Agenda* Click the below options to explore speakers and session descriptions.

General Sessions

Distribution & Sales Track

Marketing Track

Product Development Track

Retirement: The Next Chapter Track

Social Justice: Accelerating Change Track

Sustainable & Impact Investing Track

Tools & Technology Track

*Sessions and speakers subject to change

General Sessions

Tuesday, October 6, 2020, 1:00pm – 3:30pm (Opening Session) Welcome and Opening Remarks Craig Pfeiffer, President & Chief Executive Officer, MMI Co-Chairs: Matt Huss, Vice President and General Manager, Advisory Solutions | Wealth Management Solutions, Ameriprise Financial Melinda Mecca, Director, Investment Solutions, Northern Trust Asset Management Opening Keynote Presentation The Infinite Game We can't choose the game. We can't choose the rules. We can only choose how we play. In finite games, like football or chess, the players are known, the rules are fixed, and the endpoint is clear. The winners and losers are easily identified. In infinite games, like business or politics or life itself, the players come and go, the rules are changeable, and there is no defined endpoint. There are no winners or losers in an infinite game – there is only ahead and behind. The more we begin to understand the difference between finite and infinite games, the more we can see that infinite games are all around us and that many of the struggles organizations face exist simply because their leaders are playing an infinite game with a finite mindset. Those organizations tend to lag in innovation, discretionary effort, morale and ultimately performance. Leaders who embrace an infinite mindset, in stark contrast, build stronger, more innovative, more inspiring organizations. They have the resilience to thrive in an ever-changing world, while competitors fall by the wayside. Ultimately, they are the ones who lead the rest of us into the future. In this session, based on Simon Sinek’s best seller, The Infinite Game, learn how to distinguish between both the finite and infinite games in our work and lives, five practices that are required to lead in an infinite game, and a new way of looking at your leadership, your organization, and the environment in which it operates. Heath Slawner, Igniter, Simon Sinek Inc. Digital Tools to Enhance the Client Experience & Deliver Personalized Advice This session looks at how the COVID-19 pandemic has accelerated existing fintech trends and the evolution of digital advice. A management consultant, a technology provider, and an investment manager will offer distinct perspectives on what has changed and the path forward. Topics will include recent advances in financial planning tools and digital advice solutions, evidence that personalization improves investor outcomes, ways in which advisors can incorporate digital advice into their practices, and partnership opportunities between technology providers and investment managers.

Moderator: Andrew Scherer, Managing Director, Business Development, Advisory & Intermediary Solutions, Russell Investments Panelists: Craig Gross, Head of Individual Investor Advisory Services, T. Rowe Price Craig Iskowitz, Founder and Principal, Ezra Group Clifford Schoeman, Head, Investment Solutions & Portfolio Services, Jemstep by Invesco Executive Roundtable: The Personal Side of Social Justice Recent displays of police brutality and racial injustice are weighing heavily on the world, our industry, and on us as individuals. We must move beyond acknowledgement of social injustice and work diligently together to eradicate these inequities and pervasive discrimination both blatant and subtle. The hard work necessary to overcome years of systemic racism requires not only moral fortitude and business imperative but a personal commitment by most senior leaders. Please join us for a frank conversation with top industry executives on the unsettling burden that racism and discrimination place upon our nation – and our industry – and how their personal experience informs their commitment and leadership for change. Moderator: Fran Cashman, President, Gateway Foundation, Director, Social Justice Initiative, MMI Panelists: Tash Elwyn, President & Chief Executive Officer, Raymond James Associates Penny Pennington, Managing Partner, Edward Jones Shundrawn Thomas, President, Asset Management, Northern Trust Asset Management Closing Remarks

Tuesday, October 13, 2020, 2:00pm – 4:00pm (General Session) Keynote Presentation Intentional Leadership: Leading with Impact Through Change Carla Harris, one of the most accomplished and respected women in business, shares advice and strategies for surviving and thriving in any workplace environment. Based on her personal experiences moving up the corporate ladder during a 30-year career, Ms. Harris will offer proven guidance for achieving success for your organization and on a personal level in these unprecedented times. Introduction: Jim Tracy, Head of Morgan Stanley Consulting Group, Morgan Stanley Speaker: Carla Harris, Vice Chairman, Global Wealth Management & Senior Client Advisor, Morgan Stanley

