Events & Webcasts

PLANADVISER National Conference

JW Marriot, Grande Lakes, Orlando, Florida
Oct 11 - 13, 2017

Speakers

Shlomo Benartzi

Professor Shlomo Benartzi
Professor at UCLA Anderson School of Management, and Senior Academic Advisor , Voya Behavioral Finance Institute for Innovation 

Shlomo Benartzi is a behavioral economist, interested in combining the insights of psychology and economics to solve big societal problems. His goal is to help people make better decisions on a very large scale. He received a Ph.D. from Cornell University's Johnson Graduate School of Management and is currently a Professor and co-chair of the Behavioral Decision-Making Group at UCLA Anderson School of Management. He has serves as a senior academic advisor for the Voya Behavioral Finance Institute for Innovation, voya.com/behavioralfinance.

Professor Benartzi's previous work has demonstrated the potential for far-reaching improvement. Along with Richard Thaler of the University of Chicago, he pioneered the Save More Tomorrow program (SMarT), a behavioral prescription designed to help employees increase their savings rates gradually over time. At one organization, SMarT increased employee savings rates from 3.5% to 13.6%. The SMarT program is now offered by more than half of the large retirement plans in the U.S. and a growing number of plans in Australia and the U.K. The program has also been incorporated in the Pension Protection Act of 2006, helping millions of Americans boost their retirement savings.

Professor Benartzi's current focus is online behavior, studying the ways in which people think differently on screens. The end goal is to use this knowledge to design more effective information and choice architectures, thus improving decision-making for millions of people at a time. Professor Benartzi is co-author of THE SMARTER SCREEN: Surprising Ways to Influence and Improve Online Behavior, published by Penguin Portfolio in 2015.

Professor Benartzi has supplemented his academic research with policy work and practical experience. He has advised government agencies in the U.S. and abroad while helping to craft numerous legislative efforts. He currently serves as Chief Scientist for the California Digital Nudge Initiative.
Jaime Benedetti

Jaime Benedetti
Certified Financial Planner Practitioner, Benedetti, Gucer & Associates

Jaime is a managing partner at Benedetti, Gucer & Associates, and heads their Qualified Retirement Plan Group. He is a former instructor of Employee Benefits and Retirement Planning at Emory University's Certified Financial Planner™ Program in Atlanta. He earned his Bachelor of Science in Computer Science from the University of Dayton and Georgia State University, and he holds the Certified Financial Planner™ and Chartered Retirement Planning Counselor designations. Benedetti, Gucer & Associates helps small to medium-sized businesses improve their Qualified Retirement Plan. They focus on plans in the $1 million to $10 million range. Plans of this size are often inefficiently designed and not regularly reviewed. As the company grows, more competitive plans and pricing models become available. This could mean better investment options, a higher level of service, and a more sophisticated plan design, all while lowering costs. To achieve this, BGA works directly with the owner, CFO or Head of Human Resources to design a Retirement Plan that best suits the needs of the company and its employees. By helping manage fiduciary risk, increase employee satisfaction, streamline investment selection and analysis, and identify cost efficiencies, the overall effectiveness of the Retirement Plan can be greatly improved. Jaime also works with doctors, dentists, and attorneys who need help designing more customized retirement solutions for the highly compensated members of their practice. Typically, physicians in successful medical practices have two primary concerns: reducing their income taxes, and protecting their assets from frivolous lawsuits. The right Qualified Retirement Plan can help do both. A native of Colombia, Jaime is fluent in Spanish and English. He was named one of Atlanta Magazine's Five Star Wealth Managers from 2009-2012, and 2014-2017, and has appeared on CNN en Español to address viewers' questions about the financial risks of starting a small business. He has served on the Board of Directors for Colombianitos, and is a member of the Financial Planning Association. Jaime has also served as a mentor and speaker for the National Hispanic Scholarship fund, and volunteers as a soccer coach at Oglethorpe University. He is happily married to his wife Christine, and they have two daughters, Cecilia and Camila.
Jeffrey Bograd

Jeffrey N. Bograd
Director, Managing ERISA Consultant, John Hancock Retirement Plan Services

Jeff Bograd is the Director, Managing ERISA Consultant for John Hancock Retirement Plan Services and has been with the company for more than 27 years. In this role, Jeff serves as a technical resource to John Hancock’s client service and sales teams, plan sponsors and financial advisors on complex compliance matters and optimal plan design. He provides ERISA and fiduciary training classes to John Hancock employees, plan sponsors and financial advisors and speaks at industry conferences on legislative and regulatory matters and achieving financial independence through plan design. Prior to his current role, Jeff managed the ERISA Consulting Group, served as an ERISA Consultant and managed the ERISA Compliance Department, responsible for all compliance testing, Forms 5500, and IRS and DOL plan audits. Jeff received a B.A. in Economics, cum laude, from Middlebury College. In addition, he is a Registered Representative and maintains his FINRA Series 6 and 63 registrations. Outside of work, Jeff enjoys reading about behavioral economics and personal finance, and playing and coaching lacrosse.
John Carl

John Carl
Founder and President, Retirement Learning Center

John Carl is Founder and President of Retirement Learning Center, the nation’s preeminent thought leader on retirement issues, as well as founding lecturer for The Retirement Advisor University (TRAU) at UCLA Anderson School of Management Executive Education, and Executive Director of the PLANSPONSOR Institute, the education and training arm of PLANSPONSOR. He also serves on the Government Affairs Committee for the National Association of Plan Advisors. As the “advisor to the advisors,” Carl is a highly sought after industry insider who travels the country educating groups of financial professionals on the very latest in retirement legislation, forecasts, and developments affecting the industry. A veteran of the retirement industry with over 25 years of experience, Carl has been featured on CNBC, CNN, Forbes, ABC News, The Wall Street Journal, USA Today, and CBS MoneyWatch.com, among others. Carl released his first book in 2009, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, which has won multiple APEX Awards for publishing excellence and serves as the basis continuing education workshops for financial advisors. It is now in its sixth edition. Carl’s extensive industry experience includes having run Alliance Capital’s Defined Contribution initiative as well as creating and running the state of Rhode Island’s 529 savings plan, CollegeBoundFund®. Later, Carl directed Global Product Management for the firm. Carl has also operated as a successful branch and regional sales manager for Prudential Securities, as well as an independent financial advisor. Carl is a graduate of Lehigh University, and has completed Executive Continuing Education coursework at Columbia University. Carl is based in New York, and maintains the firm’s consulting and content operations in Brainerd, MN.
Ken Catanella

Kenneth G. Catanella
Managing Director - Wealth Management, The Catanella Institutional Consulting Group, UBS

Ken, a Managing Director at UBS is a Certified Investment Management Analyst (CIMA®), having over 30 years of investment industry experience with 25 years at UBS. Ken heads up with his son Brian the Catanella Institutional Team in Philadelphia consulting to over $2.6 billion in retirement plan assets. In 2017 The Catanella Institutional Consulting Team was named Top 100 Retirement Plan Advisers by Plan Adviser Magazine. In 2016 The Catanella Institutional Consulting Team was named the Plan Adviser Team of the Year by Plan Adviser Magazine. In 2015 and 2016 Ken was selected by The Financial Times as one of the Top 401 Retirement Plan Advisers. In 2015 and 2017 Ken was selected by Barron's to moderate and speak at the annual Barron's Institutional Consulting Conference. In 2014 The Catanella Institutional Consulting Team was selected as one of PlanAdviser Magazine's Top 100 Retirement Plan Adviser Teams In 2013 Ken was selected to the Institutional Consulting Advisory Board of UBS. This group sets policies and procedures for all Institutional Consultants at the firm. In 2011 Ken was named by the 401kWire as the Number One 401k Plan Advisor for Mid-Market Retirement Plans in America. In 2008 during the financial crisis, Ken was selected to be one of two Institutional Consultants to be a member of the UBS Financial Services Investment Committee of the Americas with respect to the investment of assets of the firm's Pension and 401k Retirement Plans covering over 17,000 participants. Ken holds an undergraduate degree from Butler University where he played Varsity Football.
Edward Chairvolotti

Edward Chairvolotti
CEO, Chairvolotti Financial

Edward is the founder and Chief Executive Officer of Chairvolotti Financial, Inc., which is a national Retirement Plan Consulting firm. With over 30 years of investment experience in the securities industry he has extensive knowledge in asset management, financial consulting, retirement planning and assessing qualified retirement plans.
Jason Chepenik

Jason Chepenik
Managing Partner , Chepenik Financial

Chepenik Financial is a family owned firm, which was founded in 1973 by Barnett Chepenik. As a Managing Partner of Chepenik Financial since 1999, Jason Chepenik oversees the executive compensation and retirement plan consulting for organizations spanning a wide range of industries, including several Fortune 1000 companies and encompassing more than 50,000 employees. Over just the past few years, Jason has consulted on more than one billion dollars of plan assets. Recently, PLANADVISER magazine named Jason a finalist for the most successful retirement plan manager in the country. Jason is considered a thought leader in his field and is acknowledged with respect, insight, and passion toward the improvement of the industry. Beyond his work with Chepenik Financial, Jason is an active and respected member of the business community, contributing his financial expertise to various organizations, including private enterprise, non-profits and government agencies. Jason resides in Winter Park FL with his two beautiful girls, Gabby and Zoe, and his dog Sebastian!
Steve Christenson

Steve Christenson
EVP, Retirement and Health Savings Plan Services, Ascensus, Inc.

