NICSAtalk

In this timely episode of The Nine, we explore the growing interest in dual share class ETFs—a product structure that could significantly reshape the investment landscape. Host Sarah Walter is joined by Christopher Swansey and Daniil Shapiro of Cerulli Associates, who offer expert insights into why asset managers are filing for SEC exemptive relief, how this structure works, and what it will take for it to succeed.From operational complexities and intermediary concerns to fiduciary implications and platform readiness, this episode is a must-listen for anyone navigating product innovation in a rapidly evolving regulatory environment.

In this episode of The Nine, Sarah Walter welcomes Cheri Belski, Head of Investment Management Solutions at LPL Financial, for a dynamic conversation on leadership, adaptability, and the evolving future of asset and wealth management.Cheri shares how an unconventional path—from politics to portfolio strategy—fueled her growth and helped her develop a mosaic view of the industry. From betting on herself in pivotal career moments to leveraging curiosity as a strategic tool, her story is a masterclass in career agility. She also offers powerful insights on how firms can blend technology and human connection to create client experiences that truly stand out.More at nicsa.org/podcasts

In this inspiring episode of The Nine, host Sarah Walter is joined by Frank Heavey, Executive Director of the Expect Miracles Foundation (EMF). Frank shares the mission behind EMF—from raising over $23 million for cancer research to supporting young adult survivors—and offers a look into the Foundation's most powerful initiative: the 2025 Distance Challenge.Learn how this global, virtual movement brings the financial services industry and beyond together to raise funds, build community, and most importantly—spread hope. Whether you're logging miles, fundraising, or simply showing up, Frank reminds us that everyone can go the distance in the fight against cancer. Learn more at emfdistancechallenge.org

In this episode of The Nine, we're joined by Eric Pan, President and CEO of the Investment Company Institute (ICI), for a timely and insightful conversation on the evolving landscape of asset and wealth management. Fresh off the stage at Nicsa's Strategic Leadership Forum, Eric shares his thoughts on how political shifts, technological innovation, and generational preferences are reshaping the investment world. From navigating regulatory change to embracing uncertainty in his own career path, Eric offers practical wisdom for both seasoned professionals and rising leaders.Tune in for a forward-looking discussion on what it means to serve the end investor—and how our industry can rise to the challenge.

​In this special episode, we sit down with five exceptional professionals from Nicsa's Rising Stars program to discuss their transformative experiences at the 2025 Strategic Leadership Forum. From building powerful networks to embracing authenticity in the workplace, these future industry leaders share key takeaways that are shaping their careers. Tune in to gain insights on leadership, mentorship, and the evolving landscape of asset and wealth management. 

In this episode of The Nine, Mike Dembro, Lead Investment Strategist at MFS Investment Management, shares his journey from early investing lessons to navigating major financial crises. Fresh off the stage at Nicsa's Strategic Leadership Forum, he discusses the importance of resilience, industry shifts, and why staying the course matters in volatile times. More at http://nicsa.org/podcasts

In this episode of The Nine, we sit down with Rob Kane, Director of Alternative Investments at Commonwealth Financial Network, to explore his unconventional path into asset & wealth management. Rob shares how his background in sports shaped his path to this industry, the pivotal moments that defined his leadership, and why he gravitated toward alternative investments.He also dives into the future of the industry, from the rise of younger investors to the growing impact of AI and innovation. Plus, his advice to newcomers: embrace failure, stay adaptable, and find your niche.More episodes at http://nicsa.org/podcasts

In this bonus episode of The Nine, host Justine Phoenix sits down with Sarah Walter, Nicsa's new Head of Asset & Wealth Management Relationships. Sarah shares her unconventional journey from studying agricultural economics in Montana to becoming a leader in the financial services industry. She reflects on pivotal moments in her career, including the power of mentorship, navigating industry challenges, and adapting to constant change. Sarah also offers her perspective on the future of asset and wealth management, from blockchain to alternatives, and leaves listeners with empowering advice for career growth.  A must-listen for anyone navigating the dynamic world of asset & wealth management!For more, visit http://nicsa.org/podcasts

We chat with David Wu, Head of Generative AI at Morgan Stanley Wealth Management. From his unconventional path inspired by the film "Wall Street" to leading in AI without a tech degree, David shares pivotal career moments, the importance of mentorship, and lessons in leadership. Discover how he envisions AI empowering human connection in wealth management and his advice for navigating an ever-evolving industry.For more, visit http://nicsa.org/podcasts

Fresh from leaving a leadership role at John Hancock to accelerate growth in her family's auto business, Michelle Fuller talks to us in person at Nicsa's 2024 Asset and Wealth Management Summit, reflecting on the people and circumstances she encountered along the way. You won't want to miss the extraordinary story of how she turned a family challenge that initially seemed career-ending into a net positive for her work trajectory - a real testament to how shifting our expectations can pay off.For more, visit http://nicsa.org/podcasts

