Sue Herera is an award-winning Journalist who has been covering the world of Wall Street, the global economy and leaders in the business world for 40-years. She is a founding member of CNBC, helping to launch the network in 1989 and is currently Anchor at Large, contributing to the network by filling in as an anchor, joining to report on special coverage and representing the brand in special events and other areas. After more than 30 years with CNBC, Herera stepped back from her day-to-day onair duties in February 2021.

Most recently, Herera served as Breaking News Anchor for CNBC, providing regular news updates throughout CNBC’s Business Day programming in addition to serving as the network’s lead anchor for breaking news stories. Prior to that, Herera was co-anchor of Nightly Business Report, an award-winning evening business news program that was produced by CNBC for U.S. public television.

She was also co-anchor of CNBC’s Power Lunch. In addition, Herera co-anchored Business Center, the first nightly newscast televised live from the floor of the NYSE.

Herera was one of the first women to break into the world of broadcast business news, earning her the nickname “The First Lady of Wall Street.” In her 40-plus years of covering Wall Street, she has provided viewers with a seasoned perspective on the major stories and issues moving the markets and groundbreaking interviews with leaders in politics and corporate America.

Having traveled the world extensively, Herera is well positioned to lend perspective on the current and ever-changing global relationships between the U.S. and its business partners.

Herera anchored and produced 4 award winning documentaries charting the economic and political emergence of Japan, China, Russia and India.

Well-versed in the world of global economics, Herera has also covered several of the major geopolitical G-7 summits overseas.

Sandy is the Senior Advisor for FS Investments, a leading alternative investment manager. Her responsibilities include managing and directing integration of acquisitions and sub-advisor relationships, as well as collaborating with product development and distribution teams on all channel opportunities and new product creation and launches.

Sandy is the former Head of Managed Investments within the Investment Solutions Group for Bank of America. In this role, Sandy led the delivery of the firm’s investment product offerings across all channels, including Merrill Lynch Wealth Management, Merrill Private Wealth Management, Bank of America Private Bank, Merrill Edge Self-directed and Merrill Guided Investing. Sandy’s responsibilities included product development, management and ongoing governance and investment oversight for domestic and offshore mutual funds, global exchange traded products, separately managed accounts, model portfolio solutions and money market funds. She also led the Diversity & Inclusion Council for the Investment Solutions Group.

Before joining Bank of America Merrill Lynch in March 2015, Sandy was Head of Investment Solutions for Pershing LLC, a BNY Mellon company. In this role she was responsible for delivering the investment product offering for independent broker dealers and RIAs. Prior to that, Sandy was responsible for the product management, oversight, marketing and management of various investment solutions offerings at TD Ameritrade, Morgan Stanley and Merrill Lynch.

Sandy earned a Bachelor’s degree from The College of New Jersey and an MBA from Fairleigh Dickinson University. She is a graduate of the Securities Industry Institute Executive Development Program at The Wharton School of the University of Pennsylvania. Sandy is also a Member of the Board of Directors for Expect Miracles Foundation – Financial Services against Cancer.

David Rosen is a Managing Director at Morgan Stanley Wealth Management and leads the firm’s Traditional Investment Products Business, which has over $1T in combined assets. He is responsible for overall product management, strategy, sales and UIT trading. He is a member of the MSWM operating and management committees. 

David is on the board of the Expect Miracles Foundation, which is a charity that brings the financial services industry together to bring hope to people impacted by cancer.  In addition, he is on the board of NICSA, a not-for-profit industry trade association.  David received his Juris Doctorate from Brooklyn Law School and is a member of the New York State Bar Association.  He has his FINRA Series 7 and Series 24 licenses and completed the Securities Industry Institute at The Wharton School.

Edward Jones Principal Steve Rueschhoff leads the Managed Investments and Insurance areas in Packaged Products. He and his teams are responsible for leading and coordinating the firm’s product strategy, product management and wholesaling support for mutual funds, exchange traded funds, 529 plans, unit trusts and insurance.

