Due Diligence for Professional Buyers

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1 #IENPROFBUYER Due Diligence for Professional Buyers November 1-2, 2018 The Harvard Club Boston Hear directly from top professional buyers including: Glenn Regan, UBS Gene Goldman, CETERA INVESTMENT MANAGEMENT, LLC Robert Boyda, MANULIFE Kevin Sullivan, WELLS FARGO INVESTMENT INSTITUTE Tim Clift, ENVESTNET Ted Finlay, FIFTH THIRD BANK Todd Rosenbluth, CFRA Scott Lavelle, PNC Chris Vella, NORTHERN TRUST

2 What are professional buyers looking for? What are their criteria in evaluating managers? How do the best buyers handle due diligence? IEN s Due Diligence for Professional Buyers will give you the answers to these questions and many others directly from the mouths of leading professional buyers! You ll hear from an unprecedented faculty! Key topics include: Which investment strategies and structures are buyers pursuing right now? How do buyers assess qualitative and quantitative criteria? Hot to effectively position yourself in the booming ESG space Keys to conducting due diligence on ETFs The model builder s perspective on manager selection How winning firms handle due diligence service & support requirements Handling the challenges of new mutual fund and ETF products Insight into the inner workings of manager research teams...and much more Whether you are a professional buyer, asset manager, or product developer, you ll benefit from this event after all, where else can you hear from such a breadth of experience in one place? Top Ten Reasons to Attend Network with leading professional buyers and hear what they re looking for Uncover the nuances of the due diligence processes of professional buyers Get the inside look into succeeding in the ESG space Learn the ins and outs of due diligence in the ETF space Scrutinize the qualitative criteria that professional buyers look for Get the model builder s perspective on manager selection Discover some of the challenges in new product development and how to overcome them Get a glimpse into the inner workings of manager research teams Assess the use of AI and blockchain technologies in manager research and due diligence Gain key insights into new due diligence measures that should be considered I m looking forward to seeing you in Boston! Sincerely, Laura Garza Senior Content Director Insight Exchange Network, LLC Here s What Our Past Attendees Have Said About IEN High level of expertise of panelists and attendees. Discussion led to some advanced topics. Michael Richardson EXPERIAN I appreciate the opportunity to network with others experiencing the same challenges and are in similar roles. I love the small roundtable setting to encourage conversations Tina McGee PROGRESSIVE The topics were all so relevant to the issues I am currently experiencing at my company. Great insights + ideas!! Donna Connolly CITIZENS BANK I learned at least 1 thing in every session. The pace was right, there was an interesting mix of companies, and a good balance of panels and case studies. Ali Lichtenstein DOW JONES 1

