2017 PLANADVISER National Conference

Speakers

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  Gil Baker

  Gil Baker Gil Baker Regional Vice President Mutual Fund Sales, DCIO, Nationwide

  Gil joined Nationwide Financial in 2015 to help position Nationwide Funds within various Institutional Consultants and Retirement Groups. In 2017, he transitioned his role within the Defined Contribution Investment Only Group where he serves as Southeast and Midwest Regional VP. In this role, Gil works closely with both Financial Advisors and Retirement Plan Professionals educating them on Nationwide’s current suite of investment products, helping them properly position these products as client solutions, and providing marketing and continuing education support. The Advisor Consultants he calls on includes wire, regional, independent and RIA’s. Prior to joining Nationwide, Gil was National Sales Manager at John Hancock. He was responsible for a number of sales divisions including Defined Contribution Investment Only, Platform Institutional Group, Separately Managed Accounts and 529 College Savings during his twenty plus years. Previous to that, Gil spent a number of years with a southeast regional Broker Dealer where he oversaw the Mutual Fund Group and spearheaded the launch of a proprietary RIA Money Management Company. Gil has been in the investment industry for just over 30 years. Gil received his BS in Business from North Carolina State University. He is a Certified Investment Management Consultant (CIMA), which is a professional designation awarded by the Investment Management Consultants Association (IMCA) in conjunction with the Wharton School of Business. He has earned the Accredited Investment Fiduciary (AIF) professional designation, awarded by the Center for Fiduciary Studies, which is associated with the University of Pittsburg. Gil also was awarded the Chartered Retirement Planning Counselor (CRPC) designation by the College for Financial Planning. He also holds the Series 7, 63 and 24. Gil lives in Charlotte, NC with his wife and has three grown children.

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  Matt Bartch

  Vice President, BlackRock

  Matt Bartch, CFA, Vice President, is a member of the US & Canada Defined Contribution Group within BlackRock’s Global Retail and iShares businesses. He is responsible for investment sales to Defined Contribution clients in the Southeast Region as part of the Retail Distribution team. Mr. Bartch is also charged with developing and maintaining relationships with advisors, serving as a thought leader on industry trends, and being a consultative partner to clients. Mr. Bartch recently joined BlackRock in 2015. Prior to joining the firm, he spent 5 years within PIMCO’s Defined Contribution Practice. In his time there, he served both plan sponsors nationally as well as advisors and consultants in the Southeast region beginning in 2013. Earlier in his career, Mr. Bartch held research analysts positions at Goldman Sachs. Mr. Bartch earned a BS in International Business and Investment Analysis from the University of South Carolina in 2009 and also holds the CFA designation. He resides in the city of Atlanta with his wife where he enjoys golf and traveling with family.

• 

  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

  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.

• Jamie Bentley

  Senior Vice President, National Retirement Sales Manager, PIMCO

  Mr. Bentley is a senior vice president and national retirement sales manager in the Newport Beach office. Prior to joining PIMCO in 2011, he was vice president at DWS Investments, the retail mutual fund division of Deutsche Bank, responsible for managing retirement plan sales in the midwest region. Previously, Mr. Bentley was a sales director for the central region retirement plan division of Morningstar Associates. He was also a defined contribution consultant for Mercer Human Resource Consulting and Watson Wyatt Worldwide. In both 2014 and 2015, Mr. Bentley was named one of the top 75 DC industry wholesalers by the National Association of Plan Advisors (NAPA). He has 20 years of investment experience and holds a bachelor’s degree in finance and marketing from Loras College.

• 

  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.