Steve began his Edward Jones career in May 2015 as the senior product leader in Insurance and Annuity Products. He was named a principal in December 2017. During his tenure at the firm, Steve has led several initiatives to make insurance and annuities more integrated, accessible and relevant for clients and branch teams.

Prior to joining Edward Jones, Steve held a variety of roles in the industry. He served as vice president of Life Product Management at Allstate; was a principal with Davis, Conder, Enderle and Sloan, Inc.; and worked as a retirement benefits consultant at Aon Hewitt.

Steve participates in several financial services industry committees and serves on the board of the Insured Retirement Institute (IRI). He is a Fellow in the Society of Actuaries and a graduate of the University of Nebraska in Lincoln.

Steve and his family are active in several St. Louis charities, including The United Way, Ronald McDonald House Charities and Friends of Children’s Hospital.

Anna Snider is a Managing Director and Head of Due Diligence for the Chief Investment Office (CIO) within Bank of America Corporation. In this role, she leads the Due Diligence team and is responsible for manager research and implementation guidance across all asset classes supporting Bank of America Private Bank and Merrill. She is a voting member of the Global Wealth & Investment Management Investment Strategy Committee (GWIM ISC), which sets asset allocation guidance. Anna also co-leads the Sustainable and Impact investing initiative for the wealth management businesses, focusing on investment solutions research and development, metrics and measurement.

Previously, Anna was part of the Alternative Investments group where she advised clients on hedge fund and private

assets portfolio construction and became head of research for externally managed alternative investment fund of funds. She was also a senior analyst in the risk management division at Bank of America Private Bank. Anna offers many years of investment and risk analysis experience, having held positions at the Federal Reserve Bank of New York, JP Morgan and UBS focusing on market, credit and operational risk management.

She graduated from Connecticut College. She holds the Chartered Alternative Investment AnalystSM (CAIASM) designation. Anna serves as chair of the board for High Water Women, a foundation based in New York City. She was cited within Barron’s magazine as one of “The 20 Most Influential People in Environmental, Social and Corporate Governance (ESG) Investing” and is a Aspen Institute First Mover Fellow.

John Cooper is a member of the FLX Distribution Advisory Board, and has held senior leadership roles in all aspects of the investment distribution business for some of the largest and most respected firms in the industry. He was previously Head of U.S. Intermediary Distribution at Morgan Stanley Investment Management (President of MSIM Distributors), Head of US Sales at Invesco (President & CEO of Invesco Distributors), Head of Retail National Accounts at Legg Mason and held several roles at Putnam Investors. John serves on three other advisory boards, involving AI and Robotics Process Automation, Voice Recognition, and an AI Hedge Fund Platform. He holds a BS from Boston College, where he double majored in Marketing and Human Resources Management, was a standout athlete in football and baseball, and was inducted into their Varsity Club Athletic Hall of Fame.

Erin is head of strategic development for Thornburg Investment Management, leading corporate and product development initiatives across the firm. She has 17 years of investment and management experience, including with large and small asset management firms and most recently the financial technology industry.

Prior to joining Thornburg, Erin was chief investment officer for C2FO, a Kansas City–based financial technology company focusing on supply-chain finance solutions. She developed private investment solutions to provide working capital liquidity to small businesses, utilizing C2FO’s proprietary technology platform. Prior to C2FO, Erin spent 11 years with Fountain Capital Management, a boutique high-yield investment firm also based in Kansas City. At Fountain, Erin held various positions, including partner, portfolio manager, head trader, and research analyst. She started her career at Strong Capital Management as an equity research analyst, focusing on smalland mid-cap value portfolios and later as a private equity analyst for McCarthy Capital.

Erin is a graduate of Indiana University with a BS in finance and is a CFA charterholder.

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.

Roger Paradiso is an Advisory Solutions Industry Leader with expertise in innovation, transformation, business enhancement and strategy. With a clear vision and creative solutions, he has emphasized the needs of the clients and ease of use, giving way to new efficiencies and profitable businesses. He has shaped careers for people and developed trustworthy, reliable products for the organization. Roger has an ability to create focus, provide encouragement, and inspire collaboration that has led to leadership success and industry recognition.

