2023 Fall Forum

Institutionalized Asset Management: Bridging the Gaps


Short Hills, New Jersey

November 13 – 15, 2023


Welcome to Short Hills!


Forums are not like other conferences you may have been to. They are designed to maximize the free exchange of experiences and interests amongst its member participants in a balanced way. You will find three types of engagement options in three different ways:


  • General Sessions with everyone in a ballroom setting and a more formal, directed conversation.


  • Breakout Sessions are a mix of topics and agenda items that are participant-driven discussions and working sessions.


  • Social Settings such as meals, receptions, activities, and other events to allow more self-directed interaction and networking.


These represent the three key mechanics we use to help you and your organizations learn and grow at the Forums.  Every breakout session at the Forum is a dynamic conversation and discussion between members in which to share best practices and successes along with learning from one another about beginning, implementing, and improving on your own efforts.  The breakout sessions are purposely succinct in their titling and description to allow the participants to drive more of the content, priority, and overall direction of the sessions.   Facilitators from each session you register for will be reaching out to you in advance to gain your input for that session and help ensure that you are able to maximize your participation in it.


In addition to member participants from a broad spectrum of asset management firms, a curated selection of Vendor Partners has been invited by members for showing deep understanding and dedication to this space in the financial services industry and in particular to Sales, Marketing, Client Servicing and the tools, technologies, and practices that enable them.  However, unlike other conferences, our Vendor Partners do not have booths, tables, or other dedicated space at the events. On the contrary, we invite them to participate in the sessions as a means for them to continue learning about what we are tasked with, how they may be of help and how they have assisted others in similar situations as us. They are forbidden from making sales pitches but encouraged to share their accomplishments and experiences with you as source of expertise and broad exposure to our industry.  As such please be open to learning and sharing with them.  It’s free!


Check Out Highlights from Past Forums

Helpful Numbers During Your Stay

Upcoming SME Forum Events in 2024

Spring Forum

Charlotte, May 10-12 (TBC)


Global Forum

London, June 18/19, 2024


Fall Forum

Kansas City, Oct 21-23, 2024

2023 Fall Forum:  By The Numbers







Monday, November 13

All Day: Arrivals and Check-in
Optional: Golf, Tennis, area Excursions
6:00 PM:  Kyloe Digital Welcome Reception & Tasting (in Madison off Lobby)


Tuesday, November 14


8:00 AM: Registration and Networking Hot Breakfast
9:00 AM: Kickoff and Opening Remarks,  Hazem Gamal, COO, SME Forum
9:30 AM: Institutional or Retail – How About Both?  Davis Walmsley, Broadridge
10:30 AM:  Tuesday Morning (TAM) Breakout Sessions:

Salon A:       Understanding Institutionalization of the Retail Market

Milburn:      Institutionalizing your CRM Platform

Bonnel:       The ABC’s of Institutional Client Onboarding

Chatham:   Return to Mobile Platforms and Capabilities

12:00 PM:  Networking Sit Down Lunch with optional Partner/Topic Table discussions
1:00 PM:    Snowflake: Changing the Landscape of Data and Insights, Jill Camper SS&C with Panelists
1:45 PM:   Alternative Approaches to Marketing Collaboration, Jeremy Kees, Merrill Lynch and panelists
2:30 PM:   Institutional Organizational Changes, Loren Fox, FUSE Research and Panel
3:00 PM:   Tuesday Afternoon (TPM) Breakout Sessions:

Bonnel:       Developing Institutional Segmentation

Milburn:     Effective Sales teams through Data-enabled Insights

Chatham:   Effective Sales teams through Data-enabled Insights

Salon A:      Real world AI in Asset Management

4:30 PM:    AI Needs Good Data Too!,  A Fireside Chat with Asad Mahmood, HSO
5:00 – 8:00 PM: Reception followed by Sit Down Dinner for all participants and guests


Wednesday, November 15


7:30 AM:   Registration and Networking Hot Breakfast
8:30 AM:   Rise of Enterprise RIA: Supporting Super Hybrids, Dennis Gallant, ISS
9:30 AM:   Wednesday Morning (WAM) Breakout Sessions:

Milburn:     Harvesting Sales and Marketing Activity

Bonnel:       Intersection of Institutional with Retail Operations

Chatham:   Preventing Cracks in the Pipeline Process

Salon A:      Using Next Best Action Signals Effectively

11:00 AM:   Evolving Approaches to Segmentation, Lee Kowarski SS&C and Panelists
12:00 PM:   Networking Sit Down Lunch
1:00 PM:     Best Practices from Asset Managers using Advisor Data – Mark Smith, Morgan Stanley and panelists
1:45 PM:     Accelerating Modernization Using SFDC, Jodi Wagner SFDC and panelists
2:30  PM:    Wednesday Afternoon (WPM) Breakout Sessions:

Milburn:        Balanced Marketing KPIs and Metrics

Ballroom:     Financial Services Cloud Working Session

Chatham:     Integrating Institutional Data

Salon A:         Best Practices with B/D, Proprietary and Advisor 3rd Party Data

3:30 PM:   Closing Reception and Networking
5:00 PM:   Forum Concludes and Departures
6:00 PM:   Leadership Council Offsite Dinner (By Invitation)


Thursday, November 16:  SME Leadership Council


8:00 AM:   Leadership Council Breakfast
8:30 AM:   Leadership Council Meetings
11:00 AM:  Meeting Concludes and Departures


    Ballroom = BLR   |   Bonnel = BNL   |   Chatham = CHT   |   Milburn = MLB |   Salon A = SLN

    Speaker & Panelist Biographies

    Hazem Gamal

    Hazem Gamal

    The SME Forum, COO


    In 2018 Hazem took over the SME Forum and focuses most of his efforts there. Since its founding more than 15 years ago, The Forum has been a growing dynamic community of practitioners from the Asset Management industry who have roles in supporting the Sales, Marketing, Operations and Technology departments of their respective organizations.  The deep degrees of trust in sharing best practices, avoiding pitfalls, and learning from one another are hallmarks of how valuable this community continues to be for each firm and the individual employees.

