“Learn cultures, not languages. Study other points of view. The more you know about different regions of the world, the better off you are. You’ll need it going forward.”

Ian Bremmer

President
Eurasia Group

“Normally we think of failure in terms of a deficiency of knowledge, but the truth is that society is suffering far more from failures because of expertise.”

Malcolm Gladwell

Author and Staff Writer
The New Yorker

“For me, it always goes back to something I learned in basketball. There’s winning and there’s losing, and in life you have to know they both will happen. But what’s never been acceptable to me is quitting.”

Earvin “Magic” Johnson

NBA Hall of Famer, Businessman, and Philanthropist

“If we give up on politics, we’re done for. Powerlessness is a self-fulfilling prophesy.”

Robert Reich

Economic Analyst, Advisor to Presidents, and former Secretary of Labor

“If you have integrity, nothing else matters. If you don’t have integrity, nothing else matters.”

Alan Simpson

Co-founder, Campaign to Fix the Debt; Formerformer U.S. Senator; and
Co-chair, National Commission on Fiscal Responsibility and Reform

“My argument is not anti-technology. It’s pro-conversation. We miss out on necessary conversations when we divide our attention between the people we’re with and the world on our screens.”

Sherry Turkle

Director, MIT Initiative on Technology and Self

Hear directly from respected voices fueling today’s conversation.

Dr. Marc Brackett

Dr. Marc Brackett

Director
Yale Center for Emotional Intelligence

Session topic: Emotional Intelligence: Enhancing Decision Making, Relationships, and Performance

Marc Brackett, PhD, is director of the Yale Center for Emotional Intelligence and a senior research scientist in psychology at Yale University. His research focuses on the role of emotions in learning, decision-making, relationship quality, mental health, and workplace performance; the measurement of emotional intelligence (EI); and how EI training improves the lives of both adults and children. He developed RULER, an evidence-based approach to teaching EI used by more than 1,000 public and private schools in the United States and abroad. He is also a consultant at Facebook, working on the development of tools to help adults and children resolve online conflicts and bullying.

Mr. Brackett serves on several research advisory boards, including Lady Gaga’s Born This Way Foundation and the Greater Good Science Center at the University of California. He also regularly consults with school systems and corporations. His work has appeared in the New York Times and Time magazine, and he is a frequent guest on National Public Radio.

Mr. Brackett has bachelor’s degrees in psychology and Spanish from Rutgers University, a master’s degree in forensic psychology from the John Jay College of Criminal Justice, and a doctorate in philosophy, personality, and social psychology from the University of New Hampshire.

Ian Bremmer

Ian Bremmer

President
Eurasia Group

“Learn cultures, not languages. Study other points of view. The more you know about different regions of the world, the better off you are. You’ll need it going forward.”

Ian Bremmer is president and founder of Eurasia Group, where he advises leading executives, money managers, diplomats, and heads of state. A leading global political risk research and consulting firm, Eurasia Group provides analysis and expertise on how political developments and national security dynamics move markets and shape investments around the globe.

Mr. Bremmer created Wall Street’s first global political risk index and established political risk as an academic discipline. His definitions of emerging markets and G-Zero—his term for a global power vacuum in which no country is willing and able to set the international agenda—are widely accepted by policymakers and thought leaders. Mr. Bremmer discusses the intersection of politics and markets in speeches, in the media, and through his published works. He has authored nine books, most recently Superpower: Three Choices for America’s Role in the World and the bestsellers Every Nation for Itself: Winners and Losers in a G-Zero World and The End of the Free Market: Who Wins the War Between States and Corporations? He is a columnist for the Financial Times A-List and a foreign affairs columnist and editor-at-large for Time magazine. He also appears regularly on CNBC, Fox, Bloomberg, CNN, the BBC, and other networks.

Mr. Bremmer has a doctorate in political science from Stanford University and was a National Fellow at the Hoover Institution. He is the founding chairman of the Global Agenda Council on Geopolitical Risk at the World Economic Forum and a Senior Fellow at the World Policy Institute. Additionally, he serves on the President’s Council of the Near East Foundation, the Leadership Council for Concordia, and the Board of Trustees of Intelligence Squared.

Amy Florian

Amy Florian

Chief Executive Officer
Corgenius

Session topic: Guiding Women Clients Through Life Transitions

As the chief executive officer of Corgenius, Amy Florian combines neuroscience, psychology, and humor to train professionals on building strong relationships with clients during times of loss and other major life transitions. She has consulted with firms, corporations, and more than 2,000 individuals during their time of grieving. A speaker and grief expert, Ms. Florian has authored more than 100 articles and the book No Longer Awkward: Communicating With Clients Through the Toughest Times of Life. She also teaches a graduate class at Loyola University Chicago.