A Conversation with Walt Bettinger From its founding days as a pioneer of discount brokerage services, Charles Schwab has challenged the status quo with a continuous stream of innovation, technology, and competitive pricing. And the firm consistently generates attention with headliner deals and announcements. Craig Pfeiffer sits down with Walt Bettinger to discuss the willingness to be disruptive – even to one’s own business model, effective leadership during these extraordinary times, and the future of investment advice and solutions. Walt Bettinger, President & Chief Executive Officer, Charles Schwab Craig Pfeiffer, President & Chief Executive Officer, MMI Presentation of MMI Member Recognition Awards Marilee Ferone, Chair, MMI Board of Governors; Executive Vice President, Head of Strategic Partnerships, Advisors Asset Management Craig Pfeiffer, President & Chief Executive Officer, MMI Presentation of MMI Leadership Award President’s Report Craig Pfeiffer, President & Chief Executive Officer, MMI

Friday, October 23, 2020, 1:00pm – 4:00pm (Closing Session) Social Mega Trends are Influencing FinTech: Are You Paying Attention? It has been said that five years of digital transformation took place in our industry in just five weeks in the immediate aftermath of the COVID-19 crisis. This session examines the repercussions of that transformation and the longer-term implications for investment advice and solutions. WealthTech guru Dani Fava shares her perspective on this and other trends happening in our world, what changes will carry forward further into FinTech, why investors’ needs and expectations have permanently shifted, and how firms can adapt to changing client expectations. Dani Fava, Head of Strategic Development, Envestnet Deals in a Post-COVID-19 World: The Future of Industry M&A and Consolidation Schwab and TD Ameritrade, Orion and Brinker Capital, Empower Retirement and Personal Capital, record-setting M&A activity in the RIA space. The past year has seen a stream of blockbuster deals. And with the recession and recent fiscal and monetary interventions spurred by COVID-19 upending the macro-context for asset managers, wealth managers, RIAs, and retirement players alike, is there any end in sight? This session provides expert perspective on the prospects for further deals across various channels and types of players – and what it means for the asset and wealth management industries. Moderator: Joe Mrak, Global Head of Wealth Management, Refinitiv

Panelists: Mark Bruno, Managing Director, ECHELON Partners Ben Cukier, Partner, Centana Growth Partners Brendan Ryan, Co-Head of Technology & Services, Investment Banking, Raymond James Arjun Saxena, Partner, Head of Wealth Management, Financial Services, PwC Regulatory Guideposts for Plan Fiduciaries: The DOL Proposal’s Impact on ESG Investments The Labor Department’s recent proposal to limit the use of investments with ESG-focused criteria in defined contribution plans, such as 401(k) plans, has sparked sharp pushback from the industry. Under the proposal, plan fiduciaries are instructed not to make investment decisions that promote ESG goals above achieving the highest return possible for retirement savers. Opponents argue that the proposal reflects an outdated notion of ESG investments and fails to recognize that ESG criteria are material to the evaluation of an investment. In this session, two experts look at both sides of the argument and the proposal’s far-reaching implications for gatekeepers, asset managers, and fiduciaries. Host: Jackie VanderBrug, Head of Sustainable & Impact Investment Strategy, Bank of America Panelists: Heather Slavkin Corzo, Head of U.S. Policy, Principles of Responsible Investing (UN PRI), Director of Capital Markets Policy, AFL-CIO & Senior Fellow, Americans for Financial Reform Alicia H. Munnell, Peter F. Drucker Professor of Management Sciences & Director, Center for Retirement Research, Boston College The 2020 Elections – and the Implications for Investors With just over a week to go before Election Day, Greg Valliere provides an insider’s look at the election cycle, pivotal factors that will decide the results, and how the markets may react to a Trump re-election – or a Biden win. He will also address the U.S economy and expectations for interest rates, the potential impact of surging budget deficits on the markets, the prospects for tax changes, and the outlook for trade disputes and specific geopolitical hotspots. Introduction: Joel Hempel, Managing Director and Chief Operating Officer, Lockwood, BNY Mellon | Pershing Speaker: Greg Valliere, Chief U.S. Policy Strategist, AGF Investments Closing Remarks

