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View for the C-Suite - IAA Leadership Conference

2021 Leadership Conference


Wednesday, September 29

12:00 – 12:30pmWelcome and View from the IAA

  • Karen L. Barr, President & CEO, IAA
  • Alison E. Baur, Deputy General Counsel, Franklin Templeton, and IAA Vice Chair
  • Gail C. Bernstein, General Counsel, IAA
  • Neil Simon, Vice President, Government Relations, IAA


12:30 – 1:30pmThe Future of Work, the Workplace, and the Workforce: Opportunities Ahead
“The toothpaste is out of the tube,” is an often-used metaphor for the irreversibility of many of the effects of the COVID pandemic on work — how we work, where we work, with whom we work, and why. Throughout the past year and a half, these thought leaders have been helping organizations sort through the challenges of sustaining culture, performance, and employee and client satisfaction amidst a sea of (often divergent) expectations and needs. Flexibility? Space needs? On-demand and “remote” talent? We’ll dive into these topics and more during this session.

  • Elizabeth Lowrey, IIDA, RDI, Principal, Elkus Manfredi Architects
  • Vanessa Ruda, Senior Partner, RHR International
  • Cheryl Pipia, Head of US Intermediaries – Integrated Sales, T. Rowe Price Investment Services, Inc., T. Rowe Price Associates, Inc., and T. Rowe Price Group, Inc. (MODERATOR)


1:30 – 2:00pmBreak


2:00 – 3:30pmAUM Breakout Sessions
Attendees will gather in smaller groups based on firm size for in-depth, peer-led discussions. These sessions are designed to facilitate a candid exchange of ideas, experiences, and best-practice suggestions among firm leaders about strategic, executive, operational, and management issues.
(Investment Advisers only)

  • Under $1 Billion AUM
  • $1 Billion – $5 Billion AUM
  • $5 Billion – $15 Billion AUM
  • Over $15 Billion AUM


3:30 – 3:45Break


3:45 – 4:45pmKeynote: John Barry, Author, The Great Influenza and ​Rising Tide

The Past is Never Dead. It’s Not Even Past. Lessons from Past Pandemics — and this One.
John Barry has devoted a sizeable amount of his career to studying disasters, including the 1918 influenza pandemic, the 1927 Great Mississippi Flood, and 2005’s Hurricane Katrina. He has been involved in setting national policy for both pandemic preparedness and response and flood protection. The COVID pandemic has delivered another set of fodder for Mr. Barry to dive into to try to untangle its lessons. In this session, he will share reflections on the pandemic and look ahead to its potential impact on politics, virology, and international relations.


4:45 – 5:45pmVirtual Meet & Mingle

Sponsored by ACA Group



Thursday, September 30

11:30am – 12:30pmMaking Sense of the Global Economy:  A Conversation with “the Economist Who Speaks English”
With experience that ranges from nearly two decades in the public sector — including deep immersion in the Fed’s response to the 2008 global financial crisis — to his more recent roles in investment management, few economists are better poised to explain the current economic landscape and the associated outlook for our industry than this guest speaker, Morgan Stanley Managing Director and Chief Global Economist Seth Carpenter. During his tenure as the Fed’s Deputy Director of the Division of Monetary Affairs, Carpenter was nicknamed “The Economist Who Speaks English” because of his ability to help journalists understand government economic policy and economic events. Or as he describes it, “to get complex ideas across in hopefully very accessible ways.”

  • Seth Carpenter, Managing Director and Chief Global Economist, Morgan Stanley
  • Kelly Williams, CPA, President and Chief Operating Officer, Atlanta Capital (MODERATOR)


12:30 – 1:00pmBreak


1:00 – 2:15pmTopical Breakout Sessions
(All invited, choose one)1. Compelling Voices of Active Management
In the face of hyperbolic active-bashing headlines, client conversations for active managers can be challenging. But active strategies can and should reside harmoniously alongside passive instruments in a well-crafted portfolio. Informed by deep experience, these three investment professionals will provide their perspectives on the value of an active approach to help you balance the active/passive narrative as you go to market.

  • Simon Hallett, CFA, Vice Chairman, Harding Loevner LP
  • Jaime Steinhardt, CFA, Executive Director, Investment Specialist – U.S. Equities, J.P. Morgan Asset Management
  • Ravi Venkataraman, CFA, Global Head of Investment Solutions, MFS Investment Management
  • T. Williams (Bill) Roberts, III, Partner, Co-President, GW&K (MODERATOR)


2. How We Make it Work: Internal Succession Stories from Those Who’ve Lived Them
Any “next chapter” for advisory firm leadership has major implications for the firm itself, and for all who will carry the business into the future. These pros will reveal how management successfully navigated the challenges of remaining independent and the rewards their firms’ efforts have yielded, both for employees and their clients.

