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Sunday, October 16, 2011
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2:00 - 9:30 pm
Zurich Ballroom |
Exhibitor Setup |
3:00 - 9:30 pm
Zurich Reg. Desk |
Conference Registration Desk Opens |
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7:00 - 9:30 pm
Vevey
2nd Floor, Event Center
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Disco Themed Kick-Off Party
Sponsored By: Allianz Global Investors
- Music, Food, Cocktails & Entertainment
- Dance Instructions, Contest & Cash Prizes
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CONFERENCE PROGRAM/ACTIVITIES
Monday, October 17, 2011
 MP3 Audio File Download
Linked Presentation Title Download Presentation Materials
| 6:30 - 7:30 am |
Zurich Ballroom
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Registration & Breakfast |
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| 7:30 - 7:45 am |
| Vevey |
INTRODUCTION & DAY ONE HIGHLIGHTS |
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| 7:45 - 8:45 am |
| Vevey |
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KEYNOTE:
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| 8:45 - 9:15 am |
| Vevey |
Networking Break
Vevey Breakdown/Setup
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| 9:15 - 10:15 am |
| Vevey 1&2 |
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What Advisors Want From Wholesalers
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Ross Marino, CEO, 40(k) ReKon |
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| Vevey 3&4 |
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Developing A Retirement Plans Advisory Practice For The New Era
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Jason Roberts, CEO, Pension Resource Institute, LLC |
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Amy Glynn, President & Founder, Pension Resource Institute, LLC |
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John Simmers, Founder, Pension Resource Institute, LLC |
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| St. Gallen |
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Reshaping Investments With Alternatives
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Ron Cohen, Managing Director, Head of DWS Retirement Services |
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| Montreux |
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Participant Advice & Managed Portfolios: Off-The Shelf, Customized Or Outsourced
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Paul D'Aiutolo (Moderator), VP, Institutional Consultant, UBS Institutional Consulting |
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Sean Lyons, Sr. Consultant, Cornerstone Inst'l Investors, Inc |
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Craig S. Abbott, VP, Retirement Plan Consultant, Manning & Napier Advisors, Inc. |
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Jerry Bramlett, Head of Institutional Sales & Marketing, Dimensional Managed DC |
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| 10:15 - 10:30 am |
| Zurich Ballroom |
Networking Break |
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| 10:30 - 11:30 am |
| Vevey 1&2 |
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Advisor Managed Portfolios: A Path To Differentiation & Growth
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Sean Lyons (Moderator), Sr. Consultant, Cornerstone Inst'l Investors, Inc |
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John Blossom, President & CEO, Alliance Benefit Group of Illinois, Inc. |
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Lisa Allen, Sr. VP, Alliance Benefit Group Carolinas, LLC |
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Timothy Friday, Group CEO, Mid Atlantic Capital Group |
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| Vevey 3&4 |
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A Model Investment Advisory Agreement For The New ERA
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Bruce Ashton, Partner, Drinker Biddle & Reath LLP |
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Gary Sutherland, CEO, NAPLIA |
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Steve Glasgow, Sr. VP, Avondale Partners, LLP |
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| St. Gallen |
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The Secret Sauce: Using Liquidity & Momentum to Pick "Alpha" Managers
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William Harding, Head of Manager Research, Morningstar Investment Research, Ibbotson Associates |
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| Montreux |
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Evolving Wirehouse Retirement Plans Model
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James Cahn (Moderator), Managing Director, M&I Institutional Trust Services |
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Melissa Cowan, Director, DC Advisory, UBS Financial Services
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| - |
Patrick Rieck, Executive Director, National Retirement Distribution Manager, Morgan Stanley Smith Barney |
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Peter Vincent, Head of Channel Management & Sales Support, The Retirement Services Group, Bank of America Merrill Lynch |
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| 11:30 - 11:45 am |
| Zurich Ballroom |
Networking Break |
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| 11:45 am - 12:45 pm |
| Vevey 1&2 |
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The Growing Opportunity for Independent Participant Advice In The 403(b) Markets
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Amy L. Simonson, VP Finance & Operations, Verity Investments, Inc. |
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| Vevey 3&4 |
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The Practical Realities Of Serving As A Professional Fiduciary
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Pete Swisher, Sr. Institutional Consultant, Unified Trust Company, NA |
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| St. Gallen |
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Intention vs. Reality: Are Target Date Funds Being Used The Way They Were Intended?