• 

  Michael Brown

  Managing Partner, Retirement Plan Consultant, ClearPoint Financial

  Michael joined Clearpoint Financial as a Partner in 2006 after thirteen successful years at two national investment firms. While at Morgan Stanley, he was a Corporate Client Group Director of 401(k) plans and was instrumental in expanding the firm’s qualified plan consulting resources. Michael takes pride in his innovative outlook on financial practice management and is an active participant in the development of multiple industry initiatives. He has authored articles on retirement benefit plans and is a sought-after industry speaker. He has been recognized as one of the most influential retirement plan advisors and ClearPoint Financial has received multiple recognitions from PlanSponsor publications. He earned a Bachelor of Arts degree in Business Administration from the University of Alaska, Anchorage, where his undergraduate experience included study abroad in Venezuela. Mr. Brown has earned Chartered Retirement Plan Specialist (CRPS) and Accredited Investment Fiduciary® (AIF) designations, and holds FINRA Series 7, 63, 65 Registered Investment Advisor licenses. He resides in Kirkland, WA with his wife and two children.

• 

  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.

• 

  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.

• 

  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

  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.

• 

  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.

• 

  Ron Cohen

  DCIO & RIA Sales Manager, Intermediary Sales, Wells Fargo Asset Management

  Ron is Head of DCIO Distribution for Wells Fargo Asset Management. In this role, Ron oversees all aspects of DCIO distribution including the DCIO field sales team, as well as the DCIO strategic national accounts team. Ron has over 20 years of experience in the financial services industry. Prior to his current role, Ron was an Executive Director at J.P. Morgan in their Defined Contribution Investment Solutions group where he partnered with the various recordkeepers who distribute J.P. Morgan Funds on their platforms. Prior to that he spent 20 years at DWS Investments where he held various roles in their defined contribution practice including National Sales Manager and Head of Retirement Services overseeing their entire bundled offering. He also built out a defined contribution investment only practice for their institutional business. Ron graduated with a B.A. from the University of Massachusetts, Amherst.

• 

  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

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  Brian Cooper

  Regional Vice President – West Region Retirement & Income Solutions, Principal Financial Group

  Brian Cooper is a Regional Vice President at Principal Financial Group. Based in Seattle, he is responsible for leading the seven Retirement Sales Offices in the Western Region. He also leads the Investment Platform Distribution team of external and internal investment specialists. Brian joined Principal Financial Group in 1986 and has held several positions in Minneapolis and Seattle. He received a bachelor’s degree in Journalism and Mass Communication from the University of Iowa in 1985. He is a Registered Representative of Princor Financial Services Corporation.

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  Melissa Cowan

  Executive Director, Morgan Stanley Wealth Management

  Melissa focuses on Institutional Strategy for the Corporate Retirement business at Morgan Stanley. In her current role she is also responsible for the Corporate Retirement Director program and for the development of new products/services. She has worked within the retirement plan industry for over 20 years. Prior to joining Morgan Stanley she was with UBS where she developed and managed their DC Advisory program. Melissa was also employed by KeyBank where she held various positions in Product Management, Sales, Client Management and Recordkeeping Administration. She has her Series 7, 9, 10 and 66 and QPA (Qualified Pension Administrator) designation as well as a B.S. in Business Administration with a concentration in Accounting and Finance from Northeastern University. She is currently a board member of the Retirement Advisor Council and the Women in Pensions Network. She is also on the steering committee for the NAPA 401(k) Summit and will be serving as co-chair for the Summit in 2017 and 2018.

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  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.

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  Brady Dall

  EVP, 401(k) Advisors Intermountain

  Brady has dedicated his career to retirement plan industry and has served it in many capacities over the years. He’s is a partner with 401k Advisors Intermountain who was honored as the 2017 Retirement Plan Adviser Team of the Year and has clients who’ve been named PLANSPONSOR of the Year. Other notable recognitions include being named as one of the Top 50 Advisers under 40 the last 4 years running. Brady manages a growing team in Salt Lake City that oversees $2.5 Billion in Retirement Assets. He got his start with National Retirement Partners where he learned for some of the brightest leaders in the industry who changed the landscape of retirement plan focused advisers forever. Hi favorite part about it all is getting to work with his mentor, his Dad, Corby Dall.

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  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.

• 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.