Currently, Roger is Head of Product Solutions at Franklin Templeton. In his role he is focused on new business development, and leading and creating Custom Separately Managed Accounts. In addition to developing the strategies, he implements technology-enabled advice solutions to support existing intermediary channels and potential new areas of growth and access.

During his career Roger has worked for Franklin Templeton and predecessor firms for over 25 years. In 1997 at Citi Asset Management, he conceived, developed, and built out the company's unified managed account platform, an industry first. Two years later, he created the Private Portfolio Group, which was later sold to Smith Barney (now Morgan Stanley) in 2008. That platform remains the industry's leading Unified Managed Account and Overlay Manager.

Roger returned from Morgan Stanley in 2016, where he was Managing Director of Investment Solutions and Portfolio Development for the advisory business in New York. His team was responsible for manager research, manager selection, portfolio construction, account management and trading. In addition, Roger built out and managed the third-party trust business. His business group managed over $130 billion in assets of which $30 billion was discretionary in over 225 thousand accounts. In 2014, Roger was bestowed the Money Management Institute's highest honors: the Advisory Solutions Pioneer Award and in 2016 the All-Star Achiever Award.

Yariv Itah is Casey Quirk’s Practice Leader, responsible for its overall business success and growth within Deloitte. He advises leading investment organizations worldwide, focusing on growth planning, economic alignment, governance, and conflict resolution.

Prior to joining Deloitte, Yariv was the Managing Partner at Casey Quirk. He was responsible for planning and executing the firm’s strategy and focused on maintaining Casey Quirk’s position as one of the world’s leading strategy consultants to the investment industry.

Before Casey Quirk, Yariv was an Associate at Ernst & Young in Tel Aviv. A military veteran, he previously served as a paratroop squad commander. Yariv has lived on five continents and communicates in four languages. He is a certified public accountant, holds an economics degree from the University of Tel Aviv, and received his master’s degree in business administration from the School of Management at Yale University.

Tracy Shelby is the U.S. Co-Head of Global Investor and Distribution Solutions (GIDS) for SS&C Technologies.  SS&C GIDS is the largest provider of mutual fund shareholder servicing in the US market, offering a wide range of service models from Software as a Service (SaaS) to fully outsourced operations.  In his role, Tracy is responsible for SS&C’s relationships with over 100 asset managers in addition to leading product strategy, service delivery and innovation, including the deployment of automation technologies to drive tangible operational benefits. Tracy previously led SS&C’s Intelligent Automation business and served as Chief Relationship Officer and SVP of Operations for GIDS.  He began his career at SS&C as a programmer and is an inventor of a process awarded a U.S. patent for a method of securely processing confidential information. Tracy graduated from Rice University with a Bachelor of Science in Electrical Engineering.

Allyson Whiteley is a Senior Vice President of Human Resources, Global Talent Management at Franklin Templeton Investments.

In her role she oversees Organizational Development and Culture, People Analytics, HRIS and Talent Acquisition.

Ms. Whiteley holds a master’s degree from the University of South Florida and is a Certified Professional Coach (CPC) and designated Senior Human Resources Professional.

Margarheeta C. Wise is president of the MFS Service Center and a senior vice president of MFS Investment Management® (MFS®). She brings more than 30 years of industry experience to her role managing the MFS Service Center, which is responsible for managing shareholder and dealer servicing departments, maintaining records, processing transactions, distribution of fund and shareholder information, fund implementation, risk management and regulatory oversight and monitoring.

Rheeta joined MFS in 2005 from PFPC Inc., where she was a senior vice president responsible for the product development and project management organizations on behalf of its transfer agency division. Prior to that, she was a senior vice president with the BISYS organization responsible for sales and marketing support and product development. A large part of Rheeta’s career was spent with First Data Inc., where she held several positions within its transfer agency division, exiting as a senior vice president of the product development and distribution services team.