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Carol Waddell, VP, Director of Product Management & Development, T. Rowe Price Investment Services, Inc. |
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| Montreux |
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E&O Insurance Update: How 3(38) Services & Discretion Impact Your E&O Coverage
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Gary Sutherland, CEO, NAPLIA |
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| 12:45 - 1:45 pm |
| Zurich Ballroom |
Lunch |
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| 1:45 - 2:45 pm |
| Vevey 1&2 |
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Benchmarking & Evaluating Retirement Plan Advisory Fees
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Craig Rosenthal, Sr. VP, Sales & Services, Fiduciary Benchmarks |
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David Witz, Managing Director, FRA/PlanTools |
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Sue Kelley, Principal, Ann Schleck & Company |
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| Vevey 3&4 |
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Raising The Bar On Advisor Delivered Participant Advice: Game Changing Opportunities & Strategies In The 403(b) Markets
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Robert T. Rickey (Moderator), Director, Advisor Services, TIAA-CREF |
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Scott Dauenhauer, President, Meridian Wealth Management |
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Amy L. Simonson, VP Finance & Operations, Verity Investments, Inc. |
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Bruce Corcoran, Managing Director, K-12 Market, TIAA-CREF |
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| St. Gallen |
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Evaluating & Monitoring Target Date Strategies From A Fiduciary Perspective
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Glenn Dial, Sr VP, Head of Retirement Product Business Development, Allianz Global Investors |
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| Montreux |
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How To Value & Increase The Value Of A Retirement Plans Practice
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Fielding Miller, CEO, CapTrust Financial Advisors
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| - |
Mike DiCenso, National Practice Leader, Gallagher Retirement Services, President of GBS Investment Consulting, LLC |
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TBD, FP Transitions |
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| 2:45 - 3:00 pm |
| Zurich Ballroom |
Networking Break |
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| 3:00 - 4:00 pm |
| Vevey 1&2 |
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The $450 Billion 403(b) ERISA Plan Opportunity: Converting Inappropriate Products To Institutional Platforms
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Vince Rainforth, VP Tax Exempt Market, Principal Financial Group |
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Tom Scalici, Managing Director & CEO, Cornerstone Institutional Investors, Inc |
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Robert J. Toth, Jr., Principal, Robert J. Toth Jr., LLC |
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Robert Lavenberg, Partner, BDO Seidman, LLP |
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Henry E. Tebben, VP, National Director of DB Business Development, Principal Financial Group |
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| Vevey 3&4 |
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Behavioral Finance Applied To Retirement Plans
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Dorann Cafaro, General Partner/Principal, Cafaro Greenleaf |
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Darrin Farrow, Principal, Rehmann Financial |
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Pat Advaney, Sr. VP, Participant Strategy, Diversified |
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| St. Gallen |
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Target Date Funds Part II: Strategies To Manage Risk & Enhance Returns
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Steve Ferber, Sr. VP, Account Manager & CIT Strategist, PIMCO |
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Sean Murray, Sr. VP, National Retirement Sales Manager, PIMCO |
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| Montreux |
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How Specialists Differentiate From Generalists
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Jamie Worrell (Moderator), President, GPS Investment Advisors |
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Jim O'Shaughnessy, Principal, Sheridan Road Financial |
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Jeff Gratton, Corporate Retirement Plan Consultant, SageView Advisory Group |
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Stace Hilbrant, Managing Director, 401kAdvisors, LLC |
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| 4:00 - 4:30 pm |
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| Zurich Ballroom |
Networking Break/Light Snack |
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| 4:30 - 5:30 pm |
| Vevey 1&2 |
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CTFs: A Customized QDIA & Asset Allocation Model Solution
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William David Hand, CEO, Hand Benefits & Trust, a BPAS Company
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| - |
Darrin Farrow, Principal, Rehmann Financial |
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Bob Blair, CEO, Founding Principal, Retirement Alliance |
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| Vevey 3&4 |
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Maximizing Client Wealth Through Qualified & Non Qualified Pre Tax Planning