A former columnist for the Journal of Financial Planning, she has been quoted or featured in the Wall Street Journal, Financial Advisor, Financial Planning, MSN Money, On Wall Street, ThinkAdvisor, Wealth Management, and Financial Advisor IQ.

Ms. Florian has a bachelor’s degree from Iowa State University and a master’s degree from Loyola University Chicago. She is also a Fellow in thanatology.

Malcolm Gladwell

Malcolm Gladwell

Author and Staff Writer
The New Yorker

“Normally we think of failure in terms of a deficiency of knowledge, but the truth is that society is suffering far more from failures because of expertise.”

Journalist and New York Times bestselling author Malcolm Gladwell is a master of poking holes in commonly held beliefs. He uses a combination of sociological and psychological research, personal observations, and anecdotes to explain what drives behaviors and belief systems. In so doing he has changed the way we understand the world and ourselves.

Mr. Gladwell is the author of five bestselling books. His most recent, David and Goliath: Underdogs, Misfits, and the Art of Battling Giants, examines the “desirable difficulties” of underdogs and how they use perceived disadvantages to their advantage. What the Dog Saw: And Other Adventures compiles his best writing from The New Yorker. In Outliers: The Story of Success, he investigates the factors that make high achievers different. Blink: The Power of Thinking Without Thinking draws on findings in neuroscience and psychology to show how seemingly rapid-fire decisions are more complicated than we assume and reveals how people can learn to make better decisions. His first book, The Tipping Point: How Little Things Can Make a Big Difference, popularized the term tipping point to explain how and why sudden changes and trends in society take place, spreading like viruses when they reach a “moment of critical mass.”

He has been a staff writer at The New Yorker since 1996 and was previously a reporter for the Washington Post. He won the American Sociological Association’s award for excellence in the reporting of social issues, was named one of the 100 most influential people by Time magazine, and has been honored by the American Psychological Society.

Mr. Gladwell holds a bachelor’s degree in history from the University of Toronto.

Jeffrey Gundlach

Jeffrey Gundlach

Chief Executive Officer and Chief Investment Officer
DoubleLine Capital

Session topic: Ending the Monetary Experiment

Jeffrey Gundlach is the chief executive officer and chief investment officer of DoubleLine. He is recognized as an expert in bond and fixed income investments. His investment strategies have been featured in such leading publications as the New York Times, the Financial Times, the Wall Street Journal, USA Today, Barron’s, Forbes, and Fortune. In 2010 he was named to the SmartMoney “Power 30.” In 2011 he was featured as “The King of Bonds” in Barron’s and was named one of “5 Mutual Fund All-Stars” by Fortune. In 2012 he was named one of the “50 Most Influential” by Bloomberg Markets magazine and in 2013 was named “Money Manager of the Year” by Institutional Investor.

Mr. Gundlach has bachelor’s degrees in mathematics and philosophy from Dartmouth College and attended Yale University as a doctoral candidate in mathematics.

Earvin “Magic” Johnson

Earvin “Magic” Johnson

NBA Hall of Famer, Businessman, and Philanthropist

“For me, it always goes back to something I learned in basketball. There’s winning and there’s losing, and in life you have to know they both will happen. But what’s never been acceptable to me is quitting.”

Magic Johnson is best known as #32, the legendary point guard for the Los Angeles Lakers who introduced a style of fast play called “Showtime.” He is a two-time National Basketball Association (NBA) Hall of Famer and was a member of the 1992 gold medal U.S. Men’s Olympic basketball “Dream Team.” He coached the Lakers from 1994 to 1995 and returned to the team as a player during the 1995–96 season. Since retiring from the team, he has become an influential businessman, philanthropist, and motivational speaker.

Mr. Johnson is part owner of the L.A. Dodgers baseball team and the L.A. Sparks women’s professional basketball team. He is chairman and chief executive officer of Magic Johnson Enterprises, which provides products and services primarily for ethnically diverse and underserved urban communities. His businesses and partnerships include a high school dropout prevention program, an equity fund, financial services and life insurance companies, a food service and facility management company, an entertainment attraction, and the L.A. Football Club, a major league soccer expansion team. His partnerships with Starbucks’ “Urban Coffee Opportunities” became a blueprint for corporate America’s engagement and success with urban consumers. Mr. Johnson also serves as chairman of his eponymous foundation, which is dedicated to HIV/AIDS awareness and prevention, community empowerment, and a scholarship program.

Mr. Johnson attended Michigan State and was drafted by the NBA after two years.

Michael Kitces

Michael Kitces

Partner, Director of Research, Pinnacle Advisory Group
Co-founder, XY Planning Network

Session topic: 5 Industry Trends That Will Change How You Do Business In the Future

Michael Kitces is a partner and the director of research at Pinnacle Advisory Group, a private wealth management firm that oversees approximately $1.3 billion in client assets.* He is also a co-founder of both XY Planning Network and NexGen, two communities aimed at supporting the development and success of young financial planners. Additionally, Mr. Kitces is the practitioner-editor of the Journal of Financial Planning, and he publishes the e-newsletter The Kitces Report and the financial-planning industry blog Nerd’s Eye View.

