THE FALL, 2022 ETP FORUM
PRESENTED BY THE EXPERT SERIES
HELD NOVEMBER 17, 2022
Thank You for Attending the ETP FORUM!
The Fall 2022 ETP Forum returned, Thursday, November 17, 2022, at the New York Athletic Club. It was a successful, full day of informative panels, great speakers, valuable networking and more.
Our Keynote Speaker
Jason Hsu, Ph.D.
Chairman and CIO
Rayliant Global Advisors
Jason is Founder, Chairman and CIO of Rayliant Global Advisors, a global investment management group with more than US$15 billion in assets managed using its strategies, as of June 30, 2022. Rayliant applies quantitative methods to access behavioral-based alpha prevalent in inefficient markets like China. Jason also co-founded Research Affiliates, a global asset manager with US$143 billion in assets managed using its strategies as of June 30, 2022.
VIEW FULL BIOJason Hsu - Chairman and CIO | Rayliant Global Advisors, Professor of Finance | UCLA Anderson School of Management
Jason is a professor of finance at UCLA Anderson School of Management, and a visiting professor at Tsinghua University (China), Kyoto University (Japan) and National Chengchi University (Taiwan). Jason also sits on the editorial boards of several notable publications, including the Journal of Portfolio Management.
Jason has published more than 40 journal articles and is a contributing author to nine handbooks in finance and economics. He has won two Graham and Dodd Scroll Awards; one Graham and Dodd Reader’s Choice Award; one Graham and Dodd most prestigious award, three Bernstein Fabozzi/Jacob Levy Awards; and three William F. Sharpe Awards. He also co-invented the Fundamental Index, awarded best index by Global Pensions magazine in 2007, 2008 and 2009.
Our Featured Speakers
Julie Abbett - Head of ETF Distribution | J.P. Morgan Chase & Co
George Altman - Managing Director | VETS Indexes
Since joining VETS Indexes in 2020, George has developed and led the firm’s proprietary survey and recognition program, the VETS Indexes Employer Awards, as well as the Veteran Employment Benchmarking Service.
Over the 8 years prior to joining VETS Indexes, George oversaw the Best for Vets series of rankings at Military Times, including Best for Vets: Employers and Best for Vets: Colleges, overseeing all aspects of the process, from survey design to response evaluation to preparing the results for publication.
George worked for 14 years as a journalist, specializing in data projects, veterans’ issues and the federal and state governments. George was the Editor for Special Projects at Military Times, where he oversaw the organization’s coverage of veteran employment, education and transition out of the military.
George has appeared on cable news and worked extensively in front of the camera, conducting interviews, producing video content, and making TV and radio guest appearances. He has spoken about veterans’ issues at the Employing U.S. Vets Conference, the Council of College and Military Educators, and the Service Members of the Year Awards.
George lives in Washington, D.C., with his wife, Carrie, daughter Zoe and Moe, his cat.
Peter Baden - Chief Investment Officer | Genoa Asset Management
Additionally, Peter is the Chief Investment Officer and Portfolio Manager at Genoa Asset Management, a subsidiary of F/m Investments, managing over $600 million in taxable and tax-exempt bonds.
Mr. Baden has over 25 years of investment management experience, encompassing portfolio management, credit analysis, and mergers and acquisitions.
Previously, Peter worked at Pacholder Associates (now JP Morgan high yield), where he managed money market assets in multiple portfolios, and designed and developed proprietary portfolio systems for distressed companies, collateralized bond obligations, and legal settlement pools.
Mr. Baden earned a bachelor’s in business administration degree in Finance from the University of Cincinnati and an Associate of Science degree in Computer Technology/Computer Systems Technology from Miami University of Ohio. Mr. Baden is a CFA® charterholder.
Matt Barry - Vice President, Product Management & Head of Capital Markets | Touchstone Investments
Nicholas Bohnsack, CEO | Strategas Asset Management
He also serves as the Chief Executive Officer of Strategas Asset Management, the Firm’s affiliated $775 million (AUM/A) macro-thematic investment management firm. He is a portfolio manager of the Strategas Macro Thematic Opportunities ETF (NYSE:SAMT) and the Strategas Global Policy Opportunities ETF (NYSE:SAGP).
Nicholas co-founded Strategas in 2006. After a decade building the Firm in private partnership, Strategas Securities and Strategas Asset Management were acquired by Baird Financial Group in 2018. In addition to continuing as president of Strategas, now operating independently as wholly-owned Baird subsidiary companies, he is a Managing Director of Baird and a member of that Firm’s Operating Committee and Private Wealth Management Asset Allocation Committee. Prior to co-founding Strategas, Mr. Bohnsack was an Investment Strategist and Associate Managing Director with International Strategy & Investment (ISI) Group. He began his career in the Investment Banking Group at FactSet and in Restricted Securities at Morgan Stanley.
Mr. Bohnsack received his MS in Mathematics from Fairfield University and received bachelor’s degrees in Economics and Finance from Bryant University. He is a member of the Investment Committee for the Bryant University Endowment. Nicholas and his wife, Brooke, live in New York with their three sons.