    As one of the original members, he has been a continual driver of the Forum’s growth and maturity since its inception in 2003.  Initially the senior representative for OppenheimerFunds, he grew to be a leader in the development of the CRM Forum,  providing  guidance,  mentorship,  facilitation  and participation in various aspect of the organization’s events over the years.  Hazem took over ownership and primary responsibilities for running the organization in 2018.  He also continues to provide consulting services to the industry under his Thoth Advisory Services organization.

    Prior to the Forum, Hazem spent more than fifteen years at OppenheimerFunds in several different roles, always as a proven change agent to help define and implement appropriate and necessary improvements to propel the business.  He worked  most closely with the sales and marketing divisions directing their technology needs and adoption, onboarding third-party services, in addition to portfolios such as data management, reporting and analytics, business continuity and disaster recovery, among other responsibilities.

    Neeraj Arora

    Neeraj Arora

    Head of Insights and Analytics North America, Invesco


    Neeraj is an analytics and change management expert with over 20 years of experience in leadership roles across Asset Management, Consumer Finance, Insurance and Advertising. Over the past 15 years, Neeraj has successfully led teams of data scientists, analysts, management consultants, and visualization experts to foster a comprehensive data-driven decision-making mindset within organizations. Alongside this, Neeraj has maintained a strong focus on change management aspects. He has been invited to speak at numerous conferences, specifically addressing cultural and operational challenges related to adopting analytics and AI.

    Most recently, Neeraj spearheaded the Analytics and Insights charge at Invesco. Neeraj helped to enhance net sales growth by gaining a deeper understanding of clients and their interaction with the company’s products, supporting the organization’s ongoing commitment to client-centricity. His team strategically utilized data, business intelligence, and advanced analytics across wealth management and institutional business in North America, enhancing effectiveness and efficiency through a combination of analytical insights, visualization, and on-the-ground implementation.

    Before Invesco, Neeraj was a senior consultant at Citibank for their US Retail Bank and Credit Card business. Prior to that, he spent over a decade in leading the development of analytics as well as optimal infrastructure for data driven decision making at Farmers Insurance, AIG and Capital One.

    Mario Barbato

    Mario Barbato

    The SME Forum


    Mario began his career at Lord Abbett leading the firm’s effort to build Sales & Marketing data analytics functions, develop digital marketing strategies and create a comprehensive client touch point data analysis to facilitate client segmentation, predictive analytics, lead management, and CRM engagement. Through this work, he initiated a wholesaler training program to drive adoption of both the data & technology to help meet business plan goals.

    Most recently Mario served as Chief Transformation Officer responsible for leading change management in Lord Abbett’s Technology and Operations areas in an effort to enhance agility throughout the firm. This included overseeing the integration of data management and analytics, reporting, and technology to increase efficiency, create an information advantage, and drive transformation across the organization. In this role, Mario led key initiatives such as; the migration of the firm’s Middle Office platform through a Strategic Partnership with a leading provider in the industry, provided strategic thought leadership, implementation planning & development for the firm’s move to a new Investment Management Solution and the development of a strategic product & client data platform for new product launches, customer acquisition/onboarding, lifecycle, and retention initiatives through interactive data analytics, visualization, & management tools.

    Corey Beckerman

    Corey Beckerman

    SVP, Head of Distribution Data: Intelligence and Sales Enablement, Voya Investment Management


    Corey is a dynamic and accomplished leader with 23+ years of experience in the financial services industry.  He began his career in 1999 as a Personal Financial Advisor with Ameriprise and has worked for other firms such as AIG Sun America, JPMorgan Chase and Legg Mason and Alliance Bernstein.  Corey is currently the Head of Distribution Data, Intelligence and Sales Enablement at Voya Investment Management.  In his previous role at Alliance Bernstein, he served as VP/Director of Business Intelligence and Sales Enablement where he was responsible for managing data initiatives to identify insights and present information to drive key decisions for the North America Client Group. 

    Corey graduated from The Ohio State University in 1999.  He currently lives in NJ with wife Alissa and their two daughters. He enjoys spending time with his family and practicing Brazilian Jiu-Jitsu. 

    Matt Brady

    Matt Brady

    Director, US Intermediary Marketing Invesco


    Matt is a director of US Intermediary Marketing at Invesco and leads the strategic marketing efforts for the Advisor, Platform and Professional Buyer clients. In this role, Matt and his team are responsible for developing the marketing strategy and driving execution of the client experience and key campaigns and events across multiple channels to drive sales, brand engagement, and client loyalty.

    Matt brings 15 years of experience across both the wealth and asset management industry in marketing and communications, joining Invesco in 2019 through the firm’s acquisition of OppenheimerFunds, where he led the US Advisor integrated marketing team. He held several roles prior to that including Defined Contribution Investment Only (DCIO) marketing at Goldman Sachs Asset Management (GSAM), and as part of Merrill Lynch and Bank of America supporting Merrill Edge sales enablement and communications as well as Merrill Lynch Personal Retirement channel management.

    Matt graduated with a B.A., cum laude, with honors, in English Literature from Villanova University, received his Executive IQ Certification from the Money Management Institute (MMI) and the University of Virginia, Darden School of Business, and is design thinking certified. He lives in Maplewood, NJ with his wife, two children, and their dog – all of whom he is passionately converting to Philadelphia sports fans.

    Tony Busacca

    Tony Busacca

    The SME Forum


    Anthony Busacca is a highly accomplished business professional with more than 35 years of experience in the corporate world, as well as over 10 years of experience as an entrepreneur. He has a proven track record of success in driving growth, managing teams, and delivering results across a range of industries.

    Mr. Busacca began his career in the financial sector, holding senior leadership positions in finance, operations, and business development at several prominent companies. He honed his skills in strategic planning, financial analysis, and team management, and gained deep expertise in industries such as banking, insurance, and investment management.

