Tiburon CEO Summit XIII

Tiburon's Managing Principal Chip Roame will kick-off Tiburon CEO Summit XIII

Tiburon Strategic Advisors is pleased to announce its upcoming Tiburon CEO Summit XIII, being held October 9-10, 2007 at the Ritz Carlton Hotel in San Francisco, CA. Tiburon's CEO Summits provide a unique opportunity for a select cross-industry group of senior executives to discuss a broad swath of issues regarding the future of the brokerage, investments, advice, and wealth management businesses. Along with Tiburon's Managing Principal Chip Roame, guest speakers will include:

  • Stephanie DiMarco (CEO, Advent Software)
  • Mike Fraizer (CEO, Genworth Financial)
  • George Gatch (CEO, JP Morgan Funds Management, JP Morgan Chase)
  • John Gunn (CEO, Dodge & Cox)
  • Ron Peyton (CEO, Callan Associates)

CEO SummitI XIII Guest Speaker Stephanie DiMarco (CEO, Advent Software)

CEO Summit XIII Guest Speaker Mike Fraizer (CEO, Genworth Financial)

CEO Summit XIII Guest Speaker George Gatch (CEO, JP Morgan Funds Management, JP Morgan Chase)

CEO Summit XIII Guest Speaker John Gunn (CEO, Dodge & Cox)

CEO Summit XIII Guest Speaker Ron Peyton (CEO, Callan Associates)

CEO Summit XIII will also feature Tiburon's three traditional consumer-centric panel discussions - Ask the Consumers, Ask the Advisors, & Ask the Distributors, nine less formal break-out sessions, and three casual group dinners.

Tiburon CEO Summits

Since 2001, Tiburon has hosted unique semi-annual CEO Summits for its executive-level clients. Tiburon CEO Summits last two-to-three days and focus on in-depth discussions of Tiburon research and leading-edge business models through guest presentations, panel discussions, and break-out sessions. Guest speakers generally support the twin themes of challenging conventional wisdom and maintaining a consumer-orientation. General sessions also often address industry mergers & acquisitions and venture capital & private equity trends. Panel discussions revolve around consumer, financial advisor, and distributor needs (representing all levels of "clients"). Break-out sessions address more tactical issues, and are structured around products, markets, and advisor issues. Tiburon CEO Summits likely provide the only true forum where financial services industry CEOs from across traditional industry silos gather to discuss business opportunities. The list of business relationships resulting from prior Tiburon CEO Summits is impressive.

Executive-level Tiburon clients are invited to participate along with a handful of media representatives in a forum of open sharing and discussion of industry trends. The meetings have become a hot ticket for industry executives. There is no cost to attend aside from one's travel expenses. The CEO Summits are not positioned as a revenue generating activity unto themselves but instead as a unique reward for Tiburon clients to share its research and network with other senior client executives. Hence, Tiburon reserves all seats for the firm's executive-level clients. If you have not engaged the firm recently, please consider how Tiburon could again help you further your business strategy through its services - research reports, databases, conference speeches, market seminars, market research, strategy consulting, venture capital, mergers & acquisitions advice, and board memberships. If you are interested in engaging Tiburon for a project, please contact Brian Cotter at BCotter@TiburonAdvisors.Com or 415-789-2546 or via Tiburon's web site at www.TiburonAdvisors.Com.

Prior CEO Summits

Tiburon has held twelve previous CEO Summits. The most recent Tiburon CEO Summit was held April 18-19, 2007 in San Francisco, CA. Guest speakers included John DesPrez (CEO, John Hancock Financial Services, Manulife Financial), Ed Haldeman (CEO, Putnam Investments, Marsh & McLennan), Steve Lockshin (CEO, Lydian Wealth Management, Lydian Trust Company), Jim Riepe (Retired Vice Chairman & Senior Advisor, T. Rowe Price Group), and Paul Stevens (President & CEO, Investment Company Institute). Click here to read about all prior Tiburon CEO Summits.