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  Joseph DeNoyior

  CEO, Washington Financial Group

  Joe is the CEO at Washington Financial Group (WFG) and leads the charge of WFG’s retirement plan group which services over 150 qualified plans. Since 1990, he has maintained a commitment to building an organization centered on client needs that seeks to provide unsurpassed service and independent advice for professionals, entrepreneurs, businesses and their employees. Joe is proud to lead the team at Washington Financial Group that was recently named the 2017 PLANSPONSOR Retirement Plan Adviser of the Year in the Small Team category.1 The 2017 PLANSPONSOR Retirement Plan Adviser of the Year winners have demonstrated leadership and a commitment to excellence for their retirement plan sponsor clients and participants. Joe is the Past President of the National Association of Plan Advisors (NAPA) as well as a Founding Lecturer at The Retirement University for Advisors at UCLA and a member of the Retirement Advisor Council (RAC). He was recently named to the 2016 Financial Times Top 401 Retirement Plan Advisors2 list as well as one of PLANADVISER’s 2017 Top 100 Retirement Plan Advisers3. Joe is a strong advocate of financial education for himself and his clients. He is an Accredited Investment Fiduciary® (AIF®), Chartered Retirement Plan Specialist® (CRPS®), Certified Plan Fiduciary Advisor (CPFA) and Certified 401(k) Professional – C(k)P™. He is also an instructor for The Retirement Advisor University (TRAU) in Collaboration with UCLA Anderson School of Management Executive Education, where he educates qualified retirement plan advisors enrolled in the two-year C(k)P™ certification program. He is a graduate of The George Washington University in Washington, DC and holds a Bachelor of Science degree in Business Administration and Finance. Joe, his wife Stacy and son Anthony live in Vienna, Virginia. He is active in the hockey community as both a coach and a player. Joe is also on a consent quest for the best slice of pizza.

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  Drew Disher

  Divisional Sales Manager, Intermediary Retirement Sales, Lincoln Financial Group

  Drew serves as the divisional sales manager of the Intermediary Retirement Sales team covering the western division at Lincoln Financial Distributors, the wholesaling organization for Lincoln Financial Group. In this capacity, Drew is responsible for managing a team of wholesalers and ensuring that the intermediary retirement sales distribution strategy and tactical execution are consistent with the Lincoln Financial short- and long-term strategic objectives. Prior to Drew’s current position at Lincoln Financial, he held a variety of sales and management roles during 14 years at Ameriprise Financial/RiverSource Distributors. Most recently, he was the division vice president/national sales manager for Retirement Wealth Strategies, overseeing all sales and distribution efforts including 401(k), 403(b) and IRA sales, as well as serving as a corporate spokesperson for retirement. Prior to his role in Retirement Wealth Strategies, he served as the west division vice president for RiverSource Distributors in their annuity division, covering non-proprietary distribution. In addition, Drew also held various sales leadership roles, where he guided corporate strategy across annuities, asset management, life insurance, and advanced market sales. Drew earned his Bachelor’s Degree in Education from the University of Wisconsin-Eau Claire in 1995 and holds Series 7, 24 and 63 licenses.

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  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.

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  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.

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  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.

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  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.

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  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

  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

  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.

• 

  Allegra Heyligers

  Managing Director, Strategic Insight

  Allegra Heyligers is Managing Director at Strategic Insight and responsible for developing and implementing key programs and initiatives that drive business outcomes for clients. Prior to joining BrightScope, Allegra spent the majority of her career at BlackRock and Barclays Global Investors. Most recently, she was Head of Retirement Strategy for BlackRock’s US Retirement Group and Chief Operating Officer of BlackRock’s US & Canada Defined Contribution Group. At BGI, she was Chief of Staff for the Defined Contribution business and also served as the Global Business Strategist for the Transition Management Group. Allegra earned a bachelor’s degree, cum laude, in communications from California Polytechnic State University.

• 

  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

  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

  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.

