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CFDD Advisor Conference Speaker Interviews

The CFDD’s October  Advisor Conference, Participant Advice, Retirement Income & New Growth Strategies is the premier education and networking event for the retirement plans advisory industry.   The two and one-half day all business agenda is populated by a Who’s Who in the retirement industry and includes more than fifty different content rich breakout sessions.  Given our unencumbered and pure business model, no other retirement plans conference can match the CFDD’s unbiased,  diverse, timely and predictive agenda. Participant advice solutions, including managed portfolios and managed accounts, are poised to grow substantially.  While employee solutions are where advisors can add value and distinguish themselves today, successful participant outcomes require a combination of “do-it-for-me” approaches, including customized solutions.  To meet this need, CFDD ’11 is specifically designed to help advisors adapt to increasing demand for participant advice, differentiate, gain a competitive edge and grow new higher margin business.

For more information on the conference, go to:http://www.thecfdd.com/CFDDconference2011

 

CFDD Advisor Conference Speaker Interviews
Robert T. Rickey Director Advisor Services TIAA-CREF

Raising The Bar On Advisor Delivered Participant Advice: Game Changing Opportunities & Strategies In The 403(b) Markets

The 403(b) market has experienced unprecedented change over the last five years due to a dramatic shift in regulatory requirements, a fractured economy and precarious market performance. Shades of uncertainty continue to linger and plan sponsors as well as participants have had to adjust to a new retirement plan environment. To restore confidence and reinvigorate interest in retirement readiness, plan sponsors have increasingly turned to trusted advisors for participant directed personalized advice. Demand for plan and participant level directed advisory services has never been higher. It also offers advisors an unmatched opportunity to differentiate with model portfolio strategies, comprehensive participantWatch Now

The 403(b) market has experienced unprecedented change over the last five years due to a dramatic shift in regulatory requirements, a fractured economy and precarious market performance. Shades of uncertainty continue to linger and plan sponsors as well as participants have had to adjust to a new retirement plan environment. To restore confidence and reinvigorate interest in retirement readiness, plan sponsors have increasingly turned to trusted advisors for participant directed personalized advice. Demand for plan and participant level directed advisory services has never been higher. It also offers advisors an unmatched opportunity to differentiate with model portfolio strategies, comprehensive participant communication and education services. TIAA-CREF – a premier provider of retirement services in the academic, research, medical & cultural field – has developed the Advisor Network, a leading edge advisory service. The Advisor Network facilitates the scalable delivery of qualified open architecture participant advice while ensuring high quality services are delivered to both institutional and individual clients. In turn, the Advisor Network provides advisors a unique and one-of-a-kind opportunity to leverage the demand for participant advisory services and a premium nonprofit brand. Attend this session to learn even more about the new TIAA-CREF Advisor Network and how to grow new higher margin business.  

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Amy Simonson Vice President Finance & Operations Verity Asset Management | Verity Investments, Inc.

The Growing Opportunity for Independent Participant Advice

Amy Simonson is co-founder and head of operations of Verity Asset Management, Inc., a registered investment adviser in Durham, NC. Since 1996 she has guided the firm as it has evolved and expanded in scope from a local independent BD/RIA to an investment management platform with a national adviser network. Since 2005, Verity has been providing discretionary account management solutions to retirement plan participants in the higher education and tax-exempt markets. Amy graduated from Rice University with a BA in Political Science & Economics. She holds the Accredited Investment Fiduciary (AIF) Designation, awarded by the Katz School of Business andWatch Now

Amy Simonson is co-founder and head of operations of Verity Asset Management, Inc., a registered investment adviser in Durham, NC. Since 1996 she has guided the firm as it has evolved and expanded in scope from a local independent BD/RIA to an investment management platform with a national adviser network. Since 2005, Verity has been providing discretionary account management solutions to retirement plan participants in the higher education and tax-exempt markets. Amy graduated from Rice University with a BA in Political Science & Economics. She holds the Accredited Investment Fiduciary (AIF) Designation, awarded by the Katz School of Business and the Center for Fiduciary Studies and FINRA Series 6, 63, 65, 22, 52, 26, 28, 39 and 53.

For more information, call (919) 490-6717 x100 or email: asimonson@verityinvest.com

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Scott Dauenhauer President Meridian Fiduciary Consulting

Raising The Bar On Advisor Delivered Participant Advice:Game Changing Opportunities & Strategies In The 403(b) Markets

Scott Dauenhauer, CFP®, MSFP, AIF® is the Principal & Owner of Meridian Wealth Management, a California Registered Investment Advisor. Mr. Dauenhauer is also a partnering consultant with SST Benefits Consulting, Inc. On a combined basis, the two entities consult on over $3 billion in government defined contribution assets. Scott has been involved with Government Defined Contribution plans since starting his practice in 2001. In this role, he managed RFPs for school districts in California and consulted with the California State Teachers Retirement System (CalSTRS). Scott also assisted CalSTRS with the development of their defined contribution programs, including a Fiduciary AdvisorWatch Now