Based on feedback from prior Tiburon CEO Summits, Tiburon predominantly invites financial services industry CEOs to be the CEO Summit guest speakers. Attendees repeatedly report that they take away the most from other CEOs in like situations, and this fosters the collaborative environment sought. Speakers are asked to discuss both their businesses and their views on industry developments. Tiburon deliberately structures time for questions & answers with each speaker, again to foster the collaborative environment. Aside from Tiburon's own Managing Principal Chip Roame (who kicks-off each CEO Summit), past speakers have included:

  • Ron Peyton (CEO, Callan Associates)
  • Don Phillips (Managing Director, Morningstar)
  • Dave Pottruck (Former CEO, The Charles Schwab Corporation)
  • Norton Reamer (Founder & Former CEO, United Asset Management and Founder & CEO, Asset Management Finance)
  • Jim Riepe (Former Vice Chairman & Senior Advisor, T. Rowe Price Group)
  • Andrew Rudd (CEO, Advisor Software; Chairman, Advisor Partners; and Founder & Former CEO, Barra)
  • Ron Ryan (CEO, Ryan ALM)
  • Michael Sapir (CEO, Pro Fund Advisors)
  • Myron Scholes (Professor, Stanford University; Author; Black-Scholes Model; & Winner, 1997 Nobel Prize for Economics)
  • Paul Stevens (President & CEO, Investment Company Institute)
  • Walt Bettinger (President, The Charles Schwab Corporation)
  • Jessica Bibliowicz (CEO, National Financial Partners)
  • David Carroll (President, Capital Managment Group, Wachovia Corporation)
  • Mark Casady (CEO, LPL Financial Services)
  • John DesPrez (CEO, John Hancock Financial Services, Manulife Financial)
  • Stephanie DiMarco (CEO, Advent Software)
  • Ken Fisher (CEO, Fisher Investments)
  • Mike Fraizer (CEO, Genworth Financial)
  • George Gatch (CEO, JP Morgan Funds Management, JP Morgan Chase)
  • John Gunn (CEO, Dodge & Cox)
  • John Hailer (CEO, IXIS Asset Management, Group Caisse D'Epargne)
  • Ed Haldeman (CEO, Putnam Investments, Marsh & McLennan)
  • Bill Hambrecht (Founder & Former CEO, Hambrecht & Quist and Founder & CEO, WR Hambrecht & Company)
  • Greg Johnson (CEO, Franklin Resources)
  • Stan Kelly (President, Wealth Management, Wachovia Corporation)
  • Lee Kranefuss (CEO, Intermediary & Exchange Traded Funds Business, Barclays Global Investors, Barclays)
  • Steve Lockshin (CEO, Lydian Wealth Management, Lydian Trust Company)
  • Tim McCarthy (CEO, Nikko Asset Management, Nikko Cordial Group)
  • Jeff Montgomery (CEO, NFP Securities, National Financial Partners)
  • John Murphy (CEO, Oppenheimer Funds, Mass Mutual Financial Group)

2008-2009 Tiburon CEO Summits

Tiburon will continue to hold semi-annual CEO Summits in 2008-2009. Dates are April 10-11, 2008, October 14-15, 2008, April 9-10, 2009, and October 7-8, 2009.

Spring 2008 speakers will include Walt Bettinger (President, The Charles Schwab Corporation), John Hailer (CEO, IXIS Asset Management Advisors, Groupe Caisse D'Epargne), John Murphy (CEO, Oppenheimer Funds, Mass Mutual Financial Group), Ron Ryan (CEO, Ryan ALM), and others to be announced soon.

Starting in 2008, Tiburon will hold its Spring CEO Summits at the Ritz Carlton Hotel in New York, NY in an effort to help the firm's predominately east coast & European clientele attend more easily.

