Conference Sponsors

The Angell Pension Group is a national leader in third-party administration and compliance, providing outstanding service and value to more than 3,000 clients nationwide. Known for our integrity, service and attention to detail, Angell Pension Group is a think tank for employee benefit plans. Founded in 1971 as an actuarial consulting firm, the Angell Pension Group has grown our services organically -- expanding our core services to fill our clients' needs. Today, we are one of the oldest and largest third-party administrators in the country. The Angell Pension Group provides a full array of administrative, actuarial, Section 125 and nonqualified services to a wide range of clients including manufacturers, labor unions, high-tech organizations and global industrial groups.


Compliance Solutions encompasses Schwab Designated Brokerage Services, Compliance11 employee-monitoring technology, and financial products and services for employees. Together these solutions can help turn your compliance program into an opportunity to get ahead of employee-monitoring tasks, tighten controls, promote a positive employee experience, and build long-term value across the entire company. Designated Brokerages Services, a division of Charles Schwab & Co., Inc., Member SIPC, provides technology solutions for corporate clients with regulatory requirements to monitor employee security transactions. Compliance11, Inc. and Charles Schwab & Co., Inc. are subsidiaries of The Charles Schwab Corporation.


DeMarco Sciaccotta Wilkens & Dunleavy, LLP is a full-service boutique accounting and advisory firm. With more than 75 years of collective experience at a leading U.S. accounting firm, our partners have earned the loyalty of clients nationwide. We are a Public Company Accounting Oversight Board (PCAOB) registered firm and have undergone peer review as administered by the American Institute of Certified Public Accountants.


Global Relay is the leading provider of cloud-based electronic message archiving, supervision, and eDiscovery solutions for the global financial sector, delivering services to 17,500 customers in 90 countries. Global Relay Archive securely captures and preserves email, instant messaging, mobile messaging, Bloomberg, Thomson Reuters, Twitter, LinkedIn, Facebook and more - with BlackBerry, iPhone, iPad, Android, Outlook and Web access. Global Relay has strategic partnerships worldwide, including an exclusive global Partnership for Thomson Reuters Messaging.


The heritage of INTL FCStone dates back to 1924 when a door-to-door egg wholesaler founded a business called Saul Stone and Company. Through organic growth, acquisitions and the 2009 merger between International Assets Holding Corporation and FCStone Group, we have become a global, Fortune 500 financial services organization. Today, INTL FCStone is relied upon by thousands of companies around the world for our wide array of services - many of which are not offered by any other organization of our type - and our in-depth industry knowledge and expertise. INTL FCStone's customers include the producers, processors and end users of virtually every major traded commodity; commercial counter-parties; governmental, non-governmental and charitable organizations; institutional investors; brokers; professional traders; commercial banks; and major investment banks. We offer these customers a comprehensive array of products and services. Among these services are our proprietary Integrated Risk Management Program (IRMP), as well as exchange and OTC execution and clearing services, designed to limit risk and enhance margins and bottom-line results; physical trading in precious metals and grains; a global foreign exchange and currency payment service; asset management; equities market-making; securities execution and trading; and investment banking advisory services.


Meridian-IQ, powered by S&P Capital IQ Research, is the newest, deepest and most up-to-date database of financial intermediaries on the market. We have hundreds of data points on every RIA and Financial Advisors across the country, with unique and actionable information that no other firm possesses. Meridian-IQ, developed by industry leading professionals, has workflow tools that make it easier to market and analyze Financial Firms and Advisors within the financial services industry.


North American Professional Liability Insurance Agency, LLC (NAPLIA) is the leading independent agency in the country specializing in professional insurance products for Financial Professionals.


The National Society of Compliance Professionals is a nonprofit, membership organization dedicated to serving and supporting compliance professionals in the securities industry. NSCP is for compliance, by compliance - it is our mission to provide professional resources to compliance professionals through our unequaled network of peers, professional education, regulatory interaction and professional standards.


The ProSeeder platform is a cloud-based deal platform which enables broker-dealers to manage private placements from due diligence to closing. It provides a seamless and secure combination of deal execution tools, CRM, virtual data room and many other benefits. Clients include Golden Seeds, Keiretsu Forum, and Digital Entertainment Ventures.


Proxy Mosaic is an innovative shareholder advisory firm built around a client-centric, risk-focused model. We help investors of all sizes leverage proxy voting into enhanced ROI through unparalleled customized research. We go beyond vote recommendations with deep industry, company-specific insight and meaningful shareholder engagement. For more information, please call Nathan Ibarra, Vice President - Sales at 212.961.7506 Ext 1 or visit us at www.proxymosaic.com.


Full BD and RIA registration services. Specialists serving the ongoing compliance needs of Broker-Dealers and Registered Investment Advisers. Registered Rep registrations, renewals, Continuing Education management. Manuals, including Supervisory Procedures, Anti-Money Laundering, Business Continuity and Identity Theft. Office inspections, AML reviews, and mock FINRA/SEC exams. FINOP and other accounting services. Visit www.RegulatoryCompliance.com for more information or call today 603-434-3594.


Smarsh provides hosted solutions for archiving electronic communications, including email, instant messaging and social media platforms such as Facebook, LinkedIn and Twitter. Founded in 2001, Smarsh helps organizations manage and enforce flexible, secure and cost-effective compliance and records retention strategies. Smarsh offers integrated modules within its email archiving suite for classification and policy management, data-leak prevention and encryption. The SaaS (Software-as-a-Service) delivery model enables clients to eliminate IT infrastructure costs and minimize operating burden, while benefiting from Smarsh expertise in hosting large volumes of mission-critical client data.


Founded in 1879, Starkweather & Shepley Insurance Brokerage, Inc. (S&S) was recently ranked the 74th largest insurance brokerage in the world by Business Insurance magazine. S&S offers all lines of insurance including commercial and personal lines as well as one of the leading Employee Benefits Group in the country. Our Investment Industry Practice Group, led by Andrew Fotopulos, specializes in providing coverage such as Professional and Directors & Officers Liability, Fidelity Bonds and Cyber/Privacy Liability to financial advisors, investment management consultants, private equity, venture capital, mutual fund and hedge fund groups. Our team is dedicated to staying on top of issues that may affect our clients' liability.