Join us in a discussion with PwC's John Stadtler that includes lessons learned, career advice, and his take on some of the asset and wealth management industry's most important topics. For more, visit http://nicsa.org/podcasts

Gary Casagrande traces his path through the industry, highlighting the value of continued learning throughout your career, as well as the work you'd need to put into networking in order to get the best returns. Hear about all that and much more in this episode of NicsaTalk.For more, visit http://nicsa.org/podcasts

Dr. Omar Aguilar, President, CEO, & CIO of Schwab Asset Management, reflects on his background and highlights the importance of being flexible about your career path. Recorded on-site at Nicsa Diversity Project North America's Fearless Leadership Symposium 2024.For more, visit http://nicsa.org/podcasts

The Association of the Luxembourg Fund Industry's new CEO Serge Weyland shares some of the challenges he overcame and lessons he learned along the way. Recorded on-site at Nicsa's Strategic Leadership Forum 2024.For more, visit http://nicsa.org/podcasts

Hear from MFS CFO Amrit Kanwal about his background, lessons learned, and advice. Recorded on-site just after he came offstage at Nicsa's Strategic Leadership Forum 2024.For more, visit http://nicsa.org/podcasts

Yie-Hsin Hung shares some of the defining moments of her career so far, and some of the lessons learned along her journey to be SSGA's President & CEO. Recorded at Nicsa's Strategic Leadership Forum 2024, where Yie-Hsin answered audience questions alongside Edward Jones' Penny Pennington in our annual Face the Membership panel.For more, visit http://nicsa.org/podcasts

In this Special Edition episode of NicsaTalk, Expect Miracles Foundation Director of Development Maggie Dombroski joins Nicsa's Justine Phoenix to talk about EMF's annual Distance Challenge, a global peer-to-peer fundraiser where participants can run, walk, bike, or do anything else that gets them moving in support of cancer research. How far will you go to leave cancer behind?https://www.emfdistancechallenge.org/http://nicsa.org

Listen in as the top leader at Edward Jones, Managing Partner Penny Pennington, shares moments that defined her career, ways her family guided her, and her vision for the future of the asset and wealth management industry. Recorded at Nicsa's Strategic Leadership Forum 2024, where Penny answered audience questions alongside State Street's Yie-Hsin Hung in our annual Face the Membership panel.For more, visit http://nicsa.org/podcasts

Our guest Marty Flanagan served as a director, President, and Chief Executive Officer of Invesco, one of the world's leading investment management firms, for nearly twenty years. Join us for a frank conversation about his career and lessons learned in his long and high-reaching leadership journey. Recorded at Nicsa's Strategic Leadership Forum 2024, at which Marty received Nicsa's Lifetime Achievement Award.For more, visit http://nicsa.org/podcasts

FS's Chief US Economist, Lara Rhame, joins Justine Phoenix on the NicsaTalk Podcast, recorded in person at Nicsa's General Membership Meeting in November 2023. Tune in to hear a bit about her outlook on the economy, but stay to learn how she manages work/life balance and other lessons she's learned in her career. For more episodes, visit http://nicsa.org/podcasts.

John Hancock's Head of Alternative Products, York Lo, shares insights from his career, and his unique perspective. This episode was recorded live on the floor of Nicsa's annual General Membership Meeting in November 2023.For more, visit http://nicsa.org/podcasts

Recorded live on the floor of Nicsa's annual General Membership Meeting in November 2023, in this episode, Bank of America's Lorna Sabbia shares her perspective and some of the key experiences and lessons that shaped her career.For more, visit http://nicsa.org/podcasts

Recorded live on the floor of Nicsa's annual General Membership Meeting in November 2023, this episode features American Century's Joe Schultz. In it, he delves into his background, and shares one big networking strategy that he would have done even more of if he could go back in time.For more, visit http://nicsa.org/podcasts

Franklin Templeton's Co-Head of Retail Sales Mark Lavan joins Nicsa's Justine Phoenix to talk about his career path, how he found the right role for himself, and lessons learned along the way. http://nicsa.org/podcasts

Steve Rueschoff of Edward Jones shares his path to the upper reaches of the asset and wealth management industry, and how events that seem less than ideal at the time can turn out to be the best things to happen in your career.More at http://nicsa.org/podcasts

Michelle Thompson-Dolberry of MFS shares her unique journey in the asset and wealth management industry, and what she's learned about the importance and value of bringing one's authentic self to the job.More at http://nicsa.org/podcasts

Stacy Bernstein, Vice Chair of the Nicsa Board of Directors and Head of Financial Intermediaries at American Century Investments, shares how she turned challenges - such as 11 bosses in 10 years, and taking on a new leadership role fresh out of maternity leave -  into growth and success.More at http://nicsa.org/podcasts

This month's guest is Clint Harris, CFA, EVP, Head of Wealth Management Platforms and Invesco Global Consulting at Invesco US, and Member of Nicsa's Board of Directors. He shares lessons learned about leadership, and his take on where asset and wealth management is heading.For more, visit nicsa.org

In this episode, recorded live on the event floor of Nicsa's 2023 Strategic Leadership Forum during a networking breakfast, Ameriprise's Sandy Bolton shares the unexpected path of her career and how success is not always a straight line upward. 

