INSITE 2012

INSITE 3K Fun Run or Walk on the Beach

Pershing Pavilion Open

MySite Open

Breakfast in the Exhibit Hall

State of the Industry and Pershing 1.25 CWS
Brian Shea, Chief Executive Officer, Pershing, a BNY Mellon company

Pershing’s Strategy to Support Your Success
Jim Crowley, Managing Director, Pershing, a BNY Mellon company
Caroline O’Connell, Managing Director, Pershing, a BNY Mellon company

The Soul of LeadershipCWS
Introduction: Charles Cardona, Jr., Chief Executive Officer, BNY Mellon Cash Investment Strategies and President, The Dreyfus Corporation
Deepak Chopra, Founder and Chairman, The Chopra Foundation

Sponsored by

Networking Break

Pershing Pavilion Open

Thursday Breakouts - Session 1 (attendees select one)

• Best Practices for Gaining Exposure to CommoditiesCFA CFP CWS IMCA

  Commodities markets can present unique opportunities as these markets quickly respond to changes in supply and demand to find an equilibrium price and quantity. Today, commodity ETFs and mutual funds continue to grow in this low interest rate environment. How do you know which commodities work best in these structures? Learn the latest on commodities as a panel of experts review issues such as contango, backwardation, and explain how to perform due diligence on these products.

  Introduction: Justin Fay, Vice President, Pershing, a BNY Mellon company
  Moderator: David Lerman, Senior Director, CME Group
  John Catizone, Managing Director, BNP Paribas
  Ryan Harder, Portfolio Manager, Guggenheim
  Nathan Rowader, Director of Investments, Forward

• Doing Business Without Boundaries: Best Practices for Mobile Technology CWS

  These days, investment professionals have to be more than financial experts—they have to be technology specialists. With the rapid growth of mobile technologies many wonder: How do I efficiently incorporate them into my business? Hear from a panel of your peers on how using the latest mobile technologies has helped them increase productivity and strengthen client relationships. Learn how your client's adoption of mobile will help improve your efficiency.

  Moderator: Eric Bondar, Product Manager, Pershing, a BNY Mellon company
  Ryan Reineke, Senior Vice President, Cambridge Investment Research
  Dan Skiles, Executive Vice President, Shareholder Services Group
  Joseph Stallings, Partner, Balentine

• Emerging Markets—Debt and Country Strategies CFA CFP CWS IMCA

  The emerging global markets hold interesting opportunities. Which countries offer the greatest opportunities for enhancing your clients' investments? Which pose the highest risk? Learn how to analyze the world scene and create strategies for incorporating different countries into client portfolios using emerging market exchange-traded funds to diversify and hedge currency and inflation risk.

  Moderator: Gilbert Addeo, Director, Pershing, a BNY Mellon company
  Christopher Dillon, Vice President, T. Rowe Price Group, Inc.
  Matthew Goulet, Vice President, BlackRock
  Raymond Zucaro, Managing Principal, SW Asset Management, LLC

• ETF Strategies 301: Advanced Exposures and Managed ETFsCFA CFP CWS IMCA

  An exchange-traded fund (ETF) combines the valuation feature of a mutual fund or unit investment trust with the tradability feature of a closed-end fund, which trades throughout the day. Have you thoroughly explored this investment scenario with your clients? Join us for an in-depth discussion on how to optimize your ETF strategies. Our panel of experts will examine the next generation of alternative beta strategies as well as how to best use commodity and income ETFs in constructing your portfolios. An expert on managed ETF solutions also will discuss how to evaluate whether this strategy works for you.

  Moderator: Dodd Kittsley, Director, iShares
  Sean Clark, Chief Investment Officer, Clark Capital
  Michael Paul, Director, iShares
  Daniel Prince, Vice President, iShares

  Presented by

• Finding Clarity Amid Regulatory Confusion CFA CFP CWS IMCA

  Tracking the countless regulatory changes over the past two years can bewilder even the most astute CEOs, compliance officers and financial professionals. Whether its fiduciary standards, Department of Labor proposals, suitability rules or investor transparency initiatives, how do you decide what to focus on, and when? Learn about the critical issues for advisors and broker-dealers and how best to navigate the regulatory maze.

  Moderator: Tonia Bottoms, Director, Pershing, a BNY Mellon company
  Lee Covington, Senior Vice President, Insured Retirement Institute
  Brian Hamburger, Managing Director, MarketCounsel

• Liquid Alternative Investment Strategies for Your Portfolio CFA CFP CWS IMCA

  Financial professionals are always looking for innovative ways to diversify their clients' portfolios, especially in today’s challenging economic environment. Some of the most exciting current alternative investment strategies are available in ETFs and mutual funds. Are you thinking about pursuing this financial strategy? Learn how to stay ahead of the curve by incorporating these investments into your clients' portfolios.

  Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
  Joanne Hill, Ph.D., Head of Investment Strategy, ProShares Advisors, LLC
  Benjamin Ludwig, Director, Lockwood Advisors, an affiliate of Pershing, a BNY Mellon company
  Stephen Scott, Investment Committee Member, Van Eck Securities Corporation

• Niche Markets: Next Generation Investors CFA CWS

  Baby Boomers have long been the focus of keen attention. Yet this emphasis on these higher-asset clients has taken attention away from the Generation X and Y investors. Compared to their Boomer counterparts, these younger investors have different attitudes, styles and needs. As their assets and influence increase year by year, how can investment professionals capture and preserve these assets and position their firms for long-term success? Hear what experts say are the ideas and insights that will transform younger investors into an engine for growth.

  Ken Louie, Assistant Vice President, Pershing, a BNY Mellon company
  Rod Zeeb, Chief Executive Officer, The Heritage Institute

• Opportunities for Income in the CEF Marketplace CFA CFP CWS IMCA

  Yields on the traditional building blocks for income investors including U.S Treasuries, CDs and money market funds, remain at extremely paltry levels of 0-3%. Despite these small yields, the demand for income has never been higher from a demographic standpoint. Even though the yields on these traditional income investments remain low, are there still many investment options where investors can attain a more attractive income stream? Join Jeff Margolin, Senior Vice President of First Trust Portfolios, L.P. as he discusses the asset classes investors should be focusing on for income in this low interest rate environment.

  Jeffrey Margolin, Senior Vice President, First Trust Portfolios, L.P.

  Presented by

Lunch

Pershing Pavilion Open

Thursday Breakouts - Session 2 (attendees select one)

• Capturing IRA Rollover Assets CWS IMCA

  Céline Dufétel of McKinsey & Company presents the five common advisor misconceptions that stand in the way of capturing IRA assets—and strategies to help win these assets. According to McKinsey & Company, IRAs are expected to generate $400 billion of net flows by 2015, representing 40 to 50 percent of wealth manager net new money.These findings were published in the 2011 report, Capturing IRA Rollovers: The Net New Money Opportunity For Wealth Managers. Are you ready to capture your share? Join us at INSITE 2012 to find out how.

  Introduction: Robert Cirrotti, Director, Pershing, a BNY Mellon company
  Céline Dufétel, Principal, McKinsey & Company

• Converting Your Business to Fee-Based: Talking About Fees With Clients CFA CWS

  No matter how successful a portfolio is, fees can be a sensitive topic. How should a financial professional or registered investment advisor communicate his or her transition to an advisory model and change in fee structure with existing clients. Discover how to handle client resistance and concerns (including rejection). Also learn about how to manage potential issues after converting clients such as maintaining client satisfaction, meeting their expectations and continuing to convey value.

  Moderator: Dan Penrose, Vice President, Lockwood Advisors, an affiliate of Pershing, a BNY Mellon company
  Chuck Furr, President, Furr & Associates Financial Services
  David Kashtan, Managing Director, PNC Investments
  Craig Phillips, Chief Executive Officer, Client 1^st Advisors

• Diversified Fund of Hedge Funds: Importance of Risk Analytics, Due Diligence and Returns CFA CFP CWS IMCA

  In 2011, hedge fund assets under management were estimated at almost $2 trillion. In fact, the largest 225 hedge fund managers in the United States alone held almost $1.3 trillion. What is the best way to approach this growing market? Listen to a panel of fund of hedge fund managers as they discuss the fund of fund marketplace, the importance of risk analytics and due diligence when selecting investments, and how to best integrate different return streams into a fund.

  Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
  John Mello, Senior Equity Analyst, Zweig-DiMenna
  Thomas Murray, Managing Director, Arden Asset Management LLC
  Kenneth Phillips, Chief Executive Officer, HedgeMark International, LLC

• Global Markets: Investing Through Mutual Funds and ETFs CFA CFP CWS IMCA

  The turbulence of the global markets has made investors cautious. Keeping pace with key global trends can turn apprehension into action. But how can you know which trends which have a long-term affect on the market and which may be just isolated events? Gain valuable insight on these trends from this informative session which also will include how to manage currency risk and portfolio diversification to take advantage of the global markets.

