chair for the 2015 Financial Services Institute Board (FSI), an advocacy organization for independent broker-dealers and their affiliated independent financial advisors. In 2012 and 2014, Ms. Webber was recognized as a member of the IA 25 by Investment Advisor magazine and in 2011, 2010, and 2009 as one of the Top 50 in wealth management by Wealth Manager.

Ms. Webber's recent comments have included:

  • "We have 80% of advisors now using our corporate RIA. Ten years ago, that number [was] the opposite. The regulatory climate is crazy. Three of our largest [independent] RIAs had the SEC show up at their doors in the last eighteen months. They had no fun [with] their audits"
  • “We call them [Cambridge's three branches doing over $20 million in revenue] the B-Ds inside a B-D. They are successful organizations that add a lot of value to advisors who join. They are growing, and definitely here to stay"
  • "Richer deals [recruiting deals at around 35% to 40% of annual production] may be a product of smaller pipelines, and firms do not feel they can back off"
  • "It does feel that fee-based advisors are moving less and our business is more highly geared toward fee-based"
  • "I do not think it is reasonable to assume that someone working under a suitability standard is a crook, and they should not have to tell a client they are. It is unfortunate that the policymakers are reading too much into what a regulation can do in the real world. Both sides can come to the table to do what is right for the client"

Spencer Williams
(CEO, Retirement Clearinghouse)



Spencer Williams
(CEO, Retirement Clearinghouse








Spencer Williams is President, CEO and Founder of Retirement Clearinghouse. Prior to joining Retirement Clearinghouse, Mr. Williams served in a number of senior executive roles at MassMutual Financial Group, and as a retirement services executive at Federated Investors. Mr. Williams is registered with the NASD as a General Securities Principal and General Securities Representative.

Mr. Williams' recent comments have included:

  • "Polled investors have good reason not to have high confidence in their retirement readiness. Many Americans unintentionally deplete their retirement savings by making three costly mistakes during their working lives: leaving 401K accounts behind when changing jobs; cashing out retirement savings accounts prematurely; & not informing prior employers' retirement plan record-keepers about address changes"
  • "Our research demonstrates that if you change jobs and leave behind a 401K balance for the first time at age 25, and repeat this practice, by age 65 you will have paid more than $30,000 in unnecessary administrative fees"
  • "Consolidating balances at the point when you switch employers ensures that you avoid the temptation to cash out, and saves you money you would lose on fees (and future earnings on compound interest) from multiple accounts. In addition, if all of your retirement savings balances are in your current employer's plan, then you can rest assured that your assets will not be unilaterally rolled over or cashed out (and you don't have to be bothered with calls to multiple plan record-keepers if you move"
  • "Account consolidation benefits all parties in the retirement system—plan participants, sponsors, record-keepers and other service providers. More plan sponsors are promoting and facilitating roll-ins of accounts as a cost-effective way to improve plan performance metrics, as well as retirement outcomes for participants. As this trend gains further momentum, the benefits become more obvious to the industry"
  • "We are proud to have helped so many retirement plan sponsors and participants achieve better long-term outcomes. We look forward to enabling more employers and employees around the country to experience the benefits of automated retirement savings portability and account consolidation"

Bob Worthington
(President, Hatteras Funds)



Bob Worthington
(President, Hatteras Funds








Bob Worthington is President of Hatteras Funds. Mr. Worthington oversees the investment and portfolio management teams of Hatteras Funds. Additionally, he serves on the investment committees for various investment funds including the Hatteras Alternative Mutual Funds. Prior to joining Hatteras, Mr. Worthington was a managing director at JPMorgan Asset Management. His previous investment management experience includes president of Undiscovered Managers, and principal and senior vice president of the Burridge Group. For the first ten years of his career, Mr. Worthington held various corporate finance positions with Mellon Bank, Nikko Securities, Bankers Trust, and Westpac Banking.

