Vikram S. Pandit (Moderator)
Chairman & CEO, The Orogen Group

Vikram S. Pandit is the Chairman and Chief Executive Officer of The Orogen Group, an operating company he created with Atairos Group that makes control and other strategic investments in financial services companies and related businesses.

Mr. Pandit spent his career in financial services and has been a participant in and a catalyst for some of the tremendous changes the industry has experienced over the last several decades. He joined Morgan Stanley in 1983 and ultimately became President and Chief Operating Officer of the company’s institutional securities and investment banking businesses. Mr. Pandit left Morgan Stanley to become a founding member and chairman of the members committee of Old Lane, LP.

When Old Lane was acquired by Citigroup in 2007, Mr. Pandit became Chairman and CEO of Citi Alternative Investments and later led Citi’s Institutional Clients Group. He became CEO of Citigroup in December 2007 and led the company during the most challenging economic and financial crisis since the Great Depression, successfully recapitalizing, restructuring and revitalizing the company before he left in October 2012.

Mr. Pandit is a member of the Board of Directors of Virtusa Corporation, Fair Square Financial Holdings, JM Financial Credit Solutions Ltd., and Bombardier Inc. Mr. Pandit is a member of the Board of Overseers of Columbia Business School.

Mr. Pandit earned B.S. and M.S. degrees in engineering from Columbia University and received his Ph.D. in finance from Columbia in 1986.

Michael Armstrong
CEO of RBC Wealth Management

As CEO, Michael leads RBC&s wealth management growth strategy in the U.S. The strength and stability of RBC, combined with the firm&s client-first approach have long made RBC Wealth Management the top choice for clients and financial advisors. Michael brings together RBC&s first-class resources, talent and capabilities to provide trusted advice and wealth management solutions that help individuals, families and institutions achieve their financial goals.

Before joining RBC, Michael was the Managing Director and Global Head of Wealth Management at Jefferies & Co., where he led Jefferies& growth by expanding product and service offerings and attracting top financial advisors.

Prior to his time at Jefferies, Michael spent 25 years at Morgan Stanley and held a succession of senior management positions. In his latest assignment as the Global Head of Capital Markets for Wealth Management, he was responsible for all trading, content and risk management activities in the debt, equity and structured product markets for 17,000 financial advisors.

Previously, Michael served as the Global Head of Morgan Stanley Private Wealth Management, a business dedicated to the wealth management and private banking needs of ultra-high net worth individuals, their families and endowments in the U.S., Europe, Asia, Latin America and Middle East. Michael began his career as an institutional fixed income derivatives sales professional and later developed the fixed income and equity middle markets businesses for Morgan Stanley. He also served as the COO of non-Japan Asia in Hong Kong and the Head of International Prime Brokerage in London.

In addition to these roles, Michael was named to the firm&s Management Committee, the Wealth Management Executive Committee and to the board of the Morgan Stanley Swiss Bank. Michael received his BA from Duke University and his MBA from Harvard Business School. He has two college-age children and lives in Minneapolis.

Michael J. McVicker
Managing Director at UBS Wealth Management

Michael currently serves as Head of Management and Strategy for WMA Investment Platforms & Solutions. In this role, Michael helps manage the development and delivery of planning and investment platforms, solutions and advice to the field. Michael joined UBS in August 2014 as Head of Business Development and Solutions for Private Wealth Management where he helped lead the PWM business and collaborated with colleagues throughout the Home Office and field to expand the firm’s expertise and solution set for ultra-high net worth clients.

Prior to joining UBS, Michael spent five years at Credit Suisse where he served as Deputy Head of Private Banking product and advisory groups for North America. Prior to that, Michael held several positions at Morgan Stanley Global Private Wealth Management, including Head of PWM USA, Chief Operating Officer of PWM USA and Latin America, and Global Head of Risk Management. Earlier in his career, Michael was a corporate lawyer at Shearman & Sterling.

Michael received a B.A. in economics from Boston College and a J.D. from St. John’s University School of Law.

Michael lives in Larchmont, New York, and is married with four children and one grandson.

John Straus
CEO of FallLine Securities

Having led several major wealth management firms and businesses, John brings a broad management skill base and experience set to FallLine and is a Managing Partner and Co-Founder of the Firm. He is responsible for FallLine&s overall business management, firm strategy and business development. John has a substantial perspective on the industry, and specific expertise in growing and developing wealth management businesses, development and implementation of best practices in the industry, key client development and retention techniques and initiatives, and utilization of operating efficiencies. John was most recently a Partner and Co-Founder of FallLine Strategic Advisors, and a Managing Director and Head of Private Wealth Management at UBS Wealth Management Americas and Chairman of UBS Private Bank Americas. Previously, he was a Managing Director and Head of Private Banking in the United States for J.P. Morgan, and a Managing Director and Head of Private Wealth Management at Morgan Stanley.

John received his Bachelor of Sciences degree in finance from Boston College (cum laude) and his MBA from DePaul University. He has his FINRA Series 4, 7, 8, 24, 52, 53 and 63 securities licenses.

Gregory J. Fleming
Senior Research Scholar in Law and
Distinguished Visiting Fellow, Center for the
Study of Corporate Law

Gregory J. Fleming is a leading authority in the global financial services industry. He will become Chief Executive Officer of Rockefeller Capital Management in early 2018. He is the former President of Morgan Stanley Wealth Management and Morgan Stanley Investment Management. He joined Morgan Stanley in February 2010 and left in early 2016. Prior to joining Morgan Stanley, Mr. Fleming served as President and Chief Operating Officer of Merrill Lynch from June of 2007 to early 2009. Previously Mr. Fleming ran Merrill Lynch’s Global Investment Banking business and joined Merrill Lynch as an investment banker in 1992. He also had been a principal at Booz Allen Hamilton.

Mr. Fleming is a director of Colgate University, a member of the Board of Advisors for the Yale Law School Center for the Study of Corporate Law, the Council on Foreign Relations, the Economic Club of New York, a Director on Turn2 Foundation Board, a Trustee at Deerfield Academy and a member of the Ronald McDonald House Board of Directors. He is a Phi Beta Kappa, summa cum laude graduate in economics from Colgate University and received his J.D. from Yale Law School.

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