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Distribution & Sales Track

Friday, October 9, 2020, 11:00am – 1:00pm (Session 1) The Future of Wholesaling The global pandemic prompted the industry to reexamine the wholesaling model and seek creative new ways to interact with advisors. The rapid acceleration of virtual engagement motivated many firms to develop or accelerate the growth of hybrid teams, rethink compensation structures, and review channel strategy. In this session, distribution leaders at three very different firms share perspective on why one size does not fit all. Join us as we debate the options and explore key factors to consider when strategically assessing your wholesaling model. Moderator: John Moninger, Managing Director, Retail Sales, Eaton Vance Panelists: David Dunton, Managing Director, National Sales Manager, IBD Channel, Nuveen Brian Partridge, Managing Director, Head of Investment Solutions Specialists, Merrill Lynch Mark Spina, President & Chief Operating Officer, FLX Distribution Effective Sales Targeting The rules of effective distribution are being rewritten at an exponential rate. It is no longer a volume game with the spoils going to those willing to make the most calls. With the sales environment changing so rapidly, it is critical to clearly define your target client and leverage available data. This session focuses on methods to identify the prospects that are most likely to benefit from what your firm has to offer and how to develop an effective sales targeting strategy and plan. Moderator: Brian O'Donnell, Senior Vice President, Head of Business Strategy, Enablement and Administration, Northern Trust Asset Management Panelists: Todd Buck, Managing Director, Head of Analytics Sales, Envestnet Chris Cullen, Chief Distribution Officer, Clark Capital Management Group Michael Kim, Executive Vice President, Chief Client Officer, AssetMark

Thursday, October 15, 2020, 2:00pm – 4:00pm (Session 2) Successful Cross-Selling Strategies This session looks at how firms are leveraging their relationships to cross-sell their strategies. What works, what doesn’t, and why? What are the limits to financial advisors accepting different strategies or products from the same firm? Certain well-known firms have built their business on this approach. Hear experts discuss the pros and cons of different cross-selling strategies and share their experience.

Moderator: Jim Bumpus, National Sales Manager, Columbia Threadneedle Investments, U.S. Panelists: A.J. Leimenstoll, Director, Brokerage (Wirehouse) Channel Divisional Sales Manager, Eastern U.S., Eaton Vance Karen Lutomski, Managing Director, Western Region Manager, U.S. Wealth Advisory Group, Nuveen Mitchell Schorr, Head of Broker/Dealer Advisor Channel, Dimensional Fund Advisors Developing a World-Class Advisor Experience What does it take to develop loyalty with advisors? A world-class advisor experience can set you apart from the competition. But what does it take to get it right? Offering a meaningful advisor experience is about anticipating needs, granting assistance beyond your scope of responsibility, and making the advisor feel appreciated. In this session, top distribution professionals discuss how advisor needs and expectations vary by channel and share practical tips for being an indispensable partner. Moderator: Victoria Bendetson, Senior Vice President, 1251 Asset Management Panelists: Gary Carrai, Senior Vice President, Strategic Partners and Platform Technology, LPL Financial Bob Hussey, Executive Vice President, Advisory & Institutional Sales, Natixis Investment Managers – U.S Distribution Daren Pippio, Senior Vice President, Advisory Strategy and Development, Asset Management, Raymond James

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Marketing Track

Thursday, October 8, 2020, 2:00pm – 4:00pm (Session 1) Winning Content, Campaigns & Programs Marketing departments constantly struggle with trying to optimize the mix of marketing output to maximize impact. Demands and priorities from various internal groups often aren’t fully compatible – for example, the salesforce may push for product-oriented content while the national accounts team looks for value-add programs. In addition, marketing teams must often devote resources to projects that offer little benefit in terms of sales impact – think product profiles, quarterly manager commentaries, and the like for under-performing and out-of-favor investment strategies. Several investment firms have made the hard decision to evaluate the full range of their content and eliminate everything that does not meet specified ROI criteria. Marketing leaders from these firms describe the steps they went through – and the hurdles they had to overcome – to finally “clean up” years of marcom fodder. 5 Things You Need to Know: Gabe Altbach, President, Head of North America, White Marble Marketing, Inc. Moderator: Bob Kennedy, Relationship Manager, FUSE Research Network Panelists: Tara Giuliano, Head of Client and Product Marketing, Nuveen Mollie Jensen, Managing Director, Global Marketing, Russell Investments Advisor Segmentation/Sales Analytics Significant resources have been spent over the last few years on improving the quality of sales data and refining tracking metrics. For many firms, however, converting the information into practical guidance for the salesforce has been uneven at best, and this is true for firms of all sizes. Executives from asset management firms that have successfully improved field adoption rates – and thereby boosted productivity – share insights and lessons learned during the tactical implementation of their sales enablement programs. 5 Things You Need to Know: Ben Doob, Managing Director, Head of Market Intelligence, ISS Moderator: Tim Kresl, Principal, Distribution Insight, Broadridge Panelists: Michael Bieselin, Global Head of Client Insights and Analytics, Nuveen Rich Smith, Chief Operating Officer, Global Distribution, American Century Investments

