March 30–April 1, 2017 · Asset Management Education (G.A.M.E.) Forum is bringing an...

Q U I N N I P I A C G . A . M . E . V I I F O R U M 1

March 30–April 1, 2017 New York Hilton Midtown Hotel

2 Q U I N N I P I A C G . A . M . E . V I I F O R U M

Welcome to the Quinnipiac G.A.M.E. VII Forum

Over the next 2½ days, the seventh annual Quinnipiac Global Asset Management Education (G.A.M.E.) Forum is bringing an international group of current and future leaders from the financial services industry together to explore important developments, challenges and opportunities facing investment professionals within our global financial markets.

Industry support for this innovative investment conference is very strong. G.A.M.E. VII Forum co-sponsor Nasdaq and strategic partners CFA Institute, Davidson Investment Advisors, Eagle Asset Management, The Hartford, Interactive Brokers, International Securities Exchange, LPL Financial, Mainstay Capital Management, Morningstar, The Options Industry Council and TD Ameritrade are joined by 96 firms and organizations in providing more than 140 keynote speakers, panelists, workshop presenters and student-managed portfolio competition judges.

Today, 17 keynote speakers will explore the global markets, corporate governance, global economy and investment strategy. After the keynote speaker panelists make their initial comments, the moderator will welcome questions from students in the audience. This will be your first opportunity to interact with top leaders in the financial services industry.

On day two of G.A.M.E., students and faculty will participate in a number of concurrent breakout sessions, including panel discussions, workshop presentations and nine keynote sessions that will explore portfolio management, equity analysis, asset allocation, risk and ethical decision making to name a few. G.A.M.E. concludes on day three with a focus on careers and academic program development. Your G.A.M.E. experience will be rounded out through interactive career discussions with a group of young professionals who once sat in your shoes.

We hope to see you again at the Quinnipiac G.A.M.E. VIII Forum March 22–24, 2018, in New York City. More information will be available at qgame.qu.edu, by email at [email protected] or by calling 203-582-3888.

Sincerely,

Dr. David A. SauerFounder, Executive Director & Program Chair

Quinnipiac G.A.M.E. Forum

Professor of Finance

Quinnipiac University


Quinnipiac G.A.M.E. VII Forum Strategic PartnersNASDAQNasdaq (NASDAQ: NDAQ) is a leading provider of trading, exchange technology, information and public company services across six continents. Through its diverse portfolio of solutions, Nasdaq enables customers to plan, optimize and execute their business vision with confidence, using proven technologies that provide transparency and insight for navigating today’s global capital markets. As the creator of the world’s first electronic stock market, its technology powers more than 70 marketplaces in 50 countries, and one in 10 of the world’s securities transactions. Nasdaq is home to more than 3,400 listed companies with a market value of over $8.5 trillion. To learn more, visit www.nasdaqomx.com.

CFA INSTITUTECFA Institute is the global association of investment professionals that sets the standard for professional excellence and credentials. The organization is a champion for ethical behavior in investment markets and a respected source of knowledge in the global financial community. The end goal is to create an environment where investors’ interests come first, markets function at their best, and economies grow. CFA Institute has more than 142,000 members in 159 countries and territories, including 136,000 CFA charterholders, and 147 member societies. For more information, visit www.cfainstitute.org.

DAVIDSON INVESTMENT ADVISORSDavidson Investment Advisors, an SEC registered investment adviser, has provided asset management services for corporations, employee benefit plans, foundations and trusts since 1975, applying a consistent, repeatable and time-tested approach to portfolio management with a particular focus on the application of independent thought within the context of a team orientation. The firm offers four distinct investment strategies, managed by a team of investment professionals whose considerable depth and breadth of experience within the capital markets allows for a truly unique perspective. Davidson’s investment base of operations is equally divided between Great Falls, Montana, and Seattle while Denver serves as a marketing and client servicing office. More information is available at www.davidsoncompanies.com/dia.

EAGLE ASSET MANAGEMENTSince 1976 Eagle has been committed to employing investment managers with extensive experience in the investment-management industry. In fact, its managing directors have an average 25 years of investment experience and average firm tenure of more than a decade. Over the years, Eagle has sought portfolio managers who possess the rare talent and insight required to construct portfolios that limit downside risk and add alpha over time. Eagle is as committed to providing its clients superior performance today as the day it was founded 35 years ago. It’s that unwavering dedication that helps ensure Eagle will be around for another 35 years. Additional information is available at www.eagleasset.com.

THE HARTFORDCelebrating 200+ years of helping its customers achieve what’s ahead, The Hartford (NYSE: HIG) is an insurance and wealth management company. Through its unique focus on customer needs, the company serves businesses and consumers by providing the products and solutions they need to protect their assets and income from risks and manage their wealth and retirement needs. A Fortune 100 company, The Hartford is recognized widely for its service expertise and as one of the world’s most ethical companies. More information on the company and its financial performance is available at www.thehartford.com.

INTERACTIVE BROKERS Interactive Brokers Group affiliates provide automated trade execution and custody of securities, commodities and foreign exchange around the clock on more than 120 markets in numerous countries and currencies from a single IB Universal Account to customers worldwide. The firm services individual investors, hedge funds, proprietary trading groups, financial advisers and introducing brokers. Its four decades of focus on technology and automation have enabled it to equip customers with a uniquely sophisticated platform to manage their investment portfolios at extremely low cost relative to the financial services industry. Interactive Brokers strives to provide customers with advantageous execution prices and trading, risk and portfolio management tools, research facilities and investment products, all at unusually low prices, positioning them to achieve superior returns by providing low costs compared to its competitors. For more information, visit www.interactivebrokers.com.

INTERNATIONAL SECURITIES EXCHANGE The International Securities Exchange Holdings Inc. (ISE Holdings) is the owner and operator of three electronic options exchanges: ISE, ISE Gemini and ISE Mercury. Through its comprehensive exchange offering, ISE Options delivers a superior trading experience to its member firms through its patented market structure, industry-leading technology, unique functionality for trading complex orders, and award-winning customer service. In addition to its options business, ISE Holdings also operates ISE ETF Ventures, which provides its partners with a broad range of capabilities in index development, index licensing, financing and marketing of exchange-traded products. Total assets under management for ETPs tied to ISE ETF Ventures is approximately $3 billion. ISE also owns Longitude and licenses its proprietary technology for event-driven applications in a diverse range of industries. ISE Holdings is part of Deutsche Börse Group (Xetra: DB1). For more information, visit www.ise.com.


Quinnipiac G.A.M.E. VII Forum Strategic Partners continued

LPL FINANCIALLPL Financial was founded with the vision of helping entrepreneurial financial advisers establish successful businesses through which they could offer truly independent financial guidance and advice. Today, with headquarters in Boston, Charlotte and San Diego, LPL Financial and its more than 3,000 employees support more than 14,000 financial advisers in communities across the United States, enabling them to provide objective, conflict-free financial advice to millions of Main Street Americans. For more information about LPL Financial, visit www.lpl.com.

MAINSTAY CAPITAL MANAGEMENT Mainstay Capital Management LLC (MCM) was founded to help investors who do not have the time or inclination to give their retirement savings accounts and other investments the thorough research and analysis they require. Through its portfolio development and management process, MCM takes full advantage of the investment options available in a client’s 401(k), 403(b), IRA or other type of managed account to meet his or her long-term goals and tolerance for risk. Additionally, with a staff of certified financial planners and chartered retirement planning counselors, Mainstay Capital Management can offer counsel and develop comprehensive solutions for any financial aspect of a client’s life. For more information, visit www.mainstaycapital.com.

MORNINGSTARMorningstar is a leading provider of independent investment research in North America, Europe, Australia and Asia. The company offers an extensive line of products and services for individuals, financial advisers and institutions. Morningstar provides data on more than 510,000 investment offerings, including stocks, mutual funds and similar vehicles, along with real-time global market data on more than 17 million equities, indexes, futures, options, commodities and precious metals, in addition to foreign exchange and Treasury markets. Morningstar also offers investment management services through its registered investment adviser subsidiaries and has more than $180 billion in assets under advisement or management as of Dec. 31, 2015. The company has operations in 27 countries. Additional information is available at www.morningstar.com.

OPTIONS INDUSTRY COUNCILThe Options Industry Council (OIC) is an educational organization funded by the nation’s options exchanges and OCC and is dedicated to helping individual investors, financial advisers and institutions understand the benefits and risks of exchange-traded options. For more than 20 years, the contributions that OIC has made to the investing and brokerage communities have been significant to the growth of the options industry. OIC conducts hundreds of seminars, distributes educational materials, maintains a website and offers live help from options professionals. For more information, visit www.optionseducation.org.

