Kate O’Neill is helping humanity prepare for an increasingly tech-driven future by guiding business and civic leaders to be both successful and respectful with human-centric data and technology, and by helping people better understand the human impact of emerging technologies. Kate’s expertise in data-based business models, integrated experience strategy, and humancentric digital transformation comes from more than 20 years of experience and entrepreneurship leading innovations across technology, marketing, and operations in category-defining companies. She was one of the first 100 employees at Netflix, where she created the first content management role and helped implement innovative dynamic e-commerce practices that became industry standard; was founder & CEO of [meta]marketer, a first-of-its-kind analytics and digital strategy agency; led cutting-edge experience optimization work at Magazines.com; developed Toshiba America‘s first intranet; and has held leadership and advisory positions in a variety of digital content and technology start-ups.

Kate is now founder and CEO of KO Insights, a strategic consultancy committed to improving human experience at scale. A thought-provoking and dynamic speaker, Kate appears frequently at industry conferences and private events around the world, providing galvanizing keynotes, moderating and participating in lively panel discussions, and facilitating transformative executive workshops and retreats. Clients have included Google, Cisco, Etsy, Coca Cola, McDonald’s, Kelly Services, as well as educational institutions including the University of Cambridge and Yale University, professional associations like YPO and SHRM, industry conferences like INBOUND and UX Australia, cities such as Amsterdam, cultural institutions, and a wide variety of NGOs and IGOs including the United Nations.

Whether in convention centers to audiences of thousands or in an executive board room, Kate advocates for the future of humanity in an increasingly tech-driven world. Her insights help corporate and cultural leaders re-think how to succeed long-term by taking a human-centric approach to digital transformation and readiness for the future. Author of 4 books including her latest, Tech Humanist (which was featured at CES 2019), Kate’s insights and expertise have been featured in outlets such as WIRED, CMO.com, and USA Today, and she has appeared as an expert commentator on BBC, NPR, Marketplace, NBC, and a wide variety of other national and international news media. Named to the 2020 Thinkers50 Radar, a global ranking of management thinkers, Kate has also received numerous other awards and recognitions throughout her career such as being named “Technology Entrepreneur of the Year,” a “Power Leader in Technology,” and more.

Kate has also been a longstanding vocal and visible advocate for women and underrepresented people in technology, entrepreneurship, and leadership. She was featured by Google in the launch of their global campaign for women in entrepreneurship. Born in the Chicago area and having enjoyed years of living in Silicon Valley, Portland (Oregon), Düsseldorf, and Nashville, Kate is delighted to now call New York City home.

Sharon Epperson, named one of “12 to Watch in TV News,” can be seen regularly on CNBC television and other media platforms.

As CNBC’s senior personal finance correspondent, Epperson covers the many facets of how people manage, grow and protect their money. Her expertise includes saving and investing for retirement, paying for college, managing mortgage, student loan, credit card and other debt, and building a financial legacy through estate planning.

Preparing your finances for the unexpected is another critical (and personal) aspect of her reporting. In September 2016, Epperson sustained a ruptured brain aneurysm and she nearly lost her life. She has become a staunch advocate for health and wellness issues, raising awareness about brain aneurysms and funding for research. In September 2018, she and her family established “The Sharon Epperson Chair of Research” through the Brain Aneurysm Foundation to provide grants for research on early detection and innovative treatments.

Epperson is a lead contributor to “Invest in You: Ready. Set. Grow.,” a multi-platform financial wellness and education initiative at CNBC in partnership with the micro-investing app Acorns, and developed its companion 8-week learning course and weekly newsletter, “Invest in You: Money 101.” She also contributes to NBC’s TODAY and NBC Nightly News as well as Today.com and NBCNews.com.

Her book, The Big Payoff: 8 Steps Couples Can Take to Make the Most of Their Money-and Live Richly Ever After, was a finalist for the Books for a Better Life Awards, honoring works that have “changed the lives of millions.” She also was a contributing writer for The Experts’ Guide to Doing Things Faster. Her personal finance expertise has been featured in numerous publications, including The Wall Street Journal, The Washington Post, The Boston Globe, USA Weekend, Self, Essence, Ebony and TIME, where she had covered business, culture, social issues and health as a correspondent prior to joining CNBC.