• 

  Todd Kading

  Managing Director, LeafHouse Financial Advisors, LLC

  Todd Kading, CFP®, ChFC®, RF™, is a Managing Director of Austin-based LeafHouse Financial Advisors. He has over 15 years of industry experience and was the first Registered Fiduciary in the state of Texas. Over the past several years he has presented on retirement plan fiduciary topics to members of numerous organizations such as the Society for Human Resource Management, the Texas Bar Association, and the National Federation of Independent Businesses. Todd is a prominent advocate for fee transparency and fiduciary governance and has shown hundreds of plan sponsors how to save millions of dollars in plan fees in past few years alone. These efforts led to him to be recognized as one of the Top 50 Plan Advisors Under 40 by the National Association of Plan Advisors (NAPA) in 2014. Additionally, his firm has been honored as a 2016 finalist for the 401(k) Advisor Leadership Award by the National Association of Plan Advisors, one of the TOP 100 Retirement Plan Advisors by PLANADVISER magazine, and one of the Top 401 Retirement Advisers by Financial Times. These accolades have helped the firm cement a spot in Financial Advisor Magazine’s Top 50 Fastest Growing RIA rankings for six consecutive years, the only firm in the nation to do so.

• 

  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

  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

  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.

• 

  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

  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

  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.

• 

  Roger K. Metzger

  President, CIO, Hooker & Holcombe Investment Advisors

  Rodger is president and chief investment officer of Hooker & Holcombe Investment Advisors, Inc. (HHIA) and chairman of the board of Hooker & Holcombe, Inc., the parent company of HHIA, an SEC registered investment advisor. In his current position, Rodger leads the team of professionals who furnish advisory services. He is also the client relationship consultant for HHIA’s largest and most sophisticated clients, is responsible for directing the asset allocation and fund research efforts of HHIA and is the chairman of the HHIA Investment Committee. Rodger’s investment and institutional money management expertise brings an increased sophistication to the fund selection and monitoring process. Prior to joining the firm, Rodger was with Hartford Investment Management Company, a subsidiary of Hartford Financial Services Corporation (HIG), where he was vice president and equity portfolio manager. Education Rodger earned a Bachelor of Arts in Economics from St. Lawrence University and a Master’s in Business Administration with a concentration in Finance from the University of Hartford. He earned his Charter from the CFA Institute in 1994. Professional Affiliations Rodger serves as an Advisory Council member for both J.P. Morgan RIA and Legg Mason Client Solutions, in addition to memberships with the CFA Institute and CFA Society of Hartford. He also devotes his time as a consultant or board member for various organizations in Connecticut.

• 

  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.

• 

  Edmund F. Murphy

  President, Empower, Retirement

  Edmund F. Murphy III is President of Empower Retirement, the nation’s second largest provider of retirement services. He directs all defined contribution, defined benefit, institutional and IRA markets. Ed brings 30 years of broad industry experience to his role. Previously, he had been Head of Defined Contribution and Investment Only for Putnam Investments. Prior to Putnam, Ed held executive leadership roles for nearly 20 years at Fidelity Investments in its institutional, private equity and retail businesses. Ed has written and spoken extensively in public on retirement matters and has testified before the before the House Committee on Ways and Means, Department of Labor, the Treasury Department and the IRS.

• 

  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

  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.

• 

  Daniel Oldroyd

  Head of Target Date Strategies, J.P. Morgan Asset Management

  Daniel Oldroyd, CFA, CAIA, managing director, is a portfolio manager and the Head of Target Date Strategies for Multi-Asset Solutions. Dan is responsible for the management of the J.P. Morgan target date strategies, including the management of custom target date fund portfolios. He leads a team of seven Client Portfolio Managers responsible for the management and client service of the SmartRetirement suite. Dan is a member of the SmartRetirement Portfolio Management Team, which was awarded the 2014 Asset Allocation Fund Manager of the Year by Morningstar. An employee since 2000, Dan has held several positions prior to this one, including that of investment strategist and manager research of non-proprietary investment managers for J.P. Morgan Retirement Plan Services. He earned a Bachelor of Science in Finance and International Business from Georgetown University. Dan is a CFA charterholder, CAIA charterholder, and is Series 7, 63, and 24 licensed