Tiburon Strategic Advisors

Tiburon Strategic Advisors was formed in 1998 to offer market research, strategy consulting, & other related services primarily to financial services firms. Three of its core clientele groups are the CEOs and other senior executives of large US financial institutions faced with difficult strategic decisions, leading executives of foreign financial institutions trying to understand and/or enter the US markets, and a wide variety of entrepreneurs seeking industry focused strategic planning services. The firm has served almost 300 corporate clients and completed almost 1,000 projects since its founding, and today, its knowledge base includes mutual fund distribution, separately managed account programs, alternative investments, wealth management, insurance products, banking services, the fee-only financial advisor market, the CPA firm market, the family office market, and various international markets.

Attendee Policy

Tiburon maintains a list of over 1,300 executive-level clients at almost 300 companies who have engaged the firm, many of whom have actively participated in prior Tiburon CEO Summits. Attendance at each Summit is limited to 100 executives and is reserved for Tiburon's clients. If you are a Tiburon client and would like to participate in a future Tiburon CEO Summit, please contact Tiburon's Managing Principal Chip Roame or one of the firm's CEO Summit Planning Committee members listed below.

Attendees at Tiburon CEO Summit VI in San Francisco, CA listen intently to a general session speaker

More specifically, there are two specific attendee policies:

  • Seniority: Tiburon is making a big effort to limit attendance to the CEOs and leading strategy makers from its client companies. Almost all attendees have C level titles (CEOs, COOs, CFOs); a handful are executive vice presidents leading core business units and/or internal business strategy groups
  • Clients: Since Tiburon hosts the events, it is economic reality that the group must be limited to senior executives who have previously benefited from Tiburon's research-based strategy work

Tiburon CEO Summit Planning Committee

Tiburon's CEO Summits could not be planned without a lot of help from many others. Eight Tiburon CEO Summit Planning Committee members invest dozens of hours into securing guest speakers, nominating & confirming attendees, and facilitating & writing-up sessions. Tiburon is grateful for their help.

To hear more about their experiences at prior Tiburon CEO Summits or to seek advice about how to leverage Tiburon and earn CEO Summit invitations for the executives of your firm, please contact any of the Tiburon CEO Summit Planning Committee members:

Tiburon CEO Summit XIII Sponsors

Due to incredible demand from a large number of its executive-level clients to attend its CEO Summits, Tiburon relocated its Spring 2007 CEO Summit (and future CEO Summits) to the Ritz Carlton Hotels in San Francisco, CA and New York, NY. Five long-time Tiburon clients - Dunham & Associates Investment Counsel, Genworth Financial, Morningstar, Pershing, and T. Rowe Price Group - are offering financial support for CEO Summit XIII. Tiburon is grateful for this assistance.

Dunham & Associates Investment Counsel

Dunham & Associates Investment Counsel offers a family of 11 sub-advised mutual funds that operate on performance-based advisory fees, also commonly known as fulcrum fees, and feature objectives ranging from capital preservation to aggressive growth. The Dunham Funds are available individually or as part of a turnkey asset management program.

Dunham & Associates is represented at the Tiburon CEO Summits by its CEO Jeffrey Dunham. Mr. Dunham’s investment expertise spans more than 20 years, dating to when he started a family of private funds and began to build Dunham & Associates upon the premise of performance-based advisory compensation—a radical idea at the time—now a model for others. Beginning his investment career in 1977, Mr. Dunham acquired real estate for investors and his own account. As president of San Diego-based JAD Properties between 1979 and 1989, Mr. Dunham continued hands-on management of real estate holdings. Prior to becoming founding partner of Dunham & Associates, he was partner in the investment firm of McKewon Securities and worked with Enterprise Management Company, a venture capital affiliate of McKewon. Jeffrey can be reached at Jeffrey.Dunham@Dunham.Com or 858-964-0500, or via Dunham’s web site at www.Dunham.Com.

Genworth Financial

Genworth Financial is a leading insurance & financial services company, based in Richmond, VA. It provides lifestyle protection, retirement income, investment, & mortgage insurance for more than 15 million customers, with growing international operations in 24 countries. The firm's roots go back more than a century, and in 2004, it became a publicly traded company, a member of the Fortune 500, and a component of the S&P 500 index. It was formerly a subsidiary of General Electric.