TD AMERITRADE TD Ameritrade Holding Corporation (NASDAQ:AMTD), through its brokerage subsidiaries, combines innovative trading technology, easy-to-use and understand trading tools, investment services, investor education and outstanding client service. TD Ameritrade provides millions of retail investors, traders and independent RIAs the tools, service and support they need to help build confidence in today’s rapidly changing market environment. For more information, visit www.tdameritrade.com.

QUINNIPIAC Quinnipiac University offers more than 100 programs to 6,784 undergraduate and 2,884 graduate, law and medical students through its Schools of Business, Communications, Education, Engineering, Health Sciences, Law, Nursing, the College of Arts and Sciences and the Frank H. Netter MD School of Medicine. The School of Business is accredited by AACSB International—The Association to Advance Collegiate Schools of Business. Quinnipiac’s 250-acre Mount Carmel Campus, next to Sleeping Giant State Park, contains academic buildings and residence halls. The nearby 250-acre York Hill Campus houses the TD Bank Sports Center, residence halls for 2,000 students, the Rocky Top Student Center and a 2,000-car parking garage. A third 150-acre campus in North Haven serves as home to the School of Education, School of Health Sciences, School of Nursing, the Frank H. Netter MD School of Medicine and other graduate programs. The university consistently ranks among the top regional universities in the North in U.S. News & World Report’s America’s Best Colleges issue. For more information, visit www.qu.edu.


Participating Firms & OrganizationsABChris CheesmanAndrew ChinLarry CohenJanessa CoxPaul DeNoonAshish ShahDr. Vicki A. Walia

Abbot DowningRob Farrington, CFA, CAIA

Aberdeen Asset Management Inc.Jim O’Connor

ABR Management LLCTaylor Lukof

Active Owners FundJohn Mantia

Additive Advisory & Capital LLCRobert Specht, CFA

AEGIS Wealth PartnersRaymond H. Bovich, CFA

Alleghany CapitalJohn Daly

Altaira Capital Partners LLPRalph Acampora, CMT

American Century FundsAndy ProvencherSibil Sebastian, CFA, CAIA

Aon Hewitt Investment Consulting Inc.Brian Binkley, CFA

Appomattox Advisory Inc.Drianne Benner, CFA

Auctos Capital Management Dustin Tait

Bank of America Merrill LynchGeralyn Endo

Bank of the OzarksPhil Pearlman

BarclaysChristian Kurasek

BlackRockChad Hummel, CAIABrooke Juniper, CFA, CAIAKristen Pulley, CFANed Rosenman

BloombergJoe Weisenthal

Bloomberg BriefRichard Yamarone

Bloomberg NewsTom Keene, CFA

Bloomberg RadioLisa Abramowicz

Bloomberg Television & RadioKathleen Hays

Boston Consulting GroupMaureen Mitchell

Brahman Capital Corp.Joshua Pearl

Brown Brothers HarrimanKyle BarndollarLily GordonAndrew Hodgkins, CFAEdward Johnson, CFADavid MastermanJeff PriceMatthew Smith

BTIGKatie Stockton, CMT

CAIA AssociationDr. Keith Black, CFA, CAIA

Capstone Investment Advisors LLCJordan Sinclair, CFA

Cardinal Capital Management LLCEva Maria Janerus, CFA

Centre Lane Partners LLCLeviathan Winn

CFA InstituteNeil Govier, CFABeth Kaiser, CFA, CIPMPaul Kovarsky, CFAKurt N. Schacht, JD, CFA

CFP BoardJoseph Maugeri, CFP

CFRASam Stovall

Charles Schwab & Co. Jeffrey Kleintop, CFA

Chicago Board Options ExchangeRussell Rhoads, CFAPamela Culpepper

ClearBridge InvestmentsMary Jane McQuillen

Clothier Springs Capital Management LLCThomas F. McKeon, CFA

DolphinDB Inc.Yangchun Chu

DTCCJim Binder

EYJason Schafer, CPAJohn Schafer, CPA

Federal Reserve Bank of St. LouisDr. James Bullard

Fordham UniversityCraig Marderstein

FOX Business NetworkDavid Asman

GARPLisa Ponti

Goldman SachsAbby Joseph Cohen, CFAArianne CriquiMax MullenSalina SabriSerena Shi

Goldman Sachs Asset ManagementMaria S. Jelescu, CFA

Guggenheim InvestmentsGary McDaniel, CFASamir Sanghani, CFA

HanweckMolly McGregorNicole Ojakian

Hardee BrothersSidney Hardee, CFA

Harvest Volatility ManagementDennis Davitt

Highland Capital ManagementMike Hurley, CMTMark Okada, CFA

Horizons ETFs &Recon Capital PartnersKevin Kelly

Huntington BankJohn Augustine, CFA

Independent DirectorDr. Bob Froehlich

Interactive BrokersFrank A. Magnani

International Securities ExchangeGary Katz

J.P. Morgan Asset ManagementJoshua HemmertRebecca Mitchem, CFAEric Wald

J.P. Morgan FundsDr. David Kelly, CFA

KPMGJessica Hardeman

Lazard Asset ManagementMarco CarlacciDennis NevelingScott ToohigChelsea Williams

LPL FinancialMark Casady

Mainstay Capital Management LLCDavid Kudla

Malin HughesRobert Becker

Manulife Asset ManagementFrances Donald

Market Technicians AssociationTyler Wood

Morgan StanleyElizabeth ClarkAndrea DiamondDamon Wright

Morgan Stanley Investment ManagementMaureen O’Toole, CAIA

MorningstarLeslie MarshallKevin McDevitt, CFA

NasdaqRobert F. PhillipsAllan Schoenberg

Nuveen Asset Management LLCBob Doll, CFA

NYSE OptionsBill Ryan

NYSSAMario Carias, CFAHarumi Urata-Thompson, CFA, PMP

Options Clearing CorporationTracy RabenMary Savoie

Options Industry CouncilJoe BurgoyneEric Cott

OTC Markets GroupDaniel Zinn

Quinnipiac UniversityDr. David A. SauerDr. Mark Thompson

RBC Capital MarketsJoshua RosenbaumBryan Verbel

Richard Bernstein Advisors LLCRichard Bernstein

S&P Investment Advisory ServicesErin Gibbs

Saratoga Proxy Consulting LLCJohn Ferguson

Security Traders AssociationJim Toes

SoftBank Vision Fund AdvisersAidan O’Connor

Solberg AdvisorsTimothy Solberg, CFA

State Street Global AdvisorsJill Iacono MavroAlastair McKibbin, CFA, CAIA Stradley Ronon Stevens & Young LLPFabio Battaglia

Summit Place Financial AdvisorsLiz Miller, CFA, CFP

Swan Global InvestmentsRandy Swan

TD AmeritradeJJ KinahanMary Ryan

Three Ocean PartnersPhil Smith, CFA

TIAA Global Asset ManagementStephanie Link

TurnVest Partners LLC & Angrisani Turnarounds LLCAl Angrisani

University of Northern ColoradoDr. Tim Jares

Villanova UniversityDr. David Nawrocki

Virtus Investment Partners Joe Terranova

Voya Investment ManagementDouglas Coté, CFA

Wells Fargo Bank, N.A.Jeff Rombach, CPA


Keynote SpeakersLISA ABRAMOWICZCo-Host, “Bloomberg Markets”Bloomberg RadioLisa Abramowicz is co-host of the “Bloomberg Markets” show on Bloomberg Radio. She is also a columnist for Bloomberg Gadfly, a fast commentary group aimed at providing insight and context to breaking news. Abramowicz covers the debt markets at Gadfly and has been writing about fixed income

for more than a decade. She was formerly a senior writer at Harrison Scott Publications, where she reported on various structured products, including collateralized debt obligations and asset-backed and mortgage-backed securities, for Harrison Scott’s Asset-Backed Alert publication. Abramowicz is a graduate of the University of Chicago.

RALPH ACAMPORA, CMTSenior Managing DirectorAltaira Capital Partners LLPRalph Acampora, CMT, is senior managing director of Altaira Capital Partners LLP and a pioneer in the development of market analytics. He has a global reputation as a market historian and a technical analyst, providing unique insights on market timing and related investment strategy issues. Acampora

was previously the New York Institute of Finance’s director of technical analysis studies. He taught at the institute for nearly 40 years. Before joining NYIF, he was director of technical research at Knight Equity Markets and also worked for 15 years at Prudential Equity Groups as director of technical analysis. As one of Wall Street’s most respected technical analysts, he has consistently been ranked by Institutional Investor for more than 10 years. He is a chartered market technician (CMT), a designation he helped create.