• 

  Hugh O'Toole

  Senior Vice President, Head of Workplace Distribution, MassMutual

  Hugh O’Toole Senior Vice President Massachusetts Mutual Life Insurance Company Hugh O’Toole is Senior Vice President and Head of Workplace Distribution for Massachusetts Mutual Life Insurance Co. (MassMutual). As Head of Workplace Distribution, O’Toole leads all distribution and customer acquisition functions for MassMutual’s retirement plans and workplace insurance businesses, including the retirement and worksite sales teams, sales engineering, advisor engagement and the Viability Advisory Group. MassMutual had $155 billion in retirement plan assets under management as of Dec. 31, 2015 and serves more than 35,000 retirement plans with approximately three million retirement plan savers. The firm offers defined contribution, defined benefit and non-qualified retirement plan products and services, supporting retirement plans for corporate, government, not-for-profit and Taft Hartley entities. In addition, MassMutual sells life, disability, accident and critical illness insurance at the workplace. In his role as leader of the Viability Advisory Group, O’Toole is responsible for directing and promoting the firm’s efforts to quantify the value of helping employers and employees make the most of their retirement and other employee benefits. Viability developed a patent-pending analysis program to help companies valuate the financial costs associated with their employees being unprepared for retirement and the loss of productivity attributed to employees’ lack of financial security. O’Toole has an established track record as a disruptor in the retirement plans and benefits marketplaces. After founding Viability in 2014, O’Toole then joined MassMutual in 2015 when the insurer acquired the assets of his firm. Previously, O’Toole headed distribution and relationship management for MassMutual for seven years, when the insurer more than doubled its retirement plan assets under management. MassMutual then doubled its assets again when O’Toole helped lead the acquisition of The Hartford’s Retirement Plans unit in 2013. Before joining MassMutual, O’Toole led Principal Financial Group’s growth in the nonprofit and worksite insurance markets. He joined Principal after the insurer purchased his firm, Professional Pensions, Inc., which disrupted the nonprofit retirement plans market by making available lower-cost investment offerings previously available only to corporate retirement plans. O’Toole is graduated from the State University of New York in Oneonta with a BS in psychology. He is a Registered Principal.

• 

  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

  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.

• 

  Ruthann R. Pritchard

  Institutional Portfolio Manager, Fidelity Investments

  Ruthann Pritchard is an institutional portfolio manager in the Global Asset Allocation (GAA) group at Fidelity Investments. 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, Ms. Pritchard serves as a member of the investment management team, maintaining a deep knowledge of portfolio philosophy, process, and construction, assisting portfolio managers and their CIOs in ensuring portfolios are managed in accordance with client expectations, and contributing to investment thought leadership in support of the team. She is also a principal liaison for portfolio management to a broad range of current and prospective clients and internal partners, providing detailed portfolio reviews and serving as a key conduit of client objectives, requirements, and marketplace insight back to the investment team. Ms. Pritchard’s focus is on Target Date strategies. Prior to assuming her current position in January 2014, Ms. Pritchard was vice president, investment consultant, in Personal Workplace Investments (PWI), a unit of Fidelity Investments, from 2006 to 2014. Before joining Fidelity in 2006, she was a vice president at JPMorgan Asset Management and JPMorgan Retirement Plan Services from 2000 to 2006, an associate investment consultant at Evaluation Associates from 1996 to 2000, and a research analyst at Target Investors from 1993 to 1996. Previously, Ms. Pritchard worked as an associate at First Boston from 1987 to 1991, and as an analyst/associate at Goldman Sachs from 1984 to 1987. She has been in the investments industry since 1984. Ms. Pritchard earned her bachelor of science degree in applied mathematics and mechanical engineering from Yale University. She also holds the Financial Industry Regulatory Authority (FINRA) Series 6, 63, 7, and 3 registrations.