    In 2009, Mr. Busacca made the leap into entrepreneurship, founding his own company focused on providing innovative solutions in the financial services industry. As the CEO of his own firm, he demonstrated his ability to identify new opportunities, develop effective strategies, and build high-performing teams.

    Over the course of his career, Mr. Busacca has earned a reputation as a dynamic and results-driven leader. He is known for his ability to think strategically, execute effectively, and drive growth in even the most challenging environments. He has a proven ability to develop and motivate teams, and to build strong relationships with stakeholders across all levels of an organization.

    In addition to his professional accomplishments, Mr. Busacca is also actively involved in his community. He has served on the boards of several non-profit organizations, and is committed to giving back and making a positive impact in the world.

    Overall, Anthony Busacca is a seasoned business professional with a diverse range of experience and a proven track record of success. Whether in the corporate world or as an entrepreneur, he has consistently demonstrated his ability to drive growth, deliver results, and create value for stakeholders.

    Jill Camper

    Jill Camper

    Head of Data Governance, SS&C Technologies


    Jill is a dynamic and motivated executive with a compelling track record of accomplishments, characterized by the adept establishment and nurturing of relationships, innovative thinking that prioritizes business objectives, and a capacity to adapt to the current corporate landscape. Boasting a rare amalgamation of expertise in business, communication, sales, and technology, Jill’s career has been marked by exceptional client adoption and satisfaction, a testament to her passion for leadership and mentorship. 

    Her success is rooted in a unique combination of traits, including a continuous willingness to learn, a genuine ability to actively listen to customer needs, a penchant for challenging the status quo, a preference for embracing disruption over comfort, and a profound dedication to prioritizing customer requirements. Jill’s professional journey reflects a commitment to excellence and a strategic focus on putting the customer at the forefront of every endeavor. 

    Inder Chhatwal

    Inder Chhatwal

    The SME Forum


    Inderjit S Chhatwal is a veteran of the Asset Management and Technology domains, with over 30 years of experience in IT, of which about two-third has been in managing IT efforts for Asset/Wealth Management. Inderjit’s broad and deep understanding of mutual funds distribution business, related technologies and data affords him to lend a unique blend of both business and technology perspectives.

    Inderjit managed multiple technology teams working on various CRM and data efforts for the Sales and Distribution business line for Oppenheimer Funds, with overall responsibility from inception to adoption. His keen interest in latest technology trends brought Design Thinking approach to Oppenheimer as well as utilization of data science for predictive modeling. Prior to Oppenheimer, Inderjit was leading the Distribution Technology team supporting sales and marketing efforts at Allianz Global Investors.  

    John D’Amaro

    John D’Amaro

    Analytics Associate, FS Investments


    I am an enthusiastic Long Islander who loves the world of analytics and where it’s taking us. I saw the opportunity to pivot into analytics during my Master’s program at Syracuse University and have never looked back. With the help of those at FS Investments, I can confidently say that my skills have grown exponentially in just three short years.

    Loren Fox

    Loren Fox

    FUSE Research Network, Director of Research


    Loren Fox is the Director of Research at FUSE Research Network, a provider of business intelligence and consulting for investment management firms. He’s responsible for leading the research team and managing client support, as well as contributing to the firm’s research publications and interfacing with industry executives.

    Before joining FUSE, Loren spent nearly 10 years as the director of Ignites Research, a unit of the Financial Times and complement to the Ignites news site that produced original research on strategic issues in the asset management industry; he also created and ran the annual rankings of US financial advisors that appeared in the Financial Times from 2013 through 2020. Previously, he was a senior research analyst at Strategic Insight, producing market intelligence on the mutual fund industry. Prior to that, Loren was a business journalist for many years, having worked at Institutional Investor, Business 2.0, and other publications, and he is the author of the book Enron: The Rise and Fall (2002).

    As an industry expert, Loren has spoken at numerous conferences and has been quoted in The Wall Street Journal, The New York Times, and other publications. He earned his BA from Johns Hopkins University and his MS from Columbia University.

    Patrick Frame

    Patrick Frame

    J.P. Morgan Asset Management, Executive Director


    Patrick is the Northern U.S. Divisional Manager for the Wealth Management channel of J.P. Morgan Asset Management, leading a team of Client Advisors based in the Northern U.S. Prior to this role, Patrick was the Head of the Wealth Management and Institutional Advisor channel for the Global Strategic Relationships Group within JPMorgan Asset Management.

    Patrick has over 20 years’ experience in the financial services industry. He started his career in 1998 with Merrill Lynch. His roles have included financial advisor, client advisor, relationship manager, and sales manager.  Patrick joined J.P. Morgan Asset Management in 2010. He holds FINRA Series 7, 66, and 24 licenses and has the CIMA®  as well as the CFP® designation.

    Patrick lives in Bernardsville, NJ with his wife and three children.

    Dennis Gallant

    Dennis Gallant

    ISS Market Intelligence, Associate Director


    Dennis Gallant is an Associate Director and Product Engagement Specialist at ISS Market Intelligence.

    Dennis is an industry expert with over 25 years of diverse experience providing research and consulting services for the asset management, wealth management, and financial advisor markets. His coverage includes investment product distribution, advisor portfolio construction, model portfolios, the TAMP marketplace, the independent advisor/RIA market, direct indexing, retirement income, digital/hybrid advice, advisor recruiting, and the transition to advice/planning. Prior to this, he was a Strategic Advisor with Aite Novarica Group’s Wealth Management practice, managed his own consulting firm (GDC Research), and was a Director at Cerulli Associates.

    Dennis conducts numerous presentations for client and industry conferences and is often quoted in industry trade publications, including WSJ, Investment News, Financial Advisor Magazine, Financial Planning, Ignites, and Institutional Investor

    Vince Grogan

    Vince Grogan

    Marketing Executive


    Vince Grogan is a seasoned financial services marketing leader having built and led marketing teams at some of the top firms in wealth and asset management, including Merrill Lynch, Goldman Sachs, OppenheimerFunds and most recently as the first Director of Marketing for Lord Abbett.