Scott Dauenhauer, CFP®, MSFP, AIF® is the Principal & Owner of Meridian Wealth Management, a California Registered Investment Advisor. Mr. Dauenhauer is also a partnering consultant with SST Benefits Consulting, Inc. On a combined basis, the two entities consult on over $3 billion in government defined contribution assets. Scott has been involved with Government Defined Contribution plans since starting his practice in 2001. In this role, he managed RFPs for school districts in California and consulted with the California State Teachers Retirement System (CalSTRS). Scott also assisted CalSTRS with the development of their defined contribution programs, including a Fiduciary Advisor Program for K-14 educators. Mr. Dauenhaauer is often quoted in the media on a wide variety of financial topics and has authored several articles and a book, The 403(b) Wise Guide. Media interviews include the Wall Street Journal, Kiplinger’s Magazine, Chronicles of Higher Ed, Money Magazine, L.A. Times, Financial Planning Magazine, Journal of Accountancy and Teacher Talk. His blogs, The Meridian & The Teachers Advocate are widely read. The Meridian was also named as one of “The Best Stops on the Web” by the Journal of Accountancy. Scott earned a Bachelors degree in Finance and a Masters Degree in Financial Planning. He is also an Accredited Investment Fiduciary®.

For more information, call (949) 916-6238 or email: scott@meridianwealth.com

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Brodie Wood Nonprofit VP & National Practice Leader Diversified Investment Advisor

Techniques To Help Advisors Consult To The Fastest Growing DC Plan Market

Brodie Wood is a VP of Sales and the National Practice Leader for Diversified’s Not-For-Profit Division. In this capacity, Mr. Wood leads the company’s not-for-profit sales, product development efforts and manages the Western Regional Sales Team. Prior to his current role, Brodie was the VP of Diversified’s Participant Counseling Organization. This organization is dedicated to delivering employee education, assisting with asset consolidation and retirement planning. Prior to joining Diversified in 2008, Mr. Wood worked for Fidelity Investments in several capacities over a ten year period. Brodie earned his Bachelor of Arts with a dual major in Spanish and Business fromWatch Now

Brodie Wood is a VP of Sales and the National Practice Leader for Diversified’s Not-For-Profit Division. In this capacity, Mr. Wood leads the company’s not-for-profit sales, product development efforts and manages the Western Regional Sales Team. Prior to his current role, Brodie was the VP of Diversified’s Participant Counseling Organization. This organization is dedicated to delivering employee education, assisting with asset consolidation and retirement planning. Prior to joining Diversified in 2008, Mr. Wood worked for Fidelity Investments in several capacities over a ten year period. Brodie earned his Bachelor of Arts with a dual major in Spanish and Business from Utah State University. He has also completed his Masters of Business Administration from Brigham Young University in 2002. In addition to his CRPC designation, Brodie holds FINRA’s Series 26, 7 and 63 licenses.

For more information, call (801) 693-3602 or email: bwood@divinvest.com

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Marcia Wagner Managing Director The Wagner Law Group

Prospecting The 403(b) Market For Companion DB Plan Business

Marcia S. Wagner is a specialist in pension and employee benefits law. Ms. Wagner is also the principal of The Wagner Law Group, which she founded over 15 years ago. Marcia has practiced law for over twenty-five years and is widely recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, all forms of deferred compensation and welfare benefit arrangements. She was appointed to the IRS Tax Exempt & Government Entities Advisory Committee, ended her three-year term as the Chair of its Employee Plans subcommittee, and received the IRS’Watch Now

Marcia S. Wagner is a specialist in pension and employee benefits law. Ms. Wagner is also the principal of The Wagner Law Group, which she founded over 15 years ago. Marcia has practiced law for over twenty-five years and is widely recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, all forms of deferred compensation and welfare benefit arrangements. She was appointed to the IRS Tax Exempt & Government Entities Advisory Committee, ended her three-year term as the Chair of its Employee Plans subcommittee, and received the IRS’ Commissioner’s Award. Ms. Wagner was also inducted as a Fellow of the American College of Employee Benefits Counsel. For the past four years, 401k Wire listed Marcia as one of the 100 Most Influential Persons in the 401(k) industry. She received the Top Women of Law Award in Massachusetts and is listed among the Top 25 Attorneys in New England by Boston Business Journal. Ms. Wagner has written hundreds of articles and 11 books about retirement and benefit plans. Marcia has been widely quoted in such publications as The Wall Street Journal, Financial Times, Pension & Investments, and more. She has also been a frequent guest on FOX Business, CNN, Bloomberg, NBC and other televised media outlets. Ms. Wagner is a summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of the Harvard Law School.