  • Andrea Stimmel, Chief Operating Officer, Mairs & Power, Inc.
  • Maureen E. Quigley, CFA, Partner, Portfolio Manager, Chief Compliance Officer, Howland Capital Management LLC
  • Mike Brown, JD, Vice Chairman and Managing Director, Boston Financial Management
  • Rebekah Kohmescher, CFP, CPAChief Executive Officer, Altair Advisers (MODERATOR)


2:15 – 2:30pmBreak


2:30 – 3:30pmHot Topics in ESG Investing
ESG investing is one of the most dynamic areas in the asset management world right now. Not only are more advisers incorporating sustainability assessments into their investment approaches, but the factors being considered in those assessments are quickly evolving in a rapidly changing world.In this session, we’ll talk with ESG experts who advise them about the topics that they are focused on today, including:

  • Regulation. With the change in administration, the SEC is reorienting its approach to ESG. How can advisers prepare for new rules and new enforcement priorities? How will the SEC’s approach mesh with Europe’s, and what’s the litigation outlook?
  • Climate change. More than 100 firms have become signatories to the Net Zero Asset Managers initiative. We’ll talk about how firms are managing the oversight challenges, along with other trends in the climate change arena.
  • DE&I. How are advisers managing the intersection between their proxy voting policies, their investment approach, and their firms’ internal diversity, equity, and inclusion policies?
  • Alexandra N. Farmer, J. D., Partner, ESG & Impact, Kirkland & Ellis LLP
  • Dan Mistler, Partner, Head of ESG Services, ACA Group
  • Paul Hilton, CFA, Portfolio Manager & Research Analyst, Trillium Asset Management
  • David King, Head of Environmental, Social and Governance Stewardship Fidelity Investments
  • Theresa Hamacher, CFA, President, Versanture Consulting, Author, Independent Director (MODERATOR)

Friday, October 1

11:30am – 12:45pmTopical Breakout Sessions   
(All invited, choose one)1. Industry Consolidation and the Marketplace of the Future
Headlines announcing M&A activity in the advisory world seem to appear almost daily. As firm leaders evaluate their own options for growth and succession, these stories resonate. What are the considerations in sizing up prospective buyers? And what does it take to be an attractive candidate or partner to a transaction? This panel represents voices of experience — from the acquiring, the acquired, and the facilitator — and informed perspectives on the landscape ahead.

  • Molly Bennard, CPA, CFA, Managing Director, Relationship Management & M&A, Focus Financial Partners
  • Carolyn Goldhaber, Principal, Chief Financial Officer, Segall Bryant & Hamill
  • Bomy Hagopian, CFA, Partner, Co-Head of Wealth Management Advisory, Berkshire Global Advisors
  • Jonathan Stern, CFA, Partner, Berkshire Global Advisors (MODERATOR)

Sponsored by Berkshire Global Advisors

2. Cybersecurity Risks and Best Practices
This session will focus on the current state of cybersecurity from IA industry and regulatory perspectives. The panelists will discuss lessons learned from recent SEC cyber enforcement cases They will also explore how cybersecurity risks have evolved in the remote work environment and components of an effective telework and BYOD policy. Our experts will offer practical tips to strengthen your firm’s cybersecurity culture and manage your cybersecurity risks.

    • Edward R. McNicholas, Partner, Ropes & Gray, LLC
    • Craig Moreshead, Managing Director, Foreside Financial
    • Charles Zambri, Chief Operating Officer, Boston Financial Management


12:45 – 1:15pmBreak


1:15 – 2:30pmAll About Blockchain and Digital Assets: What Your Firm Needs to Know, Why Your Firm Needs to Care, and How to Proceed
This revolutionary technology is transforming commerce on a global scale, with significant implications for investment firms. Hear from a prominent panel of experts, as they explain what this new tech is – and why it’s transformational. They’ll also explore the issues your firm faces in evaluating this new ecosystem and offer considerations for adoption and implementation that work within the reputational and regulatory framework your organization faces.

  • Ric Edelman, Founder, Edelman Financial Engines and the Digital Assets Council of Financial Professionals
  • Ryan Radloff, Chief Executive Officer, Kingdom Trust
  • Rayhaneh Sharif-Askary, Director of Investor Relations and Business Development, Grayscale Investments
  • David Canter, Executive Vice President, Head of RIA and Family Office Segments, Fidelity Institutional (MODERATOR)

Sponsored by Fidelity Investments


2:30 – 2:45pm


Final Remarks/Conference Adjourns

  • Karen L. Barr, President & CEO, IAA

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