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Jim Magner (Moderator), J.D., Business Resource Consultant, Advanced Markets, The Guardian |
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Robert Nienaber, Regional Director, Executive Benefit Sales, The Guardian |
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Dale Magner, VP, Retirement Product Sales, The Guardian |
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Eric Kaufman, VP, Lockton Insurance Brokers, Inc |
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| St. Gallen |
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3(38) Investment Management Services: Are You Qualified
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Michael J. Olah, J.D., Michael J. Olah & Associates, LLC |
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W. Michael Montgomery, Managing Principal, Montgomery Retirement Plan Advisors, Inc |
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Jim Williams, President, Financial Telesis Inc. |
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| Montreux |
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An Unbiased Overview Of 401(k) Plan Participant Behavior & Experience
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Jean Young, Center for Retirement Research, Vanguard |
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| 5:30 - 6:30 pm |
| Zurich Ballroom |
Cocktail Party  |
Tuesday, October 18, 2011
MP3 Audio File Download
Linked Presentation Title Download Presentation Materials
| 6:30 - 7:30 am |
| Zurich Ballroom |
Registration & Breakfast |
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| 7:30 - 7:45 am |
| Vevey |
INTRODUCTION & DAY TWO HIGHLIGHTS |
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| 7:45 - 8:45 am |
| Vevey |
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KEYNOTE:
|
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| 8:45 - 9:15 am |
| Zurich Ballroom |
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Networking Break
Vevey Breakdown/Setup
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| 9:15 - 10:15 am |
| Vevey 1&2 |
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Washington Update
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Kathryn Capage, Director of Retirement Research, Invesco Van Kampen Consulting Group, Invesco |
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| Vevey 3&4 |
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Advisory Fees & Multiple Hats In The Same Plan
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Amy L. Simonson, VP Finance & Operations, Verity Investments, Inc. |
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Bruce Ashton, Partner, Drinker Biddle & Reath LLP |
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| St. Gallen |
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When To Fire A 3(38) Investment Manager
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David Witz (Moderator), Managing Director, FRA/PlanTools |
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Herb Whitehouse, J.D., Fiduciary Consultant, Former CFO & Partner, The Bogdahn Group |
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Robbie Cannon, President & CEO, Horizon Investments, LLC |
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| Montreux |
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New Strategies For A Changing Market
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Joe Lee, Head of Advisor Sold Distribution, BlackRock |
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| 10:15 - 10:30 am |
| Zurich Ballroom |
Networking Break |
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| 10:30 - 11:30 am |
| Vevey 1&2 |
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Post Regulatory Reform: How Advisors Compete In The New Environment
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Greg Porteous (Moderator), Director, Head of DC Intermediary Relationships, BlackRock |
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Bill Chetney, EVP, LPL Retirement Partners |
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Randy Long, Managing Principal, SageView Advisory Group |
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Pat Oberlander, Head of Retirement Plans, UBS Financial Services |
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| Vevey 3&4 |
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Are you F2 Prepared? Navigating the Fiduciary & Fee Disclosure Regulatory Landscape
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Dale Magner, J.D., VP Retirement Product Sales, Guardian Life Insurance Company Of America |
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| St. Gallen |
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Diversification: Retirees Are Not Exempt
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Craig L. Israelsen, Ph.D., Associate Professor, Brigham Young University Principal, Target Date Analytics LLC |
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| Montreux |
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Hiring, Training & Career Pathing: Strategies That Work
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Daniel Bryant, Managing Partner, Sheridan Road Financial |
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Sean Chiricotti (Trainee), Marketing Associate, Sheridan Road Financial |
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Kevin Mahoney, VP, The Mahoney Group At Merrill Lynch |
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Chris Jakovcic (Trainee), The Mahoney Group At Merrill Lynch |
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| 11:30 - 11:45 am |
| Zurich Ballroom |
Networking Break |
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| 11:45 am - 12:45 pm |
| Vevey 1&2 |
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The Administration Of In-Plan Guarantees
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Kerry Pechter, Editor & Publisher, Retirement Income Journal |
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Michael Vogel, SunGard |
