2018 PLANADVISER National Conference

JW Marriott, Grande Lakes  |     |  

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Day 1 September 24, 2018

Day 2 September 25, 2018

Day 3 September 26, 2018

Day 1 September 24, 2018

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    Registration and Buffet Lunch 
    Sponsored  by Women in Pensions Network

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    Opening Remarks: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER

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    Opening Guest Speaker: Jonathan Swan: Behind the Scenes in Trump’s Washington
    You’ve seen him on TV. You’ve read his breaking news. You’ve come to trust his byline. But you’ve never heard him quite like this: unfiltered and uncompromising. An award-winning journalist with incomparable access to the halls of power, Jonathan Swan takes you behind the scenes in the Trump White House and on Capitol Hill. He introduces you to the people behind his headlines and explains what you might expect next from one of the least predictable administrations in recent memory. You’ll walk away with an insider’s view of Washington today and exclusive insight into how it will shape America tomorrow.

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    The Future of Retirement Advising: Retirement is part of a broad financial picture, both for plan sponsors, which look at it as part of a broader benefits program, and for participants, who consider it in the context of their overall financial health and budgets. What role will a retirement adviser play in this broader picture in the future? Does the advisers have to understand the broader benefits plan or offer personal financial planning to survive? Or will specialization continue to be a competitive advantage?
    ModeratorAlison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Jon Anderson, Head of Retirement Plan Solutions, Cetera Financial Group
    Edward P. O’Connor, Managing Director, Morgan Stanley Wealth Management
    Vincent Morris, President, Resources Investment Advisors

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    The State of Adviser M&A: What’s the right business model and home for your practice? The retirement plan advisory industry is undergoing consolidation. With industry statistics showing that 25% of advisers have changed firms in the last four years, there are clearly many advisers in pursuit of the right business model. Hear from deal-makers from across the industry that will address differences between ownership of firms, decision-making structures, personnel structures & support, core competencies, product and service focus, and how all of this is evolving.
    Moderator: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Rick ShoffManaging Director, CAPTRUST Financial Advisors
    Dick Darian, CEO, Wise Rhino
    David Reich, National President, Retirement Services, HUB International Investment Services, Inc.

  6. -

    Coffee Break

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    Top Trends: A high level discussion of industry trends, with an eye towards what will likely stay—or change—in the short and long term and how advisers can prepare.
    Moderator: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Rick Fulford, Executive Vice President and Head of PIMCO’s U.S. Retirement and Defined Contribution Business
    PIMCO U.S.

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    Legislation, Regulation, Litigation! Leading experts explain retirement-related developments in Washington, D.C. and in states across the country. We’ll discuss the latest in legislation, regulations, and litigation and what it means for advisers and their clients.
    Moderator: John Manganaro, Deputy Editor, PLANADVISER
    Panelists:
    Joan M. Neri, Counsel, Drinker Biddle
    Jamie Fleckner, Partner, Goodwin Procter LLP
    Kevin Walsh, Associate, Groom Law Group, Chartered

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    Cocktail Reception (Exhibit Hall)
    Sponsored by
    MassMutual

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    Opening Night and After Dinner Speaker Sponsored by Ascensus

    As Long As You’re Asking—A Conversation with Jason Alexander
    Join us for an evening of comedy, music and conversation with the award-winning star of stage and screen in which the audience determines what they want to know the most. Alexander will present a variety of topics for the audience to pick and choose, culminating in behind the scenes stories of his life, career, and social activism. Or ask about anything you’ve always wanted to know and see if he can answer. Alexander has starred on Broadway, in hit films like Pretty Woman and Shallow Hal and,
    of course, Seinfeld. He is an actor, director, producer, writer, children’s book author, award- winning magician, semi-pro poker player and social/political activist. It’s all on the table and the conversation is completely in your control, making for a once in a lifetime event.