Meet Sibil Sebastian Patri, CFA, CAIA: VP of Strategy and Corporate Development at American Century Investments, and host of the CFA Institute's podcast series My CFA Charter Story. In this episode of NicsaTalk, she chats with Nicsa's Justine Phoenix about her background, what she's learned in her career, and how to foster a successful organizational culture.Listen to My CFA Charter Story here: https://www.cfainstitute.org/en/events/podcastsVisit http://nicsa.org/podcasts for more episodes

Justine chats with Kevin Mahn, President & CIO at Hennion & Walsh Asset Management. He shares how surviving the 9/11 terrorist attack changed the trajectory of his career and his life, alongside sharing some career advice and industry insights.Let us know what you think at https://www.linkedin.com/company/nicsa/ and visit nicsa.org to learn more.

Justine chats with Nicsa's Board Chairman and Head of Product Development and Strategy at Columbia Threadneedle, Scott Brady. They touch on hot product trends in the financial industry, career advice, and "Workplace Karma".Let us know what you think at https://www.linkedin.com/company/nicsa/ and visit nicsa.org to learn more.

NicsaTalk is relaunching with a whole new format! Every month, we'll share a 15-minute conversation with one of the global asset management industry's best and brightest. They will share stories of their personal and professional journeys, and give you access to important lessons they've learned, for both business success and professional development.In this series premiere, NICSA CEO Jim Fitzpatrick will introduce the host of the new NicsaTalk, Justine Phoenix. She's Nicsa's Vice President of Distribution & Broker Dealer Engagement, and Head of Nicsa's Diversity Project North America. Let us know what you think at https://www.linkedin.com/company/nicsa/ and visit nicsa.org to learn more.

In honor of Black History Month, Nicsa’s Diversity Project North America asked three of our members to share their perspectives and personal stories as black women in the asset management industry They outline their career journeys, recount stories of how allies and mentors helped them along the way, provide tips for how colleagues can be effective allies, and impart advice for those just starting their careers in asset management. For more from them, watch our video at www.nicsa.org/BHM

As part of its Listen, Learn & Lead series, Nicsa hosts an important discussion with Latinx professionals in the asset management industry about their personal journeys, including career growth opportunities, business relationships, entry into finance.

Join us for an important discussion about race in the asset management industry. Hear from a range of generational perspectives about what it means to be a Black senior leader, mid-level manager, or new entrant in the industry. 

Join Delta Data and a panel of industry experts for a deep dive into the challenges and opportunities related to market modeling programs. Nicsa.org, DeltaData.com

This panel from the Women in Asset Management Virtual Summit in September 2020 goes in-depth on how to make the asset management industry more inclusive in this era of digital and remote work. It featured panelists from Nicsa and Nicsa's Diversity Project North America members. Panelists: Justine Phoenix, Nicsa Niamh Fitzgerald, BMO Global Asset Management Paul Olschwanger, Aon Producer: Jeff Lamoreaux

A conversation about how allies can promote Diversity, Equity, and Inclusion, and a candid look at the obstacles impacting black people in the asset management industry. Featuring: Steve Duncan (BNY Mellon), India Gary-Martin (Leadership for Life), Maurice Tsuro (BlackRock), and Jason Tyler (Northern Trust) Hosts: Allison Lovett and Justine Phoenix Producer: Jeff Lamoreaux

FIS and other industry thought leaders discuss lessons learned from COVID19 and how to enhance immunity of the transfer agency in the event of future crises.  

Invesco's Nate Dierkling on the evolving FA practice, relationships, and model structures

Fidelity's Tricia Haskins on distribution disruptors, and technology adaptation

American Century’s Chris Lahna on why collaboration is so important when tackling diversity and inclusion issues

Merrill Lynch’s Sandy Bolton on leading trends in product and distribution business models  

BlackRock’s Eve Cout on the use of model portfolios to manage client investment strategies

Eric Johnson of DFIN shares insights on evolving customer and regulatory demands

The Who, Why and How of the Diversity Project North America

How data is impacting servicing models

Trends and opportunities on the ETF landscape.

Recruitment and Retention Strategies for Asset Managers.

Learn how asset managers can turn the digital transformation into opportunity.