AL ANGRISANIFounder & CEO, TurnVest Partners LLC &Angrisani Turnarounds LLCAl Angrisani is a leading expert on corporate turnarounds and the former assistant U.S. secretary of labor under President Ronald Reagan, as well as an author and business media personality. His decades of experience and recognized expertise in both the private and public sector make him a

sought-after, regular commentator on national news programs including CNBC, Fox Business News and Bloomberg TV. Television producers have utilized his background and knowledge of the economy and labor markets to put economic and financial data into perspective for a lay audience of business people and consumers. He was a regular commentator during the recent presidential election cycle, bringing intelligence and common sense to discussions about the economy and job market. He oversees Angrisani Turnarounds, which serves as an operator and adviser to the boards of directors of distressed companies, and TurnVest Partners, which focuses on investing in public and private distressed companies. His work in the turnaround/investment world led Angrisani to develop a proprietary Value Creation Model that also served as the foundation for his book, “Win One for the $hareholders.”

DAVID ASMAN AnchorFOX Business NetworkDavid Asman joined FOX Business Network as an anchor in September 2007. He co-hosts “After the Bell” weekdays with Melissa Francis. Asman also serves as host of “Forbes on FOX,” a weekend half-hour program on FOX News Channel. He has been with FNC since 1997, when he joined the network as

a weekday anchor for “Fox News Live.” In 2005, he was named head of FNC’s documentary unit, where he hosted a series of investigative specials including “Global Warming: The Debate Continues” and “U.N. Blood Money,” a series that examined the oil-for-food controversy. Prior to joining FNC, Asman served as The Wall Street Journal’s award-winning editorial features editor. He joined the newspaper in 1983 as an editorial writer, where he edited the Manager’s Journal and The Americas columns in addition to writing editorials and more than 100 articles from Latin America and elsewhere. In 1994, he was named senior editor for the paper’s editorial page.

JOHN AUGUSTINE, CFA Chief Investment OfficerHuntington BankJohn Augustine, CFA, has spent nearly 30 years as an investment manager, investment strategist and economic strategist for various financial institutions. In May 2014, he became the chief investment officer at Huntington Bank, headquartered in Columbus, Ohio, which has more than $17 billion in assets

under management. Previously, Augustine was with Fifth Third Bank in Cincinnati for 16 years holding various roles. He also worked with Star Banc in Ohio; Heritage Trust and Asset Management in Colorado; and IDS Financial Services in Colorado. He is a former president and board member for the Dayton Society of Financial Analysts and was a long-time adjunct professor in the graduate school at the University of Dayton. Augustine has a bachelor’s degree from the Ohio State University and is a graduate of the Midwest Bankers Association Trust School. He has appeared frequently in the national media—including Fox News, CNBC and Bloomberg.

RICHARD BERNSTEIN Chief Executive Officer Richard Bernstein Advisors LLC As CEO and chief investment officer of Richard Bernstein Advisors LLC, Richard Bernstein heads the investment firm specializing in longer-term, client-focused investments. Previously, he was head of the Investment Strategy Group at Merrill Lynch & Co., and also held positions at E.F. Hutton and

Chase Econometrics/IDC. Prior to Merrill Lynch, he worked on Wall Street for more than 30 years. He is the author of “Style Investing: Unique Insight into Equity Management,” and “Navigate the Noise: Investing in the New Age of Media and Hype.” Bernstein was named to Institutional Investor magazine’s “All-America Research Team” 18 times, and to the “First Team” 10 times. He was twice named to both Fortune magazine’s “All-Star Analysts” and SmartMoney magazine’s “Power 30.” He earned his BA from Hamilton College and his MBA from New York University.


DR. JAMES BULLARD President & CEOFederal Reserve Bank of St. LouisAs president and CEO of the Federal Reserve Bank of St. Louis, James Bullard directs the activities of the Federal Reserve’s Eighth District. He also participates in the Federal Open Market Committee. Bullard, a noted economist and scholar, has been a strong advocate for basing monetary policy on solid

economic research and for making policy decisions based on the state of the economy, as opposed to the calendar. In 2010, he wrote a paper that warned about the possibility of a Japanese-style deflation in the U.S. The paper helped move thinking toward a second round of quantitative easing, which the FOMC ultimately adopted. Bullard also advocated for establishing an explicit inflation target, which is now the committee’s approach. Bullard earned his doctorate in economics from Indiana University in Bloomington. He holds BS degrees in economics and in quantitative methods and information systems from St. Cloud State University.

MARK CASADYFormer Chief Executive OfficerLPL FinancialMark Casady retired as LPL Financial CEO in early January 2017 and as non-executive chairman of the board in early March. He guided LPL to become a leading financial services organization that serves independent financial advisers, banks and credit unions and provides clearing services to broker/

dealers at financial services companies. Before joining LPL Financial in 2002, Casady was managing director of the mutual fund group for Deutsche Asset Management, Americas—formerly Scudder Investments. He joined Scudder in 1994 and held roles as managing director, head of the global mutual fund group, and head of defined contribution services; he was also a member of the Scudder, Stevens, & Clark board of directors and management committee. Since 2016, Casady has served as general partner and chairman of the advisory board of Vestigo Ventures. Additionally, he is treasurer of the Casady family’s One Step Forward Education Foundation. He earned a BS degree from Indiana University and an MBA from DePaul University.

ABBY JOSEPH COHEN, CFASenior Investment Strategist & President, Global Markets Institute Goldman SachsAbby Joseph Cohen, CFA, is senior investment strategist and president of the Global Markets Institute at Goldman Sachs. She has served on the partnership committee, the investment committee for the firm’s U.S. retirement plans and is a senior

champion for the Disability Interest Forum. She joined Goldman Sachs in 1990 and was named partner in 1998. Cohen began her career as an economist at the Federal Reserve Board in Washington, D.C. She is a presidential councillor at Cornell University, where she chairs the steering committee for the Jacobs Technion-Cornell Institute at Cornell Tech and serves on the board of Weill Cornell Medicine. She is a board member of the Brookings Institution, Economic Club of New York and the Jewish Theological Seminary and a former board chair of the Chartered Financial Analyst Institute, which awarded her the Distinguished Service Award. A guest lecturer at several graduate schools of business, she was a member of the White House-appointed Innovation Advisory Board for Economic Competitiveness. She earned degrees in economics from Cornell University and George Washington University.

LARRY COHENPartner & Head of Operations & TechnologyABLarry Cohen is a partner and the head of operations and technology at AB (AllianceBernstein), where he manages the global infrastructure for institutional and retail asset management, private wealth management and sell-side research and brokerage. He created a business-aligned infrastructure model

to focus on key business priorities, enterprise goals and infrastructure risk management. Cohen also is engaged in AB’s corporate social responsibility efforts including the sponsorship and mentorship of two New York City high school robotics teams and a partnership with Year Up to provide career opportunities and training to young adults in New York City. He joined AB in 2004 as chief technology officer. Prior to AB, he held senior leadership roles at UBS, Goldman Sachs, Morgan Stanley, Deutsche Bank and Fidelity Investments. He earned an AB degree in engineering and applied sciences from Harvard University. He is vice-chair of the board of Bridges to Prosperity, which provides isolated communities in Africa, Central and South America, and Asia with access to health care, education and economic opportunities by building footbridges over impassable rivers.

DOUGLAS COTÉ, CFAChief Market Strategist &Senior Portfolio Manager Voya Investment ManagementDouglas Coté, CFA, is the Voya Investment Management chief market strategist and the senior portfolio manager for the Global Perspectives funds, a group of global tactical asset allocation strategies. With more than 20 years of active

money management experience as a portfolio manager and hedge fund chief investment officer, Coté delivers hands-on interpretations of the forces driving capital markets and effective ways to respond. In his former role as a portfolio manager with ING, he managed more than $14 billion in equity assets. Coté is featured regularly on CNBC’s “Closing Bell,” Bloomberg TV’s “In the Loop with Betty Liu,” Fox Business, and other media outlets. A recognized authority on trading cost, impact and timing risk, he has been published in the International Journal of Managerial Finance and other publications, coining the term “Honest EPS” as a way of identifying high-quality stocks.

BOB DOLL, CFAChief Equity Strategist &Senior Portfolio Manager Nuveen Asset Management LLCBob Doll, CFA, is chief equity strategist and senior portfolio manager at Nuveen Asset Management. He manages Nuveen’s large cap equity series, which includes traditional large cap equities, specialty categories and alternative strategies. He is a well-

respected authority on the equities markets among investors, advisers and the media. As the author of popular weekly commentaries and annual market predictions, Doll provides ongoing, timely market perspectives. Prior to joining Nuveen Asset Management, he held similar roles at other large asset management firms, including serving as chief equity strategist at Blackrock; president and chief investment officer of Merrill Lynch Investment Managers; and chief investment officer of Oppenheimer Funds. Doll appears regularly on CNBC, Bloomberg TV and Fox Business News discussing the economy and markets. He earned a BS in accounting and a BA in economics from Lehigh University and an MBA from the Wharton School of the University of Pennsylvania.