    (Wine Sponsored by Lincoln Financial Group)

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    After Dinner Cocktails
    Monday Night Football After-Party immediately following dinner!
    (Porte Cochere)

Day 2 September 25, 2018

  1. -

    Breakfast (Exhibit Hall)

  2. -

    Opening Remarks: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER

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    Powered by Participants
    Anne Lester,
    Portfolio Manager and Head of  J.P. Morgan Retirement Solutions, reviews how to put participants first with target date solutions and tools.
    Sponsored by J.P. Morgan Asset Management

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    Fixed Income at the Crossroads
    As the wave of Boomers approaches and moves into retirement, focusing on the impact of fixed income on portfolios has never been more important, especially for DC plans. Michael Collins, Managing Director and Senior Portfolio Manager, and Morningstar’s U.S Fixed-Income Fund Manager of the year for 2017, will discuss the key inflection points facing Fixed Income investors, such as accelerating global economies, monetary policy reversals/divergences, fiscal slippages, and maturation of the credit cycle, and how advisors and plan sponsors can help participants navigate the bond market in 2018 and beyond.
    Presenter: Michael Collins, Senior Portfolio Manager at PGIM Fixed Income

    Sponsored by PGIM Investments

  5. -

    Coffee Break

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    Session 1
    Team Building
    When an advisory practice grows into a team, how do you divide up the roles? The various roles that are critical to forming a robust team include key account executive, investment adviser, fiduciary trainer and participant education specialist. Do you make certain advisers the lead adviser/customer relationship manager and support them with other staff members who handle fiduciary responsibilities, investment choices and employee education? If it is a multi-office team practice, do you centralize certain functions in the headquarters office to ensure consistent customer service—or do you permit branch offices some autonomy?ModeratorJohn M Ludwig, Financial Advisor, LPL Financial, LHDretirement (An Independent Firm)
    Panelists:
    Eileen GreenspanSenior Vice President, Senior Plan AdvisorSentinel Benefits & Financial Group
    Joseph P. Lee, Senior Vice President, Head of Retirement Platforms and Strategy, First Eagle Investment Management, LLC
    Bill RiceDirector, Advisor Development,
    Pensionmark Financial Group, LLC

    Session 2
    Plan Committees
    One of the most common reasons plan sponsors turn to advisers is to get assistance with governance, including items such as putting in processes that help avoid litigation and running an efficient investment committee meeting. What are the latest and greatest strategies for improving plan sponsor governance? How can advisers work to train the plan committee to select and monitor investments, adhere to plan governance and minimize plan risk. Additionally, what kind of fiduciary training should the adviser provide each year?
    Moderator: Bruce LanserSenior Retirement Plan Consultant,
    UBS Retirement Plan Consulting Group
    Panelists:
    Stephen Rubino, Senior Vice President of Institutional Services, Financial Engines
    Tim Irvin, Consultant, Cammack Retirement Group
    Robert J. Rafter, President, RJR Consulting

    Session 3
    Executive Benefit Plans: NQDC
    Executive benefit plans can help clients  attract, retain and reward the key employees and executives who drive the success of their business, and help those employees better save for retirement. Learn how integrating NQDC plans can grow your advisory practice and deliver additional value to your existing clients. Hear from advisers who have helped clients add nonqualified deferred compensation (NQDC) plans to benefits programs and from providers about how to  identify a prospective opportunity for such plans. 
    Moderator: Jonathon Schultheiss,
    Retirement Plan Advisor/Partner, Gate CIty Advisors, LLC
    Panelists:
    Jeff Roberts, Regional Channel Manager, ADP
    Shawn Besser, Vice President, NQ Practice Regional Consultant, Prudential Retirement
    Corby DallPresident & Managing Partner, 401k Advisors Intermountain

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    Session 1
    DOL Audits of Retirement Plan Advisers
    Are DOL investigations of retirement plan specialists the next frontier?What are DOL investigators looking to find, and what types of questions are they asking of advisers? Learn how to respond to an audit, and lessons learned from those who have completed them.
    Moderator: James F. Sampson, Director, Retirement Advisory Services, Hilb Group Retirement Services
    Panelists:
    Jim O’Shaughnessy,
    Managing Partner, Sheridan Road Financial
    David C. Kaleda, Principal, Groom Law Group, Chartered 

    Session 2
    Responding to RFPs
    It has become more common for plans with upwards of $20 million in assets to go through a formal RFP process to find a new adviser, but it can be a cumbersome process to respond. How can advisers effectively and efficiently respond to RFPs and how can they differentiate themselves?
    Moderator: Joe Brummel, Director Retirement Plan Consultant, Wealth Enhancement Group
    Panelists:
    Brian Hanna
    , Senior Plan Consultant, Everhart Advisors
    Jason K. Chepenik, Managing Partner, Chepenik Financial