Steve Christenson is executive vice president at Ascensus—a technology-enabled solutions provider that helps more than 7 million Americans save for the future—where he oversees retirement and health savings products and services. These products and services include documents, education services, reference materials, consulting services, and account support software. He is also responsible for developing third-party relationships with technology suppliers and financial associations. Mr. Christenson is also an industry speaker and author of several articles on health savings accounts.
Michael Clark

Michael Clark
Consultant, Keiron Partners

Michael Clark is a financial advisor, author, speaker, and radio show host at Keiron Partners who focuses on retirement planning (401k and 403b plans). Since 2005, he has focused on becoming a better financial advisor through education, experience, and hard work. Michael has a Finance degree with a minor in Economics from the University of Central Florida. He has several licenses and certifications that include: CERTIFIED FINANCIAL PLANNER™; Series 7; Series 9; Series 10; Series 66; Florida 2-15 life, health & variable annuity license; Wealth Management Specialist; and an Accredited Investment Fiduciary designation.
Thomas Clark

Thomas Clark
Partner, The Wagner Law Group

Tom Clark is a partner at The Wagner Law Group, a law firm specializing in ERISA & Employee Benefits. He leads the firm’s St. Louis office. His expertise encompasses all aspects of employee benefits programs, including the design, implementation and compliance of retirement plans, health and welfare plans, and executive and incentive compensation arrangements. He also has a robust practice assisting covered service providers in meeting their ERISA compliance needs. Tom’s vast litigation experience complements the firm’s strong and growing ERISA and employment litigation department and has included work on landmark ERISA cases involving complicated ERISA fiduciary duty issues. He has been quoted extensively as an ERISA and employee benefits expert by outlets such as Reuters, the Associated Press, Bloomberg, and Forbes. Tom also teaches ERISA fiduciary law as an Adjunct Professor at The Washington University in St. Louis School of Law, his alma mater. He is also a co-author of the forthcoming Second Edition of ERISA: Principles of Employee Benefits Law, the only treatise of its kind that provides an overview of the regulation of employee benefit plans by highlighting the central principles and competing policies of employee benefits law in a compact and accessible format for a broad audience of readers.
Glen Colwell

Glen Colwell
President, Pension Advisors

Even though he’s spent nearly two decades in a business built around numbers, Glen Colwell’s passion for the retirement plan industry focuses on something else: people. He never forgets how his work affects real people, who labor hard and save for a comfortable retirement. As President of the Milwaukee- and Chicago-area offices of Pension Advisors, Glen helps employers nationwide institute quality retirement plans, and create a brighter future for the people who participate in them. He partners with companies on complying with complex regulations surrounding their plans, and structuring them to benefit participants through education, technological advances and transparency. Everyone matters … and Glen works diligently to create plans that benefit all involved. Prior to joining Pension Advisors in late 2015, Glen built a successful investment/retirement plan practice from the ground up at another Milwaukee-area firm. His experience in retirement planning, wealth management and business banking is well rounded from varied roles in other investment and financial institutions. Glen has earned awards for business development and account leadership throughout his career. He was nominated in 2015 for the National Association of Plan Advisors “Top 50 Advisors Under 40” honor. Glen is a 2000 graduate of Kennesaw State University, where he earned a B.A. in finance from the Michael J. Coles College of Business. Glen holds FINRA series 6 and 63 securities registrations, and is licensed in the following states: WI, IL, PA, VA, FL. He is a registered representative offering advisory services through AdviseMe National Advisors, a Registered Investment Advisor. Securities and additional advisory services through Independent Financial Group LLC, a registered broker-dealer and investment advisor. Member FINRA & SIPC. AdviseMe National Advisors and Independent Financial Group LLC are not affiliated.
Joe Connell

Joe Connell
Partner, Sikich Retirement Plan Services

Joe Connell is a Partner and Director of Retirement Plan Services at Sikich Financial.   Joe has been helping organizations manage and enhance their retirement plan programs since 1999. His long-term track record of success is a result of working with hundreds of employers in implementing prudent processes designed to manage their fiduciary liability, reduce plan expenses, meet specific plan goals and significantly improve participant retirement out looks. Joe is a frequent and nationally recognized speaker and presenter to employer and industry groups. He has conducted numerous retirement plan workshops educating employers on the key elements of successful retirement plan design and structure. Joe was named the 2014 Retirement Plan Advisor of the Year by PlanSponsor magazine, which honors advisors annually who best represent their mission to help make retirement security a reality for workers across the nation. Mr. Connell has earned the following industry designations: Accredited Investment Fiduciary (AIF®), From the Center for Fiduciary Studies at the University of Pittsburgh. Qualified Plan Financial Consultant (QPFC), from the American Society of Pension Professionals & Actuaries (ASPPA) .Chartered Retirement Plans Specialist Designation (CRPS®), from the College for Financial Planning in Denver, CO RF™  (Registered Fiduciary) Designation, DALBAR- The Registered Fiduciary™ (RF™) certification identifies financial professionals that have achieved pertinent educational qualifications and licenses,  learned required skills, and have passed a background check to serve in the important role of Fiduciary Adviser.   RF™ certified professionals are identified as having met the highest fiduciary standards in the financial industry
Larry Crocker

Larry E. Crocker
CEO, Fiduciary Consulting Group, Inc.

Larry E. Crocker is a respected industry thought leader for his knowledge of ERISA, fiduciary, and operational compliance. As a professional fiduciary consultant and analyst, clients enjoy the security of having someone with his level of expertise either guiding them in their day-to-day management decisions or relieving them from their retirement management responsibilities. He is the CEO of Fiduciary Consulting Group, Inc., an independent compliance consulting and fiduciary management firm. The Middle Tennessee-based firm serves brokers, advisors, retirement plan sponsors, fiduciaries, plan committees, trustees, board members and institutional clients throughout the United States. Mr. Crocker has over twenty-seven years of experience in the financial services industry and transitioned from advisor to consultant in 2003. He and the FCG team of professionals now focus on the development and implementation of processes that identify and solve procedural prudence along with fiduciary compliance problems in the management of retirement plans (401k, 403b, defined benefit, etc.), endowments, foundations and post-retirement medical trusts. He has hosted multiple conferences, workshops and training sessions and spoken at multiple venues on the topics of retirement plan governance, 3(16) fiduciary provider differences, operational compliance, DoL 408(b)(2) regulations and the changing regulatory environment, fiduciary roles and responsibilities, prudent practices in plan management, and effective 403(b) plan administration. Mr. Crocker has a passion to help clients ease the burden of responsibility in managing their fiduciary duties and help plan advisors develop and deliver a real value proposition in the changing regulatory marketplace. Mr. Crocker is a certification analyst for the Centre for Fiduciary Excellence (CEFEX) located in Toronto and Pittsburgh. As an analyst, he has performed certification assessments and audits on investment advisors, stewards of retirement plans, endowments, foundations, other non-profit organizations and various other service providers, including the first 3(16) administrative fiduciary certification. Mr. Crocker holds the following designations: Accredited Investment Fiduciary Analyst™, Chartered Retirement Plans Specialist™, Accredited Asset Management Specialist™, PlanSponsor Retirement Professional™, Professional Plan Consultant™, Registered Fiduciary™, Global Fiduciary Strategist™, Certified Behavioral Finance Analyst™, and Certified Plan Fiduciary Adviser™. Fiduciary Consulting Group is an industry leading provider of outsourced fiduciary management services. The firm will serve as the ERISA §3(16) Plan Administrator and ERISA §402 Named Fiduciary – to professionally manage a retirement plan and relieve the plan sponsor from their administration and management responsibilities. FCG is CEFEX certified for its §3(16) Plan Administrator and ERISA §402 Named Fiduciary management services.
Corby Dall

Corby Dall
President & Managing Partner, 401(k) Advisors Intermountain

With more than 25 years in retirement plan consulting, Corby leads a well-respected team and provides that all important grey hair for an air of confidence. He keeps his team happy as they focus solely on the success of retirement plans for the benefit of the employee and peace of mind of the employer.