Thursday, October 15, 2020, 11:00am – 1:00pm (Session 2) Personalized Engagement The trend towards personalized engagement is pervasive in all areas of our lives today – from smart phones to news feeds to online shopping. And increasingly, clients up and down the investment ecosystem now expect their partners to offer customized support based upon a deep understanding of their personal needs. Investment firms have a wide range of content options, delivery mediums, and touchpoints with which to craft “journey maps” that optimize engagement for each market segment – whether individual advisors, advisor teams, gatekeepers, or due diligence groups. This session offers practical tips and guidance from top marketing executives whose firms are already in the second or third generation of personalization. 5 Things You Need to Know: Anu Heda, Partner, Naissance Moderator: Bill Finnegan, Managing Director, Financial Services Marketing, Seismic Panelists: Jennifer Ball, Head of U.S. Marketing, Franklin Templeton David Master, Global Chief Marketing Officer, Janus Henderson Investors Brand, Positioning & Differentiation “Brand” continues to be one of the most misunderstood concepts among c-suite executives and senior distribution professionals. Brand is about more than creating simple awareness – it is about the experience clients have with your firm, and its importance will only increase as a determinant of future success. Few firms have achieved a truly differentiated market positioning, but those that do experience improved sales productivity and retention. ln this session, leading marketing experts share real-world examples of the business impact of creating a unique brand experience and the process they went through to get there. 5 Things You Need to Know: Neil Bathon, Managing Partner, FUSE Research Network Moderator: Neil Bathon, Managing Partner, FUSE Research Network Panelists: Hemin Desai, Head of Product & Marketing, U.S. Intermediaries, T. Rowe Price Leslie Walstrom, Head of North America Marketing, Columbia Threadneedle Investments, U.S.

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Product Development Track

Wednesday, October 7, 2020, 2:00pm – 4:00pm (Session 1) Personal Indexing Gone Retail Personal or direct indexing is not a new concept. Separate account managers and institutions have been offering personal index portfolios for decades, particularly to higher-net-worth clients with significant portfolio customization needs and sufficient assets to fully implement a direct index portfolio with acceptable levels of tracking error. However, recently, a number of industry moves indicate that direct indexing may be poised to “go retail”. Several major retail brokerage platforms have launched fractional shares platforms, Schwab acquired the technology and intellectual property of Motif, and Goldman Sachs purchased Folio Financial, known for its fractional share and direct indexing capabilities. This session takes a hard look at the value propositions, risks, and challenges associated with direct-indexed portfolios and the considerations and constraints that wealth management firms must deal with in developing direct index products and strategies. Moderator: Randy Bullard, Global Head of Wealth, Charles River Development Panelists: Omar Aguilar, Senior Vice President, Chief Investment Officer, Passive Equity and Multi-Asset Strategies, Charles Schwab Investment Management Brian Langstraat, Chief Executive Officer, Parametric Semi-Transparent ETFs: Is It Time? In the past year, new forms of semi-transparent ETFs have debuted, and there is a renewed push by investment managers to utilize these structures to offer both new and existing products under a different wrapper. This session focuses on what makes the latest semi-transparent ETF structures different from previous versions, their potential benefits relative to past structures and traditional mutual funds, and where they may fit on the product shelf compared to the same strategies in other wrappers. Moderator: Daniil Shapiro, Associate Director, Product Development, Cerulli Associates Panelists: Cleo Chang, Senior Vice President, Head of Investment Solutions, American Century Investments Anna Paglia, Global Head of ETFs and Indexed Strategies, Invesco Stuart Thomas, Founding Principal, Precidian Investments

