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    • CENTER FOR DUE DILIGENCE P.O. Box 8 • Western Springs, Illinois 60558 (630) 662-0284 • Fax (630) 662-0286 E-mail: CFDD@401kduediligence.com Web: http://www.401kduediligence.com CFDD ADVISOR CONFERENCE SPEAKER BIOS (9/10/07) “TRANSITIONING FROM SALESPERSON TO BUSINESSPERSON: Best Practices, Business Development & Marketing Skills” October 1-3, 2007 (Monday -Wednesday) The Fairmont Scottsdale Princess Scottsdale, Arizona PRE-CONFERENCE/WRAPAROUND AGENDA Sunday, September 30, 2007 Conference Center Salon H INTRODUCTION TO FSS: Fiduciary Compliance Training & Tools (Includes three sessions below: Hosted by FSS) 8:15 – 9:15 a.m. Maintaining A Prudent Process: Ongoing Fiduciary Compliance & Maximizing Marketing Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) Don Settina is the co-founder and President of Financial Service Standards, LLC (FSS). Don is an industry veteran with more than twenty-five years of experience in the financial planning arena and retirement plan market. He is the Principal of a top-producing financial planning practice in the South Hills of Pittsburgh. Don is co-author of The 401k Service Solution Handbook for Plan Sponsors and Fiduciaries and teaches The 401k Service Training Program™ at Robert Morris University in Pittsburgh. 9:30 – 10:30 a.m. Plan Management 101: What Sponsors Need To Document Fiduciary Compliance -Sharon Pivirotto, PPC, AIF, VP, Financial Service Standards, LLC Sharon Pivirotto is the Vice-President and founding partner of Financial Service Standards LLC. Sharon has more than twelve years of financial industry experience. Formerly licensed as a securities and insurance professional, she managed an investment office for a national firm for almost seven years before starting her own company in 2002. In 2005, she teamed up with Don Settina to develop, formalize and teach the 401k Service Training Program™ to industry service professionals [the Professional Plan Consultant™ (PPC™) designation program]. Sharon is a proud veteran of the U.S. Army (active duty) and has served in various civic and charitable leadership roles including serving as the President of the Oakmont, PA Rotary club, and Vice-President of the Oakmont Chamber of Commerce. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 2 10:45 – 11:45 a.m. Meeting Global Fiduciary Standards of Care: How To Prepare Your Practice For An ERISA Audit -Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) -Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC Don Settina is the co-founder and President of Financial Service Standards, LLC (FSS). Don is an industry veteran with more than twenty-five years of experience in the financial planning arena and retirement plan market. He is the Principal of a top-producing financial planning practice in the South Hills of Pittsburgh. Don is co-author of The 401k Service Solution Handbook for Plan Sponsors and Fiduciaries and teaches The 401k Service Training Program™ at Robert Morris University in Pittsburgh. Sharon Pivirotto is the Vice-President and founding partner of Financial Service Standards LLC. Sharon has more than twelve years of financial industry experience. Formerly licensed as a securities and insurance professional, she managed an investment office for a national firm for almost seven years before starting her own company in 2002. In 2005, she teamed up with Don Settina to develop, formalize and teach the 401k Service Training Program™ to industry service professionals [the Professional Plan Consultant™ (PPC™) designation program]. Sharon is a proud veteran of the U.S. Army (active duty) and has served in various civic and charitable leadership roles including serving as the President of the Oakmont, PA Rotary club, and Vice-President of the Oakmont Chamber of Commerce. Salon I 12:00 – 5:00 p.m. Marketing Boot Camp For Advisors -Ward Harris, Founder & CEO, The McHenry Group/Plan Tools LLC -Steve Ferber, EVP, Collective Fund Services, AST Trust Company -Kent Fitzpatrick, AIFA, ARPC, EVP, Asset Strategy Retirement Consultants -Brian C. Hubbell, AIF, Principal, Hubbell Consulting, LLC -Al Otto, AIFA, EVP, White Horse Advisors, LLC -Eric Hughes, Managing Director, Simplexity, LLC -Pete Newkirk, President, Newkirk -Bob Padgette, CFA, CIMA, Founder &Managing Director, Klein Decisions, LLC -Janet Quarberg, Managing Director, Retirement Distribution Strategies, Voyageur Asset Management, Inc. -Charlie Russella, EVP & National Sales Manager, AST Trust Co. -Perry Wilkes, Sr. Plan Advisor, White Horse Advisors, LLC Ward Harris is the Founder and Managing Director of The McHenry Group/PlanTools.™ Ward started McHenry following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory and retirement lines of business. His prior service was with Union Bank of California, First Interstate Bank and Dean Witter. In his home town of Seattle, Ward was a partner in a registered investment advisory firm. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 3 12:00 p.m. – Kierland Golf Club Charity Golf Event 15636 North Clubgate Drive Scottsdale, AZ 85254 (480) 922 9283 Salon H FIDUCIARY EDUCATION PROGRAM: Managing Advisor Liability & Operational Compliance (Includes three sessions below: Hosted by CFDD) 12:30 – 2:15 p.m. Fiduciary Issues & Status In An Ever Changing Legal Landscape: Things You Need To Know -Marcia S. Wagner, Esq., President, The Wagner Law Group Marcia S. Wagner is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group, A Professional Corporation, in Boston, Massachusetts, which she founded approximately 11 years ago. A summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School, she has practiced in Boston for over nineteen years. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, “rabbi” trusts, all forms of deferred compensation, and welfare benefit arrangements. She is a member of the Employee Benefits Committee of the American Bar Association, Taxation Section, and a member of the Pension Liaison Committee for the IRS Key District Office in Brooklyn, New York. Ms. Wagner is a frequent lecturer and author in the ERISA/employee benefits area and has authored a Bureau of National Affairs Tax Management Portfolio, entitled “Plan Disqualification and ERISA Litigation”, for which she has received the BNA 1994 Distinguished Author Commendation, and has also authored several other books and articles. Ms. Wagner has been listed as a “Massachusetts Super Lawyer” by Boston Magazine, Who’s Who Among Executive and Professional Women – Honors Edition by both Empire Who’s Who and Manchester’s Who’s Who, and has been selected to be listed in The Best Lawyers in America for 2003 through 2006, and has an AV peer review rating, as very high to preeminent legal ability and integrity, by LexisNexis Martindale-Hubbell. 2:30 – 3:30 p.m. Fiduciary Insurance, E&O Coverage, ERISA Bonding, Investment ERISA Bonds & Employee Dishonesty: Unwinding The Maze For Sponsors & Advisors -Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency Gary B. Sutherland has almost 20 years of insurance experience and founded North American Professional Liability Insurance Agency, LLP (NAPLIA) in 1998. NAPLIA has grown to be one of the leading writers of professional liability insurance specializing in financial professionals. Mr. Sutherland holds the prestigious designation of Certified Insurance Counselor (CIC), an honor attained by only 2% of all insurance brokers. He previously held the position of National Sales Manager for a leading provider of professional liability insurance. Mr. Sutherland’s expertise is well acknowledged and he regularly speaks at national conferences, most recently Fiduciary 360’s conference in San Diego, and for large accounting firms. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 4 3:45 – 4:45 p.m. 404(c) Liability: Diving Into The Abyss Of True Compliance -David Witz, Managing Director, Fiduciary Risk Assessment, LLC David J Witz is the Managing Director and founder of Fiduciary Risk Assessment LLC (FRA). FRA is a service provider to the retirement industry designing and licensing software solutions to industry service providers that automate the process for fiduciary analytics and diagnostics. David's responsibilities include business development, product design, project management of FRA's software development, and collaboration with legal counsel to secure a legal opinion on FRA's proprietary 404c Master Diagnostic™ system. 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 26 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 before forming FRA. David has been published or quoted by the Journal of Benefits and Compensation, the CPA Journal, Columbus CEO, and BNA. He has participated on advisory boards for Principal Financial, Mass Mutual, CBIZ, and Asset International, Inc. He has been a guest speaker for the AICPA, Bar Association, Financial Planning, PLANSPONSOR, and CFDD. 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 designation. Licensing includes NASD Series 6, 26, 63, 65 and Life, Health and Variable Insurance. 