Sponsorship/Exhibitor Information
FOR SPONSOR & EXHIBIT
OPPORTUNITIES:
Charles
Dixson (212)
210-0152 cdixson@investmentnews.com
GOLD SPONSOR
345 Park Avenue, 27th Floor
New York, NY 10154
www.dws-scudder.com
DWS Scudder is the US retail brand name of Deutsche Asset Management — the global asset management division of Deutsche Bank. As an integrated part of Deutsche Bank and Deutsche Asset Management, DWS Scudder delivers access to the powerful, global resources of more than 750 investment professionals from 17 countries (as of 6/30/07). By leveraging Deutsche Asset Management’s extensive research capabilities and deep knowledge of local markets around the world, DWS Scudder has come to be recognized as a provider of innovative investment strategies in the US. Our goal is to make strategies and solutions, traditionally reserved for institutions and high net worth individuals, available to the retail investor.
Deutsche Asset Management has more than 85 years of investment experience, managing more than 1,500 mutual funds across major world markets and more than US $760 billion in assets globally (as of 6/30/07). With a strong commitment to superior performance and innovation, DWS Scudder builds on this strength to offer US investors a comprehensive and diverse family of products through financial intermediaries, retirement plans and wrap programs.
For more information, visit: www.dws-scudder.com.
SILVER SPONSORS
601 Congress Avenue
Boston, MA 02210
Phone: (877) 346-8378
www.jhrps.com
John Hancock Retirement Plan Services (JHRPS), a Manulife Financial company, is dedicated to meeting the needs of small and mid-sized companies who offer defined benefit and defined contribution plans to their employees. Among mutual fund, life insurance companies and banks, JHRPS is ranked as the #1 provider to 401(k)s based on number of 401(k) plans managed, according to CFO Magazine. (CFO Magazine 401(k) Buyers Guide Study, May 2007)
New in 2008, John Hancock’s Guaranteed Income for Life has been purpose-built with features specifically designed to address the needs of 401(k) plan participants. It’s an innovative solution, custom designed to help workers gain peace of mind and security for their most important investment – their retirement. All guarantees are based on the claims-paying ability of the issuing company.
Guaranteed Income for Life is simple, inexpensive and portable and can help participants enjoy:
Downside Protection
Upside Potential
Income for Life
For more information, visit: www.jhrps.com
Thornburg Investment Management
119 East Marcy Street
Santa Fe, NM 87501
Contact: Leigh Moiola, Managing Director
Phone: (800) 533-9337
Fax: (800) 396-0777
lmoiola@thornburg.com
www.thornburg.com
Thornburg Investment Management (TIM) was established in 1982 and is headquartered in Santa Fe, New Mexico. TIM manages fixed income and equity funds, as well as separate accounts for high net worth and institutional investors. Assets under management currently exceed $50 billion (as of 9/30/07).
We focus on preserving and increasing the real wealth of our shareholders after accounting for inflation, taxes, and investment expenses. All Thornburg Funds offer strategies for building real wealth emanating from TIM’s disciplined investment style focused on risk management and clients’ long-term goals.
Thornburg’s equity research uses a fundamental, yet comprehensive, analytical approach. We invest only when and where we perceive the most compelling value. Thornburg equity funds focus on a limited number of securities so that each holding can have a material impact on performance. The equity team searches for firms with a promising future and seeks to buy shares of those companies at a discount to their intrinsic value.
Thornburg fixed-income funds are laddered portfolios of short- and intermediate-term, investment grade bonds. Laddering involves building a portfolio of bonds with staggered maturities so that a portion of the portfolio will mature each year. We apply this disciplined process in all interest rate environments.
BRONZE SPONSOR
One Financial Center
Boston, MA 02111
Contact: Christopher Lazzaro, VP, Financial Advisor Relations
Phone: (800) 343-2029
clazzaro@loomissayles.com
www.loomissayles.com
Since 1926, Loomis, Sayles & Company has served the needs of institutional and mutual fund investors. This rich tradition has earned us the trust and loyalty of clients around the world, and today we manage more than $122 billion in equity, fixed income and alternative strategies.
We are performance-driven investors who seek exceptional opportunities with a willingness to take meaningful positions in those ideas. Our actively managed disciplines combine fundamental research, systematic risk assessment and experienced portfolio management. Loomis Sayles’ investment professionals work in small, focused teams that can offer the optimum balance between discussion and decision. We scrutinize and openly debate ideas and are unrelenting in our search to discover new opportunities.
MassMutual Financial Group
Morningstar, Inc.