For more information, call (617) 357-5200 or email: marcia@wagnerlawgroup.com

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David Witz Managing Director Fiduciary Risk Assessment LLC (FRA) and PlanTools,

408(b)(2) Disclosure Options: What Works & What May Not

David J Witz, AIF is the Managing Director of Fiduciary Risk Assessment LLC (FRA) and PlanTools, LLC. FRA/PlanTools is a service provider to the retirement industry designing and licensing fiduciary compliance, performance reporting and benchmarking software solutions for industry service providers. FRA is in a patent pending status for its Master Diagnostic customizable automated compliance system which automates the process for fiduciary governance, analytics and diagnostics. David’s responsibilities include consulting engagements, expert witness services, business development, product design, and project management of FRA’s software solutions. FRA is the only firm in the industry to secure a legal opinion stating its 404(c) diagnostic system meets all the regulatoryWatch Now

David J Witz, AIF is the Managing Director of Fiduciary Risk Assessment LLC (FRA) and PlanTools, LLC. FRA/PlanTools is a service provider to the retirement industry designing and licensing fiduciary compliance, performance reporting and benchmarking software solutions for industry service providers. FRA is in a patent pending status for its Master Diagnostic customizable automated compliance system which automates the process for fiduciary governance, analytics and diagnostics. David’s responsibilities include consulting engagements, expert witness services, business development, product design, and project management of FRA’s software solutions. FRA is the only firm in the industry to secure a legal opinion stating its 404(c) diagnostic system meets all the regulatory requirements and industry best practices. David has over 30 years of investment, plan design, administration, and fiduciary consulting experience with Qualified and Non-qualified Deferred Compensation plans. He began his career with Principal Financial Group in 1981. In June 1986, he acquired Corporate Benefit Planning (“CBP”) a third party administration, consulting, and investment advisory firm which he sold in 1996. Since then, David has held positions with four other national TPAs firms before forming FRA including BGS&G, CBIZ, the Geller Group, and The Newport Group. David has been published or quoted by the ASPPA Journal, BNA, Journal of Benefits and Compensation, the CPA Journal, SPARK Journal and Columbus CEO. He has been retained as an expert witness on ERISA matters and participated on advisory boards for Principal Financial, Mass Mutual, CBIZ, Asset International, Inc. the Center forDue Diligence (CFDD) and the Institute of Business & Finance. He has been a guest speaker for the AICPA, ASPPA,Bar Association, CFDD, fi360, Financial Planning, ISCEBS, North Carolina CPA/Law Forum, PLANSPONSOR, The Ohio State University School of Law, National Association of Bankruptcy Trustees and RADA. Recently he was appointed to the Board of Advisors for the Institute of Business & Finance (IBF). He was previously the host of a financial talk radio show on WWVA. David is a 1981 graduate of Penn State University with a Bachelor of Science degree in Economics, Insurance, and Real Estate. He has been awarded the ACCREDITED INVESTMENT FIDUCIARY designation from the Center for Fiduciary Studies. He has six exams completed towards his Chartered Financial Consultant (ChFC) and Charter Life Underwriter (CLU) designations. His licensing previously included NASD Series 6, 26, 63, 65 and Life, Health and Variable Insurance.

For more information, call (704) 564-0482 or email: dwitz@fraplantools.com

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Pete Swisher Sr. Institutional Consultant Unified Trust Company, NA

The Practical Realities Of Serving As A Professional Fiduciary

Pete Swisher, CPC, QPA, CPC, is Senior Institutional Consultant for Unified Trust Company, NA, in Lexington, Kentucky. An Echols Scholar at the University of Virginia and a former U.S. Marine Captain, Pete is the author of 401(k) Fiduciary Governance: An Advisory’s Guide, a fiduciary textbook for the ASPPA QPFC credential. He has spoken nationally on fiduciary management of qualified plans for groups that include ASPPA, the Financial Planning Association (FPA), NIPA, ABA, and others. As the principal author of the “ERISA Boot Camp” workshop series, he delivers 401(k) advisory workshops across the country annually. His articles on revenue sharing, automaticWatch Now

Pete Swisher, CPC, QPA, CPC, is Senior Institutional Consultant for Unified Trust Company, NA, in Lexington, Kentucky. An Echols Scholar at the University of Virginia and a former U.S. Marine Captain, Pete is the author of 401(k) Fiduciary Governance: An Advisory’s Guide, a fiduciary textbook for the ASPPA QPFC credential. He has spoken nationally on fiduciary management of qualified plans for groups that include ASPPA, the Financial Planning Association (FPA), NIPA, ABA, and others. As the principal author of the “ERISA Boot Camp” workshop series, he delivers 401(k) advisory workshops across the country annually. His articles on revenue sharing, automatic 401(k) and fiduciary issues affecting 401(k) advisors have appeared in Financial Planning Magazine, the Journal of Financial Planning, The ASPPA Journal, Employee Benefits News, ABA Trust & Investments, and other industry publications. His paper, “Post Modern Portfolio Theory,” won first prize in the 2005 Annual Call for Papers of the Journal of Financial Planning. Pete is a Certified Financial Planner and Certified Pension Consultant.