Mr. Worthington's recent comments have included:

  • "That adoption [of public funds] has been slow so far, but that could increase over the next three to five years. Part of that is are they going to be convinced that you can achieve a suitable risk return objective in that liquid format"
  • "What it [the rise of liquid alternatives] has done for the industry, is it has started to bring down fees... it is providing a much higher model of transparency... and of course you have liquidity. That is a good thing"


Tiburon was pleased to welcome the following 187 attendees at Tiburon CEO Summit XXIX:


  • Chip Roame (Managing Partner, Tiburon Strategic Advisors)
  • Cooper Abbott (Co-Chief Operating Officer, Eagle Asset Management)
  • Mike Abelson (Executive Vice President, Corporate Development, AssetMark)
  • Rahul Agrawal (Business Head, Equities, Advisor Partners)
  • Blaine Aikin (CEO, fi360)
  • Mike Alfred (CEO, BrightScope)
  • Ryan Alfred (President, BrightScope)
  • Anil Arora (CEO, Yodlee)
  • Bill Bachrach (CEO, Bachrach & Associates)
  • Nathan Bachrach (CEO, Simply Money Advisors)
  • Michael Battey (Co-Founder, Emerald Bay Wealth Management)
  • Ryan Beach (President, CLS Investments)
  • Noreen Beaman (CEO, Brinker Capital)
  • Marcus Beisel (Chief Marketing Officer, Loring Ward Group)
  • Bob Belke (Managing Director, Lovell Minnick Partners)
  • Bill Benjamin (CEO, US Bancorp Investments & US Bancorp Insurance)
  • Carol Benz (Managing Principal, Bingham, Osborn, & Scarborough)
  • Jeff Bernardo (CEO, Augustine Asset Management)
  • Brad Bernstein (Partner, FTV Capital)
  • Duane Bernt (Chief Financial Officer, Stadion Money Management)
  • Adam Blitz (CEO, Evanston Capital Management)
  • John Blood (CEO, Efficient Advisors)
  • Michael Boardman (Former CEO, Chase Wealth Management)
  • Matt Brinker (Business Head, National Partner Development, United Capital Financial Partners)
  • Matt Brown (CEO, CAIS Group)
  • Rob Brown (Chief Investment Officer, United Capital Financial Partners)
  • Roy Burns (Managing Director, TA Associates)
  • Dewey Bushaw (Executive Vice President, Retirement Solutions Division, Pacific Life Insurance Company)
  • Jim Cahn (Chief Investment Officer, Wealth Enhancement Group)
  • Katherine Calvert (Chief Marketing Officer, Advent Software)
  • Bruce Cameron (CEO, Berkshire Capital Securities)
  • David Canter (Executive Vice President, Practice Management Consulting, Fidelity Institutional Wealth Services)
  • Mike Capelle (Chief Strategy Officer, Platform & Technology, United Capital Financial Partners)
  • John Carey (Chief Operating Officer, FolioDynamix)
  • James Carney (CEO, By All Accounts)
  • Jerry Chafkin (Chief Investment Officer, AssetMark)
  • Brett Clarke (President, Blu Giant Advisor Studios)
  • Eric Clarke (President, Orion Advisor Services)
  • Colin Close (President, InvestCloud)
  • John Cochran (Managing Director, Lovell Minnick Partners)
  • David Conover (President, Wealth Management & Brokerage, EverBank Financial)
  • Tom Corra (Executive Vice President, Strategy & Business Analysis, Fidelity Institutional)