Epperson has numerous industry and civic awards, including the Special Achievement Award from the National Association of Personal Financial Advisors (NAPFA) and the Savvy Inspiration Award from the non-profit, financial empowerment group Savvy Ladies. She won an Alliance for Women in Media’s Gracie Award for Outstanding Online Host for her “Financial Advisor Playbook” video series on CNBC.com. She has received the Vanguard Award for her distinguished career in business and personal finance reporting from the National Urban League Guild, and the All-Star Award from the Association of Women in Communications. She also has won awards from the New York Festivals, the New York Association of Black Journalists and the National Association of Black Journalists.

Epperson is committed to improving financial literacy, particularly in underserved communities. She was invited to the White House during President Obama’s administration to speak about financial literacy and to moderate a public meeting of the President’s Advisory Council on Financial Capability at the U.S. Treasury Department. She also speaks frequently at conferences and events for local and national organizations, colleges and universities about many facets of personal finance.

An adjunct professor at Columbia University’s School of International and Public Affairs, Epperson has also taught courses at Columbia’s Graduate School of Journalism. She enjoys teaching the importance of budgeting and building long-term savings as part of her professional development courses for graduate students.

Epperson received her bachelor’s in sociology and government from Harvard University, a master of international affairs degree from Columbia University, and an honorary doctorate from Carlow University in Pittsburgh. A Pittsburgh native, she has also been inducted into the Hall of Fame at Taylor Allderdice High School, her alma mater.

She currently lives with her husband and two children in Westchester County, N.Y.

Paul Dawe has been the CEO and COO of HSBC Global Asset Management (USA) Inc. since June 2020.  He has been working in the financial industry and for HSBC for over 30 years. Prior to his appointment to the CEO and COO role, he served as COO Americas from January 2011.  Before joining HSBC Global Asset Management (USA) Inc. in 2007, he worked for HSBC Global Asset Management (UK) Limited as COO. He previously also worked for HSBC Global Management in Canada.  Paul completed his Business Management education at Keyin College (Canada) and is a member of the Chartered Professional Accountants Associated (Canada)/Certified General Accountants Association. He is also a CFA charterholder.

Kevin Mahn is the President and Chief Investment Officer of Hennion & Walsh Asset Management. Mr. Mahn is responsible for the Wealth and Asset Management products and services offered at the Firm including the SmartTrust® platform of Unit Investment Trusts (UITs). Mr. Mahn also was the Portfolio Manager of the SmartGrowth® family of Mutual Funds.

Mr. Mahn is the author of the quarterly “CEF and ETF Insights” and "Market Outlook" newsletters as well as a co-author of the book, Exchange Traded Funds: Conceptual and Practical Investment Approaches, © 2009 Riskbooks. Articles written by Mr. Mahn have been published in The Journal of Investing and The Journal of Index Investing. Mr. Mahn is a contributor to Forbes, Talk Markets and Seeking Alpha.

Prior to Hennion & Walsh, Mr. Mahn was a Senior Vice President at Lehman Brothers where he held several senior management positions, including CAO of the High Net Worth Product and Services group within Lehman’s Wealth and Asset Management division as well as COO of Lehman Brothers Bank.

Mr. Mahn received his Bachelor's degree in Business Administration from Muhlenberg College and his M.B.A. in Finance from Fairleigh Dickinson University (FDU). Mr. Mahn has also served as an adjunct professor at FDU within the Department of Economics, Finance and International Business. In 2015, Mr. Mahn received the "50 Under 50" award from the Silberman College of Business at FDU.

Mr. Mahn currently serves on the Board of Directors of NICSA and was formerly a Co-Chair of the NICSA UIT Industry Committee, winning the 2014 and 2016 NICSA MVP Awards for his accomplishments in that role. Kevin also won the Rising Stars of Mutual Funds Award from Institutional Investor in 2009.

Mr. Mahn has appeared in/on CBS News, Fox News, CNBC, Fox Business News, Wall Street Journal, Investor’s Business Daily, Fortune, Forbes, New York Times, Financial Times, USA Today, Bloomberg, Reuters, Nasdaq and Yahoo! Finance.

Joseph (Joe) Sullivan is executive chair and chief executive officer at Allspring Global Investments.