Wednesday, October 14, 2020, 11:00am – 1:00pm (Session 2) Asset Allocations Everywhere The last several years have seen an explosion in the development of asset allocation models across firms, channels, and types of programs – with one recent estimate that there is now $3 trillion invested in these types

of portfolios. “Model marketplaces” have proliferated for use by financial advisors in Rep-as-PM programs, asset managers and home offices have developed asset allocation SMAs to streamline SMA delivery and reduce risk, and digital/robo programs are directing clients into asset allocation programs. This session looks at the various types of asset allocation models, their benefits, and why more advisors aren’t using them. It will also provide case studies of successful asset allocation programs and the features that can increase advisor and client adoption. Moderator: Brendan Powers, Associate Director, Product Development, Cerulli Associates Panelists: Brooks Friederich, Director of Research Strategy, Envestnet | PMC Ryan O'Connor, Head of Models, Goldman Sachs Kris Spazafumo, Vice President, Senior Manager, Wealth Management Group, Capital Group Improving Rep-as-PM Outcomes Assets in rep-as-PM programs have continued to grow relative to other fee-based programs despite home office efforts to have financial advisors move to more fully managed solutions. The broad industry perception is that rep-as-PM assets create risk and focus advisor energy and resources on lower-value trading and portfolio management functions rather than higher-value growth and client service activities. However, technology is lessening the time required to service and operate rep-as-PM assets while also improving controls and oversight for home office organizations. This session takes a deep dive into the rep-as-PM operating model, the benefits and drawbacks compared to other managed account offerings, and emerging technologies and best practices to improve operations and reduce risk. Moderator: Tom Murphy, Senior Vice President, Advisory Platforms | Investor & Investment Solutions, LPL Financial Panelists: James Anderson, Partner, Asset Management Group, Willkie Farr & Gallagher LLP Paul Gamble, Chief Executive Officer, 55ip Peter Malafronte, Managing Director, Investment Solutions Group, Merrill Lynch Clifford Schoeman, Head, Investment Solutions & Portfolio Services, Jemstep by Invesco

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Retirement: The Next Chapter Track

The age wave of retiring Baby Boomers has reached the tipping point where half the population is now beyond retirement age. MMI’s Next Chapter initiative is mobilizing the advisory industry to deliver better retirement solutions for clients and better support for their financial advisors. A team of 30 senior industry executives is working across 16 different areas of focus grouped into the four “pillars” most critical to defining and guiding effective retirement planning. The sessions in this track provide a deep dive into these four pillars.

Monday, October 12, 2020, 2:00pm – 4:00pm (Session 1) Technology To optimize advisor time, provide more clients with customized advice, and deliver more consistent outcomes, the advisory business must evolve from a mostly manual, advisor-based profession to a modern consumer industry serving clients of different wealth, income, and age. Incorporating digital capabilities no longer means simply replacing routine activities formerly conducted by humans. Hear from a panel of technology experts how they are seeking bigger gains from establishing supportive workflows, optimizing data and its implications, and designing client service around mechanical systems. Moderator: Steve Gresham, Managing Partner, Next Chapter Initiative, MMI Panelists: Kate Healy, Managing Director, Generation Next, TD Ameritrade Jud Mackrill, Chief Marketing Officer, Carson Group Jack Sharry, Executive Vice President, Chief Marketing Officer, LifeYield Gavin Spitzner, President, Wealth Consulting Partners, LLC More Effective Retirement Income Solutions In turbulent times, investors seek protection, income, and tax savings in their household portfolios. Hear firsthand about the innovative ecosystems and platforms firms are creating that combine fintech solutions with protection, income, and tax-saving products. This session will also share perspective on why the real challenge may not be innovation itself, but overcoming consumer knowledge barriers, advisors’ hesitation about new products, regulatory challenges, and product complexity. Moderator: Steve Gresham, Managing Partner, Next Chapter Initiative, MMI Panelists: Ben Huneke, Managing Director, Morgan Stanley Wealth Management Heather Kelly, Senior Vice President, Advisory & Strategic Accounts, Allianz Life Ray Sclafani, Chief Executive Officer and Founder, ClientWise Katie Wade, Principal, Dunraven Strategies and The Execution Project

