All Sessions

Wednesday, April 3
1:00 - 7:30 pmRegistration Open

5:30 - 7:30 pm
Welcome Reception

Thursday, April 4
7:00 am - 5:00 pm Registration Open
7:00 - 8:15 am
Breakfast in Exhibit Hall
8:15 - 8:30 am
Welcome & Chairman Remarks
NICSA Chairman, Dan Houlihan, Northern Trust

8:30 - 9:30am

Opening Keynote Speaker

Carla Harris, Vice Chairman, Managing Director and Senior Client Advisor at Morgan Stanley

NICSA members will have the opportunity to hear the unique perspective of an industry powerhouse in an intimate setting during the Strategic Leadership Forum at the Sawgrass Marriott Golf Resort and Spa in Ponte Vedra Beach, FL this April.

Carla Harris is the Vice Chairman, Managing Director and Senior Client Advisor at Morgan Stanley. Carla will share her unique perspective on multicultural innovation, the challenges facing today’s asset managers, and provide advice to younger members of the industry. Attendees will hear “Carla’s Pearls” – tools, strategies, and pearls of wisdom honed by her own experience – that have become the centerpiece for her many speeches and television appearances.

9:30 - 10:10am

Perspectives from Abroad

Industry experts from the across the globe take to the NICSA stage for a dynamic discussion on matters affecting international fund markets. This is a unique opportunity for asset management practitioners to broaden their understanding of what it takes to enlarge their service scope to meet global market needs. Hear international business leaders explore the current state of the asset management industry and gain insight into fund passporting, regulatory developments, and other global industry trends. 

Andrew Dougherty,
Head of Asset Managers and Alternative Investors, Americas, BNP Paribas

Greg McGowan,
Senior Advisor, Franklin Templeton
Jervis Smith,
Managing Director, Head of Investor Services, Luxemborg, Citi
Camille Thommes, Director General, ALFI
Sally Wong, CEO, Hong Kong Investment Funds Association

10:10 - 10:40am
Break in Exhibit Hall
10:40am - 12:10pm

Distribution Disruption From Both Sides

Two sides of the business come together to outline views from Broker Dealers and Asset Managers on what’s driving product innovation and platform enhancements, as well as scale, flexibility and customization for advisors, home offices and clients.

A-Side: Broker-Dealer Viewpoint
Perspective and potential lessons from the industry’s top Broker-Dealers will be offered as they uncover the evolution, enhancements, and efficiency efforts at their firms.

Mark Lavan, Co-Head of Retail Intermediary Sales, Legg Mason

Mike Greene,
Senior Vice President, Advisor Business Development and Financial Planning, Ameriprise Financial Services, Inc.
Heather Fischer, Vice President of ETF Platform Management, Charles Schwab
Rose Palazzo, Head of Financial Planning, Morgan Stanley

B-Side: Asset Manager Viewpoint
A shifting landscape within the intermediary space has forced asset managers to reassess how they are managing their businesses. Join us for a candid discussion about trending distribution strategies.

John Pavese
, Managing Director, Head of Relationship Management, Merrill Lynch


Nadeem Khan, Head of Corporate Strategy and Development, Capital Group
Rick Moreno, Director of Business Development, Aperio Group, LLC
Susan Thompson, Executive Vice President, Head of SPDR Americas Distribution, State Street Global Advisors

12:10 - 1:10pm
Lunch in Exhibit Hall
1:10 - 1:30pm
NICSA Volunteer Awards Presentation
1:30 - 2:30pm

Artificial Intelligence: Transforming the Asset Management Industry

Is AI just a buzzword or will this technology transform our industry? Rapid advances in computing power are enabling applications of technologies like machine learning, predictive data analytics, and virtual agents. Come hear from technology and business leaders alike how AI is already transforming the way we manage our portfolios, distribute our products, and service our customers. Hear case studies and learn the most effective ways to harness the power of AI in your organization to provide the digital customer experience your clients demand in today’s investment environment. 

Kelley Conway, Managing Director, Technology Advisory Practice, Accenture


Ken Arakelian, Director of Cognitive Innovation Group Engagements, Nuance
Jonathan Crane, Chief Strategy Officer, IPsoft
Robert Zembowicz, Chief Enterprise Architect, Vanguard

2:30 - 3:00 pm
Break in the Exhibit Hall
3:00 - 5:00 pm

Breakout Sessions

Track 1: Is the Asset Management Industry “Data Driven” Yet?
Everyone is talking about being “data driven,” and your organization is no different.  Some have not yet bought into the hype, while others are playing Moneyball every day.  Are different approaches realizing different results? Find out where your organization falls on the continuum and hear case studies from the industry that can help shape the path for your firm.

Lyndsay Noble, Head of Advance Analytics Practice, SS&C

Scott Anderson, Vice President, Research, BNY Mellon
Tim Kresl, Founding Partner, Atom Analytics, a Broadridge Company
Shonyel Lyons, Vice President, Distribution Intelligence and Data Management, T. Rowe Price

Track 2: The Principles of Product
Get the latest insight on emerging trends in active and passive ETFs, SMAs, UITs, CITs and mutual funds, including model driven allocation portfolios. Which products are meeting shifting investor sentiment? Product and distribution executives discuss development opportunities and hurdles, distribution challenges and solutions, and the implications of the current legislative environment. Find out what product trends have traction in 2019 and how investment managers and distributors are working together to support these trends.

