SWAN CIO Summit 2017

· Solving Investment Challenges ·

April 3rd – 4th | Kimpton Gray Hotel, Chicago

Event Overview

Engage with portfolio managers, top ETF strategists, and research professionals through interactive presentations, panel discussions, receptions and dinners. Invited participants will include portfolio managers, CIOs, research professionals, and wealth management executives.

Our mission for the Swan CIO Summit is to promote an open dialogue to discuss and share ideas on some of the most challenging issues facing investors.

Participation is by invitation only to ensure diversity of opinions from industry experts and a high level of intellectual exchange.

The Swan CIO Summit gathers an impressive lineup of leading asset managers, ETF strategists, and options experts from State Street, BlackRock, Aon Hewitt, PowerShares, and more to provide:

  • Discussion of the latest in investment theory and practices institutional investors are facing
  • Engaging content and research to inform decisions around portfolio construction
  • Solutions in a challenging environment and ways to manage risks to formulate strategies for improving portfolio integrity

Swan CIO Summit - Agenda 2017

Swan CIO Summit – Resource Center

Access research materials, presentations and more from the 2017 Swan CIO Summit.

Click the items listed to view or download.

For more research about the Defined Risk Strategy, visit our Swan Resource Library.

Swan CIO Summit – Purpose Statement

Hear from past attendees and panelists about their experience at the Swan CIO Summit.

Guest Speakers

Swan CIO Summit hosts an impressive line-up of guest speakers.

Mark Peterson - Director of Investment Strategy and Education for BlackRock
Mark Peterson
Director of Investment Strategy and Education – BlackRock

For BlackRock, Mark’s responsibilities include relating BlackRock’s Investment Strategy and investment views to key institutional and financial advisor clients and offering perspective on all asset classes – including equities, fixed income, alternatives and multi-sector approaches to investing. With 20-years of experience educating financial professionals and investors on market and investment topics, Mark was invited to discuss his recent paper on enhancing outcomes through downside mitigation at this years’ Swan CIO Summit luncheon.

Eric Pollackov - Global Head of ETF Capital Markets, Invesco PowerShares Capital Management, LLC
Eric Pollackov
Global Head of ETF Capital Markets –  Invesco PowerShares Capital Management, LLC

Eric proactively develops relationships with sell-side trading desks, implements PowerShares’ ETF capital markets strategies and develops and measures the success of client business plans. Before joining Invesco PowerShares in 2016, Mr. Pollackov was head of ETF capital markets for Charles Schwab. Previously, he served as managing director of exchange-traded products at NYSE Euronext. He began his career in 1999 as a derivatives trader for Susquehanna International Group, specializing in ETFs. Eric will join a panel on addressing ETFs, Trends and Hidden Risks titled, ‘Innovations in a Passive Landscape’.

Dave Lavalle - US Head of SPDR ETF Capital Markets at State Street Global Advisors
Dave LaValle
US Head of SPDR ETF Capital Markets – State Street Global Advisors

Dave Lavalle is responsible for sales and client relationships with SPDR ETF primary and secondary market participants in the U.S. These include authorized participants, electronic market makers, broker dealers, proprietary trading desks, Stock Exchanges and Alternative Trading Systems. Prior to joining SSGA, Dave was the head of NASDAQ’s Exchange Traded Product Marketplace. Dave will join a panel on addressing ETFs, Trends and Hidden Risks titled, ‘Innovations in a Passive Landscape’.

Gib Watson III - Industry Council & Group President Emeritus, Envestnet
Gib Watson III
Industry Consultant and Group President Emeritus – Envestnet | Prima

Gib provides consulting services to the wealth management industry and to Envestnet Asset Management, Inc. (NYSE: ENV) as Group President Emeritus, Envestnet | Prima.  Before founding Prima, Mr. Watson served as National Managing Director of the Investment Advisory Services practice for KPMG LLP.  Gib will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Reaching Goals in a Low-Return World’, as well as, moderate a panel discussion on implementations for pension, endowments, and institutional asset managers titled, ‘Now What?’.