Starting in the financial services world in the 80’s, Corby quickly realized the need for honest advice and wanted to help as many people as possible. This passion led to a clear path; partnering with employers to help as many people as possible retire with confidence and dignity. Corby has helped countless companies stop thinking of “401k” as a four letter word while creating thousands of successful retirement outcomes.

Corby and his team were named 2017 Retirement Plan Advisor of the Year and has been recognized as one of the Top 100 Retirement Plan Advisors by PLANADVISER magazine several years running. He is a founding member of the National Association of Plan Advisors, currently serving on the Government Affairs and Membership committees. Corby serves on several industry advisory boards and works closely with lead policy makers, legislators and regulators to help shape future retirement policy.

On a personal note, Corby has been married to his wife Karen for 33 years and was “blessed” with 3 boys, He enjoys spending time teaching financial awareness to local youth and volunteers with several youth groups. He also loves boating, skiing, tennis and snowmobiling.
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Brea Dantin
Principle, Retirement Plan Advisor, ProCourse Fiduciary Advisors, LLC

Brea in additional to being a Retirement Plan Advisor, is the Chief Operating Officer and a Principal at ProCourse. She has specialized in retirement savings and employee benefits for over 16 years. Her client experience includes working with qualified and nonqualified retirement plans of publicly traded and privately held companies, as well as for-profit and non-for-profit organizations. In addition to client relationships, Brea is responsible for overseeing the operations program for the firm. She places a high degree of priority on ethics and transparency. She has led the company in implementing reporting systems and processes that offer a level of both qualitative and quantitative information that is uniquely intuitive for plan sponsors’ perspectives. She has spoken on a number of panels to discuss the importance of such systems. Her diverse experience offers her an unparalleled pulse on trends in the retirement plan industry which she leverages to assist clients in improving their plans for plan sponsors and participants alike. Prior to starting her career at ProCourse, she received her BA from the University of Evansville and is a proud Indiana resident.
Michael Domingos

Michael Domingos
Vice President, National Corporate Strategy & Distribution, Prudential Retirement

Michael Domingos, Vice President, Corporate Distribution and Strategy, has responsibility for leading the corporate market sales team, nationally. This includes overseeing the development and execution of the distribution strategies for defined contribution, pension, and nonqualified plan services in corporate markets. Mike ensures retirement plan products and services offered by Prudential Retirement are customized to meet the needs of clients in target markets. Mike entered the financial services industry in 1993, when he joined Prudential. Mike has a BS in business administration from the University of Hartford and is a Series 6, 7, 24, and 63 registered principal. Mike has volunteered his time to a number of notable charitable organizations including serving on the Host Committee for UNICEF Chicago, and through membership in the Red Cross Blood Drive, Habitat for Humanity, and the United Way.
L. Rita Fiumara

L. Rita Fiumara
Senior Vice President - Investments, Senior Retirement Plan Consultant, UBS Institutional Retirement Group

In an evolving retirement plan landscape, plan sponsors need advice and guidance more than ever. Rita understands both the incentive value of a retirement plan and the commitment required to administer the plan and address fiduciary responsibilities. Investment reviews, daily plan administration and participant support and education can be overwhelming. With the extensive resources of UBS, combined with the specialized retirement plan expertise, perspective and insights she brings to the table, Rita can help you create a stronger plan that gives your employees greater confidence in their retirement and their future. Since 1996, Rita has helped empower retirement plan sponsors with insight and best practices to meet their fiduciary responsibilities while supporting employees’ retirement planning goals. As an Institutional Retirement Consultant, Rita considers herself an educator as well as an advocate. By integrating plan feature consulting with employee education, she has helped sponsors build effective communication programs that have driven overall plan participation. Rita also advises her clients on competitive cost structures, investment committee priorities and decision-making, and organizing key fiduciary documents. Outside of UBS, Rita is an active spokesperson in her professional community. She is often a featured guest speaker on a range of ERISA topics at various industry conferences and other events, including those for the Chicago Bar Association, Financial Executives International (FEI), the SPARKS conference in Washington, DC; PLANSPONSOR conference in Chicago and for the CPA Society.
Ken Forsythe

Kenneth Forsythe
AVP, Product Strategy, Empower Retirement and Great-West Financial

Kenneth Forsythe is Head of Product Strategy at Empower Retirement. In his role, Ken is responsible for retirement product and service innovation, overall strategy and go to market strategy. He joined the organization in 2013 and held previous client-facing roles in relationship management and participant communications throughout his career. Ken earned an MBA from Kellogg School of Management at Northwestern University and a BA, Business Administration from St. Leo University. He currently maintains FINRA Series 7, 6 and 63 securities registrations. Ken lives in Denver, CO, with his wife and five kids. Outside of his professional activities, he and enjoys woodworking, skiing and backpacking.
Janet Ganong

Janet Ganong
Partner-Retirement Plan Consultant, The Kieckhefer Group

Janet has been in the retirement industry for over 20 years, and joined The Kieckhefer Group in 2004. She has worked in multiple areas, plan operations and administration, relationship management, participant education and a 401(k) participant call center. She has been a problem solver and innovator on all sides of 401(k) plan management. With her many roles, she has a unique position to understand retirement plans from the perspective of the plan sponsor, participant and back office administrators. Janet earned a Master of Business Administration in Industrial Management from the University of Dallas, and a Bachelor of Business Administration in Economics from the University of Wisconsin-Eau Claire. She has also obtained the Accredited Investment Fiduciary (AIF) and PLANSPONSOR Retirement Professional (PRP) designations.
Steven Glasgow

Steven W. Glasgow
Senior Vice President, GRP Advisor Alliance - Avondale Partners

Steven is a Senior Vice President with the Private Client Group of Avondale Partners LLC. His consulting practice and experiences include working with defined contribution plans, defined benefit plans, endowments, and foundations. Steven began his career in the investment industry working in the municipal finance area for PaineWebber (now UBS) in Orlando, Florida. In 1995, he moved to Nashville to join a team of advisors working with banks, insurance companies, and asset advisory firms in the management of their proprietary and client portfolio holdings. That work involved the analysis and presentation of mathematical modeling, forecasting, and performance optimization of complex fixed income portfolios including mortgage and asset backed as well as corporate, treasury, and agency bond securities. While at PaineWebber, he began to apply this capital market experience as a consultant to defined benefit plan sponsors, and then ultimately endowment and foundation clients as a member of the exclusive PRIME asset consulting group of the firm. During that time Steven successfully guided a number of large defined benefit sponsors to successful outcomes through creative implementation of LDI strategies and the exploration and implementation of alternative asset approaches to investment management. Ultimately, his practice evolved to include advisory services for sponsors of 401k, and other not for profit defined contribution plans. He received his Bachelor's degree in Finance from Auburn University, and his MBA from the Crummier School of Business at Rollins College in Winter Park, Florida. He is a CFA (Chartered Financial Analyst) and past president of the CFA society of Nashville. He is also a CIMA (Certified Investment Management Analyst) designee, having received advanced instruction in capital market theory, fixed income and equity analysis and valuation, and asset consulting from the executive education program at the Wharton School of Business at the University of Pennsylvania. He holds the AIF® designation as a graduate of the Accredited Investment Fiduciary (AIF®) program offered through the Center for Fiduciary Studies – an organization affiliated with the Katz School of Business at the University of Pittsburgh focused on providing education specifically for fiduciaries of institutional plans. Steven has been a frequent speaker at numerous professional conferences including the PlanSponsor™ annual conference, the Center for Due Diligence annual conference, the ASPPA Defined Contribution annual conference, and many others. Steven has been recognized by PlanAdviser™ magazine as one of the 100 most successful advisors in the country in 2012, 2013and 2015 and was named by the 401k Wire as one of the 300 Most Influential in the Defined Contribution industry for 2012, including further recognition as one of the Top 10 advisors in the country for the Large Plan Market. For 2013, Steven was named as one of 5 finalists for the prestigious PlanAdviser™ Advisor of the year award. Steven was also named by the Financial Times as one of the FT TOP retirement plan advisors in its inaugural listing of retirement plan advisors in 2015.
Jamie Greenleaf

