Scaling Success: Orchestrating Growth in Alternatives
Includes a Live Web Event on 06/11/2025 at 1:00 PM (EDT)
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In this session, we’ll explore the challenges and opportunities of navigating rapid growth of Alternatives in an increasingly complex market – across pre-trade, trade, and post-trade environments. As client demand and advisor interest soar, the introduction of new entrants and evolving products has led to a fragmented and operationally fragile environment. Join us as we unpack the core operational and technological hurdles facing the industry today.
Learning Outcomes
• Identify key client/advisor onboarding, operational, and scalability challenges.
• Understand the risks posed by insufficient: onboarding experience, compliance controls, automation, and expertise.
• Explore how an integrated operational and technology solution can support growth while maintaining consistency and control.
• Evaluate when to outsource vs. building capabilities based on business needs.
• Learn how SS&C ALTSERVE BPO and ALTSERVE Connect can provide flexibility and stability during high-growth phases.
Target Audience:
Asset and Wealth Management Professionals Focused on Alternatives
Financial Advisors and Client Relationship Professionals
Risk and Compliance Officers
Technology and Automation Strategists
This program is in partnership with:
CPE Credits Redeemable with NASBA
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 (Technical)
Program Level: Basic
Delivery Method: Group-Internet Based
Advanced Preparation: None
CE Credits Redeemable with Investments & Wealth Institute™ (IWI)
Nicsa is a registered sponsor with the Investments & Wealth Institute™ (IWI) for continuing education credits applicable to CIMA®, CPWA®, RMA®, and CIMC® certifications. This 60-minute webinar has been pre-approved by IWI for 1 CE credit.
To redeem your CE credit, you must self-report your participation by visiting the Investments & Wealth Institute™ website: https://investmentsandwealth.org. Following the conclusion of the webinar, please enter the program date, program ID, program title, and Nicsa as the sponsoring organization. Nicsa will not report your participation on your behalf.
The Investments & Wealth Institute™ has final authority on the acceptance of individual courses for CE credit. If you have any concerns or complaints regarding registered sponsors, you may submit them via the IWI website: https://investmentsandwealth.org/contact-us.
CPEs Earned: 1
Continuing Education Topic: Traditional and Alternative Investments
Program Format: Live Webinar
CANCELLATIONS AND REFUNDS: Due to this program being offered free of charge, there will be no refunds issued. Questions or Cancellations: Please contact Lilly Bahmani at info@nicsa.org
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Jennifer Cho (Moderator)
Strategic Relationship Executive, SS&C Brokerage Solutions
Jennifer Cho is a seasoned financial services professional with over 20 years of industry experience. She joined SS&C as the Strategic Relationship Executive for Brokerage Solutions in February 2023, driving strategic growth and client success through delivering solutions aligned with client business strategies. Prior to joining SS&C, Jennifer held various roles at PIMCO, where she launched new products and services, led teams, and served on industry committees. Jennifer holds an undergraduate degree in economics and management from the University of California, Irvine. While she enjoys cultivating relationships and engaging in industry forums, her favorite pastime is spending time with her husband of 16 years, Charlie, and exploring the world through the eyes of their toddler, Celine.
Dan Beck
Vice President of Brokerage Solutions
SS&C
Dan Beck is Vice President of Brokerage Solutions. Within this role, he is responsible for leading the day-to-day alternative investment and sub-accounting operations teams.
Dan has been in the securities industry for over 25+ years. During this time, he has had multiple roles and leadership positions across Operations. Prior to joining SS&C, Dan had worked at Ameriprise Financial Inc., Miller Johnson and Kuehn, and Piper Jaffrey.
Dan has his B.A. in Business Administration from the University of St. Thomas, St. Paul, MN. He has been a member of BDAC – Broker Dealer Advisor Committee for over 15 years and he holds FINRA Series 7 – General Securities Representative and FINRA Series 24 – General Securities Principal designations.
- 25+ years in the financial industry
- 21+ years at Ameriprise
- Married for 20 years (Kristi)
- Two Children: Kellen (17) & Lyla (14)
- Enjoy playing hockey, golfing and coaching my kids
Charles Upchurch
Sr. VP of Clearing Operations
LPL Financial
Charles Upchurch is a Sr. VP of Clearing Operations at LPL Financial. He has worked in the industry for the past 29 years. The majority of that time has been focused on running back-office operations and leading strategic corporate initiatives. During his tenure in the industry, Charles has had the opportunity to engage all core clearing functions and the privilege to lead Wealth Management, Trading, Margins, Options, Corporate Actions, Settlements/Custody/P&S, Transfers, Sweeps and Security Master teams.
He has also been involved in the industry representing the intermediary community on the ICI’s Broker Dealer Advisory Committee, the DTCC’s AIP Round Table, the DTCC’s Mutual Fund Advisory Council and on various forums and panels.
Rafay H. Farooqui
Founder, Chairman, & Chief Executive Officer
SUBSCRIBE
Rafay H. Farooqui is the Chairman, Founder and Chief Executive Officer of SUBSCRIBE, a global fintech company digitally transforming the landscape of alternative investments for fund managers, institutional investors, wealth managers, law firms, and fund administrators. Prior to SUBSCRIBE, Rafay also founded CAIS, an alternative investment platform for wealth management firms.
Mr. Farooqui started his career at Goldman Sachs in 1998 in New York and served at UBS AG from 2003 to 2008 in both New York and Dubai.
Rafay served as an Independent Director of M.D.C. Holdings Inc. (NYSE: MDC), has served on the Boards of the UN International School and Queens Museum of Art, is a Member of the Council on Foreign Relations and YPO. He has an MBA and BA from Columbia University.
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