  • John Coyne (Vice Chairman, Brinker Capital)
  • Jeff Dekko (CEO, Wealth Enhancement Group)
  • Stuart DePina (President, Envestnet Tamarac)
  • John DeVincent (Executive Vice President, Marketing, Docupace Technologies)
  • Jim Deutsch (CEO, Smith, Moore, & Company)
  • Will Dolan (Business Head, Fidelity ActionsXchange)
  • Kevin Dorwin (Managing Partner, Bingham, Osborn, & Scarborough)
  • Sonny Dozier (Chief Operating Officer, Hunting Hill Global Capital)
  • Jeffrey Dunham (CEO, Dunham Investment Counsel)
  • Joe Duran (CEO, United Capital Financial Partners)
  • Bill Dwyer (CEO, Realty Capital Securities)
  • Ric Edelman (CEO, Edelman Financial Services)
  • Ken Ehinger (CEO, M Holdings Securities)
  • Pete Engelken (Chief Operating Officer, Hanson McClain)
  • Shannon Eusey (President, Beacon Pointe Advisors)
  • Michelle Farmer (General Counsel, Advisor Software)
  • Ray Ferrara (CEO, ProVise Management Group)
  • Jim Feuille (Partner, Crosslink Capital)
  • Andrew Fisher (President, Maxim Global Wealth Advisors)
  • Tom Florence (CEO, 361 Capital)
  • Rob Foregger (Executive Vice President, NextCapital)
  • Mike Furlong (CEO, Sliced Investing)
  • Terry Gaines (Chief Business Development Officer, First Rate)
  • John Gardner (Chief Operating Officer, LearnVest)
  • Richard Garman (Managing Partner, FTV Capital)
  • Charles Goldman (CEO, AssetMark)
  • Craig Gordon (Business Head, Clearing, DST Market Services)
  • Gail Graham (Chief Marketing Officer, United Capital Financial Partners)
  • John Grogan (Chief Product Officer, Northwestern Mutual)
  • Stewart Gross (Managing Director, Lightyear Capital)
  • Pem Guerry (Executive Vice President, SIGNiX)
  • Adam Guren (Chief Investment Officer, Hunting Hill Global Capital)
  • Bill Hackett (CEO, Matthews International Capital Management)
  • Jim Hale (Founding Partner, FTV Capital)
  • Scott Hanson (Co-CEO, Hanson McClain)
  • Lori Hardwick (President, Envestnet Advisor Services)
  • Bill Harris (Chairman, MyVest Corporation)
  • Margaret Hartigan (Founder, Marstone)
  • Bob Herrmann (Executive Vice President, Discovery Data)
  • Pete Hess (CEO, Advent Software)
  • Allegra Heyligers (Executive Vice President, Business Development, BrightScope)
  • Spencer Hoffman (Managing Director, Lovell Minnick Partners)
  • Anton Honikman (CEO, MyVest Corporation)
  • Bob Huebscher (CEO, Advisor Perspectives)
  • Tina Hurley (Business Head, Product, Retail Wealth Management & Large Corporate Market, Voya Financial)
  • Peter Jantzen (Executive Vice President, Global Sales, Vestmark)
  • David Jegen (Managing Director, Devonshire Investors)
  • Erik Jepson (Chief Customer Officer, Advisor Software)
  • Adam Joffe (Chief Operating Officer, The Boston Company Asset Management)
  • Chris Jones (Chief Investment Officer, Financial Engines)
  • Kunal Kapoor (President, Global Client Solutions Group, Morningstar)
  • Zachary Karabell (Head of Global Strategy, Envestnet)
  • Sue Kelley (Principal, Ann Schleck & Company)
  • Dan Kern (President, Advisor Partners)
  • Rob Klapprodt (President, Vestmark)