Jack Tierney, Head of Investment Policy and Governance, Invesco Unit Trusts

Whitfield Athey,
Chief Executive Officer, Delta Data
Scott Brady, Head of US Product Development and Strategy, Columbia Threadneedle Investments
Elaine Sullivan, Chief Marketing Officer, Eaton Vance Distributors

Track 1: Fraud Prevention in Today’s Multi-Channel Cyber Environment
Financial fraud is an ever-increasing threat in today’s multi-channel servicing environment. Fraudsters are using multiple channels to execute account takeovers, steal identities, and secure funds illegally. Learn how technologies like voice bio-metrics, multi-factor authentication, and risk profiling can help prevent fraud. This discussion will show how combining the latest in fraud prevention technology with best practices in operational risks and controls can help in the fight against fraud in your firm.

Chuck Gallant, Director, Asset Servicing, BNY Mellon

Mia Puzo, Fraud and Biometric Executive, Nuance
Joanne Kane, Director, Operations & Transfer Agency, Investment Company Institute (ICI)
Megan Warren, Global Head of AML, Fraud and Privacy, T. Rowe Price
Mark Schlesinger, Chief Information Officer, Broadridge

Track 2: The Great Wealth Transfer: The Future of Advice
Take a deep dive into the challenges and opportunities associated with aging, longevity and wealth transfer. Our interactive session will address the top issues associated with planning for the future of an aging client set. The expectation to live longer and better is driving demand from clients for essential products, advice and services. Meeting these demands will depend on your understanding of their evolving needs.
Sharing insights from the MIT Age Lab, this interactive session will help you to anticipate new consumer demands as well as align your business model with the new frontier of financial advice. Bill McManus of Hartford Funds will share the research that has resulted in the partnership between Hartford Funds and the MIT Age Lab for over a decade to help us understand how changes in demographics, technology, lifestyles, culture and longevity all impact the way we seek information, the way we trust, and how we make decisions.

Bill McManus, CIMA, Managing Director - Strategic Markets, Hartford Funds

5:00  - 6:30 pmOutside Networking Reception
Friday, April 5
7:00 am - 12:00 pmRegistration Open
7:15am - 8:00 am

BONUS BREAKFAST: Empowering Women in Asset Management

Sponsored by Broadridge

Start your day with a fireside chat with leading women in asset management from BlackRock, Eaton Vance, and Northern Trust. Join us for a candid discussion about the challenges and opportunities facing women in finance, how the diversity landscape has changed over time, and what the future looks like for emerging female leaders. We’ll explore business-critical strategies that can foster an inclusive workforce and how gender diversity can ultimately reshape innovation in the global asset management industry.


Jennifer McGovern, Managing Director, BlackRock
Shaelyn Otikor, Senior Vice President, Global Business Strategy Specialist, Northern Trust
Elaine Sullivan, CMO, Eaton Vance

8:15 - 8:30 am

Opening Remarks

8:30 - 9:45 am

Face the Membership with CNBC's Tyler Mathisen

Today’s top thought leaders in the global asset management industry provide diverse perspectives on strategic business planning for 2019 and beyond. Tyler Mathisen, Managing Editor of CNBC Business News, leads a group of CEOs through a discussion around the latest business trends and challenges. Join NICSA for a unique opportunity to engage industry leaders in an intimate, informal setting. A must attend session for all areas of the asset management industry!

Tyler Mathisen, "Power Lunch" Co-Anchor & Vice President, Events Strategy, CNBC


Amrit Kanwal, Executive Vice President and Chief Financial Officer, MFS Investment Management
Renee LaRoche-Morris,
Chief Operating Officer, BNY Mellon Investment Management
Kevin Mahn, President and Chief Investment Officer, Hennion & Walsh, Inc.

9:45 - 10:00 am

Break in the Exhibit Hall

10:00- 11:00 am

Uncovering Unconscious Bias

Featuring Corporate and Business Development Expert, Mona Sabet
Think you’re a forward thinker without bias? Think again. Like it or not, everyone makes unconscious snap judgments — often based on something as simple as a name on a resume. Some biases are so subtle we don’t know they exist. As Diversity & Inclusion comes under a spotlight in the asset management industry, it is more important than ever for employers to evolve to include a more diverse talent pool. Understanding the pervasiveness of implicit bias in today’s workforce in an important step in that evolution. Help uncover and dislodge unconscious bias in your organization!

Learn more about the NICSA-sponsored Diversity Project and how you can get involved here.


Dr. Stephen Horan, Managing Director, Credentialing, CFA Institute
Colleen Powell, Vice President, Director of Corporate Citizenship and Diversity, MFS Investment Management
Rudy Rodriguez, Vice President, Diversity & Inclusion, Ameriprise

11:00 am - 12:00 pm

 Closing Keynote Speaker

Amy Herman, President, The Art of Perception

Sharpen Your Perception, Change Your Life


What do the FBI, NYPD, Department of Homeland Security, Navy SEALs, the Peace Corps, Georgetown University Hospital, MetLife, Johnson & Johnson, Seventh Day Adventist Church, and New York City doormen have in common? Amy Herman.

For 14 years, Herman has been our nation's secret weapon--providing leadership training to top officers in the United States military, law enforcement, medicine, education, and industry. Her innovative, interactive pedagogy has been called "invaluable" by the Department of Defense, and credited with "stimulating the innovative thinking necessary to generate viable future war-fighting concepts" by The Chief of Naval Operations.

Herman channeled her dual degrees in art and law to create the successful Art of Perception program, and now trains thousands of professionals from Secret Service agents to church fundraisers. Herman is a world-renowned speaker who frequently presents at national and international conventions. She has been featured on the CBS Evening News, the BBC, and in countless print publications including The New York Times, The Wall Street Journal, The London Times, New York Daily News, Smithsonian Magazine, and The Philadelphia Inquirer.

1:30  - 7:30 pm

Blackwell Scholarship Charity Golf Tournament and Fairway Reception


Click here to register.