Keynote Speakers continued

FRANCES DONALDSenior EconomistManulife Asset ManagementFrances Donald is a senior economist at Manulife Asset Management. As part of the economic team in Toronto, she forecasts global macroeconomic and financial trends and analyzes the potential opportunities and impact on the company’s individual business lines and investments. Prior

to joining Manulife, she worked as a financial economist for Scotiabank in Toronto, where she produced a variety of daily and weekly publications with a focus on financial markets and economic strategy, emphasizing the implications for fixed-income and equity markets. Before that, she was a global macro analyst for Pavilion Global Markets in Montreal. Earlier in her career, she held various positions at Deloitte, Roubini Global Economics and Bank of Canada. Donald earned a BA in economics from Queen’s University and a master’s in economics from New York University.

DR. BOB FROEHLICHIndependent DirectorBob Froehlich brings more than 35 years of Wall Street experience where he chaired investment committees for multiple global asset management organizations including Deutsche Bank, Hartford and Kemper Funds. He was elected to three “All-American” institutional research teams. Froehlich has delivered investment speeches in 107 different

countries, as well as having six investment books published and translated into 10 different languages. Since his retirement from Wall Street, he has begun a new chapter in his professional career by building a portfolio of boards of directors. He currently serves on the boards of AXAR Acquisition Corporation, Inc., Galen Robotics, Inc., NEXPOINT Capital, Inc., and Highland Capital Mutual Funds. Froehlich also is the chairman, chief executive officer, president and owner of the Kane County Cougars Baseball Club, the Class A affiliate of the Arizona Diamondbacks.

KATHLEEN HAYSGlobal Economics & Policy EditorBloomberg Television & RadioKathleen Hays is global economics and policy editor for Bloomberg television and radio focusing on the Fed and central banks around the world, with a special emphasis on the Pacific Rim. Prior to her current role, Hays hosted Bloomberg Radio’s “Taking Stock,” a program that covered the forces driving the

U.S. and global markets. Recognized as one of the top economics reporters and anchors in the country, Hays has covered the U.S. economy and the Federal Reserve for more than 20 years. She joined Bloomberg in 2006 after years as an on-air and online economics correspondent at CNN, CNNfn, and CNBC, where she served as a host, correspondent and commentator for numerous programs including “Squawk Box.” She began her career as a print journalist, initially serving as a founder, director, economics correspondent and New York bureau chief at Markets News International, a financial news service. She earned both a bachelor’s degree and a master’s degree in economics from Stanford University.

GARY KATZFormer President & CEOInternational Securities ExchangeGary Katz was president and CEO of the International Securities Exchange and a co-founder of the company. He is one of the principal developers of the unique options market structure—an auction market on an electronic platform—used by both ISE and ISE Gemini. Before ISE, Katz served from 1997-

98 as president and co-founder of K-Squared Research, a financial services consulting firm. From 1986-97, he held several positions in the options and index products division at the New York Stock Exchange, where he became managing director. During his tenure at NYSE, Katz also was a co-founder of the Options Industry Council. Before 1986, Katz was an actuary with the Equitable Life Assurance Company and an associate of the Society of Actuaries. Katz taught business mathematics applications as an adjunct professor of statistics at the Stern School of Business, New York University, and also taught options strategies and pricing at the New York Institute of Finance. He earned an MS in statistics from New York University and a BA from Queens College.

TOM KEENE, CFAEditor-At-LargeBloomberg NewsTom Keene, CFA, is an editor-at-large at Bloomberg News and host of “Bloomberg Surveillance,” the morning program featuring economic, finance and investment news. He can be heard on the program starting at 6 a.m. across Bloomberg TV, radio, Bloomberg.com and Bloomberg’s devices for

mobile and tablets. In addition, Keene provides economic and investment perspectives to Bloomberg TV and to its various news divisions. He also founded the “Chart of the Day” article, available on the Bloomberg Professional Service. Keene is the editor of “Flying on One Engine: The Bloomberg Book of Master Market Economists” (2005). He is a graduate of the Rochester Institute of Technology and is enrolled in courses at the external programme of the London School of Economics & Political Science. A chartered financial analyst, Keene is a member of the CFA Institute, the National Association for Business Economics, the American Economic Association and the Economic Club of New York.

DR. DAVID KELLY, CFAChief Global StrategistJ.P. Morgan FundsDavid Kelly, CFA, is chief global strategist and head of the Global Market Insights Strategy Team for J.P. Morgan Funds. With more than 20 years of experience, Kelly provides valuable insight and perspective on the economy and markets to thousands of financial advisers and their clients.

Throughout his career, Kelly has developed a unique ability to explain complex economic and market issues in a language that financial advisers can use to communicate to their clients. He is a keynote speaker at many national investment conferences and a frequent guest on CNBC and other financial news outlets. Prior to joining J.P. Morgan Funds, he served as economic adviser to Putnam Investments. He also has served as a senior strategist/economist at SPP Investment Management, Primark Decision Economics, Lehman Brothers and DRI/McGraw-Hill. Kelly is a CFA® charterholder. He also has an MA and PhD in economics from Michigan State University and a BA in economics from University College Dublin in Ireland.


KEVIN KELLYChief Investment OfficerRecon Capital Partners & Managing Director, Horizons ETFsKevin Kelly serves as chief investment officer of Recon Capital Partners and managing director of Horizons ETFs. He oversees all investment decisions, research and strategies in the equity and options markets. He also serves as portfolio manager

for Horizons ETFs’ USA-listed products. Previously, Kelly was a portfolio manager for a private fund from 2008-11, focusing on equities and equity derivatives. He also worked for Goldman Sachs and at Deutsche Bank. He contributes weekly to “Options Insight” on Bloomberg TV and is a market commentator for “Mornings with Maria” on Fox Business. His thought leadership frequently can be found in several media outlets including The Wall Street Journal, Reuters, CNBC, Cheddar, The New York Times and Barron’s. He earned a BS in finance from the W.P. Carey School of Business and the Barrett Honors College at Arizona State University.

JJ KINAHANChief StrategistTD AmeritradeJJ Kinahan, chief strategist for TD Ameritrade, began his career as a Chicago Board Options Exchange market maker in 1985, trading primarily in the S&P 100 and S&P 500 pits. While mainly an independent market maker, he also worked for ING Bank, Blue Capital and was managing director of option trading

for Van Der Moolen, USA. In 2006, Kinahan joined the thinkorswim group, which eventually was acquired by TD Ameritrade. He led the Educational Events Team, working to implement the instructional path for thousands of investors throughout the United States. In 2009 he became the managing director of active trader services. Kinahan, a 25-year trading veteran, is a frequent CNBC commentator, a Forbes contributor and is often quoted in the Wall Street Journal, the Financial Times and many other media outlets. He is also a member of the board of directors at NYSE Arca and is a member of the Arbitration Committee at the Chicago Board Options Exchange.

JEFFREY KLEINTOP, CFAChief Global Investment Strategist Charles Schwab & Co.Jeffrey Kleintop, CFA, chief global investment strategist at Charles Schwab, analyzes and discusses international markets, trends and events to help U.S. investors understand their significance and financial implications. Prior to Schwab, he served as chief market strategist at LPL Financial. Earlier in his

career, he was chief investment strategist at PNC Wealth Management and senior investment strategist at ARIS Corporation of America. He has been cited in a range of national media outlets including The Wall Street Journal, which labeled him one of “Wall Street’s best and brightest,” and he has been a featured or keynote speaker at dozens of industry events annually. He is the author of “Market Evolution: How to Profit in Today’s Changing Financial Markets.” He has a BS in business administration from the University of Delaware and an MBA from Pennsylvania State University. He also studied at the London School of Economics and is a chartered financial analyst.

DAVID KUDLAFounder, CEO & Chief Investment StrategistMainstay Capital Management LLCDavid Kudla is founder, CEO and chief investment strategist of Mainstay Capital Management LLC. He has been ranked by Barron’s as one of the “Top 100 Independent Financial Advisers” in the country for the past eight years, and in the top 25 for the

past three years. Kudla is a contributing writer for Dow Jones and Forbes. He regularly speaks at national conferences, publishes articles about retirement planning and investing, and advises thousands of workplace savings plan participants. He regularly appears on Bloomberg, CNBC, Fox Business and other networks and is frequently quoted in the financial press. Kudla has earned his certificate in financial planning and two postgraduate degrees, including a master’s in management at Stanford University. He is an adjunct professor, serves on several university advisory councils, and sponsors student-managed portfolios, including the largest at Stanford University.