Rheeta attended the University of Massachusetts, Boston, and Boston University, where she received her certification in Project Management. She has been a long standing member of NICSA, serving on several committees during her career, and previously served on its board of directors. She also currently serves as the chairperson of the Operations Committee of the Investment Company Institute (ICI).

Terrence Dempsey is Product Manager at Fidelity Digital Assets, which provides enterprise-grade digital asset solutions for institutional investors.

Prior to joining Fidelity Investments, Terrence spent nearly 5 years as the operations lead for the Bitcoin Investment Trust (GBTC) at Digital Currency Group’s asset management arm, Grayscale Investments. Terrence has also spent time in various trading and capital markets roles at SecondMarket prior to its sale to Nasdaq.

Terrence holds a BS in Business Administration with a concentration in Finance from Marist College.

Phil leads EY’s Asset and Wealth Management Data and Analytics practice.  He has over eighteen years of experience within Data Strategy, Data Management, Advanced Analytics, and Enterprise Reporting Initiatives.  In addition to the Data and Analytics role, Phil is the Global Lead for Wealth and Asset Management product development.

Phil has advised Investment banks, Asset Managers and Wealth Managers on a breadth of technology, analytics and business transformation engagements.  Relevant experience incudes:

Transaction - Led the technology data and operations integration of an Wealth Manager/Private Bank. The integration met all critical deadlines allowing for a “clean close”. Over 60,000 accounts and over $40 Billion assets under management. The conversion included, demographic, financial, reference and historical data. Successfully converted all in scope clients / accounts to a self clearing platform.  In addition to the conversion, drove the rebuild of product software to support the acquisition of net new asset classes (Alts and Private Credit), that were not currently supported by the target. 

Data Management and Strategy- Designed and developed the data governance and enterprise wide taxonomy programs.  The enterprise wide taxonomy defined data standards across all o the critical domains (e.g. Trade, Security, Accounting , Product, Client)  as well as inventoried key systems data. This program assisted the client in enhancing the SDLC process as well as developing data onboarding and quality monitoring procedures across critical data sets.

Data Migration -  In support of cloud and data migrations (Azure/Snowflake), lead the development of enterprise-ready modern data management software platform for self-service data provisioning and data preparation with integrated metadata management, data governance, information security and leading practices inspired by our industry experience of large data platform implementations. The deployed platform  provides data management, data operations and actionable data governance capabilities for scale-out architectures.

Client 360- Leveraged graph technology as well as cloud based architecture to develop single client data models for both retail and institutional clients.

Next Best Action / Next Best Offer- developed and integrated NBA/NBO across a number of use cases, driving both advisory productivity, as well as recommendations around advice. Models were integrated into leading CRM tools for actioning.

Marketing / Distribution AI- Led the design and custom development of an AI (NLP /ML) solution to accelerate the development, review, and distribution of marketing material (Proposals, Fact Sheets, Commentary pieces).  As a result of the implementation, enhanced the customization of content, while reducing time to market by as much as 90%.

Sustainability / ESG – Led the design and implementation of a cloud based ESG reporting and Analytics solution. The solution used cloud native data integration components to accelerate the sourcing and delivery of critical data to support ESG analytics / reporting.

Matt led the development of business-critical analytics platforms at Goldman Sachs for over 20 years.

As a Managing Director, he was responsible for the entire data platform of Goldman’s $1 trillion asset management business. Matt also co-led Goldman’s risk management platform where his team built Goldman’s first, company-wide data warehouse that helped it navigate the 2008 financial crisis.

In 2015, Matt joined Snowflake to run Product Management and then went on to launch the Snowflake Data Marketplace.  Today Matt helps lead the Financial Services business globally where he is driving customer and product strategy for one of Snowflake’s most important industry verticals.