3 Day One Thursday, November 1, :45 8:30 Exhibits Set-Up & Continental Breakfast 8:30 8:45 Chair s Opening Remark T. Neil Bathon, Managing Partner 8:45 10:00 Opening Professional Buyer Keynote Panel: Which Types of Strategies and Structures are Professional Fund Buyers Pursuing Right Now? What are we looking for? Trends and emerging strategies Looking at the current scope of the industry and various investment styles Evaluating various product structures What are the investment demands and how do you match up assets accordingly? What type of investment processes and styles are you looking for? Glenn Regan UBS Robert Boyda, Head of Capital Markets and Strategy, Co-Head of the Portfolio Solutions Group s, Senior Portfolio Manager MANULIFE Kevin J. Sullivan, CFA, Senior Research Director / Team Lead Global Equities, Global Manager Research WELLS FARGO INVESTMENT INSTITUTE Paul Ricciardelli MORGAN STANLEY Phil Fontana, CFA CAIA, Head of Investment Product, U.S. JOHN HANCOCK Laura Pavlenko Lutton, North America Price Leader, Manager Research MORNINGSTAR RESEARCH SERVICES LLC Scott Lavelle, CFA, CAIA, FRM, Director, Investment Advisor Research PNC Marc Brookman, Deputy CEO SCHROEDERS NORTH AMERICA 10:00 11:00 Qualitative & Quantitative Criteria and Other Must-Haves for the Selection Process Scrutinizing qualitative and quantitative criteria What are the key drivers? Evaluating performance results Looking beyond performance Are there new measures that should be considered? Development of the asset management selection process Understanding the manager s edge and setting appropriate expectations Gene F. Goldman, CFA, CIO/Director of Research CETERA INVESTMENT MANAGEMENT LLC Robert Boyda, Head of Capital Markets and Strategy, Co-Head of the Portfolio Solutions Group s, Senior Portfolio Manager MANULIFE Ted Finlay FIFTH THIRD BANK Paul Ricciardelli MORGAN STANLEY Laura Pavlenko Lutton, North America Price Leader, Manager Research MORNINGSTAR RESEARCH SERVICES LLC Ram Ramaswamy, Managing Director - Head of Investment Solutions NEUBERGER BERMAN 11:00 11:15 Morning Break Timothy D. Paulin, CFA, Senior Vice President, Investment Research and Product Management TOUCHSTONE INVESTMENTS Christopher E. Vella, CFA, Senior Vice President Chief Investment Officer, Multi-Manager Investments NORTHERN TRUST 11:15 12:15 A Move Toward a More Selective Product Offerings & Partnerships How are firms deciding what they have on their platforms? How are firms approaching this? What are the most important factors for a product launch and how do you go about it? How have partnerships changed? Scott Reeder, Managing Director BLACKROCK Kevin J. Sullivan, CFA, Senior Research Director / Team Lead Global Equities, Global Manager Research WELLS FARGO INVESTMENT INSTITUTE Tim Clift, Executive Vice President Chief Investment Strategist ENVESTNET Phil Fontana, CFA CAIA, Head of Investment Product, U.S. JOHN HANCOCK Christopher E. Vella, CFA, Senior Vice President Chief Investment Officer, Multi-Manager Investments NORTHERN TRUST R. Ross David, National Sales Manager, Managing Director NEUBERGER BERMAN 12:15 1:30 Luncheon for all attendees & speakers 1:30 2:15 Positioning Yourself in the ESG Space: How to Better Align the Interest and Actual Movement in the ESG Arena How to have an offering for your clients in the ESG space What is the ESG process for strategy? How do you position yourself in the ESG space? What are investors looking for? How are professional fund buyers going to assess what an asset manager has to offer? How does the research and selection process differ for ESGs? What are you looking for and where should you be looking? What are realistic return expectations? Mark D. Sloss, CEO REGENERATIVE INVESTMENT STRATEGIES, LLC John Tennaro, CIMA, Senior Vice President CIBC PRIVATE WEALTH MANAGEMENT 2:15 3:00 How to Conduct Due Diligence in the ETF Space Analyzing active vs. passive ETFs How are ETFs looking at performance in different wrappers? How can you streamline the process? How are you taking all wrappers into consideration? What are the latest ETF strategies being used? What is prompting demand? Speaker TBA Tim Clift, Executive Vice President Chief Investment Strategist ENVESTNET Todd Rosenbluth, Director of ETF & Mutual Fund Research CFRA Teresa Jacobsen UBS 2

4 3:00 3:15 Afternoon Break 3:15 4:00 Are Liquid Alternatives A Good Alternative? Why use liquid alternatives to reduce market risk? All alternatives are not the same - there are differences in risk between types of liquid alternatives Why manager selection is so important in alternative mutual funds How we use liquid alternatives in our mutual fund recommended list and our asset allocation models Gene F. Goldman, CFA, CIO/Director of Research CETERA INVESTMENT MANAGEMENT LLC Daniel Weiss, SVP, Product Diligence ADVISOR GROUP 4:00 4:45 Manager Selection: The Model Builder s Perspective Managing a platform vs. managing a portfolio Decisions based on qualitative considerations and desired portfolio exposures Tactical portfolio adjustments Sell discipline Standardization vs customization Glenn Regan UBS Kevin McDevitt, CFA, CAIA, Director, Global Manager Research RBC WEALTH MANAGEMENT Additional speaker TBA 4:45 5:45 Cocktail Reception Immediately Following Contact Jennifer Clemence for more information on other sponsorship opportunities please contact Jennifer Clemence at jen@insightxnetwork.com Day Two Friday, November 2, :00 8:45 Continental Breakfast 8:45 9:00 Recap of Day One T. Neil Bathon, Managing Partner 9:00 10:00 Due Diligence Service & Support Requirements: Best Practices of Winning Firms How is the changing product landscape changing servicing requirements? Implications of digitalization Anticipating evolving due diligence requirements The long-tail of coverage Dedicated teams speaking the language Using service to drive asset retention Roland J. Meerdter, Co-Founder DOOR VENTURES INC. Ric Mayfield, CFA, CAIA, Managing Director, Manager Research, PRIVATE WEALTH MANAGEMENT Senior Vice President, SUNTRUST ADVISORY SERVICES, INC. Investment Advisor Representative, SUNTRUST ADVISORY SERVICES, INC. Todd Wilhelm, CFA, Senior Area Analyst EDWARD JONES John Lloyd, CFA, FRM, CAIA, Managing Director, Research Platform Group NEW YORK LIFE INVESTMENT MANAGEMENT Brad Mook, CFA, Director, Manager Research SEI INVESTMENTS 10:00 10:45 Competitive Advantage Through Investment Specialists FUSE will present proprietary research on the use of investment specialists in support of the manager research function at distribution platforms. The research will present best practices of asset managers in the service and support of due diligence analysts and how this role is being used to achieve a competitive advantage. Included will be benchmarking data for staffing levels, organization structure, coverage and compensation. T. Neil Bathon, Managing Partner Pat Newcomb, Director of Benchmark Research Additional panelists TBA 10:45 11:00 Morning Break 11:00 11:45 MMI & FUSE Research Briefing: Due Diligence Operating Models: The Inner Workings of Manager Research Teams Historical trends and future expectations regarding Research team staffing levels Important structures and strategies in current research coverage models The evolution of research analyst roles & responsibilities Trends in consultant usage The impact of new/emerging investments (Crypto/Blockchain) Implementation of AI/other emerging technology in the research and DD process Kevin Keefe, CFA, Founder and Managing Partner KEEFE CAPITAL PARTNERS, LLC Thayer Gallison LADENBURG Matthew Embleton EDWARD JONES 11:45 12:30 Challenges of New Product Development: How to Successfully Launch New Mutual Funds and ETFs in a Restrictive Environment Leverage institutional track records and capabilities Develop strategic partnerships Access new distribution channels Leverage separately managed accounts What type of setbacks can and should you expect? Successfully hurdling various obstacles prior to and during a new product launch What type of restrictions should you be prepared to face? Scott Reeder, Managing Director BLACKROCK 12:30 End of Summit 3

