Published on The Center for Due Diligence (http://www.thecfdd.com)
2005 Conference Presentations

Conference 2005 header

 

Tuesday, October 4, 2005

7:00 a.m.- 8:00 a.m. Registration & Breakfast
   
8:00 a.m.- 8:15 a.m.  
International Ballroom Introduction & Big Picture Themes [1]
Phil Chiricotti, President, CFDD
8:30 a.m. – 9:30 a.m.  
International Ballroom 401k Fiduciary Issues For Sponsors & Advisors: Plan Investments & Participant Investing [2]
Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING)
9:45 a.m. – 11:00 a.m.  
Gold Room Evaluating Analytic Software [3]

Panel
- Ward Harris (Moderator), Managing Director, The McHenry Group / PlanTools™
- Bob Padgette, CFA, CIMA, Managing Director, Klein Decisions, LLC
- John Rekenthaler, VP, New Product Development, Morningstar, Inc.
- Jeff Schwartz, VP, Director of Sales & Marketing Markov Processes International (mpi Stylus)
- Peng Chen, Chief Investment Officer, Ibbotson Associates (Encorr Software)
- Marc Odo, CFA, Consultant, Zephyr Associates, Inc., (StyleAdvisor)
Crystal Room DC/DB Combination Plan Opportunities [4]
Panel
- Dorann Cafaro (Moderator), Executive VP, 401k Advisors USA
- Leo J. Polverini, Jr. VP, MassMutual Retirement Services
- Harry A. Dalessio, Regional Sales VP, Prudential Financial
- Joe Masterson, Sr VP, Chief Sales Officer, Diversified Investment Advisor
- Gary Jackson, Managing Director, NYLIM
State Room Growing High Net Worth Rollover Accounts, Best Practices From The Best Advisors & HR Distribution Liability [5]
- Bryan M. Burke, AIF, VP & Sr. Retirement Plan Consultant, Federated Investors
- Eugene Maloney, Executive VP & Corporate Counsel, Federated Investors
Regent Room Why Affiliate With Other Advisors [6]
Stephen Winks, Publisher, Senior Consultant
11:15 a.m. -12:30 p.m.  
Gold Room Professional Designations For Retirement Advisors
Panel (Click on the presenter for individual presentations)
- Donald B. Trone (Moderator) [7], AIFA, Co-Director, Center for Fiduciary Studies
- Kevin Clift [8], CIMA, Senior VP – Investments, Corporate Client Group Director, Smith Barney
- Todd L. Jones [9]
Crystal Room How Providers Can Support The RIA Model [10]
- Sean Kelley, VP, Retirement Plan Sales, NYLIM
- Don Stone, President, Plan Sponsor Advisors, LLC
State Room Increasing Market Share With Stable Value Alternatives [11]
Leo Polverini, VP, Business Development, MassMutual Retirement Services
Regent Room Analyzing Benchmarks for Investment Selection & Monitoring [12]
- Joe Masterson, Senior VP, Chief Sales Officer, Diversified Investment Advisors
- Jim Gaynor, Director, Investment Management Group, Diversified Investment Advisors
12:30 p.m. -1:30 p.m. Lunch
1:30 p.m. - 2:45 p.m.  
Gold Room Making Sponsors Aware Of Their Fiduciary Responsibilities [13]
Panel
- Kerry Gile (Moderator), Senior VP, Wachovia Retirement Services
- Peter Borowsky, Senior VP-Investment Officer, Wachovia Securities
- Paul D’Aiutolo, Branch Sales Manager, VP, McDonald Financial Group
- Robert J. Rafter, Sr. VP, Consulting Group Institutional Services, Smith Barney
- Phyllis Klein, AIF, Director Retirement Plan Services, CapTrust
Crystal Room Converting To Level Pricing [14]
Panel
- Bryan M. Schneider (Moderator), Sr. VP, Smith Hayes Financial Services
-

Laura H. Gough, Managing Director, Corporate/Executive Services & Retirement Plans Services, Robert W. Baird & Co, Inc
- Jennifer Corbaley, Managing Principal, Digital Retirement Solutions
State Room Maximizing The Benefit Of Non-Qualified Deferred Compensation Plans & The Impact Of Recent Legislation [15]
- Samuel Brkich, JD, VP & Chief Counsel, The Newport Group
-