Tuesday, October 20, 2020, 11:00am – 1:00pm (Session 2) Better Planning Clients are seeking simple and accessible financial planning solutions, so alternatives to full planning must include approachable, “unbundled” opportunities that allow clients to focus on one issue at a time. Much like the transformation of personal health care, financial planning must evolve to include a flexible range of options with more DIY alternatives as well as bespoke advice. Hear about the innovative planning tools being developed and learn why empathy and emotional intelligence are becoming increasingly important success factors for both human advisors and – as counterintuitive as it may sound – for planning tools and protocols. Moderator: Steve Gresham, Managing Partner, Next Chapter Initiative, MMI Panelists: Dev Ganguly, Senior Vice President, Chief Information Officer, Jackson National Life Insurance Renee Long, Vice President, Head of Retirement Product Strategy, Goldman Sachs Kevin Ruth, Interim Chief Executive Officer, Whealthcare Planning Evamarie Schoenborn, President and Chief Executive Officer, Northwestern Mutual Wealth Management

Longevity and Financial Wellness This session explores the demographic reality of retiring clients and the implications of increased longevity. Aging is inevitable, but manageable with preparation and a focus on the quality of longevity. Simpler tools are required to mitigate the risks of aging and help clients and their families deal with financial decision making, living transitions, healthcare planning, and health care costs. Learn what firms and advisors can do to better engage clients on the key life transitions of aging – which can be difficult, emotional, and highly personal – and learn how leading firms are approaching these issues. Moderator: Steve Gresham, Managing Partner, Next Chapter Initiative, MMI Panelists: Frank McAleer, Senior Vice President, Wealth Retirement Solutions, Raymond James Nalika Nanayakkara, Wealth and Asset Management Consulting Leader, EY Cheryl Nash, Chief Executive Officer, Tegra118 Paula Nelson, President, Retirement, Global Atlantic Financial Company

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Social Justice: Accelerating Change Track This track is for you! It will take each of us, no matter our role, to achieve the social equity that has eluded our society and our broader business. But together, informed and proactive, we can accelerate the progress in our industry. Whether attracting diverse talent, creating an inclusive environment, reaching new and diverse markets, or supporting minority vendors, this track will offer specific ideas, programs, and progress from which we all can learn. Join us as we listen to and work with subject matter experts inside and outside our industry to learn, understand, and emulate – and, importantly, to accelerate the change.

Monday, October 12, 2020, 11:00am – 1:00pm (Session 1) Three Zones of Action for Leading Racially Just Organizations Dr. Laura Morgan Roberts, Professor of Practice, University of Virginia Darden School of Business Unlocking Strategies to Recruit, Develop and Retain a Diverse Employee Workforce Progress in diversity, equity and inclusion must include intentional talent strategies for hiring, developing and creating a diverse and inclusive work environment. Moderator: Lanaya Irvin, President, Coqual Panelists: Cindy Joseph, Founder and Chief Executive Officer, The Cee Suite Sean Woodroffe, Senior Executive Vice President & Chief Human Resources Officer, TIAA

Monday, October 19, 2020, 2:00pm – 4:00pm (Session 2) Identifying and Solving Challenges in Your Firm’s Progress Towards Diversity, Equity and Inclusion Understanding and addressing how the sometimes unanticipated challenges of social justice work can accelerate its progress. Moderator: Regina Curry, Chief Diversity Officer, Franklin Templeton Panelists: Cynthia Bowman, Chief Diversity & Inclusion and Talent Acquisition Officer, Bank of America Melissa Buchanan, Senior Vice President, Employee Diversity, Equity, & Inclusion and Community Relations, LPL Financial Yau Cheng, Global Head of Diversity & Inclusion, BNY Mellon

Embracing Responsible AI Innovation in Times of Change Across every industry, organizations are looking to artificial intelligence (AI) to adapt, evolve and innovate in these unprecedented times. The rapid advancement of AI technology and its adoption across business processes brings with it new challenges, and opportunities for business leaders to innovate responsibly. Join us as we explore responsible innovation in practice and implications for business leaders. David Carmona, General Manager of AI and Innovation Marketing, Microsoft Corporation Christian Thilmany, Director of AI Strategy and Industry Lead for AI Country Strategy (Chief Digital Office), Microsoft Corporation

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Sustainable & Impact Investing Track

