31ST ANNUAL PENSION AND FINANCIAL SERVICES CONFERENCE THRIVING IN THE NEW WORLD OF FINANCE PROGRAM BOOK DECEMBER 7-10 4 Welcome from NASP Board Chair and NASP President & CEO 5 Official Letters 8 Board of Directors 2020 9 Committee Members 10 Conference Planning Committee 12 2020 Plan Sponsor Advisory Committee 14 Award Winners TABLE OF 18 Past Award Recipients 22 Featured Speakers CONTENTS 38 Schedule of Events 38 Day 1 | Monday, December 7 42 Day 2 | Tuesday, December 8 48 Day 3 | Wednesday, December 9 54 Day 4 | Thursday, December 10 55 Post Conference Sessions | Wednesday, December 16 59 NASP and MIDA Staff 60 2020 Corporate Partners | Conference Sponsors | Strategic Partners 63 Acknowledgments Welcome from NASP Board Chair and NASP President & CEO Official Letters THRIVING IN THE NEW WORLD OF FINANCE WELCOMEFROM NASP BOARD CHAIR AND NASP PRESIDENT & CEO December 2020 On behalf of the Board of Directors of the National Association of Securities Professionals (NASP), we welcome you to the virtual NASP 31st Annual Pension and Financial Services Conference. We wish to thank our members, corporate and strategic partners, conference planning committees, plan sponsors, National Association of Securities Professionals and staff for your hard work and dedication to this year’s conference. While this year is truly different, your 1937 14th Street NW resiliency has allowed us to make this virtual conference experience a great one. Second Floor Washington, DC 20009 Our theme, “The Future is Now: Thriving in the New World of Finance”, was chosen months before the COVID-19 pandemic, but could not be more timely. This year has tested all of us in many different ways: untimely death of loved ones, heighten racial tension, demand for social and economic justice, a tumultuous election season, ongoing Dear Friends of NASP, political acrimony, and a global pandemic. st We will be exploring how to navigate this new environment while remaining focused on the future. Although we It is with great pleasure that I welcome you to the 31 Pension and Financial Services cannot be together in person this year, we still have a content-rich experience planned for you. We have prepared Conference. We are excited to virtually host you in Chicago. While the conference format has four and a half days of programming. Some highlights include: changed, NASP’s advocacy for people of diverse backgrounds in the financial securities industry has • Building a Dynamic Firm - strategic and operational tools needed to prepare your firm for never been stronger. future growth I am proud to serve as an honorary co-chair of this year’s annual conference entitled, “The • Women’s Forum - prominent Black women in FinTech, global finance and finance Future is Now: Thriving in a New World of Finance.” We will underscore the importance of entrepreneurship advocating for equal representation and inclusion, doing our part to break down barriers, and • Discuss how to expand opportunities for minority women collaborating to bring more women and people of color into the fold. • Joyce Johnson Award Ceremony and Fireside Chat - Mellody Hobson President & Co- CEO, Ariel Investments dialogues with Arlene Isaacs-Lowe, Global Head of Corp. Social Our country is at a major crossroads, let us use this opportunity to change our country for the Responsibility, Moody’s Foundation betterment for all. • Mayors, state treasurers, and other elected officials discuss current issues and share their insights throughout the conference Thank you for joining us. We hope that you learn from this experience and it inspires you to • Africa and Emerging Markets Summit sessions - explore smart cities, the MiDA-USAID create new ideas that brings positive momentum to the financial services industry. partnership, African business opportunities, CIO perspectives, and ongoing USAID support Sincerely, of African growth and development We encourage you to take an active role throughout the virtual conference. Sincerely, Conference tools on the platform will facilitate networking. Make sure to visit our Virtual Expo Booth, and if you need career Michael Frerichs support, consider taking advantage of our Illinois State Treasurer career coaching on Wednesday afternoon. Our organization has worked diligently to ensure that every attendee has a beneficial experience, and we are confident that you will be empowered to move ideas into action and thrive! Our future is NOW! Guy T. Logan Ronald C. Parker Board Chairman, NASP President and CEO, NASP 4 | nasphq.org nasphq.org | 5 THRIVING IN THE NEW WORLD OF FINANCE December 2020 Greetings: On behalf of Cook County, I send warm regards to the National Association of Securities Professionals (NASP) as they kickoff their 31st Annual Pension and Financial Services