5 Sponsorship & Exhibit Opportunities Insight Exchange Network, LLC ( IEN ) has a limited number of sponsorship opportunities in a variety of packages to help you get your message out to attendees. Sponsorship pricing is based on packages and start at low out-of-pocket. We can customize a variety of solutions to provide you with the best possible networking opportunity. For more information, contact Jennifer Clemence at (704) or at jen@insightxnetwork.com Pricing Early bird by Oct.5,2018 Standard After Oct.5,2018 $1,495 $1,695 Team Discounts Three Delegates will receive a 10% DISCOUNT Four Delegates will receive a 15% DISCOUNT Five Delegates or More will receive a 20% DISCOUNT Please call Rhonda West at (910) to make your group reservation or Rhonda@insightxnetwork.com Refunds and Cancellations: For information on refunds and cancellations please visit our website: Note: Discounts may not be combined; lowest available discount will be applied. Venue: The Harvard Club The Harvard Club 374 Commonwealth Avenue Boston, MA Phone: (617) We have a limited number of rooms available at $ Please mention Insight Exchange Network when making your reservations at the discounted rate. The cut-off date to receive the block rate is September 30. About IEN IEN is focused on producing practical, actionable, and content-driven events. We personally interview literally hundreds of people in each conference s topic area, discovering their on-the-job problems, issues and concerns. We then find the very best speakers to offer solutiondriven content, as well as facilitating peer-to-peer networking at each event. Our events are not trade shows or expos, although we do offer partnership opportunities to select vendors. We re focused on the attendee s needs entirely. Rave Reviews The presentations were excellent. The instructors were subject matter experts and their presentations were some of the best I ve ever seen. The information passed to the audience was incredibly impactful. The presentation were awesome and instructors were fantastic. The diversity of topics was amazing. Really liked the time allowed for Q&A. Great hearing other perspectives. Many sessions hit the sweet spot of practical learning and use cases I can use in my current role. 4

6 Due Diligence for Professional Buyers Call: Web: Insight Exchange Network 200 Washington Street, Suite 101 Santa Cruz, CA PRSRT STD US Postage Paid Cedar Rapids, IA Permit No.860 High level of expertise of panelists and attendees. Discussion led to some advanced topics. Michael Richardson EXPERIAN I appreciate the opportunity to network with others experiencing the same challenges and are in similar roles. I love the small roundtable setting to encourage conversations Tina McGee PROGRESSIVE The topics were all so relevant to the issues I am currently experiencing at my company. Great insights + ideas!! Donna Connolly CITIZENS BANK I learned at least 1 thing in every session. The pace was right, there was an interesting mix of companies, and a good balance of panels and case studies. Ali Lichtenstein DOW JONES # IENPROFBUYER Presents Due Diligence for Professional Buyers November 1-2, 2018 The Harvard Club Boston

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