    Session 3
    HSA/Health Care
    In the constantly evolving benefits landscape, plan sponsors and participants rely on the vision and guidance of trusted partners to make the best choices. As healthcare costs rise, many employers are shifting greater responsibility to employees to save for expenses using tax-advantaged health savings accounts (HSAs). What are the benefits of health savings accounts and how do they fit in a retirement plan advisers’ practice?  Do HSAs present a natural opportunity for DC advisers to help promote more holistic retirement planning that considers the challenging task of paying for medical care post-employment? How much of an opportunity does the HSA market present from a growth standpoint?
    Moderator: Nicole DeLahanty, Managing Director, Pavilion Advisory Group Inc.
    Panelists:
    Kevin Murphy, Head of Strategic Accounts, Franklin Templeton Investments
    Jamie Greenleaf, Lead Advisor/Principal, Cafaro Greenleaf  

  8. -

    Lunch (Exhibit Hall)

  9. -

    Workshop 1 Sponsored by Voya Financial
    Learn how to increase leads and drive deeper wallet share with nonqualified deferred compensation (NQDC) planning
    This 45 minute Workshop facilitated by Voya’s Kirk Penland, 35+ years of experience in benefits consulting, Chief Executive Officer of Pen-Cal Administrators, Inc., recognized leader in employee and executive benefit plans, and recently acquired by Voya Financial, will provide you with:

    • Key industry trends and the short and long-term benefits of including nonqualified retirement planning in your wheelhouse of expertise
    • An overview of the basic components of eligibility, participation, contributions, vesting and funding of NQDC plans
    • Methods to frame out different NQDC scenarios to reduce tax implications
    • A workbook that you can use immediately to target your current book and deepen wallet share and/or find new streams of revenue with a differentiated approach

    Workshop 2
    Sponsored by Capital Group, home of American Funds
    Addressing the Elephant in the Room
    Our industry’s collective objective is to help plan sponsors meet their fiduciary obligations and reduce liability, and to help plan participants meet their long-term investment objectives. This, as you know, is easier said than done. For example, how important is investment manager selection? How can we better understand the differences between active and passive investment management? What have we learned from ERISA, DOL commentary and case law about what matters? Can the right target date series make a significant difference? What makes a target date series “right”? Join us for useful information and lively discussion about these important issues and more.
    Presenter: Jonathan A. Young, Senior Vice President, Senior National Accounts Manager, Capital Group | American Funds

    Workshop 3
    Sponsored by ALGER
    The Power of Focus: Looking for Alpha in a Sea of Beta
    With the popularity of focused strategies on the rise, Alger recently worked with Greenwich Associates to explore the appetite for and popularity of focused strategies among institutional investors, investment consultants and retail fund intermediaries. In this session we will explore the study’s results on how Focused Strategies can be beneficial for clients and debunking some of their common misconceptions. (Click here to view the full study)
    Key findings from the study include

    • The need for increased alpha is driving the shift toward focused strategies
    • Proponents of focused strategies believe the best way to create alpha is to invest with managers who diverge from their benchmarks and allocate to their highest conviction ideas
    • Focused strategies typically exhibited lower risk, as measured by beta and down market capture, than strategies with a larger number of stock 

    PresenterKevin D. Collins, CFA® Senior Vice President, Client Portfolio Manager, ALGER

  10. -

    Session 1
    Target-Date Fund Evolution:
    Target-date funds continue to be the predominant QDIA, gathering significant assets over the last decade. Most plan sponsors haven’t created a specific process by which to evaluate them, and haven’t reevaluated their selection since original adoption, and need guidance from their advisers. Advisers that are selecting these funds for or with plan sponsor clients must ensure they are aware of the way these funds have evolved and are evolving, in order to best select a fund suite. This session will help advisers understand considerations in the following areas: how to consider and compare low cost passive to active funds; glidepaths structures, which are more complex than a simple “to” or “through” label; understanding overall fund risks; the rise of active passive strategies, in which managers are able to over- or under-weight index funds based on outlook while staying within target bands; and custom target-date funds.
    Moderator: Jason A. Johnson, 
    Senior Vice President-Wealth Management, Retirement Plan Consultant, Wealth Advisor, UBS Financial Services, Inc. 
    Panelists:
    Ruthann Pritchard, 
    Institutional Portfolio Manager, Fidelity Investments
    Todd Lacey, Senior Vice President of Business Development, Stadion Money Management
    Brian Cosmano, Vice President, Strategic Product Initiatives, Great-West Investments
    Jake Gilliam, Head Multi-Asset Strategist, Charles Schwab Investment Management