conference. The theme of this year’s conference is The Future is Now: Thriving in the New World of Finance. This theme is fitting of a year in which so many of our daily lives and normal routines have had to quickly adapt to virtual settings, and the financial sector is no exception. I am grateful for the good work of NASP and their unwavering commitment to advancing racial equity in the securities and investments industry. The organization has a proven history of providing opportunities and resources to minority profesionals in order to create inclusive growth and development in the industry. Despite not being able to meet in person, NASP has convened a virtual conference featuring industry experts and visionary guest speakers. I hope that all participants and speakers enjoy the conference and send best wishes for a great event. Sincerely, Toni Preckwinkle President, Cook County Board of Commissioners 6 | nasphq.org nasphq.org | 7 Board of Directors 2020 Committee Members THRIVING IN THE NEW WORLD OF FINANCE BOARD OF DIRECTORS 2020 COMMITTEE MEMBERS EXECUTIVE COMMITTEE Leslie Bond Gennell Jefferson The NASP Institute (TNI) Institutional Tony Griffith Chief Executive Officer Managing Director, Business Bank of America Securities, Inc Guy Logan Attucks Asset Management Development & Private Equity Donald Sanya, CFA, CAIA Olu Rosanwo, CFA, CAIA Managing Director State Street Global Advisors RBC Asset Management Kabouter Management Miguel Thames Municipal Securities Division Reese Blair T.I.G. Advisory Citigroup Global Markets Inc. Partner Shawn Lytle Marques Highland Adam Rouse CHAIR Deloitte & Touche LLP President of Delaware Funds Diamond Hill Capital Management T. Rowe Price Donna Sims-WIlson Deputy Global Head of KAH Capital Richard Turnley, III Kathleen Colin Macquarie Investment Management Michael Holt Corey Mayo Regional Director, Inst’l Sales & Director-Investments DE Shaw & Co. Macquarie Marketing Oppenheimer & Co., Inc. Arthur E. McClearin Channing Capital Management, Director of Marketing Municipal Stephanie Roberts Rosa Moreno LLC Sidney Dillard The Williams Capital Group, LLC Garcia Hamilton & Associates Natasha Holiday CHAIR-ELECT Partner, Corporate Investment Kelly Chesney Banking Division Head Nadine Mentor Pluscios RBC Capital Markets, LLC Donna Sims Wilson Loop Capital Markets, LLC Mentor Holdings Inc. Tony Johnson President RVK Matt Bernstein Smith Graham & Co. Dale Favors Malik T. Murray Professional Development Citigroup IMMEDIATE PAST CHAIR Managing Partner Vice President Whitney Reid Adaptive Growth Leadership Institutional Marketing & Client T Rowe Price Series (PDS) Kevin A. Johnson Rendel L. Solomon Services Citigroup Principal Dyice Ellis-Beckham Ariel Investments Kelly Hardeman Robert Franklin Muller & Monroe Asset Managing Director Insight Partners Cargill Alex Zaman Management Public Funds Invesco Norice R. Rice Citigroup CHAIR APPT. Principal Kristin R. Finney-Cooke The Yucaipa Companies Sponsorship Africa & Emerging Markets Kila Weaver Senior Consultant Summit (AEMS) Plan Sponsor Outreach Vice President, Marketing & Client NEPC Stephanie Roberts James Haddon Committee (PSOC) Service Partner Ramirez Asset Management Ibrahim Savage FIS Group, Inc. Marcelia Freeman Garcia Hamilton & Associates Kathleen Colin CHAIR APPT. Investor Relations & Product Stephanie Roberts Marlon Brown Management Oppenheimer Lee Stephens Garcia Hamilton & Associates Clarendon Global Partners Erik Hall Clearlake Capital Group Executive Vice President Director BNY Mellon Art McClearin Ope Onibokun Grosvenor Capital Deirdre Guice Minor Williams Capital Group ARISE Management, LP Institutional Sales, US Miguel Thames TREASURER T. Rowe Price Managing Partner Edward Rozell Lee Stephens Global Investment Services T.I.G Advisory Loop Capital Linda Jordan BNY Mellon President James F. Haddon Paul Thornell Anton Britton The Jordan Group Managing Director Mehlman Castagnetti Tariye Gbadegesin Northern Trust SECRETARY Ramirez Asset Management Rosen & Thomas ARM-Harith Infrastructure Investment LTD David Baker Lewis, Esq. Mellody Hobson Mona S. Williams Marquette Chester Of Counsel Co-CEO Executive Vice President Invesco Henri Fouda Lewis & Munday Ariel Investments Progress Investment Wellington Management EX OFFICIO Management Company 8 | nasphq.org nasphq.org | 9 Conference Planning Committee THRIVING IN THE NEW WORLD OF FINANCE COMMITTEE CO-CHAIRS COMMITTEE CO-CHAIRS Queen Chinyere Quinn Nicole Melwood Elton Johnson Stephanie Roberts Linda Jordan Plan Marcelia Freeman AEMS AEMS Corporate Brokerage Plan Sponsor Outreach Sponsor Outreach (PSO) Program Committee & KUPANDA CAPITAL COMMONFUND AMERIVET SECURITIES (PSO) 2020 2020 & 2021 Institutional Committee Co-Chair GARCIA HAMILTON AND LINDA JORDAN FINANCE CLEARLAKE CAPITAL