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Michael Oler, VP, DC Operations, BlackRock |
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Lawrence Kiefer, Systems Officer, Business Development, DST Systems, Inc |
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| Vevey 3&4 |
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Value Standards: The Next Logical Industry Step
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Tom Kmak, CEO, Fiduciary Benchmarks |
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| St. Gallen |
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What's the Story: Helping Clients Understand Fees & Your Value
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Tom Warren, Sr. VP, American Funds Distributors |
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| Montreux |
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Team Building & Practice Development: The Efficient Use Of Limited Resources
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Paul D'Aiutolo (Moderator), VP, Institutional Consultant, UBS Institutional Consulting |
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Eric Smith, VP, The D'Aiutolo Institutional Consulting Team |
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Cheri Landin, VP, The D'Aiutolo Institutional Consulting Team |
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| 12:45 pm - 1:45 pm |
| Zurich Ballroom |
Lunch |
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| 1:45 - 2:45 pm |
| Vevey 1&2 |
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Multiple Employer Plans: A Fiduciary Risk Solution
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Terrance P. Power, President, American Pension Services, LLC |
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W. Michael Montgomery, Managing Principal, Montgomery Retirement Plan Advisors, Inc |
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Bret Hamlin, Shareholder, Hill Ward Henderson |
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| Vevey 3&4 |
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408(b)(2) Disclosure Options: What Works & What May Not
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Adam Sokolic (Moderator), VP, LPL Retirement Partners |
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Scott Revare, CEO, Center for Fiduciary Management (FiRM) |
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David Witz, Managing Director, FRA/PlanTools |
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Edward M. Lynch, Founder & Managing Director, Fiduciary Plan Governance, LLC |
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| St. Gallen |
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Results-Oriented Participant Communications
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Sheri Fitts (Moderator), VP Retirement Marketing, LPL Retirement Partners |
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Jamie Worrell, President, GPS Investment Advisors |
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Donald J. Settina, President & CEO, RetireRight Pittsburgh |
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Trisha Brambley, President, Retirement PLAYBOOK, Inc |
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| Montreux |
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Monetizing Your Practice: Internal Sale, Roll Up Or Strategic Buyer
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Gene Huxhold (Moderator), Sr. Managing Director, John Hancock Mutual Funds, DCIO |
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Ed O'Connor, Managing Director, Head of Retirement Services, Morgan Stanley Smith Barney |
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Joe Duran, CEO, United Capital Financial Advisers |
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Fielding Miller, CEO, CapTrust Financial Advisors |
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| 2:45 - 3:00 pm |
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| Zurich Ballroom
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Networking Break |
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| 3:00 - 4:00 pm |
| Vevey 1&2 |
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Techniques To Help Advisors Consult To The Fastest Growing DC Plan Market
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Marcia S. Wagner, Managing Director, The Wagner Law Group |
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Brodie Wood, VP, NFP National Practice Leader, Diversified |
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| Vevey 3&4 |
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Committee Formation & Plan Governance Process
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Trent Sanden, 1st, VP, Institutional Consultant, UBS Institutional Consulting |
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Rich Schainker, VP, Retirement Plans Consultant, Invesco |
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Ben Travers, VP, DC Investment Services, JP Morgan Asset Management |
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| St. Gallen |
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Evaluating In-Plan Guaranteed Options From A Fiduciary Perspective
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| Montreux |
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Retirement Plan Conversions In An M&A Environment
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Laura Gaynor, VP, Technical Compliance, Diversified |
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Chuck Williams, Managing Director, Sheridan Road Financial, LLC |
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Taylor Hammons, Director, ERISA Consulting Group, Sterne Agee |
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Theresa "Tess" Malone, Founder, DCsion Architects, LLC |
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| 4:00 - 4:30 pm |
| Zurich Ballroom |
Networking Break/Light Snack |