STEPHANIE LINKManaging Director, Equity InvestmentsTIAA Global Asset ManagementStephanie Link is a managing director and equity portfolio manager for the TIAA organization, where she manages large-cap equities primarily based in the U.S. region. She has 24 years of investment experience. Prior to joining TIAA, she spent seven years at The Street, a financial news and services

website, as the chief investment officer and was the co-portfolio manager and director of Research of Action Alerts Plus, Jim Cramer’s Charitable Trust. She was responsible for all premium content at The Street and the daily management of the charitable trust, which included macro strategy, portfolio construction and stock selection. Before this, she spent 10 years at Prudential Equity Group as managing director of institutional sales and as director of research. Link is a CNBC contributor and appears regularly on “Closing Bell” and “Fast Money Halftime” shows. She began her career at Dean Witter Reynolds, Inc. She earned a BS degree in finance at Boston College.

MARK OKADA, CFACo-Founder & Chief Investment OfficerHighland Capital Management Mark Okada, CFA, is co-founder and chief investment officer of Highland Capital Management LP, a Dallas-based investment adviser with $18 billion in assets under management. At Highland, he is responsible for overseeing the firm’s investment activities for its various strategies. He is also portfolio

manager of the Highland Floating Rate Opportunities Fund, which has won the Lipper Fund Award for best loan participation fund in each of the past two years. Okada is responsible for structuring one of the industry’s first arbitrage CLOs and has been instrumental in the development of Highland’s bank loan separate account and mutual fund platforms. Additionally, he has been named CNBC “squawk master” and is regularly featured on CNBC’s “Squawk Box,” “Opening Bell” on Fox Business, and on many other media outlets. He is a director of NexBank, a member of the Grow South Fund Advisory Board, chairman of the board of directors of Common Grace Ministries and a member of the board of directors for Education Is Freedom.


Keynote Speakers continued

KURT N. SCHACHT, JD, CFAManaging Director, Standards & AdvocacyCFA InstituteKurt Schacht, JD, CFA, is managing director of the Standards & Advocacy division of CFA Institute. He manages all efforts to develop and maintain the highest ethical standards for the investment community including CFA Institute’s Code of Ethics and Standards of Professional Conduct, Global

Investment Performance Standards, CFA Institute Research Objectivity Standards, and CFA Institute Soft Dollar Standards. Schacht has been involved in the investment management business since 1990, serving as chief operating officer for a retail mutual complex in White Plains, New York; general counsel and COO for a Manhattan-based hedge fund; and as chief legal officer for the State of Wisconsin Investment Board. He has an extensive background in securities law and regulation, alternative investments, hedge funds, financial reporting and corporate governance matters. He is a chair on the U.S. Securities and Exchange Commission Investor Advisory Committee and a member of the advisory board of the Millstein Center for Global Markets, Columbia Law School. He has a JD and a BS from University of Wisconsin.

ASHISH SHAHChief Investment Officer, Global Credit & Head, Fixed IncomeABAshish Shah is chief investment officer of global credit and head of fixed income for AB. He is also a partner. Shah oversees all of AB’s credit-related strategies, including its global and regional investment-grade and high-yield strategies. As head of fixed income, Shah is

responsible for the management and strategic growth of the overall business. He is the author of several papers and blogs, including those highlighting high-yield bonds as attractive substitutes for equities (June 2015), concerns around the bank loan market (November 2013) and the dangers in reaching for yield in the high-yield market (August 2013). Prior to joining AB in 2010, he was a managing director and head of global credit strategy at Barclays Capital, where he was responsible for the high-grade, high-yield, structured credit and municipal strategy groups and the special situations research team. From 2003-08, Shah was the head of credit strategy at Lehman Brothers. He holds a BS in economics from the Wharton School of the University of Pennsylvania.

SAM STOVALLChief Investment StrategistCFRAAs chief investment strategist, Sam Stovall serves as analyst, publisher and communicator of CFRA’s outlooks for the economy, market and sectors. He is chairman of the CFRA Investment Policy Committee, where he focuses on market history and valuations, as well as industry momentum strategies.

Prior to joining CFRA, Stovall was managing director and chief investment strategist at S&P Global for more than 27 years, and served as editor-in-chief at Argus Research. Stovall is the author of “The Seven Rules of Wall Street” and writes weekly “Sector Watch” and “Investment Policy Committee meeting notes” on CFRA’s MarketScope Advisor platform. His work is also found in CFRA’s flagship weekly newsletter, “The Outlook.” He received an MBA in finance from New York University and a BA in history/education from Muhlenberg College. He is also a certified financial planner. Stovall is a board member of W!SE (Working in Support of Education), and a trustee of Muhlenberg College and of the Securities Industry Institute.

JOSEPH M. TERRANOVAChief Market Strategist, Virtus Investment Partners &Fast Money Contributor, CNBCJoe Terranova is the chief market strategist for Virtus Investment Partners. He works with the regional sales teams and financial advisers who sell the company’s investment products and provide insight into the domestic and global investing landscape. Terranova

has represented Virtus as a keynote speaker and is a member of the firm’s Investment Oversight Committee. Before joining Virtus in 2008, he spent 18 years at MBF Clearing Corp., rising to the position of director of trading for the company and its subsidiaries. He is known for his risk-management skills, honed while overseeing MBF’s proprietary trading operations during some of the most calamitous times for the U.S. markets, including the first Gulf War, the 1998 Asian Crisis and 9/11. He is a panelist on CNBC’s “Fast Money” and a frequent panelist on “Fast Money Halftime Report.” He has a bachelor’s degree in finance from The Peter J. Tobin College of Business at St. John’s University.

DR. VICKI A. WALIA Senior Vice President & Head, Digital Investment SolutionsABVicki A. Walia is a senior vice president and head of digital investment solutions for AB. She leads a firm-wide initiative to develop business strategies that harness recent trends in technology, regulation and the delivery of investment services to enhance

and differentiate AB’s existing services. Previously she was director of talent management and diversity, responsible for the implementation of talent development initiatives and for leading the firm’s diversity initiatives. She joined AB in 2007 from Development Dimensions International (DDI), where she worked with clients on projects related to assessment, selection and leadership/executive development. Walia has presented at the annual meetings of the Society for Industrial and Organizational Psychology and the Academy of Management and the Global Business Forum. She also has been an adjunct professor at Montclair State University. She earned a BFA in music from York University and an MS and PhD in industrial and organizational psychology from Alliant International University.

RICHARD YAMARONESenior EconomistBloomberg BriefRichard Yamarone is an economist with three decades of experience. He focuses on monetary and fiscal policy, economic indicators, fixed income and general macroeconomic conditions for “Bloomberg Brief: Economics,” a daily newsletter. He is the creator of the Bloomberg Orange Book, a

compilation of macroeconomic anecdotes gleaned from comments CEOs and CFOs made on quarterly earnings conference calls. He travels extensively to speak to clients and corporate executives on the economic outlook and career and management coaching. Earlier in his career, Yamarone was director of economic research at Argus Research and a member of the firm’s investment policy committee. He has been a consultant to monetary and fiscal policymakers, served as an economic adviser to major U.S. corporations and has held senior positions for several international and domestic money centers and investment banks. Yamarone has taught courses on macroeconomics and economic indicators at several colleges and is the author of the “Trader’s Guide to Key Economic Indicators” (Bloomberg Press, 2012).