Prior to his current role, Joe served as chairman and CEO of Legg Mason from 2012 until its acquisition by Franklin Templeton in July 2020. Prior to being CEO, he was Legg Mason’s head of global distribution and chief administrative officer. Earlier, Joe served as a member of the board of directors, executive vice president, and head of fixed income capital markets at Stifel Financial. Joe also served on the board of governors for the Investment Company Institute and previously served as chair of the Securities Industry Institute, as chair of the Fixed Income Committee of the National Association of Securities Dealers, as a board member of the Bond Market Association, and as a member of the New York Stock Exchange Hearing Board. He also held prior executive roles at Legg Mason Wood Walker, Dain Bosworth, and Piper Jaffray.

Joe earned a bachelor’s degree in economics from St. John's University in Minnesota and is a graduate of the Securities Industry Institute at the Wharton School of Business at the University of Pennsylvania.

Andre is a Partner leading the Wealth & Asset Management strategy practice within Parthenon-EY. He joined EY in February of 2020. Andre has nearly 25 years of global financial services consulting and industry experience. He has deep expertise in strategy development & execution, operational effectiveness, and organization design & enablement. Andre is skilled in leading complex, cross-functional initiatives requiring deep dives into business processes, process reengineering, outsourcing, and enhanced ways of working.

Andre most recently served as a Managing Director & Partner at Boston Consulting Group. In his 15+ years in BCG’s Financial Services practice, he was responsible for building out the Wholesale Banking and Asset Management business. Prior to that, Andre led operations at Worknowledge, a web-based learning delivery and management startup focused on serving mid-sized financial institutions. Andre started his career on the Foreign Exchange trading desk at ABN AMRO in Chicago, and the Equity Derivatives sales and marketing desks at JPMorgan in New York and London.

Heather Lord is Global Head of Strategy and Innovation; Sustainability, and Senior Vice President, ESG. She has 16 years of industry experience and has been with Capital Group for five years. Prior to joining Capital, Heather was a senior vice president, strategy & client experience at Charles Schwab. Before that, she worked as a principal at Boston Consulting Group. She holds a PhD in applied statistics and psychology from Yale University and a bachelor's degree in statistics from Cornell University. Heather is based in Los Angeles.

Saleem leads the firm’s data and analytics strategy and is responsible for Discovery Data FRAME, the proprietary process behind Discovery Data’s ability to deliver the most accurate and impactful data for the financial services and insurance markets. Saleem and his team of data analysts drive actionable insights and analytics that help Discovery Data’s clients identify market opportunities and achieve business outcomes. Prior to joining Discovery Data, Saleem held senior positions at successful startups and multinational corporations such as IBM, S&P Global Ratings, and Dun & Bradstreet. He is an entrepreneur and patented inventor with over 15 years of experience in data, technology, and advanced analytics.

James M. Beale is a Managing Director and Head of Capital Markets & Managed Solutions for Rockefeller Capital Management. He is a member of the firm’s Management Committee.  James is responsible for developing and enhancing Rockefeller Capital Management’s Capital Markets capabilities. Additionally, James is focused on the constant development and enhancement of the Managed Platform.

James joined Rockefeller in April 2020 after 16 years at Merrill Lynch, where he was a Managing Director and Head of Capital Markets Sales within the Investor Solutions Group.

In prior roles at Merrill Lynch, James served as a Northeast Regional Director for Structured Investment Sales and held leadership positions in Equity Syndicate and Product Origination.  Before joining Merrill Lynch in 2004, James started his career at Scudder Investments serving in both Origination and Distribution roles after concluding a professional hockey career in Europe and the U.S. James is an active advocate for victims of pediatric cancer and serves as a Trustee and Advisory Director on the board of The Arms Wide Open Childhood Cancer Foundation. A graduate of Wagner College, James holds his Series 7,24, 63 and 65 licenses.

Lee Kowarski is a Vice President with SS&C Technologies, overseeing the firm’s Distribution Solutions and data science teams.  A graduate of New York University’s Stern School of Business, Lee entered the asset management industry as part of RSM McGladrey’s consulting practice before co-founding kasina in 1999, which was subsequently acquired by DST Systems’ in 2015 and then a part of SS&C’s acquisition of DST in 2018.  Lee oversees the Distribution Solutions products and services, including data management (SalesConnect), analytics (WalletShare), research, and consulting.  This team is focused on helping asset and wealth managers find opportunity amongst disruption.  Lee is a trusted advisor to senior executives in the industry, helping them prepare their distribution, marketing, and product strategy for the future. He is a frequent speaker at both industry conferences and client events, where firms regularly engage Lee to address their senior management team or Board about topics ranging from macro-level distribution and marketing trends to wholesaler compensation to the needs of financial intermediaries.  Additionally, Lee guides the firm’s Data Science group, which works with all SS&C businesses and clients to unlock value through data science.  Lee and his wife, Melinda Miller, live on Manhattan’s Upper West Side and are active in the hospitality world: both through non-profits including Rethink Food and the James Beard Foundation, as well as through dining out regularly at many delicious restaurants.