Kenneth A. Dayton, JD, CPA, Regional Director, The Newport Group
Regent Room Developing/Implementing Effective RIA Deliveries At The Sponsor & Participant Level [16]
Erin Eddins, ChFC, Sr. VP, Investment Services, Invesmart Advisors
3:00 p.m. - 4:15 p.m.  
Gold Room Individually Managed Accounts [17]
Panel
- Rhonda Evans, PhD (Moderator), Director of Research, The McHenry Group / PlanTools™
- John Rekenthaler, VP, New Product Development, Morningstar, Inc.
- Viggy Mokkarala, Executive Vice President, Envestnet Asset Management, Inc.
- Bryce James, President, SmartPortfolios, LLC
- Chad Parks, President, Decimal Inc.
Crystal Room New Approaches To Prospecting [18]
Jim Louderback, VP, Larkspur Data
State Room Developing A Referral Program & Maximizing Centers Of Influence [19]
- Matt Gnabasik, Managing Director, Blue Prairie Group
-

Jeb Graham, Retirement Plan Consultant, CapTrust Financial Advisors
Regent Room Prudent Practices For 401(k) Investment Committees [20]
- Rocco DiBruno, Director Retirement Group, Thornburg Investment Management
-

Ronald E. Hagan, President, Roland/Criss Fiduciary Services
4:15 p.m. - 5:45 p.m.  
Exhibition Area

Cocktail Party

 

Wednesday, October 5, 2004

7:00 a.m.- 8:00 a.m. Breakfast
   
8:00 a.m. - 9:15 a.m.  
Gold Room How To Price Services When Transitioning From Commissions To Fee-Based Business
Panel

-

 Glenn A. Dial (Moderator), VP, National Sales Manager, Ceridian Retirement Plan Svcs
- Al Otto, AIF, Executive VP, White Horse Advisors
- Camp R. Wynn, CFA, VP, Colonial Trust Company
- Brian Ward, Managing Director–Investments, Ward Financial Advisory of Wachovia Securities
Crystal Room Synergy-Based Selling: Leveraging Payroll Providers [21]
Kendall Kay, LLIF, VP, Marketing, Strategic Planning & Business Development, ADP Retirement Services
Regent Room Measuring The Effectiveness of Participant Communications [22]
Peter Newkirk, President, Newkirk
State Room How To Market Fiduciary Advisory Services: Transitioning From Product Peddler To Plan Advisor [23]
Pete Swisher, VP Wealth Management & Advisory Services, Unified Trust Company
9:30 a.m. – 10:45 a.m.  
Gold Room Developing A Business Exit Strategy [24]
Panel
- Timothy O’Brien (Moderator), CEO, ExpertPlan, Inc.
- Lisa G. Kottler, VP Retirement Services, National Financial Partners
- Bill Chetney, President, 401(k) AdvisorsUSA
- J. Fielding Miller, CIMA, CEO, Managing Partner, CapTrust
Crystal Room Investment Outlook
Mario DiVito, Investment Relationship Manager, American Funds Institutional Group
Regent Room How TAG Can Help You Leverage Technical Knowledge & Distinguish Your Practice [25]
Richard N. Carpenter, CPC, CEBS, President, Technical Answer Group, Inc.
State Room
Best Practices For Monitoring & Selecting Investments [26]
Donald Stone, President, Plan Sponsor Advisors, LLC
11:00 a.m. – 12:15 p.m.  
Gold Room What Retirement Advisors Should & Should Not Expect from Their B-D: “B-D Perspective”
Panel
- Pat Oberlander (Moderator), Director Retirement Services, McDonald Financial Group
- Laura H. Gough, Managing Director, Corporate/Executive Services & Retirement Plans Services, Robert W. Baird & Co, Inc.
- Brant Griffin QKA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc.
Crystal Room Leaving Your B-D & Setting Up Shop As An Independent RIA [27]
James D. Stoker, Managing Director, Water Street Investment Consultants, LLC
Regent Room Maximizing The Trustee/Custodian’s Value [28]
David Semmler, VP, Sales, MG Trust (Formerly Matrix)
State Room Beyond 401(k) - TRS & The RIA Model For Plans Under $25 Million [29]
Dan McGee, VP-Business Development, Principal Financial Group
12:15 p.m. - 1:15 p.m. Lunch
1:15 p.m. - 2:30 p.m.  
Gold Room What Retirement Advisors Should & Should Not Expect From Their B-D: “Advisor Perspective”
Panel (Click on the presenter for individual presentations)
- Randy Long (Moderator) [30], Managing Principal, SageView Advisory Group
- Trisha Brambley [31], President, Resources For Retirement, Inc
- Dorann Cafaro, Executive VP, 401k Advisors USA
- Douglas G. Prince, Senior VP, Stifel Nicolaus
Crystal Room Using Behavioral Science To Manage Sponsor Expectations About Risk Tolerance & Fund Selection [32]
Panel
- Ward Harris (Moderator), Managing Director, The McHenry Group/PlanTools™
- Bob Padgette, CFA, CIMA, Managing Director, Klein Decisions, LLC
- Rhonda Evans, AIF®, PhD., Director of Research, The McHenry Group / PlanToolsT™
- Al Otto, AIF®, Executive VP, White Horse Advisors
Regent Room Successful 401(k) Advisor Profiles & Trends [33]
- Merl Baker, Principal, Brightwork Partners, LLC (Sponsored by MassMutual)
- Andy O’Rourke, Director, Distribution Channel Marketing, MassMutual Retirement Services
State Room Gross-To-Net Pricing & Administering Plan Expense Reimbursement Accounts: All Providers Are Not Equal [34]
Glenn A. Dial, VP, National Sales Manager, Ceridian Retirement Plan Services
3:00 p.m. - 4:15 p.m.  
Gold Room Managing Your Clients: Continuing The Value Added Process & Navigating The Minefield Of Client Relationships [35]
Panel
- Carol J. Skinner, QPA (Moderator), President, Sterling Retirement Plan Services, Inc.
- Barbara Best, VP – Investments, Capital Strategies Group of Wachovia Securities
- Michael Morris, VP, Gradison McDonald Financial Group
- Joseph S. Moynihan, CEBS, CIMA, Sr. VP, McDonald Financial Group
Crystal Room How To Market The Value Of The RIA Approach [36]
Panel
- Mark A. Metz, (Moderator) Sr. VP, Sales & Marketing Director, Principal Trust Company (formerly ABN- AMRO/Chicago Trust)
- Matt Gnabasik, Managing Director, Blue Prairie Group
- Al Otto, AIF, Executive VP, White Horse Advisors
- Ken Ulrich, AIF, Sr. VP, Complete Pension Services, Inc.
Regent Room Plan Sponsor & 401(k) Market Insights: An Inside Look At What Your Clients Are Telling Us
Lisa M. Smith, Senior Vice President, Fidelity Investments Institutional Services Co., Inc.
State Room Support Services For Retirement Advisors [37]
Bill Chetney, President, 401(k) AdvisorsUSA
4:15 p.m. - 5:45 p.m.  
Exhibition Area