John Thompson - Partner and Head of Investment Solutions
John Thompson
Partner and Head of Investment Solutions –  Aon Hewitt

John is partner and head of investment solutions for the Institutional Advisory Solutions practice, manages asset allocation portfolios for Aon Hewitt’s clients. In addition, John is a member of the U.S. Aon Hewitt Investment Committee. Active in research, Mr. Thompson’s work has appeared in Financial Planning, International Political Economy, and World Trade Magazine. Mr. Thompson is also a frequent speaker at industry and client conferences. John brings industry leading portfolio construction and analysis expertise to this year’s Swan CIO Summit.  John will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Reaching Goals in a Low-Return World’.

Jeff Korzenik - SVP, Chief Investment Strategist - Fifth Third Bank
Jeff Korzenik
SVP, Chief Investment Strategist – Fifth Third Bank

Jeff is responsible for the Bank’s overall client investment strategy. A 30-year industry veteran, Jeff is a frequent guest on CNBC and Bloomberg television. His writings on economics and public policy have been published in The Chicago Tribune, The Boston Globe, Forbes and other periodicals. He has been quoted in major industry publications including Barron’s, The Wall Street Journal and BusinessWeek. In addition to regular speaking appearances at conferences and public events, Jeff was invited to testify on Capitol Hill as an expert witness on the use of commodity indexes by pensions and other institutional investors. Jeff will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Reaching Goals in a Low-Return World’.

Sam Gallo - CIO, University of Maryland Foundation
Samuel N. Gallo, CPA, CAIA
CIO – University of Maryland Foundation

Sam is responsible for the investment of over $1.2 billion in endowment and operating fund assets for the benefit of 22 higher education institutions. Sam is the president and founder of the Charted Alternative Investment Analyst (CAIA) Association Washington D.C. Chapter, investment committee chairman and board member of the JCC of Greater Washington, past board member of Bethesda, Maryland’s Suburban Hospital Foundation – a Johns Hopkins Hospital.  In 2017, Sam was named, by Trusted Insight magazine, as one of the top 30 endowment CIOs. Sam was recognized, in 2015, by Institutional Investor Publishing as one of the top four foundation of the year CIOs. Glenn will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Now What?’.

Glenn E. Ross- Managing Partner, Marquette Associates
Glenn E. Ross
Managing Partner – Marquette Associates

Glenn is a managing partner for Marquette Associates where he serves as the primary investment consultant on several of the firm’s relationships. Glenn has more than 30 years of experience in investing and consulting and is the co-author of How to Select Investment Managers & Evaluate Performance: A Guide for Pension Funds, Endowments, Foundations, and Trusts, Wiley & Sons, 2007.  Glenn will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Now What? Implementations for Pension, Endowments, and Institutional Asset Managers’.

Brent Wright - SVP, Director of Institutional Consulting
Brent Wright
SVP, Director of Institutional Consulting –  Regions Asset Management

Brent currently leads the Institutional Consulting team within Regions Asset Management which develops and implements investment solutions for Regions’ institutional client base across the nation. Brent is also a member of the Investment Committee of Regions Asset Management. He was named a “Rising Star of Foundations and Endowments” in 2009 by Institutional Investor Magazine. Brent will join a distinguished panel to discuss challenges institutions face with potentially rising rates and lowering expectations titled ‘Now What? Implementations for Pension, Endowments, and Institutional Asset Managers’.

Kevin Baldwin
Director of OIC Institutional Education and Business Development – OIC

Kevin is responsible for developing and executing a business development strategy as well as building and delivering educational content for the Options Industry Council (OIC). Kevin comes to OIC with more than 25 years of experience with institutional trading and education including serving previously as Director of Education for the Institute for Financial Markets. Kevin will join a panel exploring options strategies as an asset class.

Matthew Moran - VP of Business Development for the Chicago Board Options Exchange (CBOE)
Matt Moran
VP, Business Development – Chicago Board Options Exchange

In addition to leading business development for CBOE, Matt is an associate editor of The Journal of Trading and The Journal of Index Investing. In his role for CBOE, Matt has lead talks and provided presentations around marketing of options strategies to institutional investors for purposes of risk management and income around the world. Matt will join a panel of options experts and educators to explore risk management solutions in a session titled, ‘Options Strategies as an Asset Class”.

Edward Szado PhD, CFA - Director of Research at the INGARM
Ed Szado, PhD, CFA
Director of Research – INGARM

Ed is an Assistant Professor at Providence College, and the Director of Research at the INGARM. He is a former options trader and has been published extensively on options-based investments and alternative investments. Ed will join a panel of options experts and educators to explore risk management solutions in a session titled, ‘Options Strategies as an Asset Class”.