Julie Cane - CEO and Co-Founder | Democracy Investments
The firm’s goal is to decrease the cost of capital for democracies which can correlate to increased economic growth, and the reverse for authoritarian states. Additionally, by making investment proportional to democracy scores and never dropping investment in a nation to zero, the strategy could create a market-based incentive for democratic reforms. Over time, Democracy Investments aims to influence capital flows in such a way that will encourage all countries to improve their democracy scores.
Julie Cane’s 20+ year background in financial services includes developing market leading innovations at Wells Fargo, Charles Schwab Advisor Services, SEI Investments and Autodesk Ventures. Julie began her career as a U.S. Naval Aviator flying the SH-3 Sea King helicopter conducting combat search and rescue training missions and torpedo recovery in San Diego and the Philippines. Julie holds a BA from the University of Virginia and an MBA from the Anderson School at UCLA.
Mike Castino - Senior Vice President | U.S. Bank
Education and credentials
Mike received his Bachelor of Arts degree in business management from Illinois State University and holds FINRA series 7 and 63 licenses.
Andrew Chanin - CEO/Founder | ProcureAM
Chanin currently holds Series 7, 63 and 65 licenses and received his BSM from Tulane University’s, A.B. Freeman School of Business.
Matt Cole - Head of Products & Investments | Strive Asset Management
Timothy Coyne - Global Head of Exchange Traded Funds | T Rowe Price Group, Inc
Tim’s ETF experience began in 2000 and he has been with T. Rowe Price since 2019. Prior to this, Tim was employed by State Street Global Advisors (SSGA) as a Senior Managing Director and Global Head of Capital Markets for SPDR ETFs. He also held previous roles as Managing Director of ETF Sales at the New York Stock Exchange and Director of Strategy and Order Flow Sales at the American Stock Exchange.
Tim earned a B.A. in Political Science from Merrimack College.
Troy Donohue - Managing Director, Global Portfolio and ETF Trading | BTIG
Ali Doyle - Managing Director, ETF Listings | Nasdaq
Fred Edwards - ETF Specialist | Neuberger Berman
Fred is a CFA Charterholder and holds a BA from Middlebury College.
Eric Falkeis, Chief Growth Officer | Tidal Financial Group
Adam Gould - Managing Director, Global Head of Equities | Tradeweb
Previously, he served as Senior Vice President of ETF Sales and Business Development at Direxionshares, where he helped launch ETF trading, building and managing client relationships among institutional investors to support the expansion of the business. Prior to that, Adam was a Portfolio Manager and trader in the Index Fund Asset Management group at the Bank of New York, helping to manage index funds and separately managed accounts. In that role, he also oversaw all trading activity and investment decisions for his portfolios.
Adam received a B.Sc. in Behavioral Science and Law from the University of Wisconsin and an MBA from Georgetown University. He current holds licenses for the FINRA Series 3, 7, 24, 55 and 63.
Chris Hempstead
Managing Dir. & Head of ETF & Global Portfolio Trading
Mirae Asset Securities
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Chris Hempstead - Managing Director, Head of ETF and AP Portfolio Rebalance Trading| Mirae Asset Securities (USA) Inc.
Tom Jarck - VP, Proprietary Product Development | MIAX Exchange Group
•25 plus years of experience in equity derivatives trading, market-making, business and systems development.
•Began career as a floor trader in SPX options, CBOE.
•Held senior trading and management roles at several of the largest Wall Street banks.
•Traded listed, OTC, light exotic products on Equity Index, Volatility Index, and the majority of ETF tickers.
•Involved in development and implementation of execution, risk and trading systems.
•Strong relationships across sell-side, market-makers, trading firms, brokers and the full spectrum of institutional clients.
Brian Kelleher - Chief Revenue Officer | Simplify Asset Management
Brian holds an MBA from the Wharton School of the University of Pennsylvania and a bachelor’s degree from Georgetown University. Brian and his wife, Robin, are active in the Downtown NYC community and are the proud parents of three smart and energetic boys.
Bruce Lavine - CEO | NightShares
Kevin Mahn - President and Chief Investment Officer | Hennion & Walsh Asset Management
Mr. Mahn is the author of the quarterly “CEF and ETF Insights” and “Market Outlook” newsletters as well as a co-author of the book, Exchange Traded Funds: Conceptual and Practical Investment Approaches, © 2009 Riskbooks. Articles written by Mr. Mahn have been published in The Journal of Investing and The Journal of Index Investing. Mr. Mahn is a contributor to Forbes, Talk Markets and Seeking Alpha.
Prior to Hennion & Walsh, Mr. Mahn was a Senior Vice President at Lehman Brothers where he held several senior management positions, including CAO of the High Net Worth Product and Services group within Lehman’s Wealth and Asset Management division as well as COO of Lehman Brothers Bank.