Clint Harris is the Head of Wealth Management Platforms for Invesco US Wealth Management Intermediaries. Mr. Harris oversees home office coverage and is responsible for the design and execution of Invesco’s engagement strategy across US broker-dealer, retirement and insurance platforms. He is a member of the US Wealth Management Intermediaries senior leadership team.

Mr. Harris was previously the senior client portfolio manager for the Dividend Value team from 2008 to 2017, where he was responsible for the investment team’s client engagement and marketing. He joined Invesco’s retirement business in 1999 and held several positions, including as an investment specialist responsible for internal and external asset manager due diligence. Subsequently, Mr. Harris joined the private asset management team in 2002, where he was responsible for home office engagement as a portfolio advisor for the firm’s separate account platforms. In 2006, he became the senior product manager in the Product Strategy and Investment Services group, working with the Dividend Value and Core Equity teams.

Mr. Harris earned a BA degree from Oglethorpe University in Atlanta, with a dual major in economics and marketing and a specialization in international business. He holds the Series 7, 24, 63 and 66 registrations and is a Chartered Financial Analyst® (CFA) charterholder.

Stephanie joined WFA in 2010, after serving as a Limited Partner at Edward Jones for nine years. In her time with WFA, she has worn a variety of hats including building the Product Education team, working with Field Leaders and new Advisors while in Learning & Development.

In her present role as Director of Relationship Management & Advanced FA Education, Stephanie is responsible for leading the team of Relationship Managers who work with hundreds of asset management firms representing multiple lines of business including all of our internal product departments. She is also responsible for developing strategies with key stakeholders across Products & Advice, Innovation & Strategy, Business Development Group and other teams across the Wells Fargo Enterprise.

Her team also encompasses the Advanced FA Education Group which enables the growth of experienced Financial Advisors by deepening their knowledge of tools and resources available at Wells Fargo Advisors and the best practices available to help their clients succeed financially.

Stephanie is very active in the community; serving on the cabinet of the Charmaine Chapman Society, the African American Leadership Giving Initiative for United Way- St. Louis and has been on the board of directors for Urban Financial Services Coalition and YMCA (Marquette and Downtown.) Stephanie has also opened her own business, acquired a local competitor, and ran the 5th largest competitive cheerleading company in the U.S. She is a University of Missouri- Columbia graduate where she received her bachelor’s degree and spent four years as an MU Cheerleader. Among many recognition awards, in 2009, she was recognized as one of St. Louis Business Journal’s 30 under 30.

Stephanie resides in St. Louis with her husband John and their two children.

Kirsten Pickens serves as Managing Director and Co-Head of US Distribution for FS Investments, where she oversees the firm’s National Accounts, Marketing, Investment Research and Fund Communications functions.

Ms. Pickens was a Partner and Head of Distribution at Chiron Investment Management, the global multi-asset firm which launched in 2015 and was acquired by FS in 2020. Prior to joining Chiron, she was Senior Vice President and Head of National Accounts at Ivy Funds, a subsidiary of Waddell & Reed. In 2010, she was named one of Institutional Investor magazine’s “Rising Stars of Mutual Funds.” She began her financial services career as a Retirement Specialist at Vanguard.

Ms. Pickens serves on the Board of the Expect Miracles Foundation. She is a member of the Sales Force Marketing Committee of the Investment Company Institute and a member of the Money Management Institute, and she holds her Series 6, 7, 24 and 63 FINRA securities licenses. She holds a BA from Arizona State University, where she majored in Justice Studies with a Pre-Law minor.

Mike Galkoski is the National Sales Manager for American Century Investments dedicated to enhancing financial advisor relationships. Mike has worked in the financial services for over 20 years and leads the Wealth Management team responsible for the distribution of Mutual Funds, ETF’s & SMA’s.