    Vince has more than 20 years of experience in creating and implementing innovative marketing and brand strategies for institutional, private wealth and retail asset management, wealth management, and retirement businesses. He has worked extensively on brand strategy, integrated marketing, digital experience, content strategy and digital marketing infrastructure.

    Barney Holmes

    Barney Holmes

    Founding Partner, Meritus Business Consulting


    Barney, is a seasoned problem-solver and co-founder of Meritus Business Solutions, known for his excellence, focus, and commitment. He leads business operations and software functions at Meritus, cultivating lasting relationships with clients in financial services, healthcare, and manufacturing.

    As a driving force behind the company’s high-value solutions in Customer Relationship Management and Business Process Management, Barney’s approach is built on trust, credibility, and extensive experience. Meritus has become a trusted partner for clients seeking innovative and tailored solutions

    Bill Hortz

    Bill Hortz

    Institute for Innovation Development, Founder and Dean


    Bill Hortz is a business innovation writer, independent business consultant, and Founder/Dean of the financial services business innovation focused Institute for Innovation Development.

    Bill has over 30 years of experience in the financial services industry including creatively restructuring and developing internal/external sales and strategic account departments for 5 major financial firms; entrepreneurially pioneering new markets in the early days of the financial advisor fee-based movement and financial alliance programs in the US;  and created many non-traditional and engaging advisor educational events with major financial firms including OppenheimerFunds, Neuberger&Berman, Peregrine Asset Management (HK), and Templeton Funds Distributors.

    His wide-ranging experiences have led Bill to a strong belief, passion and advocation for strategic thinking, innovation creation, and strategic account management as the nexus of business forces needed to address a business environment challenged by an accelerating rate of change.

    Bill loves working with senior executives, sales/strategic account departments, and financial advisor teams in developing effective ways of using innovation resources and developing innovation skills. He considers himself a life-long “student of human nature” and is well known for his enthusiasm, creativity, and resourcefulness.

    Bill is married, with two grown children (and 2 grandchildren!), living in the Tampa Bay area. He enjoys reading, engaged conversation, bicycling, spelunking, and traveling with his family.  

    Little known facts: Bill worked on the last remaining docks of NYC as an underage teen, worked for the man in Hong Kong that the book Tai-Pan was based on, and constantly seeks out off-off-off broadway theatre, performance art, live music performance, and modern art museums.

    Nick Jubb

    Nick Jubb

    Enablement Solutions Leader


    Nick is an experienced enablement solutions leader with a strong track record of effective global leadership and management success implementing enablement solutions for global organizations in complex, highly regulated environments, providing the structure, platforms and data insights to enable sales and client facing teams to be successful in their roles. Skilled in integrating enablement solutions into enterprise data infrastructure and optimizing processes to ensure maximum efficiency and ROI for the enterprise.  Experienced in building and developing teams around the world to support the enablement needs of global enterprises.He fundamentally believes in and fosters a strong collaborative mindset across internal/external partnerships with stakeholders, vendors and consultants to achieve trust in both the solutions and the data, resulting in strong user engagement and adoption of technology.Nick has developed deep CRM eco-system expertise, including Salesforce, Marketo, Seismic, QVidian and associated apps and data providers such as ZoomInfo, LinkedIn Navigator and vertical-specific data sets that complete the full eco-system. 

    Jeremy Kees

    Jeremy Kees

    Director, Senior Relationship Manager and Cross Manager Implementation, Bank of America


    Based in New York, Jeremy is responsible for managing key strategic relationships with 3rd party investment managers to progress strategic priorities for the Global Wealth & Investment Management (GWIM) businesses. The role is instrumental in working across the different channels within Bank of America, particularly GWIM, Consumer Banking, Global Banking & Global Markets to coordinate activities and broaden strategic relationships. As a leader in Cross Manager Implementation Jeremy is spearheading new and innovative methods of data collection and sharing with key partners to further our strategic goals and meet our client needs.

    Previously, Jeremy worked within the ISG Investment Advisory Specialist team for 8+ years in multiple roles, including leading a team of 18 specialists. In addition to his sales and leadership roles, Jeremy led the team’s efforts to upgrade and enhance their CRM system.

    Prior to that Jeremy spent ~5 years working for Edward Jones as a Financial Advisor in the greater Columbus, OH area.

    Jeremy is the D&I Ambassador for the ISG Organization and is an active mentor for both the ISG Mentorship Committee and the Black Professional Group.

    Jeremy holds a Bachelor’s Degree in Business Administration with a Concentration in Finance and a Minor in Economics from East Stroudsburg University. He currently holds the Series 7, 66 and 24 licenses. Jeremy lives in New Jersey with his wife Alyssa and sons, Jak (6) and Max (3).

    Asad Mahmood

    Asad Mahmood

    Vice President Data & Analytics, HSO


    Asad is a recognized leader in establishing and implementing Corporate Data Strategies, steering organizations towards becoming data-driven entities. His expertise lies in spearheading technology-led modernization initiatives for large enterprises across diverse sectors such as Retail, Insurance, Pharma, and Finance. 

    Specializing in the identification and architecture of solutions, Asad leverages Big Data, Cloud platforms (Azure, GCP, AWS), and AI/ML tools to drive transformative outcomes. His leadership extends to guiding advanced analytics teams in the activation of customer and marketing data, revealing optimization opportunities through compelling data narratives spanning Supply Chain, Customer Journeys, Inventory, Sales, Marketing, and Digital Transformations. Asad Mahmood’s professional acumen lies at the intersection of technology innovation and strategic data utilization, making him a pivotal force in steering organizations towards comprehensive data-driven success. 

    David Master

    David Master

    Global Financial Services Business & Marketing Executive


    Dave Master is a 30+ year veteran of the asset management business, most recently having served as the Global Chief Marketing Officer of Janus Henderson Investors.  Prior to that he has served in executive roles at Legg Mason, Prudential Financial and the Chase Manhattan Bank, as well as having spent over a decade consulting to numerous financial services firms.   He specializes in business strategy, strategic and tactical marketing, and organizational evolution. 