Jamie Greenleaf
Lead Advisor, Principal, Cafaro Greenleaf

Jamie has been with Cafaro Greenleaf since 1993 and a principal since 1997. She has been a recognized vice president and retirement plan advisor with UBS Financial and with Prudential Securities, consistently ranking among the top retirement advisors nationally at both firms. Jamie has spent her entire professional career helping retirement programs and public funds. She has provided consulting services in all areas of plan management and oversight, including plan design, fees and services benchmarking, investment management selection and monitoring, fiduciary and regulatory compliance, investment policy design, and financial education to many Fortune 500 and publicly traded companies, nonprofit entities and public agencies. She is an adjunct lecturer in the Plan Sponsor University certification program for UCLA’s Anderson School of Business-Executive Education. Greenleaf holds a BA in Business Administration from Delaware Valley College, is a Registered Financial Advisor and is Life insurance licensed. Jamie is also is a Registered Investment Advisor representative and holds series 7, 26, and 63 licenses. Jamie is known for her extensive and unparalleled knowledge, expertise and passion for the industry. She has a keen ability to guide, support and educate plan trustees, plan sponsors and plan participants alike. Leading from our headquarter office in Red Bank, New Jersey, Jamie advises throughout the New York Metropolitan and Tri State areas, traveling to other regions of the country when the opportunity to serve arises. Jamie currently resides in Rumson, NJ with her husband and 2 sons.
Brian Hanna

Brian Hanna
Senior Retirement Plan Consultant, Everhart Advisors

Brian Hanna is Vice President and the Senior Retirement Plan Consultant for Everhart Advisors. Brian leads the Everhart Advisors team of plan consultants and relationship managers in serving the unique needs of retirement plan sponsors. Brian views the role of the retirement plan consultant to be a business partner of the plan sponsor, acting as an expert intermediary and advocate for plan fiduciaries and participants. His team seeks to help protect plan fiduciaries from liability, while enhancing investment opportunities and helping employees achieve financial security. Brian has received formal training in fiduciary responsibility and investment due diligence, along with extensive experience in plan design, vendor selection, cost control, and employee communication strategy. Most recently, Brian and Scott Everhart released their first book, The 401(k) Owner’s Manual: A Blueprint for Building and Maintaining an Elite 401(k) Plan for Your Employees, in June 2017. Brian has been a guest lecturer at workshops presented with the U.S. Department of Labor, Ohio Society of CPAs, Columbus Bar Association, and Center for Due Diligence, along with the Supplier Associate Relations Group (SARG) of Honda North America and other trade associations. Brian earned a Bachelor of Science degree, Summa Cum Laude, from the Max M. Fisher College of Business at The Ohio State University, with a specialization in Finance. Brian acquired the Accredited Investment Fiduciary (AIF®) designation from the Center for Fiduciary Studies in association with the Joseph M. Katz Graduate School of Business at the University of Pittsburgh in 2008. Brian currently volunteers as a coach for the Miracle League of Central Ohio, along with leading the church service at a local long-term care facility, Whetstone Gardens & Care Center. Brian has also participated in missions to Mexico and Honduras, serving and ministering to those in need, along with assisting with the building of schools and homes.
William Harmon

William Harmon
President of Retirement Corporate 401(k) Market , Voya Financial

William Harmon is president of Retirement Corporate Markets for Voya Financial.
In his role, Harmon oversees all aspects of the Corporate 401(k) market, including sales, relationship management, strategy and profitable growth for all segments of the market — from small- and mid-sized companies to some of the nation’s largest corporate employers. He and his team support Voya Retirement’s efforts to deliver next-generation customer experiences and solutions that drive positive retirement outcomes.

Harmon is a member of CEO of Retirement Charlie Nelson's leadership team, as well as Voya's Operating Committee.

Most recently, Harmon served as senior vice president, Core Markets, for Empower Retirement, where he was responsible for the segment’s overall success. During his 29-year tenure at Empower, the U.S. retirement business of Great-West Lifeco, he contributed to significant growth in plan sales, assets and earnings.

For 11 years, including five as president, Harmon served on the board of Adam’s Camp, a group of non-profit organizations providing a variety of intensive, personalized, and integrated therapeutic programs for children with special needs and their families. He has also been closely involved with organizations supporting the special needs community including Special Olympics and Rocky Mountain Down Syndrome Association.

Harmon holds a bachelor’s degree in Marketing from Loyola Marymount University in Los Angeles.
David Hinderstein

David Hinderstein
President, Strategic Retirement Group

David Hinderstein leads Strategic Retirement Group’s consulting practice, which assists plan sponsors and participants in responding to the many challenges in managing their retirement programs. David has extensive background and significant expertise in helping not-for-profit, corporate, healthcare, and higher education plan sponsors meet their fiduciary responsibilities and manage and optimize their investment provider relationships. As a retirement benefit veteran, David has been recognized by several industry organizations for his leading experience and expertise. He is also a frequent keynote speaker at industry conferences, and an instructor at UCLA’s Anderson School of Management Executive Education TRAU- The Retirement Advisor University, where he instructs on the not-for-profit retirement marketplace. Prior to starting Strategic Retirement Group, David spent almost 12 years in various management and consulting positions with Arthur J. Gallagher & Co. Most recently, he was President of GBS Retirement Services, Inc. (the retirement division of Arthur J. Gallagher & Co.), with responsibility for consulting and servicing large defined contribution and defined benefit plans and overseeing all facets of Gallagher’s regional retirement services practice. Previously, David held multiple positions with CitiStreet (formally the Copeland Companies), where his emphasis was consulting and servicing large defined contribution plans for healthcare and not-for-profit institutions. David earned his BS degree in Finance from The American University in Washington, D.C., and has achieved the Accredited Investment Fiduciary® (AIF®) designation. He also is an Investment Advisor Representative of Strategic Retirement Group, Inc., an SEC Registered Investment Advisor and a Registered Representative with LPL Financial.
Tim Irvin

Tim Irvin
Consultant, Cammack Retirement Group

Tim Irvin is focused on the retirement needs of several of Cammack Retirement Group's large defined contribution plan clients. Tim partners with clients in all aspects of the due diligence process, including investment analysis, plan design, compliance, regulatory, and process changes. Additionally, he works to address all levels of vendor and participant issues, and works to ensure the successful delivery of vendor services including fund array changes, outsourcing, and participant communication and education. Tim has over seven years of experience in providing retirement plan consulting and client management services. Previously, he served as a retirement plan consultant at a New York City retirement services firm. Tim received his bachelor of science degree in business administration from Villanova University and his master's in business administration from NYU.
Jason A. Johnson

Jason A. Johnson
Senior Vice President-Wealth Management , UBS Financial Services, Inc.

Jason Johnson has more than 27 years of experience providing financial and wealth management advice and services. He is a graduate of Louisiana State University and joined UBS Financial Services in February 2009 after nearly 20 years with Merrill Lynch. His team specializes in financial and estate planning, money management, and corporate pools of money including 401(k) plans, 403b plans, defined benefit plans, non-qualified plans, foundations and endowments. Jason is a Certified Investment Management Analyst ProfessionalSM that is awarded by the Investment Management Consultants Association in conjunction with The Wharton School of Business. He also has earned his Accredited Investment Fiduciary from the Center for Fiduciary Studies and his Accredited Retirement Plan Consultant designation from the Society of Professional Administrators and Record Keepers. Most recently, he earned the Chartered Retirement Planning SpecialistSM Designation through the College for Financial Planning. Jason regularly attends industry conferences as a guest, panelist, or speaker to stay current with investment management, fiduciary practices, ERISA, and more. One of his clients was awarded Plan Sponsor of the Year for Corporate Retirement Plans under $50mm in 2015.
Tobias Junker

Tobias Junker
VP, Human Resources Total Rewards & Labor Relations, LSG Group

Tobi Junker is currently Vice President Total Rewards & Labor Relations for LSG Group in North America. LSG Group is best known for their brand “Sky Chefs” and is a subsidiary of Germany-based Lufthansa German Airlines. It provides catered food to airlines as well as convenience retail stores.Tobi joined LSG’s regional headquarters in Irving, Texas, in 2015 after 20 years with the Lufthansa Group based in several countries and serving different roles in Finance and HR. He has been involved with Employee Benefits for more than 10 years having worked with Pension and Health Programs in over 80 countries worldwide. He served as Pension trustee and Supervisory Boards governing $ 8 billion. He has been on several 401(k) committees and has spearheaded the transition to a joint Group platform in 2011 which has helped for three of their plans being nominated finalists for the “Plansponsor of the Year” award.
David Kaleda