For more information, call (859) 608-9920 or email: pete.swisher@unifiedtrust.com

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Ronald A. Cohen Managing Director, Head of DWS Retirement Services DWS Investments

Reshaping Investments With Alternatives

Ron Cohen, Managing Director, is the Head of Retirement Services for DWS Investments.  Serving in this role since 2005, Mr. Cohen   is responsible for managing all aspects of the retirement business including, sales, client service, marketing, product and business management.  Prior to this role, Ron was the National Sales Manager for Retirement Services. He  also served as the head of consultant relations, as well as a sales representative covering the Northeast Region and as a Relationship Manager.  Ron has been with the firm for 18 years.  Mr. Cohen received a BA in Economics from the University of Massachusetts. Additionally, he received a Pension Plan Certification at BentleyWatch Now

Ron Cohen, Managing Director, is the Head of Retirement Services for DWS Investments.  Serving in this role since 2005, Mr. Cohen   is responsible for managing all aspects of the retirement business including, sales, client service, marketing, product and business management.  Prior to this role, Ron was the National Sales Manager for Retirement Services. He  also served as the head of consultant relations, as well as a sales representative covering the Northeast Region and as a Relationship Manager.  Ron has been with the firm for 18 years.  Mr. Cohen received a BA in Economics from the University of Massachusetts. Additionally, he received a Pension Plan Certification at Bentley College. Ron holds NASD Series 26, 24, 7, 6 and 63 licenses.

For more information, call (617) 952-3802 or email: ronald-a.cohen@dws.com

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Christopher M. O'Neill Ph.D. Chief Investment Officer & Director of Research Investment Strategies Group, Mesirow Financial

Evaluating In-Plan Guaranteed Options From A Fiduciary Perspective

Christopher M. O’Neill, Ph.D., CFA, CFP®, FRM and ChFC is the Chief Investment Officer and Director of Research for the Investment Strategies Group of Mesirow Financial.  Investment Strategies is an independent, third party consultant that provides robust asset allocation strategies and fund selection to insurance companies, 401(k) providers, broker/dealers and mutual fund companies. With over two decades of experience in finance and scientific research, Dr. O’Neill has expertise in the areas of quantitative investment manager selection, Monte Carlo simulation and quantitative finance. At Mesirow Financial, Chris has been responsible for developing innovative manager selection and portfolio construction methodologies, as wellWatch Now

Christopher M. O’Neill, Ph.D., CFA, CFP®, FRM and ChFC is the Chief Investment Officer and Director of Research for the Investment Strategies Group of Mesirow Financial.  Investment Strategies is an independent, third party consultant that provides robust asset allocation strategies and fund selection to insurance companies, 401(k) providers, broker/dealers and mutual fund companies.

With over two decades of experience in finance and scientific research, Dr. O’Neill has expertise in the areas of quantitative investment manager selection, Monte Carlo simulation and quantitative finance. At Mesirow Financial, Chris has been responsible for developing innovative manager selection and portfolio construction methodologies, as well as a retirement income framework that optimizes both the product allocation and asset allocation for traditional investment products and advanced retirement income products.

Prior to joining Mesirow Financial, Dr. O’Neill was a research consultant for Ibbotson Associates, where he applied quantitative analysis and product development experience to support the efforts of the Investment Management Services, Fund of Funds and Financial Communications groups. Earlier, he offered investment advice and methodology to other financial advisors as president and founder of Quantalent Investment Consulting, LLC, an independent Registered Investment Advisor.  Additionally, Chris dedicated five years to financial planning, which culminated in a senior product management role and the development of an online investment advice tool for a major mutual fund company.

Dr. O’Neill earned his Ph.D. and M.S. degrees in theoretical physics from Cornell University and an A.B. degree in physics magna cum laude from Princeton University. He is a CFA charter holder, a Certified Financial PlannerTM Professional, and holds Financial Risk Manager (FRM) and Chartered Financial Consultant (ChFC) designations. In addition, he has published a variety of papers and academic reports in theoretical particle, accelerator and gravitational physics.

For more information, call (312) 595-7282 or email:  coneill@mesirowfinancial.com

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Jason C. Roberts Founder & CEO Pension Resource Institute

Developing A Retirement Plans Advisory Practice For The New Era

Jason C. Roberts, J.D., AIFA™, is the Founder and CEO of the Pension Resource Institute (PRI).  PRI provides strategic consulting and training to retirement plan service providers  and fiduciary education to plan sponsors.  Mr. Roberts’ primary responsibilities include tactical planning, business development and consulting projects. Focusing on employee benefits and securities regulation, Jason was a partner and co-chair of the Financial Services Group at Reish & Reicher, a leading ERISA law firm,   before founding PRI.  As part of that role, he counseled broker-dealers, RIAs, hedge funds, private equity funds, retirement plan sponsors and plan providers in ERISA and investment-related matters.  JasonWatch Now