• 

  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

  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.

• 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.

• 

  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

  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

  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.

• 

  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.

• David K. Stofer

  Founder & President, Mariner Retirement Advisors

  David Stofer is the founder of Mariner Retirement Advisors and serves as its president. He is responsible for ensuring the delivery of quality retirement planning services to clients. With a focus on plan design, compliance and in-depth investment monitoring, David uses proprietary tools to analyze retirement plan performance and determine the most effective way for clients’ employees to maximize their retirement benefits. He also consults on a wide range of issues related to mergers and acquisitions (M&A) and advises clients on the impact a corporate transaction may have on retirement benefits. David has more than 30 years of experience in the retirement plan business and more than 10 years of experience advising on mergers and acquisitions. He specializes in 401(k), 403(b) and defined benefit plans and also has experience with nonqualified deferred compensation plans. Prior to founding Mariner Retirement Advisors, David was a principal at SageView Advisory, where he focused on helping plan sponsors meet their fiduciary obligations. He began his career as an administrator, drafting adoption agreements, filing 5500s and conducting discrimination testing. Recognizing a need for better retirement plan and investment monitoring, David developed Fiduciary Investment Reporting Manager (FIRM), an investment monitoring tool that is now used by more than 900 advisors serving more than 48,000 plan sponsors. David has a bachelor’s degree in finance and business administration from Kansas State University and is a trustee of the Kansas State University Foundation. He is an Accredited Investment Fiduciary, is registered with the Securities and Exchange Commission and has passed the Series 7, 26, 63 and 65 exams. In 2008, David Stofer was recognized as one of the most successful retirement plan advisors by Plan Sponsor Magazine. In 2009 and 2010, he was recognized as one of the 300 Most Influential Advisors in Defined Contribution by The 401k Wire.

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  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.

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  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.

• Christian Thomas

  Investment Consultant, USI Advisors, Inc.

  Christian Thomas is an Investment Consultant with USI Advisors, Inc., a federally registered investment advisor and wholly owned subsidiary of USI Consulting Group. He is responsible for developing, implementing and monitoring investment strategies for defined benefit and defined contribution clients, and regularly conducts investment review meetings with clients. Prior to joining USI Consulting Group, Christian worked in various roles throughout the financial services industry, gaining experience in credit analysis, 401k plan administration, and investment performance and attribution reporting. This breadth of experience has allowed Christian to develop a strong knowledge base in areas critical to both investment and plan design evaluation. Christian earned a MBA in Finance from the University of Connecticut. Christian is also a CFA charterholder. In addition, Christian has earned the right to use the Certificate in Investment Performance Measurement (CIPM) designation.

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  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.

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  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.

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  Josh Ulmer

  Senior Institutional Consultant, Morgan Stanley Wealth Management

  Mr. Ulmer has spent his entire career in finance at Morgan Stanley (MS) or its predecessor companies, and has been focused on the pension marketplace since 2004. Joshua is a Director in the Corporate Client Group and holds the Senior Institutional Consultant designation, in addition to being a Senior Vice President. Joshua received his Bachelor of Arts in Economics and Business from Lewis and Clark College. He went on to get his CIMA through IMCA in coordination with the University of Pennsylvania’s Wharton School of Business and a Certificate in Risk Management from the New York Institute of Finance. Mr. Ulmer is also a Chartered Financial Analyst, a rigorous global program attained over a minimum of three years’ study and examinations. He holds several other professional designations/accreditations, including the Chartered Retirement Plan Specialist through the College for Financial Planning, the Accredited Investment Fiduciary through the Center for Fiduciary Studies, and the Certified Behavioral Finance Analyst through the Allianz Global Investors Center for Behavioral Finance. Mr. Ulmer regularly contributes to Morgan Stanley’s 401(k) advisory services offering and participates in industry events, panels, and product evaluation committees for leading record keepers and asset managers. Joshua has been the recipient of various forms of industry recognition, including: 2017 PLANSPONSOR Retirement Plan Adviser of the Year; PLANADVISER’S 2017 TOP 100 RETIREMENT PLAN ADVISERS; 2016 PLANSPONSOR Retirement Plan Adviser of the Year Finalist; Financial Times Top 401 Retirement Plan Advisors in 2015 and 2016; Barron’s 2017 & 2016 Top 1,200 Financial Advisors in America; National Association of Plan Advisers Young Gun list in 2017. In January of 2017, Mr. Ulmer was selected to serve as a council member for the Retirement Advisor Council of America. He is presently a member of the CFA Institute, the Portland Society of Financial Analysts, the National Association of Plan Advisors, as well as a Member of the Investment Management Consultant Association. Joshua is an Advisory Board member at the Center for Entrepreneurship at Lewis and Clark College, and previously served on both the Finance and Investment Committee of the Children’s Cancer Association.