Wednesday, October 14, 2020, 2:00pm – 4:00pm (Session 1) Values, Trends & Asset Flows COVID-19 raises questions about issues such as worker health and safety, and systemic risks like income inequality. While the existential threat of climate change has dominated the agenda in recent years, the COVID-19 pandemic has renewed focus on social and governance issues. Post-crisis, the focus on ESG and sustainable investment strategies should continue to accelerate, particularly as younger generations place more importance on these factors and expect the economic recovery to prioritize positive social and economic outcomes. This session offers perspective on the present and future state of ESG and sustainable investing from a diverse panel of experts. Moderator: Edward Allen, Managing Director, Head of ESG Client Coverage – Americas, MSCI Panelists: David Lo, Associate Partner, Client Insight, Human Capital Solutions, Aon Tracy Stewart, Manager of Corporate Governance Research, State Board of Administration of Florida Lily Trager, Director of Investing with Impact, Head of Impact Solutions, Morgan Stanley ESG, COVID and the Evolving Earnings Call: Short-Termism and Investment Decision-Making Existing corporate reporting practices, including those used on quarterly earnings calls, tend to underweight ESG disclosures and amplify short-term pressures on corporate management. This session looks at how broad market trends – including the current pandemic – are encouraging a greater focus on ESG and long-term strategy disclosures. This session lays out practical recommendations and a framework, based on extensive interactions with market participants, for how issuers can embed disclosures on ESG and long-term strategy into the content of the quarterly earnings call. Brian Tomlinson, Director, Research, CEO Investor Forum Structured for Scale: Building COVID Recovery Funds to Support Small Business What will it take to build the infrastructure necessary to support small businesses through what will be a long and uneven economic recovery through and post-COVID? In this rapid-fire session, learn about the community development finance landscape and gain an understanding of where mainstream asset and wealth managers can plug in. Beth Bafford of Calvert Impact Capital will describe the organization’s experience as lead arranger for the New York Forward Loan Fund, a $100 million fund launched in partnership with the State of New York, seven national and local community lenders, seven banks, and four foundations. She will also detail efforts to replicate the model across a 12-state region in the south and other parts of the country – all with an explicit racial, gender, and geographic equity lens. Beth Bafford, Vice President, Syndications and Strategy, Calvert Impact Capital

Addressing the Urgent Needs of COVID and Racial Injustice Through Philanthropic Impact Investing Many clients are looking to their financial advisors for guidance on addressing the immediate needs of COVID and racial justice through philanthropic giving. This session offers a real-world view and guidance on some of the innovative impact investing methods advisors and their clients are using to address the current crisis. Presenters: Ron Cordes, Co-Founder, ImpactAssets; Co-Founder, Cordes Foundation Angela Mwanza, Co-Founder, Evergreen Wealth Management, UBS Private Wealth Management Stephanie Wei, Managing Director, Client Engagement and Business Development, ImpactAssets

Monday, October 19, 2020, 11:00am – 1:00pm (Session 2) The Client View: Insights for Wealth Managers and Consultants Hear from investors and leaders within today’s ESG and impact investing community as they chronicle their experiences, investment philosophies, and the challenges they face – and share important lessons you can use in your own business development efforts. To frame the conversation and share insights about the feasibility of ESG and impact investing and various paths forward, the session panelists will reference the Toniic impact investing framework developed from the UN Sustainable Development goals, as well as a multi-year study of the portfolios of over 75 Toniic 100% Impact Network members. Moderator: Adam Bendell, Chief Executive Officer, Toniic Panelists: Eric Jacobsen, Managing Partner and Co-Founder, Dolphin Capital Liesel Pritzker Simmons, Principal, Blue Haven Initiative Guiding Investors in Addressing Income Inequality Income inequality is a defining issue of our time. This rapid-fire session will equip investment and research professionals with the tools to help them have the conversation and navigate the inclusion of income inequality criteria in their investment decisions. Get an exclusive preview of an upcoming report from TIIP and learn how you can effectively address and mitigate the various risks brought on by income inequality – through any number of investment actions. Presenters: William Burckart, President and Chief Operating Officer, The Investment Integration Project (TIIP) Kelly Major Green, CIMA®, Institutional Consultant, Graystone Consulting, a business of Morgan Stanley Navigating the Challenges of Using ESG Data for Reporting on ESG Outcomes As awareness of environmental and social issues has grown, so too has the call for greater transparency and reporting that demonstrates how ESG-focused strategies can impact social and environmental outcomes. The resulting proliferation of ESG data across the investment value chain has brought with it questions about data consistency, quality, and reliability. This session explores the broad trends in ESG data, common challenges in