Quinnipiac G.A.M.E. VII Forum Thursday, March 30, 2017New York Hilton Midtown Hotel

6:30–7:45 a.m. Event Check-In & Continental Breakfast with Exhibitors

West Promenade (Third Floor)Sponsored by: The Options Industry Council

8–8:15 a.m. Opening Remarks

Dr. Mark Thompson, Executive Vice President & Provost, Quinnipiac UniversityWelcome from Quinnipiac University

Dr. David A. Sauer, Founder, Executive Director & Program Chair, Quinnipiac G.A.M.E. Forum, Quinnipiac UniversityForum Overview

8 a.m.–4:30 p.m. Moderator Dr. Bob Froehlich, Independent Director

8:15–9:45 a.m. Keynote Panel

Topic: Global MarketsPanelists:

Ralph Acampora, CMT, Senior Managing Director, Altaira Capital Partners LLP Abby Joseph Cohen, CFA, Senior Investment Strategist & President, Global Markets Institute, Goldman Sachs Kathleen Hays, Global Economics & Policy Editor, Bloomberg Television & RadioDr. David Kelly, CFA, Chief Global Strategist, J.P. Morgan Funds

9:45–10:15 a.m. Break Sponsored by: Quinnipiac University

10:15–11:30 a.m. Keynote Panel

Topic: Corporate GovernancePanelists:

Al Angrisani, Founder & Chief Executive Officer, TurnVest Partners LLC &Angrisani Turnarounds LLCMark Casady, Former Chief Executive Officer, LPL Financial Gary Katz, Former President & Chief Executive Officer, International Securities Exchange Kurt N. Schacht, JD, CFA, Managing Director, Standards & Advocacy, CFA Institute

11:30 a.m.–12:45 p.m. Break for Lunch Lunch in New York City

1–2:30 p.m. Keynote Panel

Topic: Global EconomyPanelists:

David Asman, Anchor, FOX Business NetworkDouglas Coté, CFA, Chief Market Strategist & Senior Portfolio Manager, Voya Investment ManagementFrances Donald, Senior Economist, Manulife Asset ManagementTom Keene, CFA, Editor-At-Large, Bloomberg News

2:30–3 p.m. Break

3–4:30 p.m. Keynote Panel

Topic: Investment StrategyPanelists:

Richard Bernstein, Chief Executive Officer, Richard Bernstein Advisors LLC Bob Doll, CFA, Chief Equity Strategist & Senior Portfolio Manager, Nuveen Asset Management LLCJJ Kinahan, Chief Strategist, TD Ameritrade Jeffrey Kleintop, CFA, Chief Global Investment Strategist, Charles Schwab & Co.


Quinnipiac G.A.M.E. VII Forum Friday March 31, 2017New York Hilton Midtown Hotel

8–9 a.m. Light Continental Breakfast with Exhibitors

Regent & Sutton South (Second Floor) Sponsored by: Stradley Ronon Stevens & Young LLP

9–10 a.m. SESSION I SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton(Second Floor) Keynote Perspective Investment Management Trend—The Road to 2020

John Augustine, CFA, Chief Investment Officer, Huntington Bank

Gramercy(Second Floor) Featured Perspective

The Pros & Cons of Bringing a Company Public Al Angrisani, Founder & CEO, TurnVest Partners LLC & Angrisani Turnarounds LLC Robert F. Phillips, Managing Director, Global Corporate Client Group, Nasdaq

Gibson(Second Floor) Perspective

The Investment Practices of Sovereign Wealth Funds Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts

New York(Fourth Floor) Panel Discussion

Staying Ahead of Tomorrow Janessa Cox, Head, Diversity & Inclusion, AB, New York, New YorkPaul DeNoon, Head, Corporate Responsibility, AB, New York, New York

Hudson(Fourth Floor) Workshop

Ethical Dilemmas in Investment Management Mario Carias, CFA, Managing Director, Education & Content, New York Society of Security Analysts, New York, New York Harumi Urata-Thompson, CFA, PMP, Chief Operating Officer, New York Society of Security Analysts, New York, New York

Lincoln(Fourth Floor) Panel Discussion

Operation & Regulation of Investment Vehicles: Mutual Funds, Exchange-Traded Funds & Hedge Funds

Fabio Battaglia, Partner, Stradley Ronon Stevens & Young LLP, Philadelphia, Pennsylvania Aidan O’Connor, Assistant General Counsel & Chief Compliance Officer, SoftBank Vision Fund Advisers, San Francisco, California Jim O’Connor, Managing U.S. Counsel, Aberdeen Asset Management Inc., Philadelphia, Pennsylvania

Morgan(Second Floor) Panel Discussion

Exercise Your “Career” Options: Making Your Mark in DerivativesModerator:

Tracy Raben, Senior Vice President & Chief Human Resources Officer, Options Clearing Corporation, Chicago, Illinois

Panelists: Robert Becker, Chief Operating Officer, Malin Hughes, Chicago, Illinois Pamela Culpepper, Chief Human Resources Officer, Chicago Board Options Exchange, Chicago, IllinoisNicole Ojakian, Director of Human Resources, Hanweck, New York,New York


Quinnipiac G.A.M.E. VII Forum Friday March 31, 2017 continued

New York Hilton Midtown Hotel

Green (Fourth Floor) Panel Discussion

Capital Formation: What You Should Know & Why You Should Care Jim Toes, President & CEO, Security Traders Association, New York, New York Daniel Zinn, General Counsel, OTC Markets Group, New York, New York

Murray Hill West(Second Floor) Workshop

Researching New Cool Trading Ideas Mary Ryan, Manager, TD Ameritrade U, TD Ameritrade, Chicago, Illinois

Murray Hill East(Second Floor) Workshop

High Yield Trading Damon Wright, Executive Director, Morgan Stanley, New York, New York

Nassau(Second Floor) Perspective

Private Wealth Management in 2017: A Look Ahead Raymond H. Bovich, CFA, Senior Partner & Chief Investment Officer, AEGIS Wealth Partners, Madison, Connecticut

10–10:30 a.m. Break Regent & Sutton South (Second Floor)Sponsored by: Quinnipiac University School of Business

10:30–11:30 a.m. SESSION II SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton(Second Floor) Keynote Panel

Federal Reserve Perspective Dr. James Bullard, President & Chief Executive Officer, Federal Reserve Bank of St. Louis Kathleen Hays, Global Economics & Policy Editor, Bloomberg Television & Radio

Gramercy(Second Floor) Keynote Perspective

Capital Markets Update Joe Terranova, Chief Market Strategist, Virtus Investment Partners & Fast Money Contributor, CNBC

Clinton(Second Floor) Perspective

When it Comes to Investment Flows, Active Versus Passive Is the Wrong Question

Kevin McDevitt, CFA, Senior Equity Analyst, Morningstar, Chicago, Illinois

Madison(Second Floor) Presentation CFA Institute: Raising the Standards of Professional Excellence

Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong Kong


Quinnipiac G.A.M.E. VII Forum Friday, March 31, 2017 continued


Gibson(Second Floor) Panel Discussion

Making the Most of Social Media in Financial Services Moderator:

Jim Binder, Director, Executive Communications, Depository Trust & Clearing Corporation, New York, New York

Panelists: Leslie Marshall, Director, Events, Magazine & Social Media, Morningstar, Chicago, Illinois Phil Pearlman, Executive Vice President, Director of Marketing, Bank of the Ozarks, New York, New York Allan Schoenberg, Vice President, Global Corporate Communications, Nasdaq, New York, New YorkJoe Weisenthal, Editor, Bloomberg, New York, New York

Hudson(Fourth Floor) Workshop

Ethical Dilemmas in Investment Management Mario Carias, CFA, Managing Director, Education & Content, New York Society of Security Analysts, New York, New York Harumi Urata-Thompson, CFA, PMP, Chief Operating Officer, New York Society of Security Analysts, New York, New York

Bryant(Second Floor) Panel Discussion

Large Cap Equity Investing: Taking the Long-Term View Andrew Hodgkins, CFA, Associate, Brown Brothers Harriman, New York, New York Edward Johnson, CFA, Senior Vice President, Brown Brothers Harriman, New York, New York


Operation & Regulation of Investment Vehicles: Mutual Funds, Exchange-Traded Funds & Hedge Funds

Fabio Battaglia, Partner, Stradley Ronon Stevens & Young LLP, Philadelphia, Pennsylvania Aidan O’Connor, Assistant General Counsel & Chief Compliance Officer, SoftBank Vision Fund Advisers, San Francisco, California Jim O’Connor, Managing U.S. Counsel, Aberdeen Asset Management Inc., Philadelphia, Pennsylvania

Murray Hill West(Second Floor) Perspective

Leveraging Big Data in Asset Management Andrew Chin, Chief Risk Officer & Head, Quantitative Research, AB, New York, New York

Nassau(Second Floor) Panel Discussion

Women in Financial Services: Opportunities & ChallengesModerator:

Mary Savoie, Executive Director, Options Industry Council & First Vice President, Industry Services, Options Clearing Corporation, Chicago, Illinois

Panelists:Arianne Criqui, Vice President, Goldman Sachs, New York, New York Geralyn Endo, Vice President, Bank of America Merrill Lynch, New York, New York Molly McGregor, Chief Marketing Officer, Hanweck, New York, New York





How You Can Manage RISKModerator:

Eric Cott, Director, Financial Adviser & Institutional Education, Options Industry Council, Chicago, Illinois

Panelists: Dennis Davitt, Partner & Co-Portfolio Manager, Harvest Volatility Management, New York, New YorkTaylor Lukof, Founder, Managing Member & Chief Investment Officer,ABR Management LLC, New York, New York Randy Swan, CEO & Lead Portfolio Manager, Swan Global Investments, Durango, Colorado