  Moderator: John Ward, Managing Director, Pershing, a BNY Mellon company
  Kristina Kalebich, Vice President, Calamos Funds
  Todd Rosenbluth, Senior Director, S&P Capital IQ
  Charles Thomas, Investment Analyst, Vanguard Investment Strategy Group

• Integrating Technology: The Key To a Successful Business CFA CWS

  There is no shortage of tools available to help you grow your business. CRM software, financial planning tools, analytics and reporting systems, etc. it is a complex technological world out there. How do you make sense of it all and, most important, make it work together for you? Learn about a holistic approach to leverage an integrated desktop from performance reporting to financial planning to contact management to grow your business. Hear best practices from your peers and industry leaders, who have integrated these key components into a successful practice.

  Moderator: Frank Gagliano, Vice President, Pershing, a BNY Mellon company
  Steven Josephson, Vice President, BMO Harris
  Tony Leal, Chief Technology Officer, MoneyGuidePro
  Blake Marshall-Attle, Vice President, Albridge, an affiliate of Pershing, a BNY Mellon company
  Franklin Tsung, Chief Operating Officer, AppCown LLC

• Investing in Highly Volatile MarketsCFA CFP CWS IMCA

  Financial professionals know that today's unpredictable and volatile markets present risk or opportunity. The key to your success is knowing the difference and acting on it. Hear top analysts and experts as they review different investment strategies from minimizing risk in a client's portfolio to benefitting from market volatility.

  Introduction: Keith Garcia, Vice President, Pershing, a BNY Mellon company
  Moderator: Nicholas Colas, Chief Market Strategist, ConvergEx
  Eric Anderson, ETF Analyst, First Trust Advisors
  Michael Wands, Investment Director, Putnam Investments

• Managed Future Funds 201: Due Diligence, Trend Following and Allocation StrategiesCFA CFP CWS IMCA

  Managed futures have historically had very low correlation with traditional investments, such as stocks and bonds. What does this mean for your clients and your business? Hear managed futures industry experts discuss their strategies, including spotting trends, fund manager selection and incorporating managed futures funds into a portfolio.

  Introduction: Justin Fay, Vice President, Pershing, a BNY Mellon company
  Moderator: David Lerman, Senior Director, CME Group
  Edward Egilinsky, Managing Director, Direxion Funds
  Neil Menard, Senior Vice President, Steben & Company, Inc.
  Daniel Villalon, Associate, AQR Capital

• Women Investors: Capturing a Significant Business OpportunityCFA CWS

  Financial professionals have long viewed women investors as, at best, a secondary market or as, at worst, a niche market to be served by a few specialists. However, significant social and economic trends are gradually putting more women investors in the driver’s seat. What is the best way to increase your share of this important market? Gain insights into women’s investment preferences as experts offer ideas for strategies and action steps to secure their trust and business.

  Kim Dellarocca, Director, Pershing, a BNY Mellon company
  Susan Hirshman, President, SHE LTD.
  Barbara Hudock, Principal, Hudock Moyer Wealth Resources, LLC
  Michelle Smith, President, Alexandra & James Advisory Services, LLC

Networking Break

Pershing Pavilion Open

Thursday Breakouts - Session 3 (attendees select one)

• Capturing IRA Rollover AssetsCWS IMCA

  Céline Dufétel of McKinsey & Company presents the five common advisor misconceptions that stand in the way of capturing IRA assets—and strategies to help win these assets. According to McKinsey & Company, IRAs are expected to generate $400 billion of net flows by 2015, representing 40 to 50 percent of wealth manager net new money.These findings were published in the 2011 report, Capturing IRA Rollovers: The Net New Money Opportunity For Wealth Managers. Are you ready to capture your share? Join us at INSITE 2012 to find out how.

  Introduction: Robert Cirrotti, Director, Pershing, a BNY Mellon company
  Céline Dufétel, Principal, McKinsey & Company

• Converting Your Business to Fee-Based: Talking About Fees With Clients CFA CWS

  No matter how successful a portfolio is, fees can be a sensitive topic. How should a financial professional or registered investment advisor communicate his or her transition to an advisory model and change in fee structure with existing clients. Discover how to handle client resistance and concerns (including rejection). Also learn about how to manage potential issues after converting clients such as maintaining client satisfaction, meeting their expectations and continuing to convey value.