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| 4:30 - 5:30 pm |
| Vevey 1&2 |
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Prospecting The 403(b) Market For Companion DB Plan Business
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Marcia S. Wagner, Managing Director, The Wagner Law Group |
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| Vevey 3&4 |
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Commodities: Investment Vehicles Suitable For Retirement Plans
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Robert J. Greer, EVP, Manager of Real Return Products, PIMCO |
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| St. Gallen |
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What Worries Advisors
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C. Todd Lacey, VP & Director, National Distribution/Business Development Group, Transamerica |
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Kevin Mahoney, VP, The Mahoney Group At Merrill Lynch |
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Michael E. Morris, Director, Institutional Consulting Ross, Sinclaire & Associates LLC |
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Doug Prince, Managing Director, Stifel Nicolaus |
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| Montreux |
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A Business Model For Advising Professional Practices
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Pete Swisher, Sr. Institutional Consultant, Unified Trust Company, NA |
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Bryan Schneider, Sr. VP, SMITH HAYES |
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| 5:30 - 6:30 pm |
| Zurich Ballroom |
Cocktail Party |
Wednesday, October 19, 2011
MP3 Audio File Download
Linked Presentation Title Download Presentation Materials
| 6:30 - 7:30 a.m. |
| Zurich Ballroom |
Breakfast |
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| 7:30 - 8:30 am |
| Vevey |
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KEYNOTE:
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| 8:30 - 8:45 am |
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| Zurich Ballroom |
Networking Break |
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| 8:45 - 9:45 am |
| Vevey |
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KEYNOTE:
| Behavioral Finance 2.0: Moving from Theory to Practice |
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Shlomo Benartzi, PhD, Professor & Co-chair of the Behavioral Decision Making Group, Anderson Graduate School of Management at UCLA, Chief Behavioral Economist, Allianz Global Investors Center for Behavior Finance |
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Glenn Dial, Sr VP, Head of Retirement Product Business Development, Allianz Global Investors |
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| 9:45 - 10:00 am |
| Zurich Ballroom |
Networking Break |
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| 10:00 - 11:00 am |
| Vevey |
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KEYNOTE:
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| 11:00 am |
| Vevey |
Grand Prize Trip To Las Vegas For Two Drawing:
Includes Luxury Accommodations At The Bellagio Hotel
Sponsored By:
TBD
The CFDD's 2011 Advisor Conference Grand Prize Trip To Las Vegas For Two includes accommodations at the world class Bellagio,a luxury, AAA Five Diamond award-winning hotel and casino located on the Las Vegas Strip in Nevada. Owned by MGM Resorts International, Bellagio is a member of "The Leading Hotels of the World." Famed for its elegance and beautiful features, the hotel was inspired by the Lake Como resort of Bellagio in Italy.
| While all pre-registered attendees staying in the Swissotel are eligible for the grand prize, the winner must be in attendance to claim their prize. For more information on this ultimate Las Vegas hotel experience, visit: http://bellagio.com. |
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| 11:00 am - 3:00 pm |
| Zurich Ballroom |
Exhibitor Teardown |
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| ©Copyright 2011. All rights reserved. Center for Due Diligence. This release is published exclusively for the trade as general information and should not be viewed as a recommendation to buy or sell securities, other investments or to adopt any investment strategy. This material should not be viewed as a forecast as CFDD opinions are influenced by marketplace dynamics and subject to change. The CFDD is not a law, advisory or investment firm. We do not give legal, tax, investment or any other type of advice. The CFDD does not warrant and is not responsible for the accuracy of content, errors or omissions. All strategies and investments involve risk. Reliance upon information in this material is at the sole discretion of the reader. The Center for Due Diligence (CFDD) is independent information and strategic services firm serving the retirement plans industry. Formerly the premier provider of 401(k) program competitive analysis, the CFDD is now focused on providing unbiased resources, industry leading conferences, ERISA Advisor Evaluation services, participant advice research and internet broadcasting. The CFDD's Advisor Conference is the premier educational and networking event for the retirement plans advisory industry. More accomplished retirement plan advisors attend the CFDD's Advisor Conference than any other industry event. The October 17-19, 2011 Advisor Conference will be held at the downtown Chicago Swissotel. To register early and save, go to http://www.regonline.com/Register/Checkin..aspx?EventID=906710. For more information about our services contact: CFDD, PO Box 8, Western Springs, IL 60558. We can be reached by phone at (630) 662-0284, by fax at (630) 662-0286 and by email at CFDD@TheCFDD.com. You may also visit our website homepage for more information at: http://www.thecfdd.com and The CFDD Station at: http://www.bmbc.tv/stations.php?n=3. |
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