Jason C. Roberts, J.D., AIFA™, is the Founder and CEO of the Pension Resource Institute (PRI).  PRI provides strategic consulting and training to retirement plan service providers  and fiduciary education to plan sponsors.  Mr. Roberts’ primary responsibilities include tactical planning, business development and consulting projects. Focusing on employee benefits and securities regulation, Jason was a partner and co-chair of the Financial Services Group at Reish & Reicher, a leading ERISA law firm,   before founding PRI.  As part of that role, he counseled broker-dealers, RIAs, hedge funds, private equity funds, retirement plan sponsors and plan providers in ERISA and investment-related matters.  Jason was frequently retained as an expert witness on fiduciary claims and a representative in arbitrations before FINRA.   He also counseled clients involved in government enforcement proceedings.  Jason was recently included in 401kWire’s 2011 list of the 100 Most Influential People in Defined Contribution.  He also serves on ASPPA’s steering committee, the Investment Fiduciary Leadership Council’s (IFLC) task force on Fiduciary Standards for Endowments & Foundations and is a co-director of IFLC’s Southern California Fiduciary Roundtable.  Mr. Roberts has published numerous articles on fiduciary best practices, ERISA compliance and securities regulation.  He is a nationally-recognized speaker on issues such as fiduciary compliance, the efficacy of retirement savings programs, service provider due diligence and disclosure requirements.  Jason is frequently quoted and interviewed in various publications,  including The Wall Street Journal, InvestmentNews, Dow Jones News, Registered Rep. Magazine, Ignites, PLANSPONSOR Magazine, PlanAdviser Magazine, Institutional Investor, Fund Action, and FSI Voice. He is a graduate of FINRA’s Compliance Boot Camp and holds the Accredited Investment Fiduciary Analyst™  designation from the Center for Fiduciary Studies.  Jason   received his B.S.B.A. in Finance & Banking from the University of Missouri and his J.D. from the University of California, Los Angeles (UCLA) School of Law.

For more information, call (310) 210-1679 or email: jroberts@pension-resources.com

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Robert Nienaber Director Of Executive Benefit Sales The Guardian Life Insurance Company of America

Maximizing Client Wealth Through Qualified & Non Qualified Pre Tax Planning

Bob Nienaber is the Director of Executive Benefit Plan Sales for The Guardian Life Insurance Company. Mr. Nienaber provides advisors and their clients with guidance and helps them develop deferred compensation, DB, stock option alternative, 457(f), executive business continuation and bonus plans for highly compensated executives. Prior to joining Guardian, Bob was a VP for The Phoenix Companies, Inc., responsible for executive benefit sales and the co-design of their benefits platform. He is an active speaker and the author of America’s Last Gold Rush. Through the American Association of Life Underwriter’s Impact Committee, Bob works with members of the CongressionalWatch Now

Bob Nienaber is the Director of Executive Benefit Plan Sales for The Guardian Life Insurance Company. Mr. Nienaber provides advisors and their clients with guidance and helps them develop deferred compensation, DB, stock option alternative, 457(f), executive business continuation and bonus plans for highly compensated executives. Prior to joining Guardian, Bob was a VP for The Phoenix Companies, Inc., responsible for executive benefit sales and the co-design of their benefits platform. He is an active speaker and the author of America’s Last Gold Rush. Through the American Association of Life Underwriter’s Impact Committee, Bob works with members of the Congressional Senate Finance Committee on issues affecting corporate executive benefit plans. Mr. Nienaber holds a bachelor’s degree in Communications from California State University and the American College’s Chartered Financial Consultant (ChFC) designation.

For more information, call (916) 838-0866 or email: robert_nienaber@glic.com

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Eric Kaufman Vice President Retirement Resources Employee Benefits Group

Maximizing Client Wealth Through Qualified & Non Qualified Pre Tax

Eric Kaufman, Vice President, Retirement Resources Employee Benefits Group, Lockton. As a student of total benefit planning, Mr. Kaufman provides consulting services on retirement, executive benefits and health care that are designed to improve operational & financial outcomes. In addition to contributing to periodicals and conferences on health and retirement benefits, Eric shares his knowledge daily on The Benefit Blog, recently named a “Top 10 Compensation and Benefit Blog” by HR Daily Advisor. Mr. Kaufman was also named among the “Top 100 Retirement Plan Advisors” by PlanAdvisor Magazine during 2009 and 2010. Eric earned a BS in Business Administration andWatch Now

Eric Kaufman, Vice President, Retirement Resources Employee Benefits Group, Lockton. As a student of total benefit planning, Mr. Kaufman provides consulting services on retirement, executive benefits and health care that are designed to improve operational & financial outcomes. In addition to contributing to periodicals and conferences on health and retirement benefits, Eric shares his knowledge daily on The Benefit Blog, recently named a “Top 10 Compensation and Benefit Blog” by HR Daily Advisor. Mr. Kaufman was also named among the “Top 100 Retirement Plan Advisors” by PlanAdvisor Magazine during 2009 and 2010. Eric earned a BS in Business Administration and a MBA in Business Management from the University of Southern California.