Prior to co-founding software fintech firm EDS, Greg spent 27 years as a fundamental investor and was an early investment team member/partner of multiple billion dollar-plus funds, including WestWay Capital, a pioneering technology fund focused on disruptive change. He was also a portfolio manager at Sage Asset Management and the founder of Rock Crest Capital, an investment firm based in Connecticut. Greg received his degree in finance from the University of Massachusetts, while competing as a member of a D1 gymnastics team.

Mr. Mehta is Chief Information Officer for Putnam Investments. He is responsible for the overall strategic direction and execution of Putnam’s global technology solutions. In addition, he is a member of Putnam’s Operating Committee and Diversity Advisory Council. Mr. Mehta has over 20 years of experience in managing information technology systems in the investment industry, where he has led transformational change in the areas of software development, information technology, and business operations. He joined Putnam in 2015 and has been in the investment industry since 1988.

Prior to joining Putnam, Mr. Mehta was Vice President of Equity, High Income, and Pyramis Technology at Fidelity Investments from 2011 to 2015; Director of Operational Effectiveness at Marsh & McLennan from 2009 to 2010; Worldwide Partner and Head of Global Operations at Mercer from 2005 to 2009; Head of Financial Services Business Unit at Patni from 2002 to 2005; and Chief Executive Officer at The Reference from 1996 to 2002.

Mr. Mehta earned an M.B.A. from Babson College, an M.S. from Columbia University, and a B.Sc. (Hons) from Southampton University.

Bill Rys joined Citi Government Affairs in January of 2013.  In December of 2018, Bill became Head of Federal Government Affairs and manages Citi’s lobbying efforts in Washington.  Bill also handles Citi’s tax policy work, coordinating with Citi’s tax department and business units on major tax initiatives both global and domestic in scope. 

Prior to Citi, Bill served in government affairs roles with Shell Oil and the National Federation of Independent Business (NFIB), the leading small business trade association.  In Government, Bill worked as Legislative Director for Rep. Melissa Hart of Pennsylvania and as Deputy Executive Secretary at the U.S. Treasury Department.

Bill received a BA degree in Political Science from Juniata College, a JD from the Boston University School of Law, and an LLM in Taxation from Georgetown University Law Center. 

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.

Jim Bumpus oversees the internal and external Independent Advisor and Broker/Dealer divisions, Strategic Beta wholesaling, Business Development, and Sales Governance and Administration teams. He joined one of the Columbia Threadneedle Investments firms in 2015. He's held several roles at Putnam Investments, including head of strategic accounts and served as a regional investment sales manager at Citizens Investment Securities and a financial advisor at Shearson Lehman Hutton. He's been a member of the investment community since 1989 and holds the Certified Investment Management Analyst® designation.

Stephanie M. Pierce is the Chief Executive Officer of Dreyfus, Mellon & Exchange-Traded Funds at BNY Mellon Investment Management. In this role, she has responsibility for the development of the firm’s sponsored ETF offering as well as the index and money markets businesses, with nearly $853 billion in assets under management as of December 31, 2021. Stephanie is an entrepreneurial investment management veteran with extensive leadership experience driving strategic change and commercial innovation. Over the course of her nearly three-decade career, Stephanie has proven especially adept at spearheading the conceptualization, launch and growth of businesses and cross-platform initiatives that touch multiple business lines across large enterprises.

Prior to BNY Mellon, Stephanie served as Executive Vice President, Investment Product Group at Fidelity Investments, where she led product strategy for Fidelity’s $2T asset management business. Before Fidelity, Stephanie was Senior Vice President, Product Management, Business Development and Client Portfolio Management at Janus Henderson. Stephanie, who resides in Boston with her husband and 12-year-old daughter, has a BA in International Relations from Stanford University and holds the Series 24, 7 and 3 certifications. She is a member of the Leadership Board at Beth Israel Deaconess Medical Center, a member of the Board of Advisors for the Boston Ballet, a member of the Advisory Board of the Journal of Portfolio Management, a member of the Speakers’ Bureau of Women in ETFs and a Trustee for the US Ski and Snowboard Foundation Board.

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.