5:00 – Conference Center Cybercafé & Registration Desk Opens 6:00 – 9:00 p.m. Princess Plaza Courtyard Kick-Off Party & Golf Event Awards Presentation -Hosted by The McHenry Group & PlanTools, LLC -Special Honored Guests Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 5 Monday, October 1, 2007 CONFERENCE AGENDA 7:00 – 8:15 a.m. Conference Center/Plaza Registration & Breakfast 8:15 – 9:15 a.m. Salon D&E WHAT’S UP ON CAPITOL HILL: Recent Pension Laws & Regulation -Kathryn Capage, Strategic Planning Director, Retirement & Tax Advantages Products Division, AIM Investments Kathryn Capage serves as first vice president and strategic planning director for AIM’s Tax Advantage Products Division. With more than 30 years of experience in marketing, design and administration of employee benefit plans, Kathryn provides strategic guidance to AIM, and valuable information to you regarding new and pending tax proposals and regulations. She uses her wealth of knowledge to speak on a myriad of issues covering everything from analyzing the recent default investment regulations and Social Security reform proposals to ways to bolster 401(k) participation. One of AIM's most frequently requested speakers, Ms. Capage travels extensively throughout the United States. She has been invited to speak before the U.S. Department of Labor, was the keynote speaker at Ohio State University’s opening of its financial planning center and has been a featured speaker at ASPA and ICI conferences. Ms. Capage has been featured on numerous regional radio broadcasts. She has published articles in many professional journals including Pension & Investments, Defined Contribution News, and Investment News. Salon H FALL OF THE MERRILL RULE: What’s Next For BDs & Retirement Advisors -Ward Harris, Founder & CEO, The McHenry Group/PlanTools LLC Ward Harris is the Founder and Managing Director of The McHenry Group/PlanTools.™ Ward started McHenry following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory and retirement lines of business. His prior service was with Union Bank of California, First Interstate Bank and Dean Witter. In his home town of Seattle, Ward was a partner in a registered investment advisory firm. Salon I Advanced Plan Design For Family-Owned & Closely Held Corporations -Michael. H. Manning, National Director of Retirement Plans Distribution Sales, UNIFI Companies Michael Manning, the National Director of Retirement Plans – Distribution Sales for the UNIFI companies, is responsible for the development and implementation of marketing strategies for all internal and external retirement Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 6 plan distribution channels. He joined Ameritas in 2005 as a Regional Director of Retirement Plans, was promoted to National Director of Defined Benefit Plans in 2006, and developed the sales and marketing of UNIFI’s Cash Balance Plans. Earlier this year, Michael was named Director of Distribution Sales for Retirement Plans with responsibilities for development of new distribution channels in the Consulting, TPA and IBD markets as well as managing strategies for alliance partners within the UNIFI companies. He has over 25 years of experience in the retirement plan industry, including various positions with Sumitomo Life America and Crown Life America. Thus far, he has been personally responsible for over $1 billion in pension investment sales. Additionally, Mr. Manning was a Vice President and founding member of the board of directors of the National Institute of Pension Administrators, LA Chapter. He is also the co-creator of the renowned compliance program Specialized Maintenance Audits of Retirement Trusts. The SMART program was created by an alliance with the ERISA law firm of Reish & Luftman. Salon F&G INDIVIDUAL ADVICE & THE ADVISOR’S ROLE: Should Advisors Provide, Partner Or Compete With Providers? -Trisha Brambley (Moderator), President, Resources For Retirement, NRP Member Firm -Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC -Edward A. Schwartz, President, Gregory J. Schwartz & Co., Inc. -Joan McDonagh, J.D., Manager, 401k Technical Resources, Great-West Retirement Services -David Finn, PRP, M.B.A., Director of Business Development, Northeast Employee Benefits Practice, Milliman, Inc. Trisha Brambley is President of RESOURCES for Retirement. In 1995, Ms. Brambley launched RESOURCES for Retirement dedicated to helping plan sponsors understand and evaluate the choices available to their participants – choices in plan types, vendors, funds and pricing arrangements. Focused on finding the best solutions for her clients, the company brings a fresh perspective and deep knowledge to plan sponsors. She is frequently quoted in the press, including Money Magazine, Readers Digest, Pension & Investment Age, The Philadelphia Inquirer and hundreds more. In addition, Trisha is a speaker on many national forums that focus on retirement plan issues, including the Profit Sharing Council of America. She also serves as a member of the ERISA Advisory Council. Mark Kordonsky is a Principal in the Los Angeles office of the SageView Advisory Group. Mark is considered an expert on both domestic and international compensation and benefits. He leads both the Domestic and International Investment Services Practices in Los Angeles, with an emphasis on the development