Randy Swan - CEO, Lead Portfolio Manager, Swan Global Investments
Randy Swan
Founder, CEO and Lead PM – Swan Global Investments

In 1997, recognizing the limitations of Modern Portfolio Theory and the difficulty of market timing and picking stocks, Randy developed the Swan Defined Risk Strategy to help investors achieve capital appreciation while seeking protection from large losses. Randy has been featured in publications by Barron’s, Forbes, Morningstar, and more.  He has also been a frequent speaker at industry conferences including the Options Industry Council’s Wealth Summit and the Alternative Investment Summit.  Additionally, he serves on the Advisory Leadership Council of the Options Industry Council (OIC).

Joe Gordon, CFP®, CIMA®, AIFA®, CPFA, Founder, Managing Partner - Gordon Asset Management, LLC
Joe Gordon, CFP®, CIMA®, AIFA®, CPFA
Founder, Managing Partner – Gordon Asset Management, LLC

Joe founded the Gordon Asset Management in 2001 and has over 30 years of professional experience in the financial services industry. Previously, Joe was a majority owner of both an investment advisory firm and a 401(k) recordkeeping firm dating back to the early 1980’s. As a recognized ERISA expert and experienced retirement plan advisor, Joe will discuss unique strategies for addressing the challenges facing the defined contribution marketplace in a panel discussion titled, ‘Addressing the Retirement Conundrum’.

Todd Zempel, QKA®, AIFA®, CFPA, ERISA Operations Manager – Gordon Asset Management, LLC
Todd Zempel, QKA®, AIFA®, CFPA
ERISA Operations Manager – Gordon Asset Management, LLC

Todd, known as “Z”, oversees retirement plan services for Gordon Asset Management—a boutique advisory firm that specializes in serving the employer-sponsored retirement plan market. Z has extensive experience in all facets of retirement plan management including record keeping, compliance, investment management, and fiduciary governance. Z was voted one of the nation’s top ‘50 under 40’ retirement plan advisors of 2015, and is currently the nation’s youngest CEFEX-trained analyst. Todd will join Joe Gordon to discuss unique strategies for addressing the challenges facing the defined contribution marketplace in a panel discussion titled, ‘Addressing the Retirement Conundrum’.

Location

WHEN
April 3rd-4th 2017
WHERE
Kimpton Gray Hotel
Chicago

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Information

Conference registration includes:
Hotel room for 2 nights
Breakfast, Lunch, 2 Receptions and 1 Dinner

Note – during hotel registration a credit card will be requested to cover incidentals.

Dress code – business casual.

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Call for registration

1-800-KIMPTON

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Disclosures:

Swan Global Investments, LLC is a SEC registered Investment Advisor that specializes in managing money using the proprietary Defined Risk Strategy (“DRS”). SEC registration does not denote any special training or qualification conferred by the SEC. Swan offers and manages the DRS for investors including individuals, institutions and other investment advisor firms. Any historical numbers, awards and recognitions presented are based on the performance of a (GIPS®) composite, Swan’s DRS Select Composite, which includes non-qualified discretionary accounts invested in since inception, July 1997, and are net of fees and expenses. Swan claims compliance with the Global Investment Performance Standards (GIPS®). All data used herein; including the statistical information, verification and performance reports are available upon request. The S&P 500 Index is a market cap weighted index of 500 widely held stocks often used as a proxy for the overall U.S. equity market. Indexes are unmanaged and have no fees or expenses. An investment cannot be made directly in an index. Swan’s investments may consist of securities which vary significantly from those in the benchmark indexes listed above and performance calculation methods may not be entirely comparable. Accordingly, comparing results shown to those of such indexes may be of limited use. The adviser’s dependence on its DRS process and judgments about the attractiveness, value and potential appreciation of particular ETFs and options in which the adviser invests or writes may prove to be incorrect and may not produce the desired results. There is no guarantee any investment or the DRS will meet its objectives. All investments involve the risk of potential investment losses as well as the potential for investment gains. Prior performance is not a guarantee of future results and there can be no assurance, and investors should not assume, that future performance will be comparable to past performance. All investment strategies have the potential for profit or loss. Further information is available upon request by contacting the company directly at 970-382-8901 or www.swanglobalinvestments.com.  030-SGI-012717