Prior to joining American Century Investments in 2008, Mike was a Regional Director with RS Funds covering all channels of NYC and Long Island. Prior to RS Funds, Mike held sales executive roles at Oppenheimer Funds and UBS Global Asset Management.

Mike is currently a Doctoral candidate in Organizational Leadership at Columbia University in New York, New York. Prior to pursuing his doctorate, Mike earned the Master of Philosophy (MPHIL) degree in Organizational Dynamics from the University of Pennsylvania in Philadelphia, Pa. Mike holds an MBA from Rutgers University Business School in New Brunswick, NJ along with a B.S. in Finance from Fordham University in New York.

Mike has received specialized training in the Sequoia System for sales professionals and Fusion Presentation techniques and completed a Graduate Certificate in Organizational/Executive Coaching from the University of Pennsylvania. Mike has guest lectured on the topics of Organizational Leadership and Design at the University of Tennessee, Knoxville, Rutgers University, New Brunswick, NJ and N.C. State University.

Mike holds Series 7, 66 & 24 licenses.

Jean has 24 years of diverse experiences within the managed account and advisory business and has held leadership roles in key account management, consultative sales, strategic marketing, branding, and channel development. Currently, she is responsible for the investment products on the Envestnet platform and determines and optimizes the economic model and engagement between Envestnet and its asset manager partners. Her team is responsible for deepening relationships with asset managers across the Envestnet suite of services, and ensuring that these managers have the tools, training, and knowledge they need to be successful distributors throughout the Envestnet ecosystem. Prior to joining Envestnet, Jean spent 20 years at Brinker Capital helping to build out the distribution network. She is the Chair of Envestnet’s managed product acceptance committee and advocates industry best practices. She has been an active mentor to young women professionals and is a member of the Envestnet Institute on Campus board and chairs the Envestnet Institute on Campus Women in Wealth Management Board. Jean is also a member of the Women’s Leadership Forum of Philadelphia. In 2017, Jean was named one of Profiles in Diversity Journal Women Worth Watching.

Steve began his career in the financial services industry over 27 years ago after serving eight years in the United States Navy. Before joining LPL Financial, he worked at SEI Investments for ten years as a Regional Director, where he was selected three times for the SEI Leadership Club. Steve joined LPL Financial in 2006, serving as a Regional Advisory Consultant providing advisors with practice management and client acquisition strategies.In 2016, Steve was named Senior Vice President of the National Sales team, where he oversees LPL's Wealth Consulting team. In this role he is responsible for growing LPL’s investment platforms while providing leadership and management to the team as they help LPL affiliated advisors and institutions grow through wealth management coaching, investment consulting and practice management feedback. Steve also serves as a board member for the Private Trust Company and the LPL Political Action Committee (PAC).

Steve earned his bachelor of arts from the University of Notre Dame and master of business administration from National University. He holds the FINRA Series 6, 7, 63, and 66 licenses as well as the Certified Investment Management Analyst (CIMA®) designation. Steve is also a member of the Investment Management Consultants Association (IMCA).

In his free time, Steve enjoys spending time in Milton, Georgia with his wife and two dogs and is frequently found on the tennis court. Their daughter is currently serving overseas as an officer in the United States Marine Corps.

Sterling Shea is the Head of Practice Strategy and serves as a member of the Operating Committee of the Field Management Group in Wealth Management at Morgan Stanley. He leads the Teaming, Partnering, and Practice Management functions of the Firm and will be collaborating across the organization to drive strategic practice evolution for advisors.

Prior to joining Morgan Stanley, Mr. Shea spent 23 years at Dow Jones & Company, serving in a number of senior management roles and most recently as Global Head of Wealth and Asset Management at Barron’s Group. In this role he oversaw both the editorial and commercial functions of the firm’s activity in the wealth management space, including all of the rankings of financial advisors published by Barron’s in the US and Australia, and the hosting of over 30 annual events in the US, UK, and Australia for elite wealth managers. He initiated Barron’s coverage of wealth management in 2004.

Mr. Shea is a prior member of the Board of Directors of Invest in Others, a non-profit foundation that seeks to recognize the philanthropic and charitable activities of financial advisors. He is a graduate of Boston College and in 2015 he completed the graduate PLD business program at Harvard Business School.