  • Aaron Klein (CEO, Riskalyze)
  • Mark Klein (CEO, Professional Capital Services)
  • David Knoch (President, First Global Capital Corporation)
  • Kevin Knull (President, MoneyGuidePro)
  • Larry Kohn (President, LM Kohn & Associates)
  • Jan Kolbusz (Founder, Decimal Software)
  • Stephen Langlois (Business Head, Distribution Strategy & Planning, Fidelity Institutional)
  • Gary Leight (Founder, Lequity)
  • Chuck Lewis (Vice Chairman, MyVest Corporation)
  • Tom Loeb (Chairman Emeritus, Mellon Capital Management)
  • Brad Matthews (CEO, Trizic)
  • Mike McDaniel (Chief Investment Officer, Riskalyze)
  • Phil McDowell (Chief Financial Officer, Fidelity Investments Canada)
  • Ken McGuire (Chief Operating Officer, Altegris Investments)
  • Bob Mehringer (Executive Vice President, Advisory Services, FolioDynamix)
  • Kenneth Meister (President, Evanston Capital Management)
  • John Michel (CEO, CircleBlack)
  • Sanjiv Mirchandani (President, Fidelity Clearing & Custody)
  • Steven Miyao (CEO, Kasina)
  • Blake Mohr (CEO, Capitas Financial)
  • Viggy Mokkarala (Executive Vice President, Strategic Development, Envestnet)
  • Ed Moore (President, Edelman Financial Services)
  • Randy Moore (Partner, Financial Services & Products Group, Alston & Bird)
  • Hans Morris (Managing Partner, Nyca Partners)
  • Joe Mrak (CEO, FolioDynamix)
  • Bill Mueller (Chief Financial Officer, fi360)
  • Tim Murphy (CEO, Investors Capital Corporation)
  • Patricia Nakache (General Partner, Trinity Ventures)
  • Roger Ochs (President, HD Vest Financial Services)
  • Kevin Osborn (Executive Vice President, Wealth Management Solutions, Envestnet)
  • Josh Pace (CEO, Trust Company of America)
  • Bill Parsons (Chief Customer Officer, Yodlee)
  • John Phillips (Executive Vice President, Strategic & Global Sales, National Financial Services)
  • Michael Pinsker (CEO, Docupace Technologies)
  • Alex Potts (CEO, Loring Ward Group)
  • Andy Putterman (CEO, 1812 Park)
  • Matt Radgowski (Chief Operating Officer, Morningstar Investment Management)
  • Kevin Rafferty (CEO, Vertical Management Systems)
  • Reno Regalbuto (CEO, AdvisorTrust)
  • Eduardo Repetto (Co-CEO, Dimensional Fund Advisors)
  • Chris Riggio (Chief Revenue Officer, BrightScope)
  • Marianne Rivera (Associate Publisher, Wealth Management.Com)
  • Andrew Rogers (CEO, Gemini Fund Services)
  • John Rooney (Managing Principal, San Diego, Commonwealth Financial Network)
  • Jeremy Ross (Executive Vice President, Enterprise Sales, BrightScope)
  • Lincoln Ross (Executive Vice President, Advisory Services, Envestnet)
  • Gary Roth (Chief Operating Officer, United Capital Financial Partners)
  • Andrew Rudd (CEO, Advisor Software)
  • Matthew Schlueter (Chief Administrative Officer, Advisor Group, American International Group (AIG))
  • Jeff Schnitz (Business Head, Silicon Valley Bank Investments)
  • Michael Seton (President, Carter Validus)
  • Jeff Shafer (President, CNL Securities)
  • Tim Shannon (President, CAIS Group)
  • Sterling Shea (Business Head, Advisory Programs, Barron's)
  • Jeffery Sills (Business Head, Advice & Planning, Capital One Investments)
  • Bruce Simon (Chief Investment Officer, City National Rochdale)
  • Tom Sittema (CEO, CNL Financial Group)
  • Babu Sivadasan (President, Envestnet Retirement Solutions)
  • David Smith (Founding Publisher, Financial Advisor & Private Wealth Magazine)
  • Marshall Smith (Managing Director, Service Bureau & Marketing, First Rate)
  • Matt Sonnen (CEO, PFI Advisors)
  • Bill Sowell (CEO, Sowell Management Services)
  • Rob Spawn (Senior Managing Director, RBC Wealth Management)
  • Daxs Stadjuhar (CEO, The Financial Services Network)
  • Chris Stanley (Chief Compliance Officer, Loring Ward Group)
  • Clifford Stanton (Chief Investment Officer, 361 Capital)
  • Paul Stewart (Chief Operating Officer, First Global Capital Corporation)
  • Hal Strong (Operating Executive, Genstar Capital)
  • Jason Thomas (CEO, Savos Investments)
  • Allen Thorpe (Managing Director, Hellman & Friedman)
  • Catie Tobin (Business Head, Correspondent & Advisor Services, RBC Wealth Management US)
  • Jim Tracy (Chief Operating Officer, Development & Distribution, Morgan Stanley Wealth Management)
  • Frank Trotter (Chairman, EverBank Global Markets)
  • John VanDerHeyden (Chief Operating Officer, NFP Advisor Services)
  • Bill Van Law (President, Investment Advisors Division, Raymond James Financial)
  • Rob Villaflor (CEO, Sprott Global Resource Investments)
  • Jeff Vivacqua (Executive Vice President, Continuity Partners Group)
  • Hardeep Walia (CEO, Motif Investing)
  • Steve Warren (Chief Operating Officer, MyVest Corporation)
  • Gib Watson (Vice Chairman, Bank & Trust Wealth Management Services, Envestnet)
  • Amy Webber (President, Cambridge Investment Research)
  • Craig Wietz (President, First Rate)
  • Cara Williams (Senior Partner, Wealth Management & Technology Solutions, Mercer Investments)
  • Spencer Williams (CEO, Retirement Clearinghouse)
  • Kevin Winters (Executive Vice President, Global Wealth Management, PIMCO)
  • Matt Wolniewicz (Chief Revenue Officer, fi360)
  • Bob Worthington (President, Hatteras Funds)
  • Bill Wostoupal (President, Northern Lights Distributors)
  • Mike Zebrowski (Chief Operating Officer, eMoney Advisor)
  • Anjun Zhou (Business Head, Multi-Asset Research, Mellon Capital Management)


Prior Tiburon CEO Summits

As noted above, details on prior Tiburon CEO Summits are also available here:

Most Recent, 2014-2015, 2012-2013, 2010-2011, 2008-2009, 2006-2007, 2004-2005, & 2001-2003