Genworth subsidiary Asset Mark Investment Services provides turnkey asset management program (fee-based managed account) services to over 4,000 financial advisors throughout the United States, with 40,000 accounts and $14 billion in assets. The firm is based in Pleasant Hill, CA, was founded in 1986, and has been a leader in helping financial advisors grow and improve the profitability of their businesses.

Genworth Financial and Asset Mark Investment Services are represented at the Tiburon CEO Summits by Asset Mark Chairman Ron Cordes. Mr. Cordes was one of the founders of Asset Mark in 1988 and of its predecessor company Advisor Consulting Group in 1982. Ron can be reached at RCordes@AssetMark.Com or 925-521-2282, or via AssetMark's web site at www.AssetMark.Com.


Morningstar is a leading provider of independent investment research in the US and in major international markets. The firm, based in Chicago, IL, offers an extensive line of internet, software, and print-based products and services for individuals, financial advisors, and institutional clients. Morningstar provides data on approximately 145,000 investment offerings, including stocks, mutual funds, and similar vehicles. The company has operations in 14 countries and minority ownership interests in companies in three other countries.

Morningstar's Advisor business unit serves financial advisors, directly or through institutions such as broker/dealers and asset managers, by providing tools and services that support their investment planning, asset allocation, security research, and portfolio construction & monitoring activities across multiple investment types. Advisor business lines include technology tools such as Morningstar Advisor Workstation and Morningstar Principia, investment management services through Morningstar Managed Portfolios, and education materials & marketing opportunities to advisors through print, online, and event-based media channels.

Morningstar and Morningstar's Advisor business are represented at the Tiburon CEO Summits by Morningstar Advisor President Chris Boruff. Chris oversees strategy, development, and marketing associated with Morningstar products for financial advisors, including Morningstar Advisor Workstation and Principia. Chris joined Morningstar in 1996 as the project manager for Principia. Chris can be reached at Chris.Boruff@Morningstar.Com or 312-696-6515, or via Morningstar's web site at www.Morningstar.Com.


Pershing provides customers with flexible technology, operational support, practice management solutions, and a wide range of investment products, including managed account services, wealth management, lending, cash management, and retirement planning solutions. Pershing has more than $800 billion in assets under administration, and The Bank of New York Company, Pershing’s parent company, custodies more than $10 trillion in assets across the globe.

Pershing Advisor Solutions is a leading provider of financial services outsourcing solutions to independent fee-based registered investment advisors (RIAs) and dually-registered financial advisors working in conjunction with Pershing’s introducing broker/dealer customers. Pershing Advisor Solutions provides RIAs with comprehensive and highly-scalable outsourcing solutions, which range from trading and technology to banking and practice management.

Pershing and Pershing Advisor Solutions are represented at the Tiburon CEO Summits by Pershing Advisor Solutions Chief Operating Officer John Iachello. Mr. Iachello is a managing director and a member of the Executive Committee for Pershing, where he is responsible for the overall management of Pershing Advisor Solutions and Direct Brokerage Services. Mr. Iachello joined Pershing in 2002. Previously, Mr. Iachello held senior management positions at Soft Dollar, ABN Amro Asset Management, ING Barings, and Furman Selz. John can be reached at John.Iachello@Pershing.Com or 201-413-2273, or via Pershing Advisor Solutions web site www.PershingAdvisorSolutions.Com.

T. Rowe Price Group

T. Rowe Price Group, based in Baltimore, MD, is a leading investment management firm offering individuals and institutions around the world investment management guidance and expertise. Founded in 1937 by Thomas Rowe Price, the company offers separately managed investment portfolios for institutions and a broad range of mutual funds for individual investors and corporate retirement programs. Today, growth stock investing is one of the many investment styles the firm currently follows. T. Rowe Price also employs value-oriented, sector-focused, tax-efficient, and quantitative index-oriented approaches in managing mutual funds and institutional portfolios.