Murray Hill East(Second Floor) Workshop

High Yield Trading Damon Wright, Executive Director, Morgan Stanley, New York, New York

New York(Fourth Floor) Perspective The Mystique of Hedge Funds

Frank A. Magnani, Interactive Brokers, Greenwich, Connecticut

11:30 a.m.–12:45 p.m. Break for Lunch Lunch in New York City

1–2 p.m. SESSION III SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton(Second Floor) Keynote Panel

Portfolio ManagementModerator:

David Kudla, Founder, CEO & Chief Investment Strategist, Mainstay Capital Management LLC

Panelists:Lisa Abramowicz, Co-Host, “Bloomberg Markets,” Bloomberg Radio Kevin Kelly, Chief Investment Officer, Recon Capital Partners & Managing Director, Horizons ETFs Stephanie Link, Managing Director, Equity Investments, TIAA Global Asset Management Mark Okada, CFA, Co-Founder & Chief Investment Officer, Highland Capital Management

Murray Hill East(Second Floor) Featured Workshop

Technical Analysis Ralph Acampora, CMT, Senior Managing Director, Altaira Capital Partners LLP

Gramercy(Second Floor) Keynote Perspective Wall Street Career Advice from a 30-Year Veteran

Richard Yamarone, Senior Economist, Bloomberg Brief





Professional Designations in the Investment IndustryModerator:

Neil Govier, CFA, Head of Education, APAC, CFA Institute, Hong KongPanelists:

Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts Beth Kaiser, CFA, CIPM, Director, Investment Performance Standards, CFA Institute, New York, New York Joseph Maugeri, CFP, Managing Director, Corporate Relations, Certified Financial Planner Board of Standards Inc., Washington, D.C. Lisa Ponti, Vice President Academic & Regulatory Outreach, Global Association of Risk Professionals, Jersey City, New Jersey

Murray Hill West(Second Floor) Panel Discussion

Private Equity: Investing with an Owner’s Mindset Kyle Barndollar, Assistant Vice President, Brown Brothers Harriman, New York, New York David Masterman, Associate, Brown Brothers Harriman, New York, New York Jeff Price, Senior Vice President, Brown Brothers Harriman, New York, New York Matthew Smith, Associate, Brown Brothers Harriman, New York, New York

New York(Fourth Floor) Perspective

Audit & Governance in the Financial Securities Industry Chris Cheesman, Senior Vice President & Chief Audit Officer, AB, New York, New York


Option Strategies & What to Think When Developing Them Thomas F. McKeon, CFA, Principal, Chief Investment Officer & Portfolio Manager, Clothier Springs Capital Management LLC, Phoenixville, Pennsylvania Jordan Sinclair, CFA, Derivative Research Strategist, Capstone Investment Advisors LLC, New York, New York Robert Specht, CFA, Investment Strategist & Portfolio Manager, Additive Advisory & Capital LLC, New York, New York


The World of Investment Banking—Valuation, Leveraged Buyouts, Mergers & Acquisitions

Joshua Pearl, Managing Director, Brahman Capital Corp., New York, New York Joshua Rosenbaum, Managing Director, RBC Capital Markets, New York, New York


Investment Banking—A Guide to Securitization Christian Kurasek, Vice President, Structured Finance, Barclays, New York, New York Salina Sabri, Associate, Structured Finance, Goldman Sachs, New York, New York

Bryant(Second Floor) Workshop

How Institutions Design Superior Portfolios Ned Rosenman, Director, Client Solutions, BlackRock, New York, New York




Hudson(Fourth Floor) Perspective

Shareholder Activism John Ferguson, Senior Partner, Saratoga Proxy Consulting LLC, New York, New York

Green(Fourth Floor) Panel Discussion

Financial Statements and Valuation Complexities in an Evolving Regulatory Environment

Jason Schafer, CPA, Senior Manager, Financial Services Office, EY, Los Angeles, California John Schafer, CPA, Senior Manager, Financial Services Office, EY, Cincinnati, Ohio


Market Cycles & Asset Mix in a Post-Election Year Timothy Solberg, CFA, Bretton Woods Committee, World Bank Civil Society Organization, International Monetary Fund, Solberg Advisors & Project Medishare for Haiti, Chicago, Illinois

2–2:15 p.m. Break

2:15–3:15 p.m. SESSION IV SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton(Second Floor) Keynote Presentation

Buy Bonds or Bye Bye Bonds? Fixed Income Markets in 2017 Ashish Shah, Chief Investment Officer, Global Credit & Head, Fixed Income, AB

Madison(Second Floor) Panel Discussion

Trends in the Investment IndustryModerator:


Brian Binkley, CFA, Senior Investment Consultant, Aon Hewitt Investment Consulting Inc., Norwalk, Connecticut Paul Kovarsky, CFA, Director, Institutional Partnerships, CFA Institute, New York, New York Alastair McKibbin, CFA, CAIA, Vice President & Relationship Manager, Strategic Relationship Group for the Intermediary Business Group, State Street Global Advisors, Boston, Massachusetts Liz Miller, CFA, CFP, President, Summit Place Financial Advisors, Summit, New Jersey





Women in Investment ManagementModerator:

Beth Kaiser, CFA, CIPM, Director, Investment Performance Standards, CFA Institute, New York, New York

Panelists: Drianne Benner, CFA, Managing Director, Appomattox Advisory Inc., New York, New York Eva Maria Janerus, CFA, Director, Marketing & Client Service, Cardinal Capital Management LLC, Greenwich, Connecticut Maria S. Jelescu, CFA, Managing Director & Portfolio Manager, Goldman Sachs Asset Management, New York, New York Jill Iacono Mavro, Senior Managing Director & Head, Strategic Relationship Group for the Intermediary Business Group, State Street Global Advisors, Boston, Massachusetts Maureen Mitchell, Senior Advisor, Boston Consulting Group, New York, New York


Recruiting Process, Debunking Myths & Interview Tips Elizabeth Clark, Director, Campus Recruiting Operations, North America, Morgan Stanley, New York, New York Andrea Diamond, Vice President, Head, Investment Banking & Global Capital Markets Campus Recruiting, North America, Morgan Stanley, New York, New York Jessica Hardeman, Associate Director, Campus Recruiting, Advisory, KPMG, New York, New York

Clinton(Second Floor) Panel Discussion

Fintech & Asset Management: Opportunities & Partnerships Larry Cohen, Partner & Head of Operations &Technology, AB, New York, New York Dr. Vicki A. Walia, Senior Vice President & Head of Digital Investment Solutions, AB, New York, New York

Gramercy(Second Floor) Panel Discussion

Business Development Moderator:

Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts

Panelists: Chad Hummel, CAIA, Vice President ETF & Index Investments, BlackRock, New York, New York Maureen O’Toole, CAIA, Managing Director, Morgan Stanley Investment Management, New York, New York Scott Toohig, Senior Vice President, Lazard Asset Management, New York, New York

Hudson(Fourth Floor) Panel Discussion

So You Want To Trade Options…Joe Burgoyne, Director, Options Industry Council, Chicago, IllinoisBill Ryan, Managing Director, NYSE Options, New York, New York

Nassau(Second Floor) Workshop

Getting Prepared for a Career in Investment Banking Joshua Pearl, Managing Director, Brahman Capital Corp., New York, New York Joshua Rosenbaum, Managing Director, RBC Capital Markets, New York, New York




Murray Hill East(Second Floor) Panel Discussion

Real Estate Capital Markets: Finding Opportunity in an Uncertain Environment

Jeff Rombach, CPA, Vice President, Commercial Real Estate, Wells Fargo Bank, N.A., St. Louis, Missouri Eric Wald, Vice President, Global Real Assets, J.P. Morgan Asset Management, New York, New York


Let’s Make a Deal: Private Equity Investments in the 21st CenturyJohn Daly, Vice President, Alleghany Capital, New York, New York Leviathan Winn, Vice President, Centre Lane Partners LLC, New York, New York

Lincoln (Fourth Floor) Panel Discussion

Multi-Asset & Private Equity Investing: A Dive into the World of Traditional & Alternative Asset Classes

Joshua Hemmert, Executive Director, Client Portfolio Manager, Multi-Asset Solutions, J.P. Morgan Asset Management, New York, New YorkRebecca Mitchem, CFA, Associate, Portfolio Manager, Private Equity Group, J.P. Morgan Asset Management, New York, New York

Bryant(Second Floor) Workshop

How Institutions Design Superior Portfolios Ned Rosenman, Director, Client Solutions, BlackRock, New York, New York


Investment Banking—A Guide to Securitization Christian Kurasek, Vice President, Structured Finance, Barclays, New York, New York Salina Sabri, Associate, Structured Finance, Goldman Sachs, New York, New York