using ESG data to report on non-financial impacts, and how data quality and reliability are likely to evolve in the coming years. Presenters: Hannah Schiff, Director, Responsible Investing, Nuveen Megan Wallingford, Associate Director, Product Strategy and Development, Sustainalytics Scaling ESG Integration and Impact Investing to Non-Traditional Asset Classes ESG investment research and tools have primarily focused on supporting public equity managers. While non-traditional managers are facing the same expectations from institutional investors, they have fewer “off the shelf” solutions. This sessions shares insights on how non-traditional managers are rising to the challenge with asset-class specific benchmarking efforts, public equity frameworks translated into private market tools, operational data collection from PCs and operating partners, and enhanced transparency for LPs and other stakeholders. Presenters: Brigham McNaughton, Director, Sustainability Services, PwC U.S. Helene Kubon Skulstad, Partner, Financial Services Advisory and Global Insurance Data & Analytics Leader, PwC

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Tools & Technology Track

Friday, October 16, 2020, 11:00am – 1:00pm (Session 1) The Wealth Management Platform of the Future Between rapid advances in technology, such as digital innovation, artificial intelligence (AI), and machine learning/smart data, coupled with shifting demographics and evolving client expectations, the traditional wealth management platform will look very different three to five years from now. This session explores what the platform of the future will look like for advisors, how the fee structure and compensation will change, and the potential impact and disruption of non-traditional competitors entering the wealth management arena. Moderator: Tim Foley, Managing Director, BNY Mellon | Pershing Panelists: Eric Lordi, Managing Director, Morgan Stanley Kabir Sethi, Managing Director, Head of Digital Wealth Management, Bank of America Merrill Lynch Molly Weiss, Managing Director, Head of Product, Envestnet Disruption: Keep it Coming! Has our world and industry ever experienced more disruption than we’ve seen so far in 2020? But disruption is what has brought us to where we are today – and what will shape our future. This session explores some of the “good disruptors” that are accelerating the transformation of how firms deliver investment advice and solutions, redefining client engagement, and enhancing the customer experience. Think of everything from AI and Machine Learning to hyper-personalization, tailored advice, and client engagement. Our experts will also discuss recent headline-making technology acquisitions by major industry players, what they mean, and what digital innovations lie ahead. Moderator: Arvind Ramakrishnan, Executive Director, Morgan Stanley Panelists: Tricia Haskins, Vice President, Digital Strategy & Platform Consulting, Fidelity Investments Anton Honikman, Chief Executive Officer, MyVest Jeff McMillan, Managing Director, Chief Analytics & Data Officer, Morgan Stanley

Tuesday, October 20, 2020, 2:00pm – 4:00pm (Session 2) The Evolving Digital End-Client Experience The current pandemic has made the virtual experience a vital part of client servicing. This session explores the latest advances and thinking on how best to serve client needs using digital technologies ranging from client portals to mobile solutions. Key topics include best practices for building an interactive and collaborative experience between the advisor and client, data aggregation and the power of data to drive

innovative digital experiences, ways AI can be used to anticipate a client’s needs and understand client satisfaction, and how automated advice has evolved from the first robo solutions to today’s digital advice platforms. Moderator: Charles Smith, Global Head of Digital Solutions, Wealth Management, Refinitiv Panelists: Ryan Burwell, Director of Technology Strategy & Best Practices, Baird Private Wealth Management Rich Keltner, Director of Product Management, Tegra118 Joe Nadreau, Managing Director, Head of Independent Brokerage & Platform Services, Wells Fargo Advisors Amit Nanavati, Vice President, Digital Products, Northwestern Mutual Strategic Spending, Priority Changes & Trends The social, political, and economic toll of the COVID-19 pandemic across the globe accelerated changes in technology strategy, focus, and spending that were already taking place within the asset and wealth management industries. In this session, c-suite executives discuss how they have shifted priorities and resource allocation to adapt to evolving advisor and client needs – and also look ahead to new areas of attention and investment that will be required for future success. Moderator: Doug Fritz, Chief Executive Officer, F2 Strategy Panelists: Toussaint Bailey, Chief Executive Officer & Principal, Enso Wealth Management Robert Eaton, Managing Director, Head of U.S. Business Development, Aladdin Wealth Tech, BlackRock Anish Shah, Managing Director, Head of Digital, BNY Mellon Wealth Management

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