Mr. Kitces’ writing has been featured in such publications as Financial Planning, the Journal of Financial Planning, the Journal of Retirement Planning, the Wall Street Journal, and Businessweek. He is also co-author of several books, including The Annuity Advisor, and has won numerous awards, including the Heart of Financial Planning Award from the Financial Planning Association for his dedication to advancing the industry.

Mr. Kitces holds two master’s degrees and a number of designations, including Certified Financial Planner®.

*As of July 31, 2014.

Jeffrey Kleintop

Jeffrey Kleintop

Senior Vice President and
Chief Global Investment Strategist
Charles Schwab & Co., Inc.

Session topic: Politics, the Markets, and Your Clients

As chief global investment strategist at Charles Schwab, Jeffrey Kleintop analyzes and discusses international markets, trends, and events to help U.S. investors understand their significance and financial implications. He provides research, commentary, and actionable insights to Schwab’s client-facing teams and the firm’s Investor Services and Schwab Advisor Services clients. Mr. Kleintop is frequently cited in print, including the Wall Street Journal, the New York Times, Barron’s, and the Financial Times. He is also a regular guest on CNBC, Bloomberg, Fox Business Network, PBS, and ABC News. Called “one of Wall Street’s best and brightest” by the Wall Street Journal, he is a sought-after speaker at industry events, including Barron’s Top Financial Advisors Summit and the Financial Planning Association’s annual conference.

Prior to joining Schwab, Mr. Kleintop 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 is the author of Market Evolution: How to Profit in Today’s Changing Financial Markets.

Mr. Kleintop earned a bachelor of business administration degree from the University of Delaware and a master of business administration degree from Pennsylvania State University. He also studied at the London School of Economics and is a Chartered Financial Analyst®.

Kim Lear

Kim Lear

Founder and Content Director
Inlay Insights

Session topic: Re-Imagining the Client Experience in the Age of Empowerment

Kim Lear is the founder and content director of Inlay Insights, as well as a speaker, writer, strategist, and researcher. She explores how emerging trends and cultural shifts affect the way companies foster change in the marketplace and engage employees and consumers. Known in her field as a “stat nerd,” she employs eye-opening statistics to accentuate her points and mixes them with stories and case studies to make her message come alive.

Previously, Ms. Lear was director of content at BridgeWorks, a research and consulting firm studying millennial trends and generational dynamics. She has addressed numerous corporations, including American Express, Cisco, LinkedIn, and Wells Fargo. Her writing has appeared in the Wall Street Journal, the Huffington Post, and other publications.

Ms. Lear has a bachelor’s degree in journalism from the University of Kansas and a social media certificate from the University of San Francisco.

Alan Moore

Alan Moore

Co-founder, XY Planning Network
President, Serenity Financial Consulting

Session topic: 5 Industry Trends That Will Change How You Do Business In the Future

Alan Moore is co-founder of the XY Planning Network and president of Serenity Financial Consulting, a fee-only RIA and location-independent financial-planning firm. He previously served as an associate planner with Financial Service Group and was a financial-planning analyst for Kahler Financial Group.

Mr. Moore is passionate about helping financial planners start and grow their own fee-only firms to serve Gen X and Gen Y clients largely ignored by traditional firms. InvestmentNews recognized him as a top “40 Under 40” in financial planning, and Wealth Management named him one of the “10 to Watch in 2015.” Mr. Moore frequently speaks on topics related to technology, marketing, and business coaching and has been quoted in such publications as the Wall Street Journal, the New York Times, and Forbes. He formerly served as chair of NAPFA Genesis, dedicated to promoting the next generation of fee-only financial advisors, and was a board member of the Creative Council, the leadership board of FUEL Milwaukee.

Mr. Moore has a master’s degree in family financial planning from the University of Georgia and is a Certified Financial Planner®.

Robert Reich

Robert Reich

Economic Analyst, Advisor to Presidents, and former Secretary of Labor

“If we give up on politics, we’re done for. Powerlessness is a self-fulfilling prophesy.”

Professor Robert Reich is one of the leading thinkers on economics, labor, and their intersection with politics. Now Chancellor's professor of Public Policy at the University of California at Berkeley, he has served under three national administrations, most recently as Secretary of Labor under Bill Clinton. He also served on President Barack Obama's Economic Transition Advisory Board.

Professor Reich is the author of 15 books, including his most recent book, Saving Capitalism, in which he foresees a widening political divide not between Democrats and Republicans but between establishment elites and anti-establishment populists in both parties. In his 2010 bestseller Aftershock: The Next Economy and America’s Future, he predicted that the tepid recovery from the Great Recession would last for years, with volatile political consequences. He also wrote The Work of Nations: Preparing Ourselves for 21st Century Capitalism, a New York Times bestseller that explained the challenges facing the United States in a global economy.