  Moderator: Dan Penrose, Vice President, Lockwood Advisors, an affiliate of Pershing, a BNY Mellon company
  Chuck Furr, President, Furr & Associates Financial Services
  David Kashtan, Managing Director, PNC Investments
  Craig Phillips, Chief Executive Officer, Client 1st Advisors

• Diversified Fund of Hedge Funds: Importance of Risk Analytics, Due Diligence and ReturnsCFA CFP CWS IMCA

  In 2011, hedge fund assets under management were estimated at almost $2 trillion. In fact, the largest 225 hedge fund managers in the United States alone held almost $1.3 trillion. What is the best way to approach this growing market? Listen to a panel of fund of hedge fund managers as they discuss the fund of fund marketplace, the importance of risk analytics and due diligence when selecting investments, and how to best integrate different return streams into a fund.

  Moderator: Sandy Motusesky, Director, Pershing, a BNY Mellon company
  John Mello, Senior Equity Analyst, Zweig-DiMenna
  Thomas Murray, Managing Director, Arden Asset Management LLC
  Kenneth Phillips, Chief Executive Officer, HedgeMark International, LLC

• Global Markets: Investing Through Mutual Funds and ETFs CFA CFP CWS IMCA

  The turbulence of the global markets has made investors cautious. Keeping pace with key global trends can turn apprehension into action. But how can you know which trends which have a long-term affect on the market and which may be just isolated events? Gain valuable insight on these trends from this informative session which also will include how to manage currency risk and portfolio diversification to take advantage of the global markets.

  Moderator: John Ward, Managing Director, Pershing, a BNY Mellon company
  Kristina Kalebich, Vice President, Calamos Funds
  Todd Rosenbluth, Senior Director, S&P Capital IQ
  Charles Thomas, Investment Analyst, Vanguard Investment Strategy Group

• Integrating Technology: The Key To a Successful Business CFA CWS

  There is no shortage of tools available to help you grow your business. CRM software, financial planning tools, analytics and reporting systems, etc.—it is a complex technological world out there. How do you make sense of it all and, most important, make it work together for you? Learn about a holistic approach to leverage an integrated desktop—from performance reporting to financial planning to contact management—to grow your business. Hear best practices from your peers and industry leaders, who have integrated these key components into a successful practice.

  Moderator: Frank Gagliano, Vice President, Pershing, a BNY Mellon company
  Steven Josephson, Vice President, BMO Harris
  Tony Leal, Chief Technology Officer, MoneyGuidePro
  Blake Marshall-Attle, Vice President, Albridge, an affiliate of Pershing, a BNY Mellon company
  Franklin Tsung, Chief Operating Officer, AppCown LLC

• Investing in Highly Volatile Markets CFA CFP CWS IMCA

  Financial professionals know that today's unpredictable and volatile markets present risk or opportunity. The key to your success is knowing the difference—and acting on it. Hear top analysts and experts as they review different investment strategies—from minimizing risk in a client's portfolio to benefitting from market volatility.

  Introduction: Keith Garcia, Vice President, Pershing, a BNY Mellon company
  Moderator: Nicholas Colas, Chief Market Strategist, ConvergEx
  Eric Anderson, ETF Analyst, First Trust Advisors
  Michael Wands, Investment Director, Putnam Investments

• Managed Future Funds 201: Due Diligence, Trend Following and Allocation Strategies CFA CFP CWS IMCA

  Managed futures have historically had very low correlation with traditional investments, such as stocks and bonds. What does this mean for your clients and your business? Hear managed futures industry experts discuss their strategies, including spotting trends, fund manager selection and incorporating managed futures funds into a portfolio.

  Introduction: Justin Fay, Vice President, Pershing, a BNY Mellon company
  Moderator: David Lerman, Senior Director, CME Group
  Edward Egilinsky, Managing Director, Direxion Funds
  Neil Menard, Senior Vice President, Steben & Company, Inc.
  Daniel Villalon, Associate, AQR Capital

• Women Investors: Capturing a Significant Business OpportunityCFA CWS

  Financial professionals have long viewed women investors as, at best, a secondary market or as, at worst, a niche market to be served by a few specialists. However, significant social and economic trends are gradually putting more women investors in the driver’s seat. What is the best way to increase your share of this important market? Gain insights into women’s investment preferences as experts offer ideas for strategies and action steps to secure their trust and business.

  Kim Dellarocca, Director, Pershing, a BNY Mellon company
  Susan Hirshman, President, SHE LTD.
  Barbara Hudock, Principal, Hudock Moyer Wealth Resources, LLC
  Michelle Smith, President, Alexandra & James Advisory Services, LLC

Thursday Breakouts - Session 4 (attendees select one)

• Asset Allocation in the Current Market Environment CFA CFP CWS IMCA

  It is a fact of the investment world that that various assets perform differently in different market and economic conditions. Are your clients' assets as diversified as they need to be? Learn from Lockwood Advisors experts and other top investment managers as they discuss the changing landscape of asset allocation strategies in the current economic environment.