David Kaleda
Principal, Groom Law Group, Chartered

David Kaleda is a Principal with Groom Law Group. His broad range of experience includes handling fiduciary matters impacting plan sponsors, investment and other fiduciary committees, investment managers/advisors, recordkeepers, broker-dealers, banks and other financial services firms. Mr. Kaleda is a frequent speaker and author on a range of employee benefits-related topics. He authors the bi-monthly “Compliance Consult” column for PlanAdviser magazine and is a regular contributor of articles to The Investment Lawyer. His articles have also appeared in Employee Benefit News, Employee Benefit Adviser, Plan Sponsor, Employee Benefits Law Journal, Plan Consultant, and others. He has presented on ERISA-related topics for number of organizations such as SIFMA, NSCP, Asset International, Society of Actuaries, International Retirement Resource Center, ASPPA, ABA Tax Section, ABA Business Law Section, IAML, and FIRMA. He has been quoted in numerous publications such as On Wall Street, PlanSponsor Magazine, PlanAdviser Magazine, Investment News, Pensions & Investments, and Financial Adviser.
David Kelly

David Kelly
Managing Director, Chief Global Market Strategist, Head of the Global Market Insights Strategy Team, J.P. Morgan Asset Management

Dr. David Kelly is the Chief Global Strategist and Head of the Global Market Insights Strategy Team for J.P. Morgan Funds. With over 20 years of experience, David provides valuable insight and perspective on the economy and markets to thousands of financial advisors and their clients. Throughout his career, David has developed a unique ability to explain complex economic and market issues in a language that financial advisors can use to communicate to their clients. He is a keynote speaker at many national investment conferences. David is also a frequent guest on CNBC, and other financial news outlets and is widely quoted in the financial press. Prior to joining J.P. Morgan Funds, David served as Economic Advisor to Putnam Investments. He has also served as a senior strategist/economist at SPP Investment Management, Primark Decision Economics, Lehman Brothers and DRI/McGraw-Hill. David is a CFA charterholder. He also has an Ph.D and M.A. in Economics from Michigan State University and a B.A. in Economics from University College Dublin in the Republic of Ireland.
Todd Lacey

Todd Lacey
Chief Business Development Officer, Stadion Money Management

C. Todd Lacey currently serves as the Chief Business Development Officer (CBDO) of Stadion’s retirement business. In this role, he is responsible for overseeing the relationships with current retirement recordkeeping partners as well as identifying and developing new channels of distribution and product development within the retirement business. Todd has spent his entire 20-year career in the retirement industry. Prior to joining Stadion, Todd held various roles at AEGON/Transamerica including EVP of Strategy & Corporate Development for Investments & Retirement, EVP of Business Development for the US retirement business and Senior Managing Director of Latin America. Prior to Transamerica, Todd was Founder & President of The (k)larity Group, a retirement plan advisory firm that was one of three finalists for the 2010 Plan Sponsor Retirement Plan Adviser Team of the Year Award. Todd is an active contributor to both the retirement industry and his community having served as co-chair of the NAPA 401(k) Summit and board member of the ASPPA Benefits Council of Atlanta. He currently serves as a Board Member of the Foundation for Mitochondrial Medicine. He has a B.S. in psychology from Miami University in Oxford, OH. Outside of the office Todd enjoys running, swimming, and spending time with his wife Cara and two daughters Camryn and Maddie.
Joe Lee

Joseph P. Lee
Senior Vice President, Head of Retirement Platforms and Strategy, First Eagle Investment Management, LLC

Joe Lee joined First Eagle Investment Management in December 2016 as head of Retirement Platforms and Strategy. In his role, Joe is responsible for building relationships with retirement plan recordkeepers and intermediaries, as well as for developing First Eagle’s strategy for delivering solutions to retirement plans and individual retirement savers. Before coming to First Eagle, Joe was relationship manager, National Accounts (DCIO) at DoubleLine Capital. Prior to that, he was head of Advisor-Sold DC Sales & National Accounts at BlackRock and director of Retirement Services at Goldman Sachs. Joe received a BA in economics from the University of Pennsylvania and an MBA in finance from Loyola University Chicago.
Todd Leszczynski

Todd Leszczynski
Managing Director - National Sales, MFS Investment Management, Inc.

Todd L. Leszczynski is a managing director with the Investment Specialist Group at MFS Fund Distributors, Inc., a division of MFS Investment Management® (MFS®). Based in Boston, he leads the Defined Contribution Investment Specialist sales team covering the United States. Todd joined MFS in 2007. Since coming to the firm he has covered the defined contribution markets as an investment specialist, national account manager and sales team manager. Todd and the team help advisors navigate the complexities of the defined contribution markets, grow and scale their practices and drive positive retirement outcomes. Before joining MFS, he worked for Pioneer Investment Management, Inc., where was responsible for defined contribution sales, relationship management, product development and thought leadership. Todd earned a bachelor’s degree from the University of Vermont and holds a graduate certificate in Certified Financial Planning.
David Levine

David Levine
Principal, Groom Law Group, Chartered

David N. Levine is a principal at Groom Law Group, Chartered. He advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. His experience includes advising service providers on product design; compliance with the final fiduciary regulation; day-to-day compliance; DOL and SEC regulatory investigations; fiduciary and contract-related litigation; IRA and non-ERISA plan compliance; advising on the balancing of ERISA and securities law compliance to advisors with both broker-dealer and registered investment arms; conducting ERISA reviews of disclosure documents, marketing materials, and services agreements for ERISA services agreements; and providing fiduciary training and advice to plan sponsors and advisors. Mr. Levine was previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section's Employee Benefits Committee. Mr. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net — The Magazine. He is recognized the Chambers USA guide for Employee Benefits & Executive Compensation. Mr. Levine received his J.D., from the University of Pennsylvania Law School and his B.A., with general and departmental honors, from Johns Hopkins University.
James Marshall

James Marshall
President, Spectrum Investment Advisors

Jim is the principal and founder of Spectrum Investment Advisors. Jim has over 40 years of experience in the retirement plan industry. He has built Spectrum Investment Advisors with the core idea of using colors to simplify investing. His firm has a patent on the color-coded process since 2010 with a focus on retirement plans and wealth management clients. Spectrum was selected as the 2015 Business of the Year by the Mequon/Thiensville Chamber of Commerce, of which Jim served as president in 2016.
Lew Minsky

Lew Minsky
President and Chief Executive Officer, Defined Contribution Institutional Investment Association (DCIIA)

Lew Minsky is the President and Chief Executive Officer of the Defined Contribution Institutional Investment Association (DCIIA). Before helping launch DCIIA in 2010, Lew was the owner and managing member of Minsky Consulting through which he advised plan sponsors, service providers and fiduciary committees on governance, public policy and compliance issues. Earlier in his career, Lew served as the senior in-house counsel for a Fortune 200 company, where he had primary responsibility for governance and compliance issues relating to employee benefit plans and executive compensation arrangements. He has also worked as an attorney at major law firms and began his legal career working in the General Counsel’s office at the US Department of Commerce. Lew is a recognized thought leader on retirement plan issues and has provided expert testimony to the federal regulatory agencies as well as both the House Education and Labor Committee and the House Ways & Means Committee. Lew received a bachelors degree in management (BSM) from Tulane University, a juris doctor (JD) from the University of Florida and a master of laws (LLM) with a certificate in employee benefits law from Georgetown University.
Joan Neri

Joan M. Neri
Counsel, Drinker Biddle & Reath LLP

Joan Neri is counsel at the nationally recognized law firm of Drinker Biddle & Reath LLP where she focuses on employee benefits and retirement account financial services. With more than 29 years of experience, Joan works with major publicly-held corporations, closely held corporations, U.S. affiliates of foreign corporations and tax-exempt organizations on matters involving benefits and compensation, with a focus on all aspects of ERISA compliance. Joan represents plan service providers (including registered investment advisers, broker-dealers, third party administrators, and recordkeepers) in fulfilling their obligations under ERISA, including fiduciary status and the considerations associated with structuring, developing and offering investment products and services to ERISA plans. Joan also counsels employers, management and plan fiduciary committees on their fiduciary compliance responsibilities and advises them on the design of qualified retirement plans (including ESOPs), nonqualified executive compensation plans and welfare benefit plans, day-to-day plan administrative issues and transactional planning involving benefit plan acquisitions, plan mergers and plan terminations. Joan is a frequent speaker throughout the country on legislative and regulatory developments impacting services providers to ERISA plans, ERISA fiduciaries and employee benefit plans and has authored numerous articles on these topics.
Steve Niehoff