    Dave has an AB from Dartmouth College and an MBA from Yale University.  He currently lives in Norwalk, CT with his wife.

    William McCrea

    William McCrea

    Managing Director, CDO at FS Investments


    Bill McCrea is a seasoned data and analytics professional, with a remarkable track record spanning over three decades in the financial services industry, primarily in Capital Markets and Investment Management.

    Since joining FS Investments as Chief Data Officer in 2019, Bill has been instrumental in implementing the company’s data platform and cultivating a robust Data Strategy team.

    Throughout his career, Bill has dedicated most of his time to addressing complex data challenges using cutting-edge technology. What sets Bill apart is his unwavering passion for tackling intricate business problems in innovative and resilient ways. His depth of experience across the front and back office has provided him with a unique perspective, allowing him to identify and harness opportunities deliver significant value to the business.

    John Miller

    John Miller

    Head of Sales Execution for Global Relationship Management, Allspring Global Investments


    John Miller is the Head of Sales Execution for Global Relationship Management at Allspring Global Investments.

    John is responsible for the strategy and execution of the team of wealth specialists and national account managers who represent Allspring’s full investment platform. The team is responsible for setting the standard for articulating the distinct competitive advantages of Allspring’s multiple investment teams and how they fit into a client’s portfolio based on their desired outcomes. John collaborates with Allspring’s leadership and key clients’ leaderships to implement data-driven, execution strategies. He joined Allspring from its predecessor firm, Well Fargo Asset Management (WFAM) in 2021.

    Before joining WFAM, John was an AVP within the Advice and Research group at Wells Fargo Advisors where he was responsible for driving strategy of transforming advice and the continued adoption of goals-based planning. Through field coaching and engagements, application ownership, and data analysis, John has assisted with improving the quality of advice to clients across WFA. Preceding this, John was a business consultant within the Private Client Group at WFA where he was responsible for the design and implementation of branch manager and FA compensation plans. He has been in the financial services industry since 2013.

    Bradley Moore

    Bradley Moore

    Director Head of Growth Dynamics, BNY Mellon Security Services & Digital


    Bradley is responsible for all aspects of business solutions, product management and development for the Growth Dynamics product suite covering Distribution Analytics. In this role, Bradley provides analytical best practice consulting services, dashboard reporting solutions and strategic and tactical insights on critical industry trends to asset managers and broker dealers. This role includes oversight of the Wealth Management Solutions team that manages relationships with the Growth Dynamics Wealth Management client base. Bradley also manages our Due Diligence workflow solution which supports the ongoing compliance, regulatory and relationship data collection needs of our clients.

    Prior to joining Intermediary Analytics, Bradley led the effort that was responsible for business process reengineering for the operational innovations group within PNC Global Investment Servicing. Before working at PNC, he was part of a team that streamlined the analytical functions for the finance group at Pepco Holdings. Bradley earned a Bachelor of Science degree in Business Administration and a Master of Science degree in Information Systems and Technology Management from the University of Delaware. He also successfully completed an executive education program on Product Innovation at the University of Wisconsin and an executive education certification in Big Data and Analytics from the University of Delaware. Bradley also served as the co-chair of the Data & Analytics committee for NICSA.

    Todd Neese

    Todd Neese

    The SME Forum, Facilitator


    Trained in engineering, research, and psychology (B.S. in Psychology, Kansas State University), Todd Neese has worked at a psychiatric research and training hospital (coordinating treatment outcome studies), a variable annuity company (coordinating customer information management), a major research university (coordinating business intelligence for the Vice Provost for Research), an insurance and asset management company, Athene / Aviva / AmerUs (leading business intelligence, sales and marketing related reporting and analytics, and data governance), and for the most recent eight years at Janus Henderson Investors as the Global Head of Business Intelligence and Distribution Operations.  In each of these opportunities, he was responsible for building out and improving business intelligence capabilities.  The central theme of his career has been using information to drive better decision making.

    While at Janus Henderson for the past 8 years, Todd has been responsible for building the Business Intelligence and Distribution Operations function globally – transforming the focus from sales reporting of what has happened to suggesting what we could do to acquire more clients, to serve, grow and retain our existing clients, and to enable our sales and marketing teams to optimize their time and efforts by presenting the right idea to the right client at the right time.  His Teams focus on delivering Competitive and Market Intelligence, Data and Solution Driven Selling Opportunities, Outcomes Analyses, Distribution Enablement and Advanced Analytics, CRM Training and Support, AUM & Flows Processing and Reporting, and Sales Reporting.

    Career development (his own and those with whom he works), community involvement, and corporate responsibility are extremely important to Todd.  He led the establishment of the Insuring a Future Program at Aviva, which provided two “retroactive life insurance” awards for uninsured or underinsured non-customer recipients in need, through a corporate and community agency team.  He led an enhanced employee leadership development team, which delivered 11 department-wide Finance continuing education sessions, expanded employee recognition, and launched a mentorship program.  His teams are regularly involved in Habitat for Humanity-type events; and he has chaired the Leadership Level Giving effort within the Aviva United Way Campaign for three years.  In the past, he has served as the president of the Board of Directors of a (United Way sponsored) Crisis Counseling Center.

    Todd’s daily goal is to improve the company and his team in everything that he does – with the desired impact being increased collaboration and insight.  Innovation, integrity, fairness, humor, and quality are central values driving his actions.  His Real Deal cards (PEAK Learning) are Being Challenged, Contributing to a worthy cause, Freedom to innovate, Respect, and Humor/Laughter; and his Deal Breaker is Enthusiasm / Passion.  With his roots in academic settings, he views a central part of his role as a leader to help develop the next generation of leaders and to help those on his team achieve their aspirations.

    Todd and his wife, Barb, have been married for 15 years and have no children of their own.  However, they have many nieces and nephews whom they adore and spoil.  Outside of work his passions include music, culinary adventures, and art.