of strategic benefit outsourcing solutions. Mark speaks frequently on finance and investment strategies for employee benefit plans worldwide. He co-authored an article in the Journal of Corporate Finance on the volatility of pension expense under the Statement of Financial Accounting Standards No. 87, and an article in International Compensation and Benefits on worldwide pension funding. His education and achievements are as follows: B.S. in mathematics and statistics from the University of New York at Stony Brook, M.B.A. in international finance and investments from the University of Southern California, coursework toward a Ph.D. in executive management specializing in human resource strategy at the Peter F. Drucker Institute at Claremont, registered NASD securities representative, Registered Investment Advisor and pursuing a CFA designation. Edward Schwartz is the President of Gregory J. Schwartz & Co., Inc. (“Schwartz & Co.”), an investment firm founded in 1976. The company is registered with the NASD as a Broker-dealer and with the SEC as a Registered Investment Advisor. Mr. Schwartz also serves as Director of Institutional Services at Schwartz & Co. and oversees approximately $2 billion in client assets. His Institutional Services group handles over 100 clients and concentrates on serving qualified retirement pans. He has been in the investment business for 16 years. In 2006, Edward was selected by the U.S. Secretary of Labor, Elaine L. Chao, to serve on the Department of Labor’s ERISA Advisory Council. Mr. Schwartz also serves as Co-Chairman of the National Finance Committee for Romney for President. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 7 Before joining Schwartz & Co., he worked in New York, NY for PaineWebber Inc.’s Investment Banking Division, focusing primarily on stock and bond underwritings for publicly-traded corporations. He worked on the investment banking team that completed the largest deal in PaineWebber’s history, by successfully raising over $1 billion in equity for GTE Corp. Mr. Schwartz graduated “Magna Cum Laude” from Georgetown University, earning a Bachelor degree in Finance and English. He graduated “With High Distinction” from the University of Michigan, earning an M.B.A. degree in Finance and Accounting. He spent an undergraduate term studying international business at Oxford University in Oxford, England. Joan McDonagh received a J.D. from American University, Washington College of Law in 1985 and subsequently practiced law in the employee benefits area. She has worked with Great-West Retirement Services ® since 2004 and with its wholly owned subsidiary, EMJAY Corporation, since 1988. Joan’s areas of expertise include ERISA compliance, with an emphasis on fiduciary requirements. Ms. McDonagh is a member of the Milwaukee, Wisconsin and American Bar Associations. She is on the Legislative Affairs Committee of ASPPA, the Government Relations Committee of SPARK, and is past Vice-President of Wisconsin Retirement Plan Professionals, Ltd. Joan has written numerous articles and presented a variety of seminars on issues related to qualified plan operations. She is a co-author of the 401(k) Answer Book in the Aspen Publishers Answer Book Series. David Finn as the Director of Business Development, is responsible for all facets of client development, including acquisition, retention, and satisfaction of priority accounts. Dave has more than 15 years of experience in professional service sales and has facilitated scores of client co-development sessions to ensure proper alignment of resources with client expectations. In a former role, Mr. Finn implemented client satisfaction programs at some of the largest financial services institutions in the New York area. He specializes in team coaching and performance metrics development critical to engagement success. Prior to joining Milliman, Dave held various leadership positions such as vice president of national sales and district manager, marketing and sales in the professional services and technology industries. David has an M.B.A. in Marketing from Rutgers University and a B.A. in Economics from Villanova University. 