For more information, call (213) 689-0555 or email: ekaufman@lockton.com

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Jamie Worrell, JD President GPS Investment Advisors

Results-Oriented Participant Communication

Jamie Worrell JD, AIF®, PRP, is the President and founder of GPS Investment Advisors, a company started in 2007 to serve the needs of retirement plan sponsors. Mr. Worrell has more than 15 years of experience working with public and private company Retirement Plans.  Jamie  has spoken before the American, Boston and Rhode Island Bar Associations, the R.I. Society of CPA’s and various retirement industry groups.  He  has been routinely quoted in the local and national press,  including The Wall St. Journal, PLANSPONSOR Magazineand PlanAdvisor Magazine.  Jamie  has been recognized as a top retirement plan advisor by Institutional Investment News (Rising Stars, 2007) and PLANSPONSOR Magazine (2007, 2008).  Prior to GPS, Mr. Worrell  headed the RetirementWatch Now

Jamie Worrell JD, AIF®, PRP, is the President and founder of GPS Investment Advisors, a company started in 2007 to serve the needs of retirement plan sponsors. Mr. Worrell has more than 15 years of experience working with public and private company Retirement Plans.  Jamie  has spoken before the American, Boston and Rhode Island Bar Associations, the R.I. Society of CPA’s and various retirement industry groups.  He  has been routinely quoted in the local and national press,  including The Wall St. JournalPLANSPONSOR Magazineand PlanAdvisor Magazine.  Jamie  has been recognized as a top retirement plan advisor by Institutional Investment News (Rising Stars, 2007) and PLANSPONSOR Magazine (2007, 2008).  Prior to GPS, Mr. Worrell  headed the Retirement Plan Group at Financial Architects Partners and was a Retirement Plans Wholesaler with John Hancock Funds.  He earned a B.A. from Connecticut College and a law degree, cum laude, from Suffolk University.  Jamie earned the Accredited Investment Fiduciary (AIF) designation from the Center for Fiduciary Studies and the PRP designation from the PLANSPONSOR Institute.  He is a board member and finance committee member of Blithewold, The Providence Children’s Museum and on the investment committee of Neighborhood Health Plan of Rhode Island.

For more information, call (401) 521-5588 or email: jworrell@investorgps.com

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C. Todd Lacey VP & Director Business Development Group Transamerica Retirement Services

What Worries Advisors

C. Todd Lacey, AIF, serves as Vice President & Director of Business Development for Transamerica Retirement Services, a retirement plans provider specializing in the small and mid-sized retirement plans market. Transamerica Retirement Services has $19.5 billion in assets under management and services more than 15,000 plans with 700,000 participants throughout the country. Mr. Lacey joined Transamerica in January 2011 and his leadership role includes direct oversight of the organization’s business development activities. Prior to joining Transamerica, Todd was President and founder of The (k)larity Group, a retirement plans consulting firm. Mr. Lacey is a frequent speaker at national conferences. HeWatch Now

C. Todd Lacey, AIF, serves as Vice President & Director of Business Development for Transamerica Retirement Services, a retirement plans provider specializing in the small and mid-sized retirement plans market. Transamerica Retirement Services has $19.5 billion in assets under management and services more than 15,000 plans with 700,000 participants throughout the country. Mr. Lacey joined Transamerica in January 2011 and his leadership role includes direct oversight of the organization’s business development activities. Prior to joining Transamerica, Todd was President and founder of The (k)larity Group, a retirement plans consulting firm. Mr. Lacey is a frequent speaker at national conferences. He has also authored and been interviewed for multiple articles pertaining to the 401(k) industry. Todd serves as Co-Chair of the ASPPA 401(k) Summit, a Board of Directors member for the ASPPA Benefits Council of Atlanta and the ASPPA Investment Professional Committee. He is also co-editor of the ASPPA Advisor Update, a bi-monthly newsletter delivered to thousands of advisors across the country. Mr. Lacey is a graduate of Miami University in Ohio. He currently holds FINRA series 65, 6, 63 licenses along with his Life & Health insurance licenses. Todd also earned the Accredited Investment Fiduciary® designation.

For more information, call (213) 742-2445 or email: todd.lacey@transamerica.com

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Daniel Bryant Managing Partner Sheridan Road Financial

Hiring, Training & Career Pathing: Strategies That Work

Daniel Bryant is a Managing Partner of Sheridan Road. Daniel is responsible for the day to day operations of Sheridan Road. Daniel oversees all business development and strategic functions of the firm, as well as, all of the firm’s regional offices. He works closely with all of the wholesalers, providers, and intermediaries that touch the retirement plan market. Daniel is FINRA Series 7, 63, and 65 licensed and is also life, health, and variable licensed. Immediately prior to founding Sheridan Road, Daniel was a Managing Director and Head of the Chicago Investment Banking Office for a number of investment banks, including Robertson Stephens and Donaldson, LufkinWatch Now

Daniel Bryant is a Managing Partner of Sheridan Road. Daniel is responsible for the day to day operations of Sheridan Road. Daniel oversees all business development and strategic functions of the firm, as well as, all of the firm’s regional offices. He works closely with all of the wholesalers, providers, and intermediaries that touch the retirement plan market. Daniel is FINRA Series 7, 63, and 65 licensed and is also life, health, and variable licensed. Immediately prior to founding Sheridan Road, Daniel was a Managing Director and Head of the Chicago Investment Banking Office for a number of investment banks, including Robertson Stephens and Donaldson, Lufkin & Jenrette. Prior to these roles, Daniel was a corporate finance specialist for Sam Zell’s The Equity Group. Daniel holds a B.A. in Government from Dartmouth College and an MBA Accounting and Finance from Northwestern University’s Kellogg Graduate School of Management. Daniel is active in many civic, philanthropic, and business organizations including The Economic Club of Chicago, The Art Institute of ChicagoDartmouth Club of Chicago, The Chicago Club, Executives’ Club of Chicago, Chicago Council on Foreign Affairs, Association for Corporate Growth (ACG) The Illinois Manufactures’ Association (IMA) and is an active member of theYoung Presidents Organization.