Steve Niehoff
Chief Operating Officer, Pension Resource Institute

Steven R. Niehoff is the Chief Operating Officer of the Pension Resource Institute (PRI), a firm that delivers strategic consulting, compliance, training and technology-based solutions to financial institutions and plan fiduciaries serving retirement investors. Steve joined PRI in August 2016. Prior to joining PRI, Steve spent more than 20 years in several different roles for one of the country’s largest insurance companies, including Operations, Compliance, Product Development, and Internal Audit. In addition to his functional experience, Steve has worked closely with several different types of financial services and employee benefits, including retirement plans, life insurance, non-qualified deferred compensation, annuities, and health insurance. Steve has a B.A. in English from the Ohio State University and an M.B.A. from Ashland University in Ohio. Steve also holds many industry credentials, including the Qualified 401(k) Administrator (QKA), Qualified Plan Financial Consultant (QPFC), Tax-Exempt and Governmental Plan Consultant (TGPC), Chartered Financial Consultant (ChFC), Fellow, Life Management Institute (FLMI) and Registered Health Underwriter (RHU). Outside of work, Steve and his wife Stephanie enjoy volunteering at their daughter's high school and watching the marching band on Friday nights during football season.
Thomas O'Connell

Thomas O'Connell
DCIO Specialist, Wells Fargo Asset Management

Thomas O’Connell is DCIO specialist for the Northeast U.S. at Wells Fargo Asset Management. He works with advisors in New England, Washington, DC, Maryland, Delaware, Pennsylvania, New York, and Ohio. Before joining Wells Fargo in 2015, he spent two years as a wholesaler at MassMutual Retirement Services. From 2008 to 2014, he was a wholesaler and regional sales manager with ADP Retirement Services. Mr. O’Connell earned a bachelor’s degree in marketing from Stonehill College in Easton, MA. He earned a master’s degree in business administration from Nichols College in Dudley, MA.
Alice Palmer

Alice Palmer
Managing Counsel, Nationwide

Alice Palmer serves as Managing Counsel in the Office of the Chief Legal & Governance Officer at Nationwide. Alice leads a team of legal professionals who are responsible for providing legal support for the Nationwide Financial Services Retirement Plans business and its respective products, services, and distribution channels. Alice is responsible for strategically aligning the legal resources on her team in support of the significant business initiatives being lead by her retirement plan business clients. Alice also provides direct legal support to the Vice President of the Retirement Plan’s Business Development team in the areas of ERISA, Investment Advisor’s Act and Securities Law within the retirement plans context. Alice is currently the lead attorney supporting the Retirement Plan business’ compliance with the Department of Labor Fiduciary Advice Rule. Alice began her career with Nationwide in 2011 as Senior Counsel supporting the request for proposal process. Immediately prior to joining Nationwide Alice was a defense litigator for the Chicago Transit Authority in Chicago, IL.
Dan Peluse

Dan Peluse
Director of Retirement Plan Services, Wintrust Wealth Management

Daniel J. Peluse joined the firm in 2013 as Director of Retirement Plan Services and has been working in the financial services industry since 2001. He began his career at Morgan Stanley Smith Barney, where he specialized in retirement plans—specifically in the areas of Defined Contribution and Defined Benefit plans. Dan has been recognized for multiple honors by PLANSPONSOR Magazine, including being named a finalist for ‘Retirement Plan Adviser of the Year’ (2014, 2015, 2016 & 2017), one of five finalists for ‘Retirement Plan Adviser Team of the Year’ (2011), as well as one of their ‘Top 100 Advisers’ from 2010-2017. Dan graduated from Elmhurst College with a degree in Finance and has earned the designation of Certified 401(k) Professional (C(k)P) from The Retirement Advisor University and the Anderson School of Management at UCLA, Chartered Retirement Plan Specialist (CRPS) from the College of Financial Planning, Accredited Investment Fiduciary (AIF) from the Center for Fiduciary Studies, and Certified Behavioral Finance Analyst (CBFA) through Allianz Investments and Professor Shlomo Benartzi of the Anderson School of Management at UCLA. Dan holds FINRA Series 7, 63, and 65 Licenses, as well as Illinois Life and Health Insurance Licenses.
Robert L. Reynolds

Robert L. Reynolds
President and Chief Executive Officer, Putnam Investments and Great-West Financial

Robert L. Reynolds is President and Chief Executive Officer of both Putnam Investments and Great-West Financial, which includes Empower Retirement, America’s second largest provider of retirement services with over 8 million participants. He has been a driving force for innovation in retirement services and policy for decades and played a central role in the rise of the 401(k) industry during his years at Fidelity investments where he served as Vice Chairman and Chief Operating Officer. He has earned multiple industry honors over the years, including Fund Leader of the Year in 2010 for the strategic improvements he initiated at Putnam.
Jeff Roberts

Jeff Roberts
Regional Channel Manager, ADP

Jeff Roberts serves as the national new business manager for ADP's Executive Deferred Compensation practice which administers over 140 non-qualified plans with $8.5 billion in plan liabilities across 21,000 executive accounts. Jeff works with clients and prospects to develop, review and refine executive total rewards strategies which drive recruitment, retention and performance of the key employees who are responsible for business success. Jeff is a Certified Pension Consultant (CPC) and the Membership Chair for the ASPPA Benefits Council of the Northwest. Jeff has over 25 years of experience in the retirement services industry with 19 years focused exclusively on non-qualified plans.
Karen Roberts

Karen Roberts
Vice President Plan Operations & Compliance, CBIZ Retirement Plan Services

Karen is the Senior Retirement Compliance Consultant and Vice President for CBIZ Retirement Plan Services. Karen is a member of the International Society of Certified Employee Benefit Specialists (ISCEBS) where she earned the Certified Employee Benefit Specialist (CEBS) designation. She is also a member of the Institute of Certified Bankers where she earned the Certified Retirement Services Professional (CRSP) designation. Karen is a member of the American Society of Pension Professionals & Actuaries (ASPPA). Through ASPPA she has earned the Qualified 401(k) Administrator (QKA) credential. Karen also holds a FINRA Series 65 License and is an Investment Advisory Representative with CBIZ Financial Solutions, Inc. In addition to her industry certifications, Karen graduated with a Commerce & Engineering Sciences degree from Drexel University and a Bachelors of Science Degree in Accounting from Point Park College (now Point Park University). Karen’s core responsibility is to assist clients with retirement plan compliance and consulting, including plan design, mergers and acquisitions, and fiduciary risk management. Karen is also responsible for implementing CBIZ’s proprietary fiduciary risk management process known as The CBIZ Fiduciary Risk Manager™ on behalf of clients. The CBIZ Fiduciary Risk Manager™ was established to help individuals manage the personal liability associated with being a Fiduciary to a qualified plan. CBIZ Retirement Plan Services was named one of PLANADVISER’S Top 100 Retirement Advisers in 2014 and 2015. Karen has served as President and various other board positions in the local CEBS chapter and has taught various CEBS courses. She has also presented to various organizations on fiduciary liability and other qualified plan topics. Karen has over 25 years of experience working with retirement plans. Prior to joining CBIZ, Karen worked at Summit Bank (formerly United Jersey Bank) where she provided trust administration, recordkeeping and consulting services. Karen lives with her husband, Chris, and their two children in Oviedo, Florida. In her free time, she enjoys gardening, crafting and outdoor activities.
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Tim Rouse
Executive Director, The SPARK Institute, Inc.

Tim is the Executive Director of the SPARK Institute. SPARK Institute is the Industry Association for the Defined Contribution Record Keepers. Its members administer and record keep the accounts of over 85 million American workers. Tim has over thirty years of experience in the financial services industry mainly within retirement services of large mutual fund companies. For the past twenty-six years Tim has worked with major plan sponsors in state and local governments, corporations, Taft-Hartley plans, nonprofit hospitals, colleges and universities. Over his career Tim has worked with Voya Financial, Fidelity Investments, ICMA Retirement Corporation and The Vanguard Group. Tim is a former President of the National Association of Government Defined Contribution Administrators’ Industry Board and a graduate of Villanova University.
Jim Sampson

James F. Sampson
Director, Retirement Advisory Services, Hilb Group Retirement Services

Jim Sampson is Director, Retirement Advisory Services of Hilb Group Retirement Services (formerly Cornerstone Retirement Advisors), and has served the retirement plan industry for more than 20 years. Jim has received numerous industry awards and recognitions, including being named a PLANSPONSOR Retirement Plan Adviser of the Year Finalist in 2008 & 2012 and PLANADVISER Top 100 Retirement Plan Adviser 6 times, from 2012 through 2017 Jim has appeared on the FOX25 Morning News in Boston on their weekly Manage Your Money segment, has been quoted on retirement plan issues in The Boston Globe, Providence Business News, PLANSPONSOR Magazine, WSJonline.com and Employee Benefit Advisor Magazine, and has been a speaker or panelist at a number of industry conferences. Jim has earned the ACCREDITED INVESTMENT FIDUCIARY™ and Certified Plan Fiduciary Advisor designations and earned a BS in Sport Management from the University of Massachusetts, Amherst.
Larry Schmidt