  Moderator: Brian Kraus, Director, Lockwood Advisors, an affiliate of Pershing, a BNY Mellon company
  Richard Golod, Director, Invesco
  Mark Peterson, Director, BlackRock
  Ashish Tiwari, Senior Vice President, PIMCO

• Fixed Income Investing in a Low Interest Rate Environment CFA CFP CWS IMCA

  During times of higher interest rates, clients look to fixed income securities for a constant and secure return on their investment. However, in this low interest rate environment, fixed income can play a more significant role through different vehicles such as individual bonds, structured products, ETFs and mutual funds. Which are best for you and your clients? Learn more about these investment opportunities that can enhance returns in your clients' fixed income allocations.

  Moderator: Rob Diemar, Vice President, Pershing, a BNY Mellon company
  Andrew Fox, Portfolio Specialist, Lord Abbett
  Dodd Kittsley, Director, iShares
  Steve McClurg, Portfolio Manager, Guggenheim Investments

• Niche Markets: Small Business Owners CFA CWS

  Acting on faith to establish a business, weathering financial uncertainty and adapting to an ever-changing economic and legislative environment are routine challenges for the independent small business owner. Investment professionals, as successful independent business owners, are in the best position to serve the needs of this market. Are you overlooking this opportunity? Listen as experts in this market offer ideas and insights to working with small business owners.

  Moderator: Andrea Madden, Assistant Vice President, Pershing, a BNY Mellon company
  Eliza De Pardo, Principal and Director of Consulting, FA Insight
  Brian Jones, Executive Vice President, CJM Wealth Advisers, Ltd.
  Andrew Reder, Managing Partner, Kistler-Tiffany Advisors

• Regulation and Legislation CFA CWS IMCA

  We remain in the middle of a historic period of regulatory change. Which issues are top of mind in Congress? What are some of the interesting and powerful dynamics at play in Washington D.C., especially in light of this election year? Hear from Ann Costello, Managing Director, Government Affairs at BNY Mellon, as she shares what she has observed during her interactions with policymakers and regulators.

  Introduction: Linda Scorsone, Vice President, Pershing, a BNY Mellon company
  Ann Costello, Managing Director, BNY Mellon

• Retirement Income StrategiesCFA CFP CWS IMCA

  Statistics show about 10,000 Baby Boomers turn 65 every day. Obviously this represents a significant opportunity and a growing market for financial professionals and financial organizations. Hear an overview of strategies, tools and solutions that you can use to help move your clients from the asset gathering stage of their lives to the income stage of retirement.

  Moderator: Kathy Weiler, Director, Pershing, a BNY Mellon company
  John Gies, Senior Vice President, Prudential Annuities
  Jeffrey Holland, Executive Vice President, Cole Real Estate Investments
  Daniel Prince, Vice President, iShares

• Transforming Your Business to Maximize Efficiency CWS

  In today's low interest rate environment, margins are tight, making profitability a challenge for financial professionals and financial organizations. You cannot afford to be inefficient. So how do you get the most from the resources available to you? Learn concrete ways to adopt more efficient solutions and processes into your business through several real-life case studies.

  Introduction: Keith Garcia, Vice President, Pershing, a BNY Mellon company
  Moderator: Chip Krispert, Managing Partner, Beacon Strategies LLC
  Bruce Moulton, Director of Operations, Tolleson Private Wealth Management
  Michael Nesspor, Managing Director, Pershing, a BNY Mellon company
  Ignacio Ramirez, Director, Pershing, a BNY Mellon company

• Trends and Best Practices in Social Media to Grow Your Business CFA CWS

  The Web-based and mobile technologies fueling social media continue to evolve and grow in importance every day. What is the proper business etiquette when using social media vehicles? How does social media interact with FINRA and SEC rules? Learn from social media experts how to incorporate social media vehicles into existing corporate communications and marketing strategies and how you can navigate the social media landscape going forward.

  Moderator: Michael Sawyer, Director, Pershing, a BNY Mellon company
  Neil DiCicco, Vice President, Pershing, a BNY Mellon company
  Dawn Fitzgerald, Vice President, Pershing, a BNY Mellon company
  Michael Maternaghan, Vice President, Pershing, a BNY Mellon company

Reception in the Exhibit Hall