Making Your Investment Case: How to Build a Credible & Impactful Investment Thesis

Dennis Neveling, Director & Research Analyst, Consumer, Lazard Asset Management, New York, New York

3:15–3:30 p.m. Break




3:30–4:30 p.m. SESSION V SEE SESSIONS & LOCATIONS BELOW

Beekman & Sutton(Second Floor) Keynote Perspective

Balancing Risk & ReturnModerator:

John Augustine, CFA, Chief Investment Officer, Huntington BankKeynote Speaker:

Sam Stovall, Chief Investment Strategist, CFRA

Gibson(Second Floor) Keynote Panel

The Evolving Role of Technology in Asset Management from a Historical & Trends in Innovation Perspective

Larry Cohen, Partner & Head of Operations & Technology, AB Dr. Vicki A. Walia, Senior Vice President & Head of Digital Investment Solutions, AB


Portfolio Management Moderator:


Rob Farrington, CFA, CAIA, Director, Asset Management, Abbot Downing, New York, New York Sidney Hardee, CFA, Managing Partner, Hardee Brothers, New York, New York Thomas F. McKeon, CFA, Principal & Chief Investment Officer, Clothier Springs Capital Management LLC, Phoenixville, Pennsylvania Mary Jane McQuillen, Managing Director, Portfolio Manager & Head of ESG Investment, ClearBridge Investments, New York, New York


Recruiting Process, Debunking Myths & Interview Tips Elizabeth Clark, Director, Campus Recruiting Operations, North America, Morgan Stanley, New York, New York Andrea Diamond, Vice President, Head, Investment Banking & Global Capital Markets Campus Recruiting, North America, Morgan Stanley, New York, New York Jessica Hardeman, Associate Director, Campus Recruiting, Advisory, KPMG, New York, New York

Gramercy(Second Floor) Panel Discussion

Quantitative Portfolio Management Dr. Keith Black, CFA, CAIA, Managing Director, Curriculum & Exams, CAIA Association, Amherst, Massachusetts

Panelists: Yangchun Chu, Chief Operating Officer, DolphinDB Inc., Jersey City, New Jersey Erin Gibbs, Portfolio Manager, Equities, S&P Investment Advisory Services, New York, New York Craig Marderstein, Adjunct Professor, Tech Quantitative Methods & Decision Analysis, Fordham University, New York, New York

Hudson(Fourth Floor) Panel Discussion

So You Want To Trade Options…Joe Burgoyne, Director, Options Industry Council, Chicago, IllinoisBill Ryan, Managing Director, NYSE Options, New York, New York




Murray Hill East(Second Floor) Panel Discussion

Real Estate Capital Markets: Finding Opportunity in an Uncertain Environment

Jeff Rombach, CPA, Vice President, Commercial Real Estate, Wells Fargo Bank, N.A., St. Louis, Missouri Eric Wald, Vice President, Global Real Assets, J.P. Morgan Asset Management, New York, New York


Let’s Make a Deal: Private Equity Investments in the 21st CenturyJohn Daly, Vice President, Alleghany Capital, New York, New York Leviathan Winn, Vice President, Centre Lane Partners LLC, New York, New York


Market Cycles & Asset Mix in a Post-Election Year Timothy Solberg, CFA, Bretton Woods Committee, World Bank Civil Society Organization, International Monetary Fund, Solberg Advisors & Project Medishare for Haiti, Chicago, Illinois

Bryant(Second Floor) Panel Discussion

Financial Statements and Valuation Complexities in an Evolving Regulatory Environment

Jason Schafer, CPA, Senior Manager, Financial Services Office, EY, Los Angeles, California John Schafer, CPA, Senior Manager, Financial Services Office, EY, Cincinnati, Ohio


Technical AnalysisModerator:

Tyler Wood, Managing Director, Global Business Development, Market Technicians Association, New York, New York

Panelists: Mike Hurley, CMT, Portfolio Manager, Highland Capital Management, Dallas, Texas Katie Stockton, CMT, Chief Technical Strategist, BTIG, New York, New York


Making Your Investment Case: How to Build a Credible & Impactful Investment Thesis

Dennis Neveling, Director & Research Analyst, Consumer, Lazard Asset Management, New York, New York


Multi-Asset & Private Equity Investing: A Dive into the World of Traditional & Alternative Asset Classes

Joshua Hemmert, Executive Director, Client Portfolio Manager, Multi-Asset Solutions, J.P. Morgan Asset Management, New York, New York Rebecca Mitchem, CFA, Associate, Portfolio Manager, Private Equity Group, J.P. Morgan Asset Management, New York, New York

4:30–5:30 p.m. Networking Reception & Awards CeremonyRegents & Sutton South (Second Floor)Sponsored by: CFA Institute


Quinnipiac G.A.M.E. VII Forum Saturday April 1, 2017New York Hilton Midtown Hotel

8–9 a.m. Light Continental Breakfast Gramercy (Second Floor)Sponsored by: Quinnipiac University

9–10 a.m. SESSION VI SEE SESSIONS & LOCATIONS BELOW

Nassau (Second Floor) Presentation

Career Paths in Trading & Investing Russell Rhoads, CFA, Senior Instructor, Options Institute, Chicago Board of Options Exchange, Chicago, Illinois

Murray Hill West (Second Floor)

Career Panel

Private Equity & Wealth ManagementLily Gordon, Analyst, Brown Brothers Harriman, New York, New York Andrew Hodgkins, CFA, Private Equity Analyst, Brown Brothers Harriman, New York, New YorkPhil Smith, CFA, Associate, Three Ocean Partners, New York, New York

Murray Hill East (Second Floor) Career Panel

Asset Management Marco Carlacci, Vice President, Financial Institutions Group, Lazard Asset Management, New York, New YorkJohn Mantia, Senior Analyst, Active Owners Fund, New York, New York

Gibson(Second Floor) Career Panel

Investment Banking Max Mullen, Associate, Corporate Structured Finance, Goldman Sachs, New York, New York Serena Shi, Associate, Corporate Structured Finance, Goldman Sachs, New York, New YorkBryan Verbel, Analyst, RBC Capital Markets, New York, New York

Clinton(Second Floor) Presentation

Leaving a Lasting Impression in the Financial Industry Chelsea Williams, Vice President, Human Resources, Lazard Asset Management, New York, New York

Madison (Second Floor) Panel Discussion

Innovations in Investment Management Education Dr. Tim Jares, Student & Foundation Fund, University of Northern Colorado,Greeley, Colorado Dr. David Nawrocki, Christopher Haley SMIF, Villanova University, Villanova, Pennsylvania Dr. David A. Sauer, Quinnipiac G.A.M.E. Forum, Quinnipiac University, Hamden, Connecticut

10–10:30 a.m. Break Gramercy (Second Floor)

Quinnipiac G.A.M.E. VII Forum Saturday April 1, 2017 continued


10:30–11:30 a.m. SESSION VII SEE SESSIONS & LOCATIONS BELOW

Nassau(Second Floor) Presentation

Career Paths in Trading & Investing Russell Rhoads, CFA, Senior Instructor, Options Institute, Chicago Board of Options Exchange, Chicago, Illinois

Murray Hill West (Second Floor) Career Panel

Private Equity & Wealth ManagementLily Gordon, Analyst, Brown Brothers Harriman, New York, New York Andrew Hodgkins, CFA, Private Equity Analyst, Brown Brothers Harriman, New York, New YorkPhil Smith, CFA, Associate, Three Ocean Partners, New York, New York

Murray Hill East (Second Floor) Career Panel

Asset Management Marco Carlacci, Vice President, Financial Institutions Group, Lazard Asset Management, New York, New YorkJohn Mantia, Senior Analyst, Active Owners Fund, New York, New York

Gibson (Second Floor) Career Panel

Investment Banking Max Mullen, Associate, Corporate Structured Finance, Goldman Sachs, New York, New York Serena Shi, Associate, Corporate Structured Finance, Goldman Sachs, New York, New YorkBryan Verbel, Analyst, RBC Capital Markets, New York, New York

Clinton (Second Floor) Presentation

Exploring Career Pathways in Finance Chelsea Williams, Vice President, Human Resources, Lazard Asset Management, New York, New York

March 22–24, 2018New York, New YorkFor more information, visit qgame.qu.edu Email [email protected] or call 203-582-3888

SAVE THE DATE



ADDITIONAL INFORMATION AVAILABLEWEB: qgame.qu.edu | EMAIL: [email protected] | PHONE: 203-582-3888

March 30–April 1, 2017 · Asset Management Education (G.A.M.E.) Forum is bringing an...

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