Larry Schmidt
Director, Human Resources, Searles Valley Minerals

Larry Schmidt is the Director for Human Resources for Searles Valley Minerals Inc., a solution mining and manufacturing company in Trona, California located in the Mojave Desert. His primary office is in the company headquarters in Overland Park, Kansas. Larry came to Searles Valley Minerals after a 27 year career in the United States Marine Corps in which he commanded at succeeding levels in infantry and logistics commands. He commanded the 8th Marine Regiment in Desert Storm and served on the Joint Staff (Operations Directorate) of the Chairman, Joint Chiefs of Staff until his retirement as a colonel. Larry has been with Searles Valley Minerals since 1994, serving as Director- Human Resources. His work portfolio has included, in addition to HR, the safety department, the security department, facilities management and travel. Searles Valley mines minerals (soda ash, borates, and salt primarily) and ships over a third of its production overseas via bulk cargo and container ships. Larry has served on the 401(k) committee for over half of his time with the company and presently serves as the secretary to the Administrative Committee for the retirement plan. The Searles Valley 401(k) Plan had the honor of being selected as “Best in Class” for 2017 by Plan Sponsor Magazine for the $100 million to $250 million category.
Rick Shoff

Rick Shoff
Managing Director, CAPTRUST Financial Advisors

As managing director and member of the advisor group, Rick focuses on the firm’s business development, advisor support, and advisor recruiting and acquisition initiatives. He also serves as a member of our firm’s Executive Committee. Prior to joining CAPTRUST in 2006, Rick founded Plan Advisory Services and built the company into one of the most well-respected advisory firms in the nation, and has worked in the industry since 1983.
Brett Shofner

Brett Shofner
President, Work Plan Retire

Brett is the President of Work Plan Retire. His focus since 2001 has been consulting to employers on their retirement plans, with offices in South Florida, Denver, and New York. He has advised an employer clientele in excess of $1 billion in retirement plan assets and currently servicing over 50 retirement plan clients for American Portfolios. Brett has sat on the National Advisory Boards of several top 401(k) Providers such as Prudential, ING, Fidelity, Alliance Bernstein, Fisher Investments and Transamerica Brett was Vice President of Retirement Consulting for 401k Exchange, an industry research and marketing firm before joining with American Portfolios in 2001. At 401k Exchange Brett gained lots of experience running 401k searches for employers. He worked on hundreds of cases for clients from all over the nation. Previous to his tenure at 401k Exchange, Brett was with Ivy Mackenzie, an investment management firm specializing in global mutual funds. His duties evolved into a Senior Institutional Analyst position in which Brett managed nearly $400 million in defined benefit pension assets for corporate clients such as Wal-Mart and Auto Nation. He developed the infrastructure of the Institutional Marketing Department at Ivy Mackenzie, working closely with the Chief Investment Officer to develop a separate account product that was marketed to large employer Defined Benefit plans. Brett Shofner began his career at the A.G. Edwards & Sons office in Santa Barbara, California, an investment banking and brokerage firm. His undergraduate studies were at UCLA and UC-Santa Barbara, culminating with a BA in English from UC-Santa Barbara.
Jon Shuman

Jon Shuman
Vice President and National Sales Manager , MassMutual

Jon is a Vice President and National Sales Manager at MassMutual @ Work and is responsible for developing, implementing and managing the strategy and execution for the Worksite Sales & Distribution efforts. The team delivers both Executive and Voluntary Benefit solutions as both standalone offerings in addition to our holistic private exchange, BeneClick!. Before moving to Worksite, Jon was part of MassMutual Retirement Services and the Head of Business Development. In this role, he was responsible for growing MassMutual’s Corporate, Not for Profit, Government, Taft-Hartley, Stable Value and Defined Benefit businesses. In addition, Jon also managed investment partner relationships and developed the market strategy within each. Since joining MassMutual Financial Group in 2007, Jon has served as National Sales Practice Leader, led a team of Managing Directors in the Northeast region and was an Institutional Sales Rep in New York City. Prior to joining MassMutual Financial Group, Jon worked at JP Morgan Retirement Plan Services, Prudential Retirement and Putnam Investments in a variety of roles. Mr. Shuman has a total of 21 years of experience in the financial service and retirement industry. He holds a B.S. from Syracuse University and a M.B.A. from Bentley University. Jon also holds FINRA Series 6, 7, 63, and 24 registrations. Jon currently resides in Topsfield, MA with his wife, Deb, two daughters, Sophie and Mia, and their two boxers; Bruiser and Goliath. He is currently on the Board of Directors of the Tribal Lacrosse program and the Mass Bay Girls Lacrosse League.
Jay Slusher

Jay T. Slusher
Vice President, PIMCO

Jay T. Slusher Mr. Slusher is a vice president in the Newport Beach office and an account manager for the U.S. South Central region. Prior to joining PIMCO in 2011, he was with Buffalo Funds focusing on sales to institutional and retirement clients through consultants and registered investment advisors. Previously, Mr. Slusher was regional director for consultant relations at Russell Investments, working with defined contribution and defined benefit plans through investment consultants. He also worked for JP Morgan Retirement Plan Services and American Century Services. Mr. Slusher holds the Accredited Investment Fiduciary (AIF) designation and was recognized in 2016 and 2017 as a NAPA Wingman Top 100 DC Industry wholesaler award winner. He has 28 years of investment experience and holds a bachelor's degree in business administration from the University of Central Missouri.
Jeremy Stempien

Jeremy Stempien
Vice President, QMA

Jeremy Stempien is a Vice President, Portfolio Manager and Strategist for QMA, working with the Asset Allocation team. His responsibilities include the management of the Prudential Day One Funds and managing client relationships. Prior to joining QMA, Jeremy was a Director of Investments at Morningstar Investment Management where he was responsible for developing asset allocation programs for plan providers, plan sponsors, and money management companies. He worked with clients in creating and managing custom target date glide paths, selecting appropriate asset classes, and constructing model portfolios. Previously, he worked at Hewitt Associates where he was a defined contribution manager. Jeremy earned a BA in Finance from Saint Louis University and an MBA in Investments from University of Notre Dame.
Jania Stout

Jania Stout
Practice Leader, Co-Founder, Fiduciary Plan Advisors

Jania Stout, Managing Director, Co-Founder of Fiduciary Plan Advisors at HighTower, brings over 20 years of experience in ERISA plan consulting to the organization. She was named the 2016 Plan Adviser of the Year by Plan Sponsor Magazine. Jania began her career at ADP’s Retirement Services Division and spent 10 years in management positions. Jania then became a Senior Account Executive for Fidelity Investments. While at Fidelity, Jania advised on retirement plan solutions for mid-market companies. Jania gained tremendous exposure to the challenges plan sponsors face and their need to have a fiduciary partner. This exposure led her to leave Fidelity and form a team of consultants that had a unified focus on helping plan sponsors with their fiduciary responsibilities. Jania has been featured in the Washington Post, Investment News, RIA Biz and Plan Sponsor Magazine. Her team won one of the most prestigious awards in the industry in 2013; the 401(k) Advisor Leadership Award sponsored by National Association of Plan Advisors (NAPA). Ms. Stout was appointed to the Leadership Council of National Association of Plan Advisors (NAPA) in spring of 2014. The Council is charged with setting the strategic direction and making policy decisions on all matters related to NAPA’s mission. She is a regular speaker at the Plan Sponsor National Conference as well as a contributor to many National industry publications and specifically writes about the topic of Financial Well Being. Jania holds her FINRA Series, 7, 6, 63 and 66. Ms. Stout was a two sport Division 1 athlete and graduated with a double major from Hofstra University. She is a 2008 graduate of the Greater Baltimore Committee (GBC) Leadership program and a board member of the Girl Scouts of Central Maryland. In her free time she coaches girls’ lacrosse. She resides in Phoenix, MD with her two daughters Hannah and Sophie.
Aaron Tabela

Aaron Tabela
Head of Institutional Marketing, Financial Engines

Aaron Tabela is the Head of Institutional Marketing at Financial Engines. Prior to Financial Engines, Aaron served as Senior Director of Institutional Marketing at TIAA, where he led marketing strategy for TIAA's large plan sponsor segment. Prior to TIAA, Aaron held numerous senior Institutional Marketing roles at Financial Engines. Additionally, Aaron worked as a senior consultant in Mercer’s Workforce Communication & Change practice, where he developed participant communication strategies for large plan sponsors across the full array of employee benefits, and in corporate HR focusing on organizational development and internal communications. Aaron earned his BA in Economics and English from Boston College and his MBA from Boston University.
Ryan Tiernan

Ryan Tiernan
Vice President, National Accounts, American Funds from Capital Group