    Pete Petersen

    Pete Petersen

    Chief Technology Officer & Chief Cybersecurity Officer, Causeway Capital Management LLC.


    Mr. Petersen is the Chief Technology Officer and the Chief Cybersecurity Officer at Causeway Capital Management LLC and has been with the firm since its inception in June 2001. From 1997 to 2001, Mr. Petersen was the Senior Engineer at the Hotchkis & Wiley division of Merrill Lynch Investment Managers (HW-MLIM) where he was responsible for managing data center operations and overall infrastructure. Prior to that, Mr. Petersen held various development and engineering roles at technology firms in Silicon Valley including Applied Materials, Oracle, Sun Microsystems, and SCO Unix. He holds executive certificates from Johns Hopkins in Data Science, MIT in Artificial Intelligence Strategy, and Pepperdine in Financial Technology. Additionally, Mr. Petersen has completed the Business Analytics Program at Harvard and the CTO program at Wharton.

    Mr. Petersen studied philosophy at North Carolina Wesleyan University and holds professional certificates from Microsoft, CISCO, Oracle, IBM, and 3Com.  He lives in Southern California with his wife and has two college-aged children.

    Jon Rosenberg

    Jon Rosenberg

    Data and Digital Product Management, Strategy and Transformation Executive


    Jon is a seasoned digital product and data leader, renowned for his transformative strategies. With a focus on ROI and agile methodologies, he excels in revitalizing teams and processes. With a proven track record in managing teams of 40+, his expertise lies in implementing automation, leveraging data science, and fostering continuous growth.

    Jon’s track record is impressive, with successful multi-platform CRM transformations and global client data overhauls resulting in financial savings and automation. He is known for unifying digital infrastructures, reducing project timelines, and fostering a thriving work environment. 

    An inspirational executive, Jon bridges digital transformations, product lifecycle management, and data analytics. His leadership in transitioning to Agile methodologies optimizes efficiency and promotes organizational agility. He is not only about systems but also fostering change and innovation, exemplified by his enterprise-wide Business Resource Group. 

    Jon’s educational background includes an Executive MBA from Rutgers Business School and studies in Corporate Innovation at MIT’s Sloan School of Management, along with a Bachelor of Arts in Economics from Rutgers University. 

    Perry Rotella

    Perry Rotella

    Managing Director, Financial Services, Box


    Perry Rotella is currently the Managing Director, Financial Services for Box. Prior to Box, Perry spent more than 25 years in executive leadership roles including Financial Services Industry Specialist at Amazon Web Services, Senior Executive Partner at Gartner, CIO and Group Executive at Verisk Analytics, CIO at Moody’s Corporation, and Global CTO at AIG.

    Perry holds a B.A. in Mathematics and Economics from the University of Pennsylvania.  He also graduated with executive certificates in Management and Leadership from MIT Sloan School of Management, and Global Marketing from Thunderbird School of Global Management.

    When he’s not busy helping customers, Perry is an avid outdoorsman who loves hiking, biking, fishing, and camping.  He also loves spending time with his two boys, cooking international cuisine, and playing ice hockey.

    Joe Schwartzbach

    Joe Schwartzbach

    Model Portfolio Specialist, WisdomTree Investments


    Joe joined WisdomTree in June of 2020 and primarily focuses on the sales and distribution of the WisdomTree-Siegel Multi-Asset Income models at Merrill.

    Prior to joining WisdomTree, Joe spent 13 years in various roles at Merrill Lynch; the last 7 years with the Investment Advisory Team as an Investment Advisory Specialist. Joe’s role at Merrill included portfolio construction, portfolio analysis, providing timely and actionable investment recommendations and helping advisors transition their book to a more scalable and efficient practice.

    In his free time, Joe enjoys golf, baseball and working out near his hometown of Stamford, Connecticut.

    Mark Smith

    Mark Smith

    Head of Distribution Intelligence Relationship Management Group, Morgan Stanley


    As head of RMG Distribution Intelligence, Mark manages a team responsible for the marketing and distribution of data to asset managers to help drive sales engagement within Morgan Stanley Wealth Management.

    He has been with Morgan Stanley since January, 2004 in various capacities including many years as a Consulting Group Regional Sales Director and various roles aligning the mutual interests of the Firm and asset management partners.

    Prior to joining Morgan Stanley, Mark has held various asset manager sales positions in Philadelphia, Washington, DC, Cleveland and other areas of the Midwest.

    Mark is a graduate of Kent State University.

    Keith S. Stecker, CIMA®, CPFA®

    Keith S. Stecker, CIMA®, CPFA®

    Brookfield Oaktree Wealth Solutions, Senior Vice President


    Keith is a seasoned financial professional with a proven track record of driving exceptional sales results and building high-performing teams in the investment industry. With over two decades of experience, Keith has consistently delivered outstanding results, most notably achieving $3 billion in new sales in 2022 for Brookfield Oaktree Wealth Solutions, where he served as Senior Vice President and Head of Internal Sales. He has a demonstrated ability to foster relationships with key industry players, design and implement effective sales strategies, and lead diverse teams to success. Keith’s commitment to excellence is reflected in his various professional designations and awards, including being named the 2014 DCIO Consultant of the Year.

    Throughout his career, Keith has been a dynamic force in the financial world, having managed multi-billion-dollar sales teams, developed training programs, and played a vital role in building communication pipelines across departments. His expertise in consultative sales, portfolio analytics, and practice management has consistently driven success. Keith’s dedication to achieving and exceeding sales goals, combined with his commitment to building lasting client relationships, sets him apart as a financial leader of exceptional caliber.

    As an active member of industry organizations and with a solid educational foundation in psychology, Keith S. Stecker continues to shape the financial landscape. With a strong focus on results, integrity, and client satisfaction, Keith is a prominent figure in the financial industry, setting the standard for excellence in sales and leadership. Connect with Keith on LinkedIn to stay updated on his contributions to the world of finance.