Professor Reich was the co-creator and host of the acclaimed 2013 documentary Inequality for All, which detailed the underlying forces shaping the economy. He writes a nationally syndicated column, frequently contributes to national publications, and appears on CNBC and ABC. Time magazine named him one of the “Top 10 Best Cabinet Members” of the past century, and the Wall Street Journal named him one of the country’s top 10 thought leaders. In 2003 he received the Václav Havel Prize for his original contributions to economic thinking.

Professor Reich holds a degree from Dartmouth College, was a Rhodes Scholar at the University of Oxford, and holds a law degree from Yale Law School.

Alan Simpson

Alan Simpson

Co-founder, Campaign to Fix the Debt; Formerformer U.S. Senator; and
Co-chair, National Commission on Fiscal Responsibility and Reform

“If you have integrity, nothing else matters. If you don’t have integrity, nothing else matters.”

Former Senator Alan Simpson (R-WY) is on a mission to fix the national debt. Having served in the Senate for 18 years and as co-chair of President Barack Obama’s National Commission on Fiscal Responsibility and Reform, he is now co-founder of the nonpartisan Campaign to Fix the Debt. Along with co-founder Erskine Bowles, who was also co-chair of the commission, Senator Simpson continues to promote national debt reduction through efforts to educate the public, mobilize key stakeholders, and encourage individuals to engage with the media and elected officials to influence policy. He is a partner in the law firm Simpson Kepler Edwards.

From 2010 through 2011, as co-chair of the commission, Senator Simpson was tasked with developing a plan to reduce the nation’s deficits. He also served as a member of the bipartisan Iraq Study Group. Prior to that, he was a visiting lecturer at the University of Wyoming and director of the Institute of Politics at Harvard University’s John F. Kennedy School of Government. While a U.S. senator from 1978 to early 1997, he served as assistant majority leader from 1984 to 1994. Prior to his election to the Senate, he was a member of the Wyoming House of Representatives. Early in his career, he was a city attorney; a member of the law firm of Simpson, Kepler and Simpson; and the Wyoming assistant attorney general. He served as a second lieutenant in the U.S. Army upon graduating from college.

Senator Simpson earned his bachelor’s degree in law and his law degree from the University of Wyoming.

Liz Ann Sonders

Liz Ann Sonders

Senior Vice President and Chief Investment Strategist
Charles Schwab & Co., Inc.

Session topic: Politics, the Markets, and Your Clients

Liz Ann Sonders investigates economic trends, reads investor sentiment, and crunches the numbers to analyze the nation’s economic health. As chief investment strategist at Charles Schwab, she is responsible for market and economic analyses, investor education, and other investment strategy activities. Ms. Sonders is a regular contributor to Schwab’s publications and a popular keynote speaker. She is also a senior vice president at Windhaven Investment Management, Inc. and serves on its Investment Committee.*

Ms. Sonders is a regular guest and guest host on CNBC programs, including Nightly Business Report, and on Fox Business Network, Bloomberg TV and Radio, CNN, and the PBS NewsHour. She is also frequently quoted in financial publications. Ms. Sonders was named one of SmartMoney’s “Power 30,” the “Best Strategist of the Year” by Kiplinger, and one of the “25 Most Powerful Women in Finance” by American Banker/US Banker. She was named among the “50 Top Women in Wealth” by Wealth Management/AdvisorOne and is listed on Investment Advisor’s “IA 25” as one of the most important people in the financial advisory profession.

Ms. Sonders received a bachelor’s degree in economics and political science from the University of Delaware and a master of business administration degree in finance from Fordham University.

*Schwab and Windhaven are affiliated companies and subsidiaries of The Charles Schwab Corporation.

Sherry Turkle

Sherry Turkle

Director, MIT Initiative on Technology and Self

“My argument is not anti-technology. It’s pro-conversation. We miss out on necessary conversations when we divide our attention between the people we’re with and the world on our screens.”

Referred to by many as the “Margaret Mead of digital culture,” Sherry Turkle has spent the past 30 years researching the psychology of people’s relationships with technology. She is a professor of the social studies of science and technology in the Science, Technology, and Society program at the Massachusetts Institute of Technology (MIT). She is also the founder and director of the MIT Initiative on Technology and Self, which investigates evolving connections between people and artifacts. Ms. Turkle’s research raises critical questions about technology’s role in business productivity, including whether our always-connected state affects our ability to think, be creative, and innovate.