T. Rowe Price is represented at the Tiburon CEO Summits by John Cammack, its head of third-party distribution, and a member of the firm's operational steering committee, its institutional marketing steering committee, and its compliance oversight committee. His duties include management of the firm's third-party distribution division and college savings programs. Before joining T. Rowe Price, John was a vice president with Alexander Armstrong Advisors, a financial planning boutique located in Washington, DC. He is currently a board member of the Foundation for Financial Planning, Mutual Fund Education Alliance, and Leaders for Tomorrow, and a member of the Alpha Group. John can be reached at John_Cammack@ TRowePrice.Com or 410-345-2880, or via T. Rowe Price's web site at www.TRowePrice.Com.

Additional Information
Please click the links below for more information on Tiburon's CEO Summits:

Related Links


Tiburon Strategic Advisors

Tiburon Strategic Advisors, based in Tiburon, CA, was formed in 1998 to offer market research & strategy consulting services to all types of financial institutions and investment managers:

  • The firm has served almost 300 corporate clients and completed almost 1,000 projects since its founding, and today, its knowledge base includes mutual fund distribution, separately managed account programs, alternative investments, wealth management, insurance products, banking services, the fee-only financial advisor market, the CPA firm market, the family office market, and various international markets.
  • Tiburon holds a series of CEO Summits semi-annually for its executive-level clients. The next CEO Summit is scheduled for October 9-10, 2007 at the Ritz Carlton Hotel in San Francisco, CA. 2008-2009 dates are April 10-11, 2008 (New York, NY), October 14-15, 2008 (San Francisco, CA), April 9-10, 2009 (New York, NY), and October 7-8, 2009 (San Francisco, CA). Attendance is by invitation only and attendance at each Summit is limited to 100 senior industry executives. Visit the CEO Summits section of Tiburon's web site for details on current and past CEO Summits, including attendee lists, meeting agendas, and highlights. Please contact Tiburon’s Managing Principal Chip Roame at CRoame@TiburonAdvisors.Com or (415) 789-2541 if you are a Tiburon client and have an interest in attending a future Tiburon CEO Summit.
  • Tiburon offers thirteen online business benchmarking tools that are available to all types of financial advisors in an effort to help them benchmark their business practices and build more successful businesses. The sites include www.BrokerBestPractice.Com for wirehouse & regional brokers, www.FABestPractices.Com for fee-only financial advisors, www.IndependentRepBestPractices.Com for independent reps, and www.PrivateBankerBestPractices.Com for private bankers. Almost 5,000 advisors have used these tools. By completing one of the online surveys, financial advisors can access a FREE copy of the relevant comprehensive Tiburon research report, which summarizes and analyzes the collective results.
  • Tiburon has published twenty-six ~300-400+ page research reports, which offer detailed analyses of growing business segments; each is available for $5,000; these reports can be ordered by contacting Brian Cotter at BCotter@TiburonAdvisors.Com or (415) 789-2546.
  • Tiburon’s weekly research releases, like this one, are emailed for free to interested industry executives, media representatives, conference planners, and individual financial advisors. Over 40,000 industry executives now receive these releases. Feel free to sign up to receive future research releases at Tiburon’s web site (www.TiburonAdvisors.Com) if this release was passed to you by a colleague and you would like to receive them directly in the future.
  • Tiburon plans to expand its workforce in 2007 and 2008. New research managers will develop proprietary research content for Tiburon research reports and client projects and new marketing managers will enhance the firm's web site, weekly research releases program, and the firm's relationships with media representatives, conference planners, and its clients & executive program members. The firm is also seeking to add a research president, principal candidates, and possibly a chief consulting officer in 2007 or 2008.
  • Tiburon has built three executive programs (CEOs-in-Residence, Financial Advisor Roundtable, and Consulting Fellows) in an effort to bring the experiences of additional senior level industry executives to Tiburon clients. Feel free to contact any of the members of Tiburon’s executive programs directly or ask that they be included in any ongoing Tiburon project.