9:30 – 10:30 a.m. Salon H PPA ONE YEAR LATER: What Happened? -Michael Taricani, V.P., Compliance/Product & Advisory Services, Prudential Financial -Chad J. Larsen, PRP, AIF, Sr. V.P., Retirement Plan Services, Moreton Financial Solutions, LLC, NRP Member Firm Michael L. Taricani, Vice President, Plan Compliance Services, located in Hartford, CT, has over 30 years of service with Prudential Retirement. His experience includes positions in ERISA Compliance, Nondiscrimination Testing, M&A Consulting, Defined Contribution Plan Administration, Training, Product Development, and Transition Management. Mike manages a team of professionals that provides Plan Compliance Advisory services to plan sponsor and publishes Prudential's Pension Analyst, an award-winning plan sponsors communications on federal legislative and regulatory activity affecting retirement plans. He has been a speaker at national and regional industry conferences on ERISA Fiduciary Responsibilities, The Pension Protection Act of 2006, Mergers & Acquisition, Basics of Defined Contribution Plans, and has done radio talk show segments on Roth 401(k). Chad J. Larsen has spent the past 18 years developing and implementing proven processes and strategies for clients to improve their retirement programs and he has a long-term track record of successful outcomes. Mr. Larsen is an Accredited Investment Fiduciary (AIF®) and is recognized as a PLANSPONSOR Retirement Professional (PRP) by PLANSPONSOR magazine. He has worked with hundreds of employers helping them to implement prudent Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 8 processes that have reduced their fiduciary liability, reduced their plan expenses, and that have significantly improved the participant outcomes of their plans. Chad is a frequent speaker for employer groups and has given numerous retirement plan workshops to educate employers on the key elements of successful retirement plans. He has been recognized and quoted in PLANSPONSOR Magazine for his work with clients and was selected as the 2007 Retirement Plan Advisor of the year by PLANSPONSOR Magazine. Mr. Larsen graduated from Brigham Young University where he earned a Bachelor’s Degree in Business Finance with minors in Accounting and Economics. He now manages the Retirement Plan Services team for Moreton Financial Solutions, LLC, a full- service employee benefits and insurance firm. His team works with all types and sizes of retirement plans and provides valuable experience and expertise to plan sponsors. Chad provides retirement services to each of Moreton’s offices located in Denver, Phoenix, Salt Lake City, and Boise. His financial background and technical expertise provide a valuable resource for clients in each of the for-profit, not-for-profit, and public sectors. Chad is an independent Registered Investment Advisor through Moreton Financial Solutions, LLC and also a Registered Representative as well as a Registered Principal with Multi Financial Securities Corporation. Salon D&E Benchmarking Advisor Fees & Disclosure Best Practices -Don Salama, Sr. Managing Director, New York Life Retirement Plan Services -Ann Schleck, Principal, Ann Schleck & Company Don Salama is the Senior Managing Director of New York Life Investment Management and runs their Retirement Plan Services (RPS) business. RPS currently administers over $26 billion in defined contribution, defined benefit and non-qualified plan assets. Don joined the New York Life family five years ago and prior to his current role, he was responsible for sales and marketing. Over the past 20 years, Don has held numerous positions in the retirement plan industry. Mr. Salama ran Retirement Plan Solutions at Hartford Life, building and managing a $10 billion group retirement plan business line. Additionally, he spent a number of years running institutional sales and marketing for the Vanguard Group. He also held senior positions in sales, marketing and operations at Mercantile Bank of St. Louis and Bankers Trust Company in New York . Don graduated from the University of Wisconsin at Madison, earning a B.S. in Aerospace Engineering. He also received an M.B.A. from Cornell University, Johnson Graduate School of Management in 1986. Ann Schleck is the principal owner of Ann Schleck & Company, an independent consulting firm providing business strategy, sales, client retention and product development consulting services to Retirement Providers. Ann has over 20 years of experience with Retirement plans as a plan sponsor, service provider, and consultant. Before starting her own firm, Ann was a partner and National Practice Leader for Deloitte. Ms. Schleck’s experience includes, competitive benchmarking, sales performance programs, client service strategies, product development and strategic marketing. Salon I Advice For Advisors of 401k Plans With Company Stock -Daniel Reser, J.D., CCTS, MPF, President, Fiduciary Services, Inc. -Laurence Goldberg, Partner, Sheppard, Mullin, Richter & Hampton Daniel M. Reser has been a corporate fiduciary for corporate securities and reorganization transactions as well as trustee and custodian of retirement plans for over 25 years. Before founding Fiduciary Services, Inc. he was active for 17 years in Los Angeles as a Vice President and manager of corporate trust services for several national and international bank and trust organizations. Currently Daniel is the President of Fiduciary Services, Inc., a registered investment