For more information, call (847) 205-9073 or email: dbryant@sheridanroad.com

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Great Show!

Jeffrey M. Gratton Corporate Retirement Plan Consultant SageView Advisory Group

How Specialists Differentiate From Generalists

Jeff Gratton, QKA, is a Corporate Retirement Plan Consultant for SageView Advisory Group, a consulting firm specializing in retirement plans, actuarial consulting and wealth management. SageView provides customized solutions and oversees $10 billion in assets. Using SageView’s proprietary analytical tools, Mr. Gratton is responsible for the delivery of quality retirement plan solutions to small and mid-sized organizations. Jeff’s team currently services over eighty plan sponsors with $3 billion in assets under advisement. He is passionate about partnering with plan fiduciaries to mitigate risk by assisting with fiduciary oversight, plan design, compliance, investment selection and monitoring processes. Prior to joining SageView,Watch Now

Jeff Gratton, QKA, is a Corporate Retirement Plan Consultant for SageView Advisory Group, a consulting firm specializing in retirement plans, actuarial consulting and wealth management. SageView provides customized solutions and oversees $10 billion in assets. Using SageView’s proprietary analytical tools, Mr. Gratton is responsible for the delivery of quality retirement plan solutions to small and mid-sized organizations. Jeff’s team currently services over eighty plan sponsors with $3 billion in assets under advisement. He is passionate about partnering with plan fiduciaries to mitigate risk by assisting with fiduciary oversight, plan design, compliance, investment selection and monitoring processes. Prior to joining SageView, he was Director of Retirement Plan Services at UMB Financial Advisors. During his tenure, Jeff developed the RPS division, eventually providing consulting services to over 40 retirement plans. Mr. Gratton was named as one of the “Most Influential Retirement Plan Advisors” by 401(k) wire and among the “Most Successful Retirement Plan Advisors” by PlanAdvisor Magazine in 2009. He holds the Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professionals (ASPPA) and graduated from the University of Missouri with a BS in Business Administration. He is also a graduate of Rockhurst University’s Executive Fellows MBA program. Jeff is active in numerous local activities and serves as a board member for Support Kansas City and the Children’s Mercy Hospital’s largest annual fundraising event.

For more information, call (763) 302-7149 or email: jgratton@sageviewadvisory.com

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Terrance P. Power President American Pension Services, Inc.

Multiple Employer Plans: A Fiduciary Risk Solution

Terrance Power, CFP®, AIFA®, QPA®, APR®, ERPA, CLU®, ChFC® has been in the Retirement Plan industry for over 30 years – first as an advisor, then as a wholesaler with Manulife Financial and most recently as a third party administration firm founder and President since 2000. Terry has been involved with Multiple Employer Plan clients for over two decades and is widely regarded as an expert in the field. To bring the benefits of Multiple Employer Plans to retirement plan clients across the country, he works with a select and limited number of retirement plan advisors on a national basisWatch Now

Terrance Power, CFP®, AIFA®, QPA®, APR®, ERPA, CLU®, ChFC® has been in the Retirement Plan industry for over 30 years – first as an advisor, then as a wholesaler with Manulife Financial and most recently as a third party administration firm founder and President since 2000. Terry has been involved with Multiple Employer Plan clients for over two decades and is widely regarded as an expert in the field. To bring the benefits of Multiple Employer Plans to retirement plan clients across the country, he works with a select and limited number of retirement plan advisors on a national basis as part of The Platinum 401kTM program. Terry was named as one of the 401kWire.com’s “300 Most Influential” individuals in the Defined Contribution Industry for 2009, and was nominated for the same recognition in 2010. He has been a speaker at The Center for Due Diligence, American Society of Pension Professional and Actuaries, and fi360.com conferences. Mr. Power is a fully qualified CEFEX Fiduciary Analyst, and is affiliated with the Centre for Fiduciary Excellence (CEFEX) in Toronto, Canada in that capacity. He conducts fiduciary assessments of Investment Advisors, Managers, and Stewards which can lead to CEFEX Fiduciary Certification. Terry is one of just a handful of individuals qualified and authorized to conduct ASPPA Service Provider Certifications. He is also the owner of the 401k TPA NETWORK, the largest group of its type on Linkedin.com with over 1,000 active members.