    Jodi Wagner

    Jodi Wagner

    Financial Services Industry Solutions Specialist, Salesforce.com


    Jodi is a highly accomplished Global Business and Technology Managing Consultant, boasting a wealth of experience within Fortune 100 companies across Sales, Marketing, Service, and Technology domains. With a proven track record, she excels in collaborating with both business and technology sectors to successfully drive business transformation and implement innovative solutions. Jodi has served as a former Product Owner and Manager for Salesforce organizations in the financial services and insurance sectors, demonstrating expertise across all project phases, from initiation to production support. Recognized as a self-starter, Jodi possesses a proven ability to navigate complex challenges while assuming leadership and consulting roles. 

    In addition to her professional achievements, Jodi is a passionate advocate for diversity and empowerment. As a facilitator for the #IamRemarkable initiative, she plays a pivotal role in conducting workshops and serving as an ambassador within her personal and professional networks. #IamRemarkable aims to empower women and underrepresented groups to openly discuss their accomplishments, challenging societal modesty norms and shattering glass ceilings.  To learn more about this transformative initiative, please visit g.co/IamRemarkable. 

    Jeff Strange

    Jeff Strange

    SS&C, Strategic Business Consultant for Walletshare


    Jeff Strange is a Strategic Business Consultant for SS&C Research, Analytics, and Consulting, where he partners with leading asset managers to support the WalletShare analytics platform.  

    He has subject matter expertise on distribution strategy, separately managed accounts (SMAs), and alternatives. Jeff previously served as DST kasina’s Director of Research, along with experience at FUSE, Strategic Insight, and Cerulli.

    Jeff graduated from Georgetown University and is a CAIA charterholder.

    Davis Walmsley

    Davis Walmsley

    Principal, Broadridge Global Asset Management Strategy Consulting


    Davis has more than 15 years of experience advising investment managers as a consultant and investment banker. He has partnered with managers to address strategic issues related to distribution, marketing, and product development. Prior to joining Broadridge, Davis led the Investment Management practice at Greenwich Associates and was a Director in Barclays Investment Banking FIG practice where he provided M&A and capital markets advice.

    Davis received his BS in Finance and Economics from Lehigh University and his MBA from the Harvard Business School.

    Simeon Wilson

    Simeon Wilson

    Digital Marketing & Analytics Lead, Causeway Capital Management LLC.


    Simeon Wilson serves as the Digital Marketing and Analytics Lead at Causeway Capital Management LLC. In this role, Simeon works to enhance performance of the firm’s business development group, by leveraging advanced data and technology to drive asset acquisition and retention. Prior to joining Causeway, he worked in the mortgage finance industry as an Associate Vice President of Data Science, where he led a team of data scientists to build and implement advanced AI models to make real time purchase and allocation decisions on billions in daily loan volume.

    Simeon earned his master’s degree in quantitative economics from UCLA. He currently resides in Santa Barbara, CA with his wife, who is pursuing her PhD in Communications from UCSB.

    Solutions Providers


    Broadridge, a global Fintech leader with over $4 billion in revenues and part of the S&P 500® Index, enables corporate governance, powers capital markets and helps wealth and asset management… 

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    Broadridge, a global Fintech leader with over $4 billion in revenues and part of the S&P 500® Index, enables corporate governance, powers capital markets and helps wealth and asset management firms grow. We provide communications, technology, data and analytics that help enrich engagement, navigate risk, optimize efficiency and drive revenue growth. We process $5 trillion in fixed income and equity trades daily, manage shareholder voting in 90 countries and deliver essential communications for 5,000 brands. From our unique vantage point, working side by side with our clients, we help businesses get ahead of today’s challenges and capitalize on what’s next.

    Learn More:  www.broadridge.com


    The Source for Institutional Intelligence

     eVestment, a part of Nasdaq, provides institutional investment data, analytics and market intelligence covering public and private markets. … 

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    The Source for Institutional Intelligence


    eVestment, a part of Nasdaq, provides institutional investment data, analytics and market intelligence covering public and private markets. Asset managers and general partners reach the institutional marketplace through our platform, while institutional investors and consultants rely on eVestment for manager due diligence, selection and monitoring. eVestment brings transparency and efficiency to the global institutional market, equipping managers, investors and consultants to make data-driven decisions, deploy their resources more productively and ultimately realize better outcomes.

    Learn More:  www.eVestment.com


    Kyloe is a software provider with an exclusive focus on Salesforce solutions for Asset Managers. Kyloe’s offerings include end-to-end Salesforce overlays and modules for Institutional and Intermediary Distribution Sales and Marketing, as well as pre-built Salesforce integrations… 

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    Kyloe is a software provider with an exclusive focus on Salesforce solutions for Asset Managers.

    Kyloe’s offerings include end-to-end Salesforce overlays and modules for Institutional and Intermediary Distribution Sales and Marketing, as well as pre-built Salesforce integrations for many of the leading data providers servicing the Asset Management Industry. Our team has been delivering Salesforce solutions since 2004 for many of Salesforce’s leading financial services clients.


    Learn More:  www.kyloe.digital



    Hey Dan

    Serving 5,000+ wholesalers in the asset management industry from firms with over $7.6 trillion in total market capitalization, Hey DAN (formerly Dial-A-Note) is the premiere voice to CRM solution…

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    Hey DAN

    Serving 5,000+ wholesalers in the asset management industry from firms with over $7.6 trillion in total market capitalization, Hey DAN (formerly Dial-A-Note) is the premiere voice to CRM solution. Salespeople simply dictate and Hey DAN deposits the information directly into your CRM. Drop-down menus, check boxes and other unique fields are quickly filled out, without the salesperson’s help. Hey DAN is the first voice to CRM solution that combines technology and intelligence, ensuring meeting note entry is fast, accurate, and complete.

    Hey DAN is also the only voice to CRM solution that passes all security requirements within the asset management industry.