Mr. Mahn received his Bachelor’s degree in Business Administration from Muhlenberg College and his M.B.A. in Finance from Fairleigh Dickinson University (FDU). Mr. Mahn has also served as an adjunct professor at FDU within the Department of Economics, Finance and International Business. In 2015, Mr. Mahn received the “50 Under 50” award from the Silberman College of Business at FDU.
Mr. Mahn currently serves on the Board of Directors of NICSA and was formerly a Co-Chair of the NICSA UIT Industry Committee, winning the 2014 and 2016 NICSA MVP Awards for his accomplishments in that role. Kevin also won the Rising Stars of Mutual Funds Award from Institutional Investor in 2009.
Mr. Mahn has appeared in/on CBS News, Fox News, CNBC, Fox Business News, Wall Street Journal, Investor’s Business Daily, Fortune, Forbes, New York Times, Financial Times, USA Today, Bloomberg, Reuters, Nasdaq and Yahoo! Finance.
Hector McNeil - Co-Founder and Co-CEO | HANetf
Curt Meyer - Managing Director Sales & Marketing | Syntax Indices
Scott Peng - Founder, CEO/CIO | Advocate Capital Management
At the end of 2020, Scott forecasted that 10-year Treasury yield would reach 2.5% and 4% by the end of 2021 and 2022 respectively. Both of those calls were realized within 3 months of the respective year-ends.
Advocate launched its Rising Rate Hedge ETF (NYSE: RRH) at the end of October 2021. RRH’s year-to-date net return places it in the top 5 of 977 actively managed US ETFs as tracked by Bloomberg.
Scott holds a PhD in Applied Plasma Physics from the Massachusetts Institute of Technology.
Anthony Sassine - Managing Director, Senior Investment Strategist | KraneShares
Anthony is a frequent contributor to various U.S. and international media outlets, including Bloomberg, Asharq, and Cheddar News, and has been quoted by Reuters, Bloomberg, and Forbes.
Before joining KraneShares, Anthony spent eight years at Van Eck and Pinebridge as a strategist focusing on China and Emerging Markets. Anthony began his career in investment consulting with NEPC (formerly New England Pension Consultants) and Colonial Consulting. During this time, Anthony partnered with consultants on servicing institutional clients and assisting with asset allocation, manager selection, and portfolio analysis.
Anthony holds a master’s degree in Finance from New York University (NYU) and Hong Kong University of Science and Technology (HKUST). Anthony is a CFA charter holder.
David Sharp - Senior ETF Capital Markets Specialist | Vanguard ETF Capital Markets
David has over 15 years of experience in the financial industry, and prior to joining the ETF Capital Markets Team in 2015, he worked as a Block and Option Desk Trader, Block Desk Team Leader, and Foreign Equity Product Specialist for Vanguard Brokerage Services. David is a General Securities and Registered Option Principal, with vast experience trading domestic and foreign equities, as well as, equity and index options for the Vanguard’s High Net Worth retail and institutional clients.
Brett Sheely - Head of ETF Specialists | Alliance Bernstein
Jeremy Schwartz, CFA
Executive VP, Global Head of Research
WisdomTree Asset Management, Inc.
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Jeremy D. Schwartz, CFA - Executive Vice President, Global Head of Research | WisdomTree Asset Management, Inc.
Katie Stockton - Founder and Managing Partner | Fairlead Strategies, LLC
With help from the Fairlead Strategies team, Katie provides research and consulting services to institutions and individuals, and she is the portfolio manager for the Fairlead Tactical Sector ETF (TACK). Katie received her Chartered Market Technician (CMT®) designation in 2001, and later served as Vice President of the CMT Association from 2012 to 2016. For several years, she has been honored by The Technical Analyst, a U.K. based publication, including an award in 2022 for Best Cryptocurrency Research.
Katie graduated with honors from the University of Richmond with a BSBA, and she now serves on the business school’s Executive Advisory Council. She is a member of the Endowment Investment Committee for her church. Katie frequently shares her views on CNBC and other financial news networks.
Bibb Strench - Partner | Thompson Hine
Bibb began his career as a staff attorney in the Division of Investment Management of the U.S. Securities and Exchange Commission, where he was principally responsible for granting exemptive orders and responding to no- action and interpretive requests under the Investment Company Act of 1940 and Investment Advisers Act of 1940. He has argued 1940 Act issues in federal and state courts, including the landmark mutual fund independent director case, Yacktman v. Carson, et al, and participated in the development of the Uniform Statutory Trust Entity Act.
Our Sponsors
Executive Sponsor: BTIG
BTIG is a global financial services firm specializing in institutional trading, investment banking, research, and related brokerage services. With an extensive global footprint and more than 750 employees, BTIG, LLC and its affiliates operate out of 24 cities throughout the U.S., Europe, Asia, and Australia. BTIG offers execution, expertise and insights for equities, equity derivatives, ETFs, fixed income, currency, futures, commodities, foreign exchange, interest rates, credit, convertible and preferred securities. The firm’s core capabilities include global execution, portfolio trading, electronic and outsource trading, investment banking, prime brokerage, capital introduction, corporate access, commission management and more.
To learn more about BTIG, visit www.btig.com.
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