Ms. Turkle’s New York Times bestseller, Reclaiming Conversation: The Power of Talk in a Digital Age, focuses on the importance of conversation in digital cultures. She was featured at TED2012, discussing her previous book, Alone Together: Why We Expect More From Technology and Less From Each Other, which describes technology’s influence on relationships and new instabilities in how we understand privacy and community, intimacy, and solitude. Ms. Turkle has been profiled in such publications as the New York Times, Scientific American, and WIRED and is a featured commentator for several media outlets. The Graduate School of Arts and Sciences at Harvard University awarded her its Centennial Medal in 2013, and Ms. Magazine named her “Woman of the Year” in 2003. In 2014 she was elected to the American Academy of Arts and Sciences.

Ms. Turkle received a joint doctorate in sociology and personality psychology from Harvard University and is a licensed clinical psychologist.

Greg Valliere

Greg Valliere

Chief Political Strategist
Horizon Investments

Session topic: Politics, the Markets, and Your Clients

Greg Valliere cuts through the rhetoric and partisan maneuvering to offer observations about how Washington, D.C., politics affects financial markets. He brings more than 30 years of experience to his role as chief political strategist at Horizon Investments. Mr. Valliere researches the actions of Congress, the White House, and the Federal Reserve in guiding the nation’s economic and monetary policies. He is frequently quoted in the nation’s financial press and is a regular guest on CNBC, Bloomberg TV and Radio, Fox TV, CNN, and CBS Radio.

Before joining Horizon Investments, Mr. Valliere was chief policy strategist for Potomac Research Group and Soleil Securities Corporation. He previously held strategic roles at Charles Schwab’s Washington Research Group and was the research director at The Washington Forum, a group he co-founded in 1974. He began his career at F-D-C Reports, a trade publication monitoring the pharmaceutical industry.

Mr. Valliere holds a bachelor’s degree in journalism from The George Washington University.

Your hosts

Jon Beatty

Jon Beatty

Senior Vice President
National Sales and Relationship Management
Schwab Advisor Services™ and Charles Schwab & Co., Inc.

Jonathan S. Beatty is a member of the Schwab Advisor Services management team and is responsible for leading our sales and relationship management team. He has worked with fee-based advisors for more than 15 years, providing counsel on strategic business issues and identifying solutions to help them meet their unique business needs. Mr. Beatty has held several key sales leadership positions within Schwab Advisor Services during his tenure with the firm and helped shape the sales organization role into one focused on consultative selling.

Prior to joining Schwab, Mr. Beatty was a registered representative with Great Western Securities. He has a bachelor’s degree in political science from Wittenberg University and is registered with the National Association of Securities Dealers, Inc. He holds Series 7 and 9/10 licenses.

Walt Bettinger

Walt Bettinger

President and Chief Executive Officer
The Charles Schwab Corporation

Walter Bettinger II is president and chief executive officer of The Charles Schwab Corporation, where he leads almost 15,000 full-time employees at headquarters in San Francisco and branch offices in more than 325 locations globally. He is credited with leading Schwab through the financial crisis: From 2009 through 2012, the company grew client assets by $530 billion.

Mr. Bettinger serves on the boards of directors of The Charles Schwab Corporation; Charles Schwab & Co., Inc.; and Charles Schwab Bank®. Additionally, he is a trustee of several registered investment companies belonging to Schwab. Prior to his current role, he was president and chief operating officer of The Charles Schwab Corporation. Mr. Bettinger began working for Schwab in 1995, after it acquired the Hampton Company, which he founded to provide retirement plan services to corporations and their employees.

Mr. Bettinger is widely recognized as an industry leader. In 2014 Fortune magazine named him one of the top 20 businesspersons of the year. In 2012 Tiburon Consulting presented him with its CEO Summit Award. In 2010 SmartMoney magazine named Mr. Bettinger to the Power 30, its list of the world’s most influential players. For his contributions to the retirement security of working Americans, PLANSPONSOR magazine recognized him in 2009 with its lifetime achievement award.

In addition to his professional duties, Mr. Bettinger is active in numerous charitable and philanthropic efforts. He and his wife, Teri, are founders of the Walt & Teri Bettinger Foundation and are the parents of five children. Mr. Bettinger holds a bachelor of business administration degree in finance from Ohio University. He also completed the general management program at Harvard Business School.

Mark Coffrini

Mark Coffrini

Senior Vice President
Retirement Business Services
Charles Schwab & Co., Inc., and Charles Schwab Bank®

Mark Coffrini oversees Retirement Business Services and is chief operating officer of the Business Trust Division of Charles Schwab Bank. He brings more than 25 years of experience in the retirement services industry, with a focus on trust, custody, and recordkeeping services.

Before joining Schwab, Mr. Coffrini was responsible for operations, servicing, and project management for the MasterWorks bundled 401(k) developed by Wells Fargo, which was later acquired by Merrill Lynch. He previously managed operations for the Business Retirement Programs Division at Wells Fargo and was responsible for overseeing the company’s trust and investment planning for various defined contribution plans and defined benefit plans.

Mr. Coffrini has a bachelor’s degree in economics from the University of California, Davis. He holds FINRA Series 7, 24, and 63 licenses.