Gary Casagrande is the Head of US Fund Administration at Northern Trust with oversight of the Financial Reporting, Regulatory Reporting, Expense & Budgeting, and Performance Reporting teams.  In this capacity Gary is responsible for setting and executing strategy across the Fund Administration organization to ensure client satisfaction with team deliverables and to advance the quality of the Fund Administration product that NT delivers to its clients.  

Prior to joining NT earlier this year, Gary spent the prior seven years at Confluence as the Head of Global Market Strategy with responsibility for understanding trends across the front, middle, and back office to help Confluence build and deliver viable solutions to real business problems.  Prior to Confluence, Gary was the Head of Financial Reporting and Expense Administration at BBH and at JPM in a leadership role before that.  Throughout his career, Gary has focused on continuous operational improvements, efficiency, and client service. Gary has a Bachelor’s Degree from Bryant University in Business Administration with a focus on Finance.

Michael is the global head of Digital Assets and Advanced Solutions at BNY Mellon.

After joining the bank in 2019, he led the establishment of the Advanced Solutions Group – an enterprise-level capability designed to define our strategic approach, build out and deploy our assets around artificial intelligence (AI), machine learning (ML) and other emerging capabilities. The group builds solutions that enhance existing services
as well as develop value-adding client products.

For digital assets, Michael led the establishment of enterprise-level Digital Assets Unit to accelerate the development of new products and solutions to support our clients’ Digital Asset needs. The unit explores extending the bank’s existing services to digital assets (cryptocurrencies, digital cash as well as tokenized assets), modernizing banking infrastructure through blockchain/DLT and launching new digital assetsspecific products and services.

Michael has over 20 years of experience in technology, financial services and strategy consulting. He joined BNY Mellon from State Street, where he led transformation programs enabled by robotics and artificial intelligence. Prior to State Street, Michael was a management consultant at Booz & Company and an engineer at a division of United Technologies developing clean tech energy solutions.

Michael holds a BSc in Chemical Engineering, from the University of Kentucky, an MSc in Management Science and Engineering from Stanford University and an MBA
from MIT Sloan School of Management.

Jamie Patel is Senior Vice President and Chief Technology Officer for American Century Investments, an independent, privately controlled, pure-play asset management firm found in 1958.

Jamie joined American Century Investments in 2018 and is responsible for overseeing all aspects of IT, information security, data management and data governance. Prior to joining the firm, Jamie was with Bank of Montreal where she was the Chief Information Officer of Products and Central Services. Before joining BMO, she was a Senior Vice President at Sabre Holdings. Both at BMO and Sabre, Jamie was integral in the development and success of large-scale technology strategies that directly impacted the development of products and solutions for clients.

Jamie has a bachelor’s degree in computer engineering from North Staffordshire University and completed advanced management studies at Southern Methodist University.

Andy Blocker is Head of US Government Affairs at Invesco. In this role, he drives Invesco’s legislative and regulatory advocacy initiatives with policymakers, engages with clients and opinion leaders on public policy developments, and seeks to maximize the company’s political footprint.

Mr. Blocker joined Invesco in 2018. Prior to joining the firm, he served as executive vice president of public policy and advocacy for the Securities Industry and Financial Markets Association, where he led a team engaging lawmakers and regulators on international, federal, and state issues impacting the financial services industry. Before that, Mr. Blocker spent five years as managing director for UBS’ US Office of Public Policy, focusing on lobbying, client service, and education for individual and institutional clients. He also served as vice president of government relations for the New York Stock Exchange, as managing director of

government and international affairs for American Airlines, and for the White House as special assistant to the president for legislative affairs. Mr. Blocker began his career as a financial analyst for Bell Atlantic Corporation. He has appeared on CNBC, CNBC Asia, Bloomberg, and Yahoo! Finance.

Mr. Blocker earned a BA degree in economics from Harvard University and an MBA in international business from Georgetown University.

Jerry Jennings serves as Director for the New York/New Jersey/New England Region for Citi’s State & Local Government Relations team.  In this capacity, he manages the company's governmental relations strategy in New York, New Jersey, Connecticut, Massachusetts, Maine, New Hampshire, Rhode Island, and Vermont.  He has been a litigator and lobbyist for more than 25 years having joined Citi after many years as a partner at New York’s largest government affairs firm.  Jerry also served as the head of the firm’s Government Investigations and Contracts practice.