    Session 2
    Financial Wellness
    There are about as many ways to define “financial wellness” as there are providers of financial wellness services, but at the heart, successful financial wellness programming helps retirement plan participants do better and feel better about money matters. Beyond explaining their own definitions of financial wellness and why they feel financial wellness support is a must-have for successful defined contribution (DC) retirement plans, panelists will offer specific insight into the ways financial wellness programming is being integrated into retirement benefits today. Included in the conversation will be pragmatic guidance you can use to help your plan sponsor clients identify the right sources of financial wellness—be it delivered by the recordkeeper, by the adviser or by a third-party provider. Panelists will also examine how to help clients define goals for wellness programming, how to set benchmarks for measuring progress, and how to compare and combine different approaches for the best participant outcomes. 
    Moderator: Michael M. Kane, Managing Director, Plan Sponsor Consultants
    Panelists:
    Lynda Abend, Chief Data Officer, John Hancock Retirement Plan Services
    Michael Domingos, Vice President, National Corporate Strategy & Distribution, Prudential Retirement
    Tina Wilson, Senior Vice President, Head of Investment Solutions Innovation, MassMutual U.S
    Chad Brown, VP Managing Director Wholesale Distribution, Transamerica

    Session 3
    Partnering With Providers and Advisers
    Growing the practice while maintaining superior service levels for existing clients continues to be a top priority among retirement plan advisers. With the constant demands on your time, when and how do you find new clients while keeping up with your existing book? For an increasing number of advisers, the concept of strategic partnering is the answer to sustainable growth. In theory, advisers have been doing this for years with certified public accounts, attorneys, benefits specialists, third-party administrators, etc. However, recent survey data highlights some new trends in the evolution of strategic partnering, such as the emergence of retirement plan advisers partnering with generalist wealth advisers to gain new business, or the greater reliance on recordkeeping partners or investment managers to complete tasks that traditionally fell on the adviser or his staff. Expert panelists will describe the range of opportunities advisers have to partner with the different types of providers that are active in the retirement planning arena. In addition, advisers will learn how a more formalized partnership structure, with clearly written guidelines and principles, can drive stronger and more repeatable results.
    Moderator: Marianne W. Marvez, Vice President/Director, Innovest Portfolio Solutions LLC
    Panelists:
    Dana R. Hartwell, Director, Head of DCIO Sales, New York Life/Mainstay Investments
    Mark Bentley, Regional Retirement Wholesaler, Retirement Plan Sales, Paychex Retirement Services
    Mark Gutrich, Managing Director, Fi401k Advisors, LLC
    Todd Kading, President, LeafHouse Financial

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    Session 1
    ESG Investments
    Few topics have gained popularity among plan sponsors and participants as quickly as Environmental, Social and Governance investing, known colloquially as “ESG.” And yet, while the client demand for expanded access to ESG opportunities continues to grow, important questions remain about the proper role of ESG within the context of the Employee Retirement Income Security Act (ERISA) and other laws/regulations that require the best-interest curation of DC plan participants’ investment opportunities. Against this backdrop, expert panelists will review how ESG regulations have changed in the recent past, including the latest move by the Trump administration to “clarify” the bold new standards set previously by the outgoing Obama administration for conducting ESG investing under ERISA. The conversation will also look beyond the short-term regulatory fluctuations to explore the fundamental appeal of ESG, both from the sponsor and participant perspective. Among other objectives, advisers will learn how to discuss and better define the crucial concept of “materiality” as it pertains to ESG investing under ERISA.
    Moderator: Steven W. Glasgow, Executive Vice President/Wealth Management, Janney Montgomery Scott LLC
    Panelists:
    Stacey Tovrov
    , Vice President, DC Investment Strategy, BlackRock
    Ron Cohen, Head of DCIO Distribution, Wells Fargo Asset Management

    Session 2
    Practice Efficiencies
    Digging into investment prospectuses and market data is only a small part of what financial advisers do for retirement plan clients today. In fact, new data suggests that financial advisers focused more on client management than on investment management see much stronger asset growth and client retention over time. According to some experts, putting in place just a handful of next-generation client management best practices can increase the value of an advisory business by more than $1 million over a 10-year period. During this session, panelists will discuss the shift measured among the most successful advisory firms of moving away from portfolio management in favor of client management processes. Advisers will learn about emerging opportunities to delegate the resource-hungry investment management function to a third party to concentrate instead on gathering and building lasting relationships. Other topics to be addressed will include how to efficiently on board new clients; how to best price, structure and deliver the product set to promote efficiency; and how to identify profit potential by delegating other practice management functions traditionally falling in the adviser’s lap.
    Moderator: Phil Senderowitz, Managing Director, Central Florida, Strategic Retirement Partners
    Panelists:
    David T. Griffin, Founder and Owner, Atlanta Retirement Partners, LLC. 
    Joseph F. DeNoyior
    , Managing Partner, Washington Financial Group  