Cocktail Party

 

Thursday, October 6, 2004

7:00 a.m.- 8:00 a.m. Breakfast
   
8:00 a.m. - 9:15 a.m.  
Gold Room Should Advisors Offer Other Services [38]
Panel
- Trisha Brambley (Moderator), President, Resources For Retirement, Inc
- Jim Scheinberg, CIMA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc
- Vincent Morris, VP, Bukaty Companies Retirement Services
International Ballroom How To Build A Dynamic & Automated Prospecting Engine [39]
Panel
- Tom Herbruck (Moderator), Retirement Specialist & Shareholder, Herbruck Alder
- Mike Taffi, Program Manager, 401k Sales Force, LLC
- Thomas E. Hoffman, Certified Fund Specialist, Chartered Retirement Plan Specialist, KAF Financial Advisors, LLC
- Brian Lampsa, VP Retirement Plan Group, Howe Barnes Investments, Inc.
- Randy Long, Managing Principal, SageView Advisory Group
State Room How To Use Wholesalers Effectively [40]
George Fahey, Sr. VP/National Sales Director, Retirement Plans/Oppenheimer Funds Inc.
Crystal Room Fiduciary Reporting [41]
- Ward Harris, Managing Director, The McHenry Group / PlanToolsTM
- -Al Otto, AIF®, Executive VP, White Horse Advisors
- Rick Tasker, President, Epoch Consulting Group
9:30 a.m. – 10:45 a.m.  
Gold Room Maximizing The Value Of Your Practice & Monetizing Your Investment [42]
- Thomas V. Bruns, Divisional Sales VP – Western Division, U.S. Group Pensions, John Hancock Life Insurance Company
- Bob Ossey, Partner, Business Health, PTY., Ltd
International Ballr oom To Fee Or Not To Fee: What Are The Questions? [43]
Panel
- Sean Kelley (Moderator),VP, Retirement Plan Sales, NYLIM
- Mark Kordonsky, Principal, Sageview Advisory Group
- Tom Phillips, CEO, Investor Fiduciary Services
- Jon Upham, Sageview Advisory Group
Crystal Room Operational Audits [44]
Brian Hubbell, Principal, Findley Davies, Inc
State Room How To Move Your Practice Upstream & Compete Effectively In The $25-100 Million Market [45]
- Jim Scheinberg CIMA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc.
- Brant Griffin QKA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc.
11:00 a.m. – 12:15 p.m.  
International Ballroom “It’s The Future:” DC Developments & The Retirement Business [46]
David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by Diversified Investment Advisors & Transamerica Retirement Services)

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