Jerry has represented client interests before legislative, executive and regulatory bodies in New York State and New York City for many years.  He has represented clients in licensing, applications, audit and disciplinary processes and proceedings and has defended clients faced with government subpoenas, inquiries and formal government investigations before the Attorney General's Office, Department of Labor, Department of Tax and Finance, Department of Financial Services and many others.  He has been directly involved in the lobbying, protest procedure and contract negotiations for a number of high stakes, high profile NYS contracts, two of which had total contract values of $600M and $1B.  Jerry has handled lobbying compliance and ethics matter for the firms he has been a partner with as well as clients of those firms.  In addition, he has counseled companies and candidates in election and campaign finance matters.

He began his career as a state prosecutor in Florida, handling thousands of matters, including a first degree murder, death penalty case with DNA and other scientific evidence. He has personally tried nearly 50 criminal and civil cases to jury verdict during his career.

Jerry is a graduate of Boston College (BA in Economics) and New England School of Law.

Alice Joe is vice president, Government Relations for Fidelity Investments, a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and service to more than 30 million individuals, institutions, and financial intermediaries. 

Since joining Fidelity in 2017, Ms. Joe has worked to align policy outcomes with the firm’s strategic objectives.  She has advocated on behalf of the firm’s interest in Washington on a range of legislative and regulatory policies before government officials.  Her areas of expertise include financial services regulation, retirement and education savings policy, and tax.  

Prior to joining Fidelity, Ms. Joe served as vice president of the U.S. Chamber of Commerce’s Center for Capital Markets Competitiveness (CCMC).  She also has extensive experience in the federal government, having served on the U.S. Senate Homeland Security and Government Affairs Committee as senior policy advisor to Sen. John McCain (R-AZ) and as professional staff member to Sen. Peter Fitzgerald (R-IL). She also served as deputy assistant secretary for policy of the Employee Benefits Security Administration at the U.S. Department of Labor, directing the policy, legislative and research functions of the agency that administers ERISA.  Prior to her government service, Ms. Joe held senior positions in private equity firms.

Ms. Joe has an M.B.A from Tulane University and a B.B.A. from Baylor University. She holds the Chartered Financial Analyst designation.

Nicole Callies leads SalesFocus Solutions’ business development efforts for the Midwest.  Nicole is responsible for generating new business as well as managing relationships with existing clients. She has 13 years of experience in the asset management industry.  Prior to joining SalesFocus Solutions, Nicole was responsible for sales & client service for US Bank Global Fund Services. Within this unique role, she has experience with working with small to large asset firms to help them use their data to grow their businesses using sales reporting systems.

Matt Norquist leads Korn Ferry’s Advisory business in the Financial Services Industry, working with Korn Ferry teams to enable clients to connect their talent strategy to business performance. This work a wide range of solutions that includes talent acquisition, assessment, leadership development, succession planning, and connecting reward and benefits strategies to performance objectives.

Beyond the above focus areas, Matt has a passion for behavioral economics and data analytics.  He is expert at using behavioral and attitudinal data to drive business performance, and recently led a study looking at over 10 million data points across 100,000 leaders to identify the commitments that separate the most successful leaders from their peers.

In addition to his consulting work, Matt will partner across markets and solution areas to drive business growth and client impact, and work with our leadership and marketing teams to simplify and optimize our Go-To-Market strategies and tactics.

Lisa Shea is a Senior Vice President in Northern Trust’s North American Fund Governance Solutions group. Lisa focuses on supporting asset manager clients in regulatory and distribution matters.  With over 20 years of experience working with various registered and unregistered fund structures, Lisa’s practical knowledge of how US funds are governed, sold and serviced provides clients with consultative support to help them navigate the evolving marketplace. 

Lisa joined Northern Trust in 2001.  Prior to her current role, she has held a number of leadership and management roles in our Transfer Agency and Product Management teams, including an assignment in our Ireland location.  Prior to joining Northern Trust, Lisa has held management and client services roles with several asset management and brokerage clearing firms in the US. 

Lisa holds a Master of Arts degree from Montclair State University, and a Bachelor of Arts degree from Rutgers, the State University of New Jersey. She formerly held FINRA Series 6, 7, 24, 26, and 63 licenses.  Lisa is an ACAMS Certified Anti-Money Laundering Specialist. 

Lisa currently serves as the industry co-chair for the Investment Company Institute’s Transfer Agent Advisory Committee, and is a member of the ICI’s Operations, Small Funds, and Series Trust Committees.