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  Dr. Jack VanDerhei

  Research Director, Employee Benefit Research Institute (EBRI)

  Jack VanDerhei is the research director of the Employee Benefit Research Institute (EBRI). He is also the director of the EBRI Center for Research on Retirement Income. He has more than 200 publications devoted to employee benefits and insurance, but his major areas of research focus on the financial aspects of private defined benefit and defined contribution retirement plans. He is currently analyzing a database with annual observations of over 24 million 401(k) participants from more than 100,000 plans. This has resulted in annual co-authored updates of the 401(k) universe for account balances, asset allocation and loan activity since 1996. Information on his simulation studies can be found at the “RSPM summary” link at www.vanderhei.com. This will include the new study on the impact of Rothification on retirement security in the next few weeks. In the last eight years he has testified for the ERISA Advisory Committee; the House Ways and Means Committee hearing on Tax Reform and Tax-Favored Retirement Accounts; the Committee On Banking, Housing, And Urban Affairs Subcommittee On Economic Policy Hearing on Retirement (In)Security; the Senate Finance Committee hearing on Tax Reform Options; the Senate Health, Education, Labor and Pensions Committee ; the President’s Economic Recovery Advisory Board Retirement and Savings Working Group; the Department of Labor Advisory Council on Employee Welfare and Pension Benefit Plans ; the joint DOL/SEC Hearing on Target Date Funds; and the House Education and Labor Committee on “The Impact of the Financial Crisis on Workers’ Retirement Security” He received his BBA and MBA from the University of Wisconsin-Madison and his M.A. and Ph.D. from the Wharton School of the University of Pennsylvania.

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  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

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  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.

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  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.

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  Andrew Wilshinsky

  Senior Vice President, The Wilshinsky Group, Morgan Stanley Wealth Management

  Andrew has been a senior partner with The Wilshinsky Group since his arrival at the firm in 1999. As less than 2% of Morgan Stanley highly vetted advisors with the Corporate Retirement Director title, Andrew is responsible for the design, strategy, and implementation of all the group’s corporate retirement plans both qualified and non-qualified. Prior to joining the firm, Andrew was a partner at KAP planning, a boutique financial planning group within AXA. He has appeared on Bloomberg Financial News network and spoken before many organizations, including the New York Society of CPAs. He has been named one of the 300 most influential people in the DC business by 401(k) Wire Magazine, Plan Adviser magazine as one of the Top 100 Retirement Plan Advisers in 2010, 2012, 2017 and also to the inaugural 2015 and 2016 Financial Times Top 401 Retirement Plan Advisors list. Lastly, Andrew is one of the select few constituents on Morgan Stanley’s corporate retirement director advisory board. Andrew is an alumnus of Babson College where he graduated with honors. He sits on the board of the nonprofit organization JNF and works with a variety of other environmental charities. Andrew is frequently asked to speak on Fiduciary Best Practices by some of the largest accounting firms.