225 West Wacker Drive
Chicago, IL 60606
Contact: Mark Adams
Phone: (312) 384-4058
Fax: (312) 696-6029
mark.adams@morningstar.com
corporate.morningstar.com
Morningstar, Inc. (Nasdaq "MORN") is a leading provider of independent investment research in the United States and in major international markets. The company offers an extensive line of Internet, software, and print-based products and services for individuals, financial advisors, and institutions. Morningstar provides data on more than 260,000 investment offerings, including stocks, mutual funds, and similar vehicles. The company has operations in 18 countries and minority ownership positions in companies based in three other countries.
EXHIBITORS
One N. LaSalle St. #3500
Chicago, IL 60602
Contact: Jim Schaberg, Managing Director
Phone: (312) 379-3700
jim@incapital.com
www.incapital.com
Incapital LLC is a Chicago-based investment bank and distributor of fixed income and structured note products. Incapital offers new issue corporate notes, US Agencies, CDs and structured notes through all major broker-dealers and custodians. Incapital's three websites are among the most frequently visited sites among financial advisors for new product offerings and education: www.incapital.com, www.internotes.com , and www.structuredinvestments.com.
Interactive Advisory Software (IAS)
1110 Northchase Parkway, Ste 250
Marietta, GA. 30067
Phone: (770) 951-1161, x 3011 or (800) 821-7355
Fax: (770) 951-1376
www.iassoftware.com
Interactive Advisory Software (IAS) is the most comprehensive Web-based software financial planners and wealth managers can find on the market today. IAS is the only Unified Wealth Management Solution, which encompasses all aspects of financial planning, portfolio management, relationship management, client communications, and practice improvement. Through the efficiencies created by this all-in-one approach, IAS allows you to spend less time worrying about technology and more time with your clients. IAS provides all the necessary resources to exceed your most demanding clients' expectations by improving efficiency, expanding services, increasing satisfaction, and deepening relationships with one comprehensive wealth management solution. Have you seen what the power of one can do for you?
National Retirement Partners
33272 Valle Road, Ste 100
San Juan Capistrano, CA 92675
Phone: (888) 866-4015
Contact: Kim Johnson, ext. 111
kjohnson@nrpfinancialcom
www.n-r-p.com
National Retirement Partners (NRP) is one of the preeminent retirement consulting and distribution companies in the United States. NRP is dedicated to building the largest network of independent retirement focused advisors in the U.S. Our focus is to help position our advisors to deliver the highest quality products and services to their clients while strategically growing their practices.
NRP has 110 offices and over 250 advisors in 39 states. Our advisors provide advisory services to approximately 4,000 institutional plan sponsors covering 800,000 participants and $ 45 Billion in assets. We anticipate reaching 150 offices and 325 advisors by the end of 2008.
Nuveen Investments
333 W. Wacker Drive
Chicago, IL 60606
Phone: (800) 257-8787 - Investor line
www.nuveen.com
Nuveen Investments provides high-quality investment services designed to help secure the long-term goals of institutions and high-net-worth investors as well as the financial advisors who serve them. Nuveen markets its growing range of specialized investment solutions under the high-quality brands of NWQ, Santa Barbara, Tradewinds, Rittenhouse, Symphony and Nuveen, including the Nuveen HydePark Group. Nuveen, with a total of $170 billion under management as of 9/30/07, is also the nation's leading sponsor of closed-end funds, and has assembled a team of experienced portfolio managers who managed 119 closed-end funds totaling approximately $53 billion in assets under management as of 9/30/07.
Pershing Advisor Solutions LLC
One Pershing Plaza
Jersey City, NJ 07399
Contact: Pershing Advisor Solutions LLC's Sales Department
Phone: (800) 445-4467
pasinformation@pershing.com
www.pershingadvisorsolutions.com
Pershing Advisor Solutions LLC is a leading provider of business solutions to independent, fee-based registered investment advisors and dually-registered advisors working in conjunction with many of Pershing LLC’s introducing broker-dealer customers and high-net-worth money managers. We are committed to service excellence and to providing dependable operational support, robust trading services, flexible technology, an expansive array of investment solutions, and practice management programs. Pershing Advisor Solutions delivers superior expertise and scalable and customizable solutions to help our customers manage and grow their fee-based businesses.
Principal Funds
1100 Investment Blvd, Ste 200
El Dorado Hills, CA 95762
Phone: (800) 787-1621
www.principalfunds.com
Principal Funds gives investors and advisors an edge through premier asset management and investment services. At our heart is Principal Global Investors, an investment manager and sub-advisor to many of the Principal Funds with wide-ranging capabilities covering clients in 25 countries. Principal Funds offerings include target-risk and target-date asset allocation solutions, as well as expertise that can help financial professionals expand their business opportunities through IRAs, 401(k)s, and non-qualified solutions.