    Session 3
    Stable Value Funds:  How stable value can be used as a capital preservation anchor in a diversified portfolio, and how, in a rising rate environment, including stable value in a portfolio is a wise move?
    Moderator: Joe Connell, Partner, Sikich Retirement Plan Services
    Panelists:
    William E. McLaren
    , Vice President, Stable Value Business Leader
    Lincoln Financial Group

  12. -

    Coffee Break

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    In Focus: Retirement Benefits for Small Business
    Small business plays a critical role in the U.S. economy, but has traditionally struggled to provide cost-effective retirement benefits. Today, public policy, new technologies, and industry enhancements are addressing this deficit and expanding retirement plan coverage for millions of workers. What’s the role of the modern advisor in this shifting landscape? How can advisors efficiently and profitably serve this emerging segment of “new” retirement savers? In this session, we’ll explore the small business opportunity and how advisors can best capitalize on it.

    Sponsored by Ascensus

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    Featured Speaker: Morgan Housel: The Messy World of Risk
    Risk, in investing textbooks, is taught as the stock market going up and down. In the real world, risk is far more complicated, harder to define and different for every investor. Risk in the real world is not being able to meet your financial goals, which is primarily caused by investors’ own biases and behaviors, particularly buying when the market is high and selling after a pullback. Morgan Housel shares five clear stories of how investors, business executives and everyday people misinterpreted risk to disastrous consequences, and how investors can identify and correct their own biases to make better investment decisions.

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    Cocktail Reception
    Mardi Gras in Orlando! Franklin Templeton Investments is treating us to a New Orleans fete that rivals the fun of Bourbon Street! Beads, masks, mystique and good ole authentic Creole cuisine lend themselves to a jazzy Night Two reception. Join the festive parade of conference attendees over to the party where you will enjoy Cajun Jambalaya, French Quarter Carvings and more Louisiana favorites. This will be one lively evening that you won’t want to miss!
    Sponsored by Franklin Templeton Investments

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    Late Night Lounge (Lobby Lounge – Main level) Sponsored by Prudential

Day 3 September 26, 2018

  1. -

    Breakfast (Exhibit Hall)

  2. -

    Opening Remarks: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER

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    Future Faces of Advising: Should the retirement plan adviser industry work to increase interest in it as a career path? Often seen as a generally monolithic group, what does the face of the adviser look like in the future? How the need for succession planning and an interest in diversity may play a role in building the future of the industry.
    ModeratorAlison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Keith J. Gredys JD, Chairman and CEO, Kidder Advisers, LLC
    Melissa Cowan, Vice President, Women in Pensions Network

  4. -

    Now What? You have built a credible retirement plan practice; but how do your manage team dynamics, scale the business and continually innovate for the next-level of success?
    Moderator: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Josh Ulmer, Corporate Client Group Director, Senior Vice President – Financial Advisor, SeaPort Group, Morgan Stanley Institutional Wealth Services
    Todd Timmerman, Managing Director, Retirement Plan Analytics
    Chris Miller, Managing Director, Pensionmark Financial Group, LLC

  5. -

    Coffee Break

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    Understanding the Participant Mind: Plan participants are not a monolithic group and make active decisions about their overall finances–even when they may seem like poor decisions in the context of their single account balance. What does research tell us about participant thinking and wants? Panelists will discuss how to consider through participant considerations with plan sponsor clients when proposing and discussing plan design options.
    Moderator: John Manganaro, Deputy Editor, PLANADVISER
    Panelist:
    Shannon McCarthy, 
    Sr. Consultant, Brand Leader, Nationwide
    Dan Peluse, Director of Retirement Plan Services, Wintrust Wealth Management

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    The Value of an Adviser – Plan Sponsors Tell All: Plan Sponsors of the Year share why they selected their advisers, what works well–and what hasn’t. Hear candid discussion from plan sponsors about the adviser relationship.
    Moderator: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER
    Panelists:
    Heather Masterson, Human Resources Director, Hendrick Motorsports
    Joanna Farrere, SVP, Human Resources & Administrative Services, Illinois Health and Hospital Association

  8. Closing Comments: Alison Cooke Mintzer, Editor-in-Chief, PLANADVISER

  9. To-Go Lunch

Sponsorship Information

Katie Bacon | 203-595-3184 |

General Information

Carol Popkins | 203-461-0985 |