Contact Terrance Power by phone at (813) 281-0707 x110 or by email at tpower@americanpension.net

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Roger W. Ferguson, Jr. President & CEO TIAA-CREF

Positive Outcomes for Retirement Plan Participants: The Power of Advice

Roger W. Ferguson, Jr., J.D.,  is the President and Chief Executive Officer of TIAA-CREF,  a Fortune 100financial services organization with more than $450 billion in combined assets under management.  TIAA-CREF is also the leading  provider of retirement services in the academic, research, medical and cultural fields. Mr. Ferguson served as Vice Chairman of the Board of Governors of the U.S. Federal Reserve System. Roger  was a voting member of the Federal Open Market Committee and served as Chairman of the Financial Stability Forum.  He  also chaired the Federal Reserve Board committees on banking supervision and regulation, payment system policy and reserve bank oversight. Prior to joining TIAA-CREF in April 2008, Mr. Ferguson wasWatch Now

Roger W. Ferguson, Jr., J.D.,  is the President and Chief Executive Officer of TIAA-CREF,  a Fortune 100financial services organization with more than $450 billion in combined assets under management.  TIAA-CREF is also the leading  provider of retirement services in the academic, research, medical and cultural fields. Mr. Ferguson served as Vice Chairman of the Board of Governors of the U.S. Federal Reserve System. Roger  was a voting member of the Federal Open Market Committee and served as Chairman of the Financial Stability Forum.  He  also chaired the Federal Reserve Board committees on banking supervision and regulation, payment system policy and reserve bank oversight. Prior to joining TIAA-CREF in April 2008, Mr. Ferguson was head of financial services for Swiss Re, Chairman of Swiss Re America Holding Corporation and a member of the company’s executive committee.  Roger was an Associate and Partner at McKinsey & Company from 1984-1997  He began his career as an attorney at the New York City office of Davis Polk & Wardwell.  Mr. Ferguson is a fellow of the American Academy of Arts & Sciences and a member of the Academy’s Commission on the Humanities and Social Sciences. He is a member of President Obama’s Council on Jobs &  Competitiveness and served on its predecessor, the Economic Recovery Advisory Board. Roger serves on the Board of Directors of International Flavors & Fragrances Inc. and on the boards of several nonprofit organizations, including the Board of Trustees of theInstitute for Advanced Study, the Board of Overseers of Memorial Sloan-Kettering Cancer Center and the Board of Trustees of the Committee for Economic Development. Roger  is a member of the Advisory Board of Brevan Howard Asset Management LLP and serves as co-chair of the National Academy of Sciences’ Committee on the Long-Run Macro-Economic Effects of the Aging U.S. Population. He is vice chairman of the Economic Club of New York and a member of the Council on Foreign Relations, theHarvard University Visiting Committee for the Memorial Church and the Group of Thirty. Mr. Ferguson holds a B.A., J.D., and a Ph.D. in economics, all from Harvard University.

For more information, call (800) 842-2252

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John D. Blossom, Jr. President & CEO Alliance Benefit Group of Illinois, Inc.

Advisor Managed Portfolios: A Path To Differentiation & Growth

John Blossom, Jr. MSPA, PPC™, CLU®, CFA, CBC is a founder of the Alliance Benefit Group, LLC, a national organization. Mr. Blossom is also President and CEO of Alliance Benefit Group of Illinois, Inc. The regional firm is headquartered in Peoria, Illinois and has branch offices in Chicago, Illinois and Madison, Wisconsin. The ABG group of Illinois serves over 600 retirement plans with more than 35,000 participants in 42 states and assets in excess of $1.5 billion. John has been in the benefits field over 40 years. He is a MSPA – Member of the American Society of Pension ProfessionalsWatch Now

John Blossom, Jr. MSPA, PPC™, CLU®, CFA, CBC is a founder of the Alliance Benefit Group, LLC, a national organization. Mr. Blossom is also President and CEO of Alliance Benefit Group of Illinois, Inc. The regional firm is headquartered in Peoria, Illinois and has branch offices in Chicago, Illinois and Madison, Wisconsin. The ABG group of Illinois serves over 600 retirement plans with more than 35,000 participants in 42 states and assets in excess of $1.5 billion. John has been in the benefits field over 40 years. He is a MSPA – Member of the American Society of Pension Professionals & Actuaries. Mr. Blossom is a CLU and life member of the life insurance industry’s Million Dollar Round Table. He is also a founder of Retirement Advisors and Designers of America (RADA), a resource-sharing group of retirement plan professionals with a meeting history spanning over three decades. Mr. Blossom earned the Professional Plan Consultant (PPC) designation in 2006 through Financial Service Standards, LLC. Demonstrating a commitment to excellence in providing the highest-quality investment advisory service to retirement plan sponsors and participants, John was certified as a Fiduciary Advisor (CFA) by DALBAR, Inc. in 2009. He also successfully completed the Cash Balance Consultant Certification Program and was granted the designation of Cash Balance Consultant (CBC) during the same year. John serves as a member of the Steering Committee of the Society of Plan Asset-Managers and Record Keepers (SPARK), The Charles Schwab Trust & Custody Advisory Board and Council of Independent 401(k) Recordkeepers. He attended the University of Colorado, majoring in economics and finance and earned the Master of Business Administration degree from the Graduate Theological Foundation in January 1995. John has served as a faculty member of numerous retirement plan education programs and as a speaker at many national and regional industry events.

For more information, call (309) 671-4200 or email: John.Blossom@abgemail.com

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