Bernie Clark

Bernie Clark

Executive Vice President and
Head of Schwab Advisor Services
Charles Schwab & Co., Inc.

Bernard Clark brings more than 30 years of financial industry experience to his role as head of Schwab Advisor Services. He is also a member of Charles Schwab’s Executive Committee. Mr. Clark oversees the business that provides custodial, operational, and trading support to almost 7,000 independent investment advisory firms with $1.1 trillion in assets under management. He has been named by Investment Advisor magazine as one of the 25 most influential people in the industry.

Previously, Mr. Clark worked for Schwab on the advisor side as leader of the sales and relationship management organization. Before that he oversaw the retail business as head of the client services organization. He began his career at Schwab in 1998 as senior vice president of trading and operations for Schwab Institutional.

Prior to joining the company, Mr. Clark was with the London office of Deutsche Morgan Grenfell, where he was managing director in charge of global sales support, hedge fund operations, and technology, which included managing client service support in Asia, Europe, and the United States. He also spent 13 years with Salomon Brothers as a member of the Executive Committee responsible for North American operations.

Outside of work, Mr. Clark serves on the board of the Foundation for Financial Planning and the Center for Services Leadership within the Arizona State University W. P. Carey School of Business. He is president of the Saguaro High School Football Foundation and is an active supporter of Phoenix Children’s Hospital.

Mr. Clark holds a bachelor’s degree in accounting from St. John’s University in New York.

Susan Forman

Susan Forman

Senior Vice President
Institutional Services Marketing
Charles Schwab & Co., Inc.

Susan Forman leads Institutional Services Marketing at Charles Schwab & Co., Inc. Ms. Forman has been with Schwab for more than five years and is responsible for overseeing the marketing strategy, planning, and execution for the division of Schwab that serves independent investment advisors, retirement plan sponsors and participants, and other institutional clients. Specifically, she manages a team specializing in advertising, digital content, field, acquisition, and client marketing for Schwab’s Institutional Services businesses; she also manages a team responsible for service and crisis communications for all of Schwab.

Prior to her current role, Ms. Forman was head of public relations for Schwab Advisor Services and led Schwab’s corporate reputation management efforts. Prior to Schwab, she was head of corporate communications at Bank of the West, and she held several corporate communications leadership roles at Visa USA.

Ms. Forman has a bachelor’s degree in English and American literature from Scripps College in Claremont, California, and a master’s degree in English Renaissance literature from the University of York in England. She holds a Series 7 license.

Charles Schwab & Co., Inc. (“Schwab”) and Charles Schwab Bank are separate but affiliated companies and subsidiaries of The Charles Schwab Corporation (“Charles Schwab”).

Nick Georgis

Nick Georgis

Senior Vice President
Business Consulting and Field Experience
Charles Schwab & Co., Inc.

As a member of the Schwab Advisor Services management team, Nick Georgis oversees Schwab’s practice management consulting and field experience teams. The business consulting team helps advisors run and grow their firms more effectively by addressing key business, operational, and organizational issues through one-on-one consulting engagements. The field experience team provides Schwab’s sales and service teams with the necessary insight, tools, and skills to deliver an outstanding experience to advisors. Mr. Georgis also manages the strategic business development team for Schwab Advisor Services and sales for Schwab Performance Technologies®.

With more than 25 years of experience in the financial services industry serving fee-based advisors and investors, Mr. Georgis has held several positions at Schwab and was previously responsible for the Schwab Advisor Services sales and relationship management organization.

He has a bachelor’s degree in finance from California State University, Sacramento, and has served on the CFP® Board of Governors.

Ian Muir

Ian Muir

Senior Vice President
Advisor Services
Trading & Operations
Charles Schwab & Co., Inc.

Ian Muir is senior vice president of the Advisor Custody and Trading Group at Schwab Advisor Services. He brings nearly 30 years of experience in leading global financial services businesses through technology, service, operational, and cultural changes.

Prior to joining Schwab, Mr. Muir served in several capacities with Bank of America Merrill Lynch. Most recently, he led both global wire operations and emerging-markets operations; oversaw client services and operations for Europe, the Middle East, Africa, Canada, and Latin America; and served as the Global Treasury Services chief operations officer for technology and operations. Mr. Muir previously was responsible for the operations and the technology transition after Bank of America acquired Merrill Lynch. Prior to that, he led quality and productivity programs, generating $500 million in efficiency gains and aligning the company’s business processes and technology. Previously, he served as chief information officer for Latin America technology and operations and held a similar role for the Asia global markets. Early in his career, he was the chief information officer for global markets research and development and also a business analyst.

Mr. Muir is a certified Six Sigma Master Black Belt.

Ed Obuchowski

Ed Obuchowski

Senior Vice President
Advisor Services
Technology Solutions
Charles Schwab & Co., Inc.