Raymond James Investment Advisors Division
880 Carillon Parkway
St. Petersburg, FL 33716
Phone: (800) 343-2029
iad@raymondjames.com
www.rjfsiad.com
The Investment Advisors Division of Raymond James provides fee based investment advisors, consultants, portfolio managers and financial planners support and access to a broad array of asset management tools and resources. Since 1962, the firm has been a leader in financial planning and money management programs through independent advisors. We are proud of our traditions of innovative technology, commitment to independence and friendly, advisor centered culture.
Schwab Institutional
101 Montgomery Street
San Francisco, CA 94104
Phone: (800) 648-6021
www.aboutschwabinstitutional.com
Schwab Institutional is a leading provider of custodial, operational and trading support for independent investment advisors. Since 1987, Schwab Institutional has supported independent investment advisors by offering support and services to help grow their businesses and help their clients reach their financial goals. As of December 31, 2007, client assets custodied with Schwab Institutional stood at $583 billion. These assets, managed by the approximately 5,500 independent advisor firms Schwab Institutional currently serves, represent approximately one-third of total client assets custodied with The Charles Schwab Corporation. Schwab Institutional is a division of Charles Schwab & Co., Inc.
Securities America
12325 Port Grace Blvd
LaVista, NE 68128
Contact: Branch Office Development
Phone: (800) 989-8441
www.securitiesamerica.com
Your Business Growth Expert
Founded in 1984, Securities America is one of the country’s largest, most successful broker/dealers. Find a perfect match in an entrepreneurial culture that searches for new ways to help your business run more effectively and profitably. Aggregate client accounts in our online workstation. Streamline and expedite business with our straight-through-processing technology. Grow your branch and attract new clients with our Business Development programs, most created by our own advisors. Create a more profitable and satisfying practice with innovative Practice Management solutions. Attract and retain high-net-worth clients with comprehensive Wealth Management tools. Design client-focused portfolios with flexible, fee-based advisory services. Securities America is your Business Growth Expert!
Sovereign Advisors, LLC
3440 Toringdon Way, #308
Charlotte, NC 28277
Phone: 704-366-1091
fwilkinson@sovadvisers.com
www.sovadvisers.com
Sovereign Advisers is an experienced and highly regarded investment grade bond manager located in Charlotte, North Carolina. The firm provides customized fixed income investment solutions for financial service and investment advisory concerns on behalf of their clients including: insurance companies, banks, credit unions, municipalities, pensions, endowments, educational institutions and high net-worth individuals. By working as a partner with leading financial advisors, Sovereign has assisted them in building their business with customized investments solutions for their clients. Sovereign has developed a unique and flexible investment strategy to maximize the after-tax income of high net worth clients.
Standard & Poor's
55 Water Street, 43rd Floor
New York, NY 10041
Contact: Karen Genicola, Marketing Director
Phone: (212) 438-3438
karen_genicola@standardandpoors.com
www.standardandpoors.com
Standard & Poor’s is a leading provider of financial market intelligence. The world’s foremost source of independent credit ratings, indices, risk evaluation, investment research and data, Standard & Poor’s is an essential part of the world’s financial infrastructure. For more than 140 years, Standard & Poor’s provides financial decision-makers with the intelligence they need to feel confident about their decisions.
For more information, visit www.standardandpoors.com
TD AMERITRADE Institutional
Harborside Financial Plaza 4A
135 Green Street
Jersey City, NJ 07311
institutionalsales@tdameritrade.com
www.tdainstitutional.com
TD AMERITRADE Institutional is a leading provider of comprehensive brokerage and custody services to more than 4,000 fee-based, independent Registered Investment Advisors (RIAs) and their clients. Our advanced technology platform, coupled with personal support from our dedicated services teams, allows investment advisors to run their practices more efficiently and effectively, while optimizing time with clients. At TD AMERITRADE Institutional, we are committed to advocating on behalf of advisors and their clients on important issues like the Broker-Dealer Exemption Rule. We understand the importance of being a fiduciary and remain firmly on your side.
Tercet Capital LLC
37 Thurber Boulevard, Suite 108
Smithfield, R.I. 02917
Contact: Robert C. Lamb, Jr.
Phone: (401) 349-2640
RLamb@TercetCapital.com
www.TercetCapital.com
Tercet Capital provides a web-based, patent-pending, retirement income solution. The Tercet Retirement Solution® addresses the unprecedented challenge in the marketplace today of how broker-dealers and advisors can deliver a growing stream of income from a portfolio of assets. Tercet transforms assets into an initial stream of income of up to 6%, with inflation protection and expected principal growth, while allowing advisors and clients to maintain control of their assets. This is a specific solution for advisors and their clients seeking to provide income while growing assets. A differentiating turnkey mutual fund wrap solution designed to attract/ retain clients and advisors. Available on Pershing’s Managed Account Network™.
GOLD SPONSORS
SILVER SPONSORS
BRONZE SPONSORS