Ryan Tiernan is a national accounts manager at American Funds, part of Capital Group. He has 16 years of industry experience and joined Capital Group in 2016. Prior to joining Capital, he founded Access Point HSA. He holds a bachelor's degree in biology from the University of Massachusetts at Amherst. He also holds the Accredited Investment Fiduciary®, Certified Investment Management Analyst®, Chartered Retirement Planning Counselor® and Chartered Retirement Plans Specialist® designations. Ryan is based in Providence, R.I.
Jason Trine

Jason Trine
Managing Director – Investment Platform Distribution, Principal

Based in Des Moines, Jason is responsible for leading the Investment Platform Distribution Team of external and internal investment specialists. In addition to leading the team he is also responsible focusing on the Southeastern Regional Retirement Sales and Service Offices of the Principal Financial Group. These responsibilities include providing education, resources, and technical support for the firm's various investment strategies. He joined the firm in 1999 and received an MBA from the University of Iowa and a bachelor’s degree in marketing from the University of Northern Iowa.
Phil Troyer

Phil Troyer
Vice President of Compliance, Bukaty Companies

Phil joined Bukaty Companies Financial Services as VP of Compliance and Resources Investment Advisors as CCO in December of 2013. Before that time, Phil managed a national ERISA law practice and previously served as General Counsel for NRP Financial and NRP Advisors, a broker-dealer and registered investment adviser, respectively, owned by National Retirement Partners, Inc. Phil obtained his J.D. from Indiana University in 1994 and currently holds FINRA Series 7, 24, and 63 licenses. He has written numerous articles on ERISA law for retirement plan industry trade publications.
Nathan Voris

Nathan Voris
Managing Director, Strategy, Charles Schwab

Nathan Voris is managing director of Business Strategy for Schwab Retirement Plan Services. In this role, he is responsible for leading the client experience, platform and product development strategies to help retirement plan sponsors, consultants and participants meet their goals. Nathan most recently worked at Morningstar, where he held several roles within Morningstar Investment Management. There, his responsibilities included portfolio management and asset allocation, with a focus on product development and strategy for retirement solutions, including wellness, advice and managed accounts and target-date solutions. Previously, Nathan was a consultant with R.V. Kuhns & Associates, where he worked with defined contribution plan sponsors to help improve asset allocation and solve other needs of plan participants. In that role, he was responsible for all aspects of portfolio construction, including asset allocation and manager selection/due diligence for plan sponsors, retirement plan providers and asset managers. Nathan began his career as a plan sponsor working for defined contribution plans, including Wal-Mart and the Ohio Public Employees’ Retirement System. He holds a bachelor’s degree in education from the Ohio State University. 0117-SBS0
Marcia Wagner

Marcia Wagner
President/Founder, The Wagner Law Group

MARCIA S. WAGNER is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group, one of the nation’s largest boutique law firms, specializing in ERISA, employee benefits and executive compensation, which she founded over 20 years ago. A summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School, she has practiced law for over thirty (30) years. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, fiduciary issues, all forms of deferred compensation, and welfare benefit arrangements. Ms. Wagner was appointed to the IRS Tax Exempt & Government Entities Advisory Committee and ended her three-year term as the Chair of its Employee Plans subcommittee, and received the IRS’ Commissioner’s Award. Ms. Wagner has also been inducted as a Fellow of the American College of Employee Benefits Counsel. For the past eight years, 401k Wire has listed Ms. Wagner as one of its 100 Most Influential Persons in the 401(k) industry, and she has received the Top Women of Law Award in Massachusetts and is listed among the Top 25 Attorneys in New England. Ms. Wagner has written hundreds of articles and 15 books. Ms. Wagner is widely quoted in business publications such as The Wall Street Journal, Financial Times, Pension & Investments, and more, as well as being a frequent guest on FOX, CNN, Bloomberg, NBC and other televised media outlets.
Tom Waters

Tom Waters
Senior Institutional DC Strategist, Franklin Templeton Investments

Tom Waters oversees Franklin Templeton's defined contribution investment only (DCIO) business segment within the U.S. institutional market, focusing on the East Coast. Mr. Waters works with existing and prospective plan sponsor clients to help their participants achieve a secure retirement through education and by aiding in the development of DC-focused solutions. Prior to joining Franklin Templeton, Mr. Waters was the Defined Contribution Practice Leader at Manning & Napier. In this role, he led sales, marketing, and strategy for the Institutional Defined Contribution Investment Only business. Prior to his time at Manning & Napier, Mr. Waters was a Defined Contribution Client Advisor at J.P. Morgan Asset Management in Chicago. In this role, he worked extensively with large and mega plan sponsor clients and prospects, focused on providing insight on the DC industry and working with sponsors, clients and advisors to provide targeted solutions for DC plans. Mr. Waters is a member of the Defined Contribution Institutional Investment Association, serving as a member of the Investment Policy Committee, a nonprofit association dedicated to enhancing the retirement security of American workers. He is a speaker at industry conferences on a variety of DC related topics. Mr. Waters has a degree in Economics from St. Lawrence University and an MBA from the Johnson School of Business at Cornell University.
Derek Young

Derek Young
Head of Investment Client Strategy, Vice Chairman, Fidelity Institutional Asset Management®

Derek Young is head of Investment Client Strategy for the Asset Management organization at Fidelity. Fidelity Investments is a leading provider of investment management, retirement planning, portfolio guidance, brokerage, benefits outsourcing and other financial products and services to more than 20 million individuals, institutions and financial intermediaries.

In this role, Mr. Young leads a team of equity, fixed income and asset allocations institutional portfolio managers (IPM) and investment directors who engage with Fidelity’s most important strategic clients to discuss current market and investment trends, help them understand Fidelity’s diverse investment capabilities, and develop investment strategies that can help them meet their distinct investment needs.

Prior to assuming his current role, Mr. Young was president of Fidelity’s Global Asset Allocation (GAA) division from 2011 to 2017. He also had leadership responsibility for Fidelity Institutional Asset Management® (FIAM) Equity from 2015 to 2017. In addition to GAA’s core capabilities of multi-asset class strategies and custom solutions, as president of GAA, Mr. Young also oversaw the managed account and private wealth management businesses within Fidelity’s Strategic Advisers, Inc. (SAI) division until 2015, when SAI was moved out of GAA and established as its own organization.

From 2009 to 2011, Mr. Young served as chief investment officer of the Global Asset Allocation group for Fidelity Management & Research Company (FMR Co.), the investment advisor for Fidelity’s family of mutual funds. In this role, Mr. Young maintained oversight for the strategic investment direction of asset allocation portfolios and the development of talent.

Mr. Young joined Fidelity in 1996 as director of Risk Management for Fidelity Management Trust Company (FMTC). In 1999, he became senior vice president of Strategic Services for FMTC. Mr. Young then served as senior vice president of Strategic Investment Services and Marketing for FMTC. He also served as a member of the FMTC Trust Committee, which was charged with overseeing portfolio managers for all disciplines. In 2003, he was named portfolio strategist for FMR Co. and Fidelity Investments Canada portfolios available exclusively to non-U.S. investors.

During his tenure with the firm, he has served as co-manager of various funds: Fidelity Strategic Income Fund, Fidelity Advisor Strategic Income Fund, VIP Strategic Income Portfolio, Fidelity Strategic Dividend & Income Fund, Fidelity Advisor Strategic Dividend & Income Fund, Fidelity Four-in-One Index Fund, Fidelity Strategic Real Return Fund and Fidelity Advisor Strategic Real Return Fund. In addition, Mr. Young managed Fidelity Global Balanced Fund from 2006 to 2009. From 2007 to 2009 he co-managed the VIP Asset Manager Portfolios and VIP Asset Manager Growth Portfolios and all Fidelity, Fidelity Advisor and VIP Asset Manager funds. Additionally, he was responsible for managing multi-asset-class asset allocation portfolios available exclusively to Canadian and Japanese investors until 2008. He also served as co-lead of the Fidelity Canadian Asset Allocation team from April 2011 to March 2014, and was a trustee of Fidelity’s Strategic Advisers Funds Board from 2012-2015. Mr. Young also led Fidelity’s U.S. Asset Allocation Committee and represented North America on the firm’s Global Asset Allocation Committee.

Prior to joining Fidelity, Mr. Young was a manager in the Risk Strategy Consulting Practice for KPMG. From 1991 to 1995, he worked for the Board of Governors of the Federal Reserve as a senior financial analyst and then as a supervisory financial analyst. Mr. Young began his career as a vice president at Empire Financial Services in 1986.

Mr. Young received a bachelor of science degree, summa cum laude, from Troy University in 1986 and received an MBA from Vanderbilt University in 1991 where he is a member of the Alumni Board of Directors. Mr. Young is a CFA® charterholder. He has also published articles and books on investment and risk management.685781.6.0

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