Ed Obuchowski is responsible for managing the full suite of technology platforms used by the more than 7,000 RIA firms that work with Schwab.

Before joining Advisor Services, Mr. Obuchowski was senior vice president of Technology Infrastructure Services (TIS). As a leader of TIS, he was accountable for Schwab’s data center operations, workplace technology, cybersecurity technology and operations, mainframe and distributed hosting, telecom, and global market data.

Prior to TIS, Mr. Obuchowski was senior vice president of Investor Services Technology. In that role, he was responsible for the software engineering and production support operations associated with global market data, help and guidance technology, eCommunications, active trader, global trading, and bank technology.

In March 1998, Mr. Obuchowski joined the active trader brokerage and technology firm CyberCorp (renamed CyberTrader), which was acquired by Charles Schwab in March 2000. During his tenure at Schwab, his responsibilities ranged from systems implementation and integration to customer support and middle-office operations. After integrating the CyberTrader broker-dealer in 2007, he joined Schwab Technology Services as vice president of global market data solutions.

Mr. Obuchowski earned his bachelor’s degree in political science at the University of Illinois at Urbana–Champaign. He also completed the general management program at the Stanford Graduate School of Business.

Catch every expert. The insights are too valuable to miss.

Dive deeper into topics that matter.

Our expert-led education sessions will have you asking all the right questions.

View education sessions

The content on the IMPACT® website and in discussions at the IMPACT conference are meant for general informational purposes. The views expressed are not intended to provide specific financial, accounting, compliance, tax, regulatory, or legal advice.

Third-party firms, speakers, panelists, sponsors, and exhibitors are not affiliated with or employed by Schwab. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.

The IMPACT Awards® are not a referral to, endorsement or recommendation of, or testimonial for the advisor with respect to its investment advisory or other services.

Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

Charles Schwab & Co., Inc., receives remuneration from fund companies for recordkeeping, shareholder services, and other administrative services for shares purchased through its Mutual Fund OneSource® service. Schwab may also receive remuneration from transaction fee fund companies for certain administrative services.

Charles Schwab Advisor Services® serves independent investment advisors and includes the custody, trading, and support services of Schwab.

©2017 Charles Schwab & Co., Inc. (“Schwab”). All rights reserved. Member SIPC. PER 0517-Z2F2

Final Night Event at Petco Park
featuring Grammy Award—Winning Group

Los Lobos

Final Night Event at Petco Park
featuring Grammy Award—Winning Group

Los Lobos

For more than 30 years, East L.A.’s Los Lobos has been one of America’s favorite and most prolific bands, gracefully moving across genres and building a loyal fan base with unforgettable live performances.

The quintet boldly brought Chicano roots into the musical mainstream through an irresistible mix of Tex-Mex, blues, country, folk, and old-fashioned rock and roll. They provided the musical backdrop for the films La Bamba and Desperado, the first of which produced the band’s runaway #1 hit, “La Bamba.” Los Lobos is also well known for its studio collaborations with such musical icons as Elvis Costello, Paul Simon, Ry Cooder, and The Fabulous Thunderbirds. The band has amassed numerous industry accolades over its illustrious career, including three Grammy Awards.

Watch a Los Lobos music video here.

Don’t miss an unforgettable evening at Petco Park, featuring the music of two Grammy Award-winning SoCal originals: Jason Mraz and Los Lobos.

Wednesday, October 26
7:00 p.m.–10:00 p.m.

Map it

General

What is the purpose of the IMPACT Awards® program?

Independent investment advisors have fundamentally changed the financial services landscape by providing client-centric, independent advice to affluent investors. Established in 2006 by Charles Schwab & Co., Inc. (“Schwab”), the IMPACT Awards honor firms that have advanced the industry and have achieved success through exemplary business practices.

As a response to the integration of the independent investment advisor and independent retirement plan provider communities in 2014, an award was added to recognize the unique achievements this group has brought to the retirement plan industry. In addition to the recognition, the awards program provides independent investment advisors and independent retirement plan providers with an opportunity to learn what leading firms are doing by sharing the winners’ best practices and achievements.

What are the IMPACT Awards categories?

Learn more about each IMPACT Award.

How many awards are given?

One winner is selected for each of the four awards.

Do winners receive any prizes?

Winners of each award category are honored at the ceremony, with each firm receiving a trophy and a $15,000 donation to a charitable organization of the winner’s choice. The selection of each winning firm’s charity is subject to Schwab’s approval.

Eligibility

Who is eligible for the IMPACT Awards?

Learn more about the eligibility requirements.

Must my firm have a relationship with Schwab to be eligible for consideration for an IMPACT Award?

Yes. To be considered for an IMPACT Award, firms must use Charles Schwab, Charles Schwab Advisor Services, or Charles Schwab Bank to custody client assets.

Nominations

How do you participate in the IMPACT Awards program?

