Effective Interactions with Advisors Post Pandemic

Recorded On: 09/07/2022

Interacting with advisors continues to evolve at a faster pace than ever. Broker teams, advisory groups, and the use of home office models have continued to distribute investment decisions across individuals at advisory firms. Advisors themselves are being bombarded by more communications than ever, and wholesalers need to find effective ways of engaging advisors. The panel will explore the growth of teams and models in the industry, the roles individuals take with advisory firms, the data needed to make and track sales, and how to have effective interactions with advisors.

Join our expert panelists as they address the following questions:

  1. What is the impact of the changing advisory landscape on distribution activities?
  2. How have the roles within advisories changed the way that wholesalers interact?
  3. How has the growth of models impacted product distribution?
  4. How are people tracking broker teams, partnerships, and advisory groups?
  5. What data and tools are needed to be effective in the new landscape?

    Who should attend: product development, broker dealers, distribution, sales, marketing, and data analytics professionals.

    This program is sponsored by:



    Nicsa is pleased to offer this webinar learning activity to attendees who are seeking CPE credits. 1 CPE unit may be available for attendees of this webinar. The webinar requires no advanced preparation, no pre-requisite study and is appropriate for all who have a basic understanding of the investment management industry.

    Nicsa is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org.

    CPEs Earned: 1 

    CPE Field of Study: Specialized Knowledge 

    Program Level: Basic 

    Delivery Method: Group-Internet Based 

    Advanced Preparation: None 

    CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Jed Larsen at info@nicsa.org

    William Finnegan (Moderator)

    Principal - Distribution Insight


    Bill Finnegan has extensive financial services experience in leadership roles within marketing and sales. His more than 30-year career encompasses working in and across the asset management, retirement, insurance, and banking industries. Most recently, Bill was leading global marketing for Seismic software’s financial services business, the firm’s largest vertical.

    Before Seismic, Bill was the Chief Marketing Officer for AMG where he led the marketing efforts for a family of more than 100 funds and SMAs managed by more than 35 independent and autonomous sub-advisers. Prior to that, Bill was Senior Managing Director of Global Retail Marketing at MFS. There he was responsible for leading the marketing strategy, content marketing, digital marketing, and client engagement for MFS’ global retail marketing business, the firm’s largest.

    As a company spokesperson, Bill has been quoted extensively across consumer and industry publications regarding investor behavior and the application of technology and data to improve outcomes. At Broadridge, Bill is leveraging his integrated digital, data, and technology experiences to guide asset management clients as they apply software and data to improve client engagement.

    Bill earned a bachelor’s degree in finance and a minor in economics from the University of Massachusetts. He has held Series 7, Series 24, Series 51, and Series 63 securities licenses as well as state life insurance & annuity licenses.

    Matthew Goulet, CFA

    Head of Asset Manager Services & Business Development

    Fidelity Investments

    Matthew Goulet is head of Asset Manager Services & Business Development at Fidelity Institutional® (FI), the Fidelity Investments business that offers financial professionals and institutions access to the investment, technology, and platform solutions they need to service their clients and grow their businesses. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing, and other financial products and services to institutions, financial intermediaries, and individuals. 

    In this role, Mr. Goulet leads a team that manages relationships with third party asset managers who offer mutual funds, exchange-traded funds (ETFs), collective investment trusts (CITs), alternative investments, and separately managed accounts (SMAs) to Fidelity platform clients. 

    Prior to this role, Mr. Goulet held a number of executive positions leading Fidelity’s model, SMA, and portfolio construction solutions and driving business development efforts in support of Fidelity’s ETF offering. He has extensive experience building teams that consult, design, and execute strategies to support Fidelity’s institutional clients’ ability to optimize their portfolio construction strategy through custom solutions and integrations with industry fintech solutions. 

    Before joining Fidelity in 2012, Mr. Goulet was vice president and product specialist for the iShares Product & Investment Consulting team at BlackRock. In this capacity, he focused on the iShares lineup of ETFs and was primarily responsible for working with financial advisors and RIAs to help them better understand the structural differences between various ETFs. Previously, Mr. Goulet worked in several sales and product roles within State Street Global Advisors’ North American Intermediary Business Group. He has been in the financial industry since 2006. 

    Mr. Goulet received his bachelor of business administration degree in finance from the University of Notre Dame. He is also a CFA® charterholder.

    Austin Lewis

    Director of Global Business Intelligence

    Janus Henderson Investors

    Austin Lewis is the Director of Global Business Intelligence at Janus Henderson Investors, a position he has held since 2018. In this role, he is responsible for providing distribution enablement and advanced analytics to the global distribution division. Previously, he was the firm’s global CRM Support Manager and Business intelligence Manager since 2012. Austin is a member of the IMEA Data steering Committee and frequent speaker at other Industry events. Austin received his Bachelor of Science degree in business administration from Pepperdine University and received his Masters of Business specializing in International Business and Business Strategy from the University of Colorado.

    Daniel Shannon


    Advisor Solutions Group, Janus Henderson Investors

    Daniel Shannon is the Director, Advisor Solutions Group for Delaware Valley region. In this role, he consults directly with Janus Henderson-related products and the Knowledge Labs® curriculum, which offers high-impact business and life-enhancing programs. Prior to joining Janus in 2018, Mr. Shannon was a regional marketing director at Putnam Investments. 

    Mr. Shannon attended Fairfield University. He holds FINRA Series 6, 7, 63 securities licenses. He has 15 years of financial industry experience.


    Effective Interactions with Advisors Post Pandemic
    Recorded 09/07/2022
    Recorded 09/07/2022
    11 Questions
    11 Questions Post webinar survey