Leadership Conference Exhibitors & Sponsors
SPONSOR: Welcome Reception
Fidelity Clearing & Custody SolutionsSM provides a comprehensive clearing and custody platform, brokerage services, trading capabilities, and practice management consulting to broker-dealer firms, banks, insurance companies, registered investment advisors—including, strategic acquirers and professional asset managers—and retirement recordkeepers. FCCS’ goal is to help institutional clients be future-ready by offering access to our exceptional people, knowledgeable consultations, and transformative technology. https://fiws.fidelity.com
SPONSOR: Executive Roundtable Luncheon
Berkshire Capital is a leading global boutique investment bank that specializes in M&A for the financial services sector. The firm has completed more transactions in this space than any other investment bank – an achievement resulting from its commitment to help clients find successful, long-lasting partnerships. Berkshire Capital is headquartered in New York and has offices in San Francisco, Denver, Philadelphia, London, Frankfurt and Sydney. For more information visit http://www.berkcap.com
ACA Compliance Group (ACA) is a leading provider of regulatory compliance products and solutions, cybersecurity and risk assessments, performance services, and technology solutions to regional, national, and global firms in the financial services industry. With offices worldwide, ACA clients include leading investment advisers, private fund managers, commodity trading advisors, investment companies, and broker-dealers. ACA services and develops its products with a team comprised of former SEC, FINRA, FSA, NYSE, NFA, and state regulators, as well as former senior managers and technologists from prominent financial institutions and consulting firms. www.acacompliancegroup.com
Advent, a business unit of SS&C, is helping over 4,300 investment firms in more than 50 countries – from established global institutions to small start-up practice – to grow their business and thrive. Delivering unparalleled precision and ahead-of-the-curve solutions for more than 30 years, we help our clients minimize risk, work together seamlessly, and shape the future of investment management. For more information visit www.advent.com.
Starting a fund? You can rely on ATLANTIC FUND SERVICES’ expertise to successfully bring to you to market. Searching for broader or better service? Look to leverage Atlantic Fund Services’ global offering and industry experience. Since 1986, Atlantic has supported investment advisers in launching and operating innovative registered and unregistered investment funds. As an independent fund administrator, with operations in the U.S., Luxembourg, and Poland, Atlantic supports asset managers with customized turnkey administration, fund accounting, and transfer agency solutions. Learn more at www.atlanticfundservices.com.
CFA Institute is a global community of more than 125,000 investment professionals working to build an investment industry where investors’ interests come first, financial markets function at their best, and economies grow. For more information, please visit www.cfainstitute.org.
eSentire® is the largest pure-play Managed Detection and Response (MDR) service provider, keeping organizations safe from constantly evolving cyber-attacks that technology alone cannot prevent. Protecting more than $5 trillion in corporate assets, eSentire absorbs the complexity of cybersecurity, delivering enterprise-grade protection and the ability to comply with growing regulatory requirements. For more information visit www.esentire.com.
Graydon Compliance Solutions, was established in response to the growing demand for personalized, comprehensive compliance solutions for RIAs. Our focus is to service and address the regulatory compliance needs of the RIA community by offering a suite of outsourced compliance solutions tailored to meet each client’s unique requirements in one of two ways: Outsourced Chief Compliance Officer and Compliance Program Administration. Our flat-fee pricing and personal relationships set us apart from other consulting firms, regardless of the level of service you choose. For more information, visit www.graydoncs.com.
Gunn Steers & Company is a leading domestic and global provider of insurance and risk management services to registered and non-registered Investment Advisor firms, Mutual Funds, and Hedge Funds. Since 1984, Gunn Steers & Company has developed and grown a well branded specialty in meeting all the insurance needs and requirements of investment advisors, asset managers, wealth managers and leading mutual funds, hedge funds and private equity firms. Gunn Steers’ Asset Management Practice Team currently serves over 350 Asset Management firms totaling over $400 billion in practice AUM. For more information, contact Abbe Case-Ellam at AbbeEllam@gunnsteers.com or by phone at (212) 883-1933.
Since 1998, Leibowitz Branding & Design has been providing the asset management industry with strategic marketing solutions. We grow brands by creating breakthrough visual identities, on-point messaging, and compelling communications across print and digital media. We excel at brand strategy and design, web design and development, content creation for print and digital, and advisor and shareholder communications. Visit www.leibowitzdesign.com for more information.
NCS Regulatory Compliance is the nation’s premier regulatory compliance consulting firm and offers the deep investment adviser and broker-dealer expertise that makes the critical difference to our clients. Their knowledgeable consultants work closely with you providing dedicated support to assess your compliance needs and develop a proactive strategy that is effective and easy to implement, while anticipating and planning for regulatory changes. NCS Regulatory Compliance will help you avoid compliance issues, giving you peace of mind and the opportunity to focus on your core competencies. Learn more about NCS Regulatory Compliance by visiting www.ncsregcomp.com or calling 800-800-3204.
BNY Mellon’s Pershing and its affiliates provide a comprehensive network of global financial business solutions to advisors, broker-dealers, family offices, hedge fund and ’40 Act fund managers, registered investment adviser firms and wealth managers. Many of the world’s most sophisticated and successful financial services firms rely on Pershing for clearing and custody; investment, wealth and retirement solutions; technology and enterprise data management; trading services; prime brokerage and business consulting. Pershing LLC (member FINRA, NYSE, SIPC) is a BNY Mellon company. For more information, visit www.pershing.com.
Telemet America, Inc. is a market data, portfolio analytics and investment research provider. Our desktop solution, Telemet Orion, is employed by some of the most well regarded financial institutions in the US. We supply our customers with vital market intelligence incorporating data, news, analytics and multimedia reports in one single platform. Telemet’s integrated investment platform improves workflow and enhances revenue. Investment professionals have relied on Telemet as major source of market data for over 30 years. Telemet Orion is well known in the business as an exceptional value and easy to use. For more information, visit www.taquote.com.
ULTIMUS FUND SOLUTIONS provides highly customized mutual fund services, middle-office services, and collective trust fund support to advisers of all sizes. A specialty is helping advisers evaluate and execute the organization of mutual funds, which we follow with a full-service, turnkey offering that has earned us the highest client rating among fund administrators three consecutive years. Please visit www.ultimusfundsolutions.com, and to request more information please contact Adam Kornegay at email@example.com.
For more than 45 years, U.S. Bancorp Fund Services has leveraged the specialized niches of experience across our organization to provide seamless support for our clients regardless of the complexity and depth of their products. Each service offering integrates our investment knowledge and specialized technologies to minimize our clients’ compliance and operations risks. Regardless of whether you require fund accounting and administration, transfer agent, distribution and marketing, CCO or custody services, our solutions are available as a comprehensive suite or independently. For more information about our alternative investment, mutual fund,and exchange traded fund services, please visit www.usbfs.com.
The Hunt Valley, Baltimore branch of WILLIS serves as the home office for the Professional Products Department specializing in Investment Advisory, Mutual, Hedge and Private Fund Management Errors and Omissions programs. During the past 29 years, the company has diligently marketed and serviced over 400 Investment Advisory firms and Fund complexes regarding not only their E&O concerns but also D&O coverages, ERISA, Blanket Fidelity and Mutual Fund bonds, Employment Practices Liability, and Cyber Liability. Willis works as a resource in the management of Professional Financial Risks. For more information, please contact firstname.lastname@example.org.