    Beyond CRM entry, Hey DAN has built a sterling reputation for low-cost, high quality data management solutions. From expense entry to data scrubbing, list building and data mining, Hey DAN does the work behind the scenes so your sales team and support staff can work on high value tasks resulting in a phenomenal ROI.

    Hey DAN was founded in 2006 specifically to support the asset management industry. It has since launched its own nonprofit foundation helping deliver relief to the poorest of the poor around the globe. To learn more visit http://www.feathersproject.org/


    Learn More:  https://heydan.ai/civicom/

    ISS Market Intelligence

    Institutional Shareholder Services group of companies (ISS) empowers investors and companies to build for long-term and sustainable growth by providing high-quality data, analytics and insight. ISS Market Intelligence (MI) division provides critical data and insight to global asset managers…

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    Institutional Shareholder Services (ISS)

    Institutional Shareholder Services group of companies (ISS) empowers investors and companies to build for long-term and sustainable growth by providing high-quality data, analytics and insight. ISS Market Intelligence (MI) division provides critical data and insight to global asset managers, insurance companies and distributors to help them make informed, strategic decisions to manage and grow their business.

     Through its industry-leading combination of proprietary and integrated datasets, in-depth global research and reliable executive engagement, ISS MI delivers solutions for market sizing, competitor benchmarking, product strategy and opportunity identification across a wide range of financial products including funds, annuities, insurance, mortgages, and other instruments. The ISS MI group includes the industry-leading data platforms Simfund, BrightScope, Local Market Share, and Financial Clarity, as well a full collection of global research and analytic services including Investor Economics, Market Metrics, and Plan for Life.


    Learn More:  https://www.issgovernance.com/si-joins-iss/

    Olmstead Associates

    Olmstead is a data-centric consulting firm with an exclusive focus on the asset management industry. We provide consulting expertise to help with operational transformation and sales enablement solutions. We have the data management expertise that makes all those solutions play nicely together…

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    Olmstead Associates

    Olmstead is a data-centric consulting firm with an exclusive focus on the asset management industry. We provide consulting expertise to help with operational transformation and sales enablement solutions. We have the data management expertise that makes all those solutions play nicely together.

    Our experience is deep and includes sales and marketing enablement, client reporting and communications, CRM, distribution & customer intelligence, and digital/web projects. Our Operations, Technology, and Data experts, along with proven methodologies and leading-edge tools help our clients make better decisions and lower project risk.



    Olmstead is also the only certified Seismic implementation and development partner. Our focus on the asset management industry allows us to deliver best practices and develop industry-specific solutions based on practical use cases. We have a deep understanding of how the Seismic solution can integrate with your suite of distribution solutions and deliver the full value of the tool.






    Solution Architecture

    Data Lifecycle Management

    Data Warehouse

    Data Governance

    Modern Data Strategies


    If these ideas resonate with you, please contact Scott Kasper. Scott is a 15-year member of the SME Forum and recently joined Olmstead.  Please visit the Olmstead website for additional information about our practice and blog entries about many of these topics.


    Learn More https://www.olmst.com/


    SalesPage Technologies helps asset managers utilize data to retain and grow their asset base more effectively. SalesPage solutions function within each client’s data architecture, providing data management, sales operations, and reporting…

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    SalesPage Technologies helps asset managers utilize data to retain and grow their asset base more effectively. SalesPage solutions function within each client’s data architecture, providing data management, sales operations, and reporting—all while integrating with their sales enablement solutions such as CRM, BI platforms, and other systems. The SalesPage family of products includes SalesPage distribution data platform solutions, SalesStation outsourced data management, Advisor Atlas team data, LumaSuite data service, and Clarity Compliance for 22c-2. SalesPage’s total value combines our industry-specific solutions, a staff with deep industry knowledge, and a close-knit client community who help guide our product development. SalesPage works directly with over 90 asset managers.




    Learn More:  https://www.salespage.com/

    SS&C Technologies

    SS&C is a global provider of services and software for the financial services and healthcare industries. Founded in 1986, SS&C is headquartered in Windsor, Connecticut, and has offices around the…

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    SS&C Technologies

    SS&C has been helping investment and financial firms of all types gain that advantage for more than 30 years. Grounded in our deep knowledge and understanding of your business, our technology-powered solutions and services help you run your operations more efficiently, compete more effectively and grow more profitably. Through data management, market share services, advisor practice analysis, industry research and consulting, we provide you with distribution intelligence and expertise to manage your data, gain insights and ignite growth in your business.


    Learn More:  www.ssctech.com

    XALT Sales Optimisation

    XALT is an industry-leading sales optimisation platform for global Asset Managers which puts data and insights at the heart of Asset Management distribution and enables digital-first sales teams to deliver maximum value to their clients…

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    XALT is an industry-leading sales optimisation platform for global Asset Managers which puts data and insights at the heart of Asset Management distribution and enables digital-first sales teams to deliver maximum value to their clients. 

    Winner of Best Use of Data at the Investment Week Innovation Awards 2020 and a FinTech Start-Up award at the Digital Client Engagement Summit 2019, XALT currently supports global Asset Managers with over $4tn of assets across 15 countries and 5 continents, transforming sales teams so they have greater insights, can go further for their clients, and deliver asset growth.

    XALT delivers three core benefits to global Asset Managers:

    1. Deeper sales intelligence – providing the technology to unite all relevant data to generate timely and relevant insights.
    2. Stronger client experience – enabling more personalised, digital-first client-specific communications before sales opportunities are missed.
    3. Better business results – delivering data-led insights that help maximise impact on asset retention and growth.

    XALT helps its clients stand out from the crowd and achieve profitable growth through a combination of technology and human insights powered by deep industry expertise and data knowledge.

    XALT is a PureGroup application. PureGroup is a UK-based financial technology business focused on empowering global Asset Managers to grow assets, increase profitability, and become tomorrow’s leaders.

    PureGroup was established in 2013, has its HQ in London, and development centres in Portugal and Lithuania.

    Website:  https://xalt.io/

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