Nominations for 2017 are now closed. You can sign up to receive email notification when 2018 IMPACT Award nominations are being accepted.

Is there a limit to how many nominations I can make?

You may nominate your firm once in each category for which you qualify.

If I participated in previous years, can I participate again?

Yes. We encourage you to participate every year. Best-in-Business and leadership award winners, however, will not be allowed to participate in any category for five years; previous Pacesetter Award winners may not participate in the Pacesetter IMPACT Award category again and must wait five years to participate in either of the other three award categories. Winners of the Best-in-Retirement Business IMPACT Award must wait five years before they are eligible for another award in any category.

Is there a fee to participate?

There is no fee to participate in the IMPACT Awards program.

Can I nominate my firm in more than one category?

Yes. You can nominate your firm once in each of the categories for which you qualify. However, multiple nominations for the same firm for the Best-in-Business IMPACT Award, Best-in-Retirement Business IMPACT Award, Pacesetter IMPACT Award, and Trailblazer IMPACT Award are not permitted.

Am I able to provide supplemental materials in addition to the nomination form as part of my award nomination?

At the time of nomination, only a completed form is accepted. Later in the process, Schwab may ask for additional information.

What if I do not complete the data requested on the nomination form?

All fields must be completed for a nomination to be accepted.

May I submit my nomination via regular mail?

No. Only nominations received through the nomination form are accepted.

May my firm use a previously published case study to fulfill the essay portion of the Best-in-Business IMPACT Award, Best-in-Retirement Business IMPACT Award, Pacesetter IMPACT Award, or Trailblazer IMPACT Award nomination?

Yes. Nominations may include previously produced content that is owned by the firm; however, information that is copyrighted by another source cannot be used.

Timeline and Notification

What are the program deadlines?

Nominations for 2017 are now closed. You can sign up to receive email notification when 2018 IMPACT Award nominations are being accepted.

When are the winners of the IMPACT Awards announced?

The IMPACT Awards will be presented at IMPACT 2017, a leading industry conference taking place November 14–17 in Chicago, Illinois. Information about the winners will be posted online after they are announced at the conference.

How are winners notified?

Winners will be notified in September via phone. Winners will be announced at the IMPACT Awards ceremony at IMPACT 2017.

Are runners-up chosen?

Only one winner for each category will be announced. No runners-up are selected.

Judging

How are winners selected?

Entries are reviewed to ensure that they meet all eligibility requirements and Schwab criteria. The remaining finalists are then judged by a distinguished panel of leaders from across the business world and financial services industry who understand the challenges and opportunities facing today’s investors and those who serve them. These judges convene to review finalist nominations and select the winners in each category. Final selection is subject to acceptance of the IMPACT Awards terms and conditions and final approval by Schwab. In granting its final approval, Schwab is guided by the criteria for the IMPACT Awards program and also considers which candidates best exemplify the prestige and purpose of the awards and reflect Schwab’s reputation in the marketplace for integrity, service, and value. Schwab has absolute discretion in approving the winners, and Schwab’s decisions in all matters related to the awards and the IMPACT Awards program are final.

What criteria are used to determine the winners?

Nominations for the IMPACT Awards are evaluated based on each firm’s ability to demonstrate success in the following areas.

Best-in-Business IMPACT Award

  • Business planning
  • Technology strategy
  • Practice management and employee development
  • Client loyalty

Best-in-Retirement Business IMPACT Award

  • Business planning in the retirement industry
  • Technology strategy in the retirement industry
  • Practice management and employee development
  • Client loyalty

Pacesetter IMPACT Award
Demonstrated accelerated growth in tandem with the following:

  • Business planning
  • Technology strategy
  • Practice management and employee development
  • Client loyalty

Trailblazer IMPACT Award
Demonstrated change in helping the industry reach new heights, for example:

  • Focused understanding of the unique needs of a specific client segment and a developed, innovative approach to serving them (i.e., a new business model, marketing strategy, or strategic plan)
  • Made a difference in the community through programs to educate new audiences about financial planning
  • Helped shape the industry’s future through advocacy efforts in Washington, D.C., or involvement with industry associations
  • Made strides in attracting and cultivating the RIA industry’s next generation of talent
  • Awards or other distinctions

How does Schwab use the information provided through the nomination form?

Information you provide is used to review and judge your nomination for the IMPACT Awards program. Schwab and the judging panel maintain the confidentiality of your nomination. Schwab does not sell the information collected. See the IMPACT Awards terms and conditions for more information.

How is objectivity maintained in the selection process?

Schwab uses the eligibility criteria to review all nominations received. Once Schwab confirms the finalists, a judging panel of industry experts selects the winners for all four awards. All IMPACT Award winners are subject to Schwab’s final approval.

Questions?
We’re eager to help.

Nomination process

You are now leaving the IMPACT® 2017 website

Return to IMPACT 2017 site