advisor located in San Rafael, California. Specializing in selecting and managing corporate retirement plan investments, he is also active in the fiduciary concerns and decisions relating to company stock in such plans. Mr. Reser is certified as a Master Pension Fiduciary by the ERISA Fiduciary Guild and as a Certified Corporate Trust Specialist by the American Bankers Association. Besides a B.A. and Juris Doctorate from Southern Methodist University, Daniel has graduated from the UCLA John Anderson Graduate School of Management, Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 9 Executive Program. He is also a member of the Western Pension Benefits Conference, The ESOP Association and the National Center for Employee Ownership. Mr. Reser has been a regular speaker at ESOP Association conferences and has had his presentations picked up on newswires. Laurence Goldberg is a partner in the Tax, Employee Benefits, Trusts & Estates Practice Group in Sheppard Mullin's San Francisco office, a practice focused on the design, implementation and operation of Employee Stock Ownership Plans ("ESOPs"). Mr. Goldberg is nationally recognized for his extensive experience in structuring a wide variety of ESOP transactions, often designed as part of a family ownership transition, management buyout, or investment diversification/liquidity strategy for shareholder groups. He has advised numerous corporations, shareholders and directors, of both closely-held and publicly-traded companies, on the use of ESOPs and ESOP- related strategies. Laurence regularly serves as legal counsel to ESOP trustees, and advises investors and lenders with respect to ESOP transactions. Mr. Goldberg also advises clients on various types of pension and profit sharing plans, and management incentive plans implemented in connection with an ESOP transaction. Salon F&G CRM & NEWSLETTERS: Leveraging Best Practices, Technology & Efficiency -Randy Long (Moderator), Managing Principal, (CRM & Newsletter User) SageViewAdvisory Group -Rhonda Evans, Ph.D., AIF, Managing Director (Research & Newsletters), The McHenry Group -Jeff Yoshimura, Director, Appexchange Financial Services, Salesforce.com -Jon Manlove, Client Service Director (CRM Consultant), The McHenry Group Randall C. Long is the founder and managing principal of SageView Advisory Group, a consulting firm specializing in services for retirement plan sponsors and personal wealth management. Headquartered in Irvine, California, SageView delivers customized solutions to retirement plan sponsors and participants, as well as personal wealth management services to clients, throughout the United States. Long has worked in the financial services industry for more than 25 years, focusing most of that time in the retirement plans market sector. From 1989 to 2004, Long served as president and founding partner of Benefits Funding Services Group, an Irvine, California based financial services advisory firm, where he was responsible for managing more than $750 million in retirement assets for clients. Randall earned his Bachelor of Science degree in business administration from San Diego State University. He is an active member in numerous business and professional organizations, including the American Society of Pension Actuaries and the National Association of Insurance and Financial Advisors. Mr. Long is an Accredited Investment Fiduciary (AIF), PLANSPONSOR Retirement Professional (PRP) and a Chartered Financial Analyst (CFA) candidate. He is a Registered Investment Advisor and holds his California Life and Disability licenses, along with NASD Series 7 and 24 securities licenses. He serves as a Regional Director of Financial Network Investment Corporation. Rhonda Evans is Managing Director of Research for the McHenry Group/PlanTools™. At McHenry, Rhonda is responsible for conducting financial analyses, industry assessments, and research on the latest trends in the investment-based benefits marketplace. Her research skills were honed in both academia and the private sector. She received a Ph.D. from the University of California, Berkeley. Rhonda also co-founded a successful research firm specializing in employment and work processes research. Jon Manlove is Client Service Director for McHenry and PlanTools™. He has a diverse and very suitable professional and academic background that supports the firm’s clients with creative and technologically powerful solutions. He learned the value of attention to detail as a helicopter crew chief and was a sergeant in the US Marine Corps. Jon holds a masters’ degree in journalism and was an executive editor for Knight Ridder newspapers. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 10 10:45 – 11:45 a.m. Salon H Risk Management Techniques For DB Plans -Mark Kordonsky (Moderator), Founder & CEO, Sortino Investment Management, LLC -Patrick Kendall, V.P., DB Practice Leader, Diversified Investment Advisors -Gary Burczek, FSA, EA, MAAA, Actuary, Principal Financial Group Mark Kordonsky is a Principal in the Los Angeles office of the SageView Advisory Group. Mark is considered an expert on both domestic and international compensation and benefits. He leads both the Domestic and International Investment Services Practices in Los Angeles, with an emphasis on the development of strategic benefit outsourcing solutions. Mark speaks frequently on finance and investment strategies for employee benefit plans worldwide. He co-authored an article in the Journal of Corporate Finance on the volatility of pension expense under the Statement of Financial Accounting Standards No. 87, and an article in International Compensation and Benefits on worldwide pension funding. His education and achievements are as follows: B.S. in mathematics and statistics from the University of New York at Stony Brook, M.B.A. in international finance and investments from the University of Southern California, coursework toward a Ph.D. in executive management specializing in human resource strategy at the Peter F. Drucker Institute at Claremont, registered NASD securities representative, Registered Investment Advisor and pursuing a CFA designation. Patrick Kendall is a Vice President and National Practice Leader. Mr. Kendall is responsible for all aspects of marketing, product development and sales regarding Diversified’s Defined Benefit and Corporate Defined Contribution platforms. His duties include review of pricing and proposals, interfacing with intermediaries to ensure strong partnership relationships, and participating in presentations to a wide variety of audiences. In addition, Patrick directs efforts to design, implement, and maintain marketing materials and campaigns to accurately exhibit continually evolving product features to target audiences. He has been in the Retirement Plans Business since 1989. Mr. Kendall is a Fellow in the Conference of Consulting Actuaries, an Associate of the Society of Actuaries, a Member of the American Academy of Actuaries, and an Enrolled Actuary. He has served on various Education and Examination Committees within the Society of Actuaries, and is a frequent speaker at conferences geared toward the retirement plan sponsor community. Patrick is a graduate of Dartmouth College. Gary Burczek has been a pension actuary with Principal Financial Group since April 2005. Prior to coming to Principal Financial Group, he spent over 8 years with Mercer in Minneapolis. During his tenure at Mercer, Mr. Burczek spent three months with Mercer – Mexico City, where he helped on project work and conducted training on pension software. He is a Fellow in the Society of Actuaries, an Enrolled Actuary, and a member of the American Academy of Actuaries. Gary graduated from Concordia College (Moorhead) in Minnesota with majors in Mathematics and Economics. Salon D&E Designations For Retirement Plan Advisors -Pat Oberlander (Moderator), Executive Director, Retirement Consulting Services, UBS Financial Services -Blaine Aikin, AIFA, CFA, CFP, Managing Partner, CKO, Fiduciary360 (AIF & AIFA) -Susan Hajek, QKA, Chief Sales & Marketing Officer, ASPPA (QPFC) -Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 11 Patrick Oberlander is Executive Director, Wealth Planning, Products & Services -US for UBS Financial Services, Inc. He has primary responsibility for the $35 billion corporate retirement plan business under the UBS umbrella. Prior to joining UBS, Pat led the retirement services group at McDonald Investments for 10 years. His entire career, spanning 30+ years, has been spent in the retirement plan business with industry giants including CIGNA, Transamerica and Travelers. Blaine Aikin, as a Managing Partner of Fiduciary360, leads the training and advisory services provided through the organization. Blaine received his Master of Public Management and Policy degree from the Heinz School of Carnegie-Mellon University. Upon graduation from CMU, he was selected for the prestigious Presidential Management Intern Program which involved management assignments in the U.S. Department of Treasury and the U.S. Senate. Mr. Aikin subsequently served as Budget Officer for Prince William County, Virginia. He earned the Certified Financial Planner (CFP®) and Chartered Financial Analyst (CFA) designations and served as a principal and Chief Investment Officer of Allegiance Financial Advisors. After providing contract training and consulting services for PNC Financial Services Group, Blaine became a Senior Vice President and Director of Product Development and Management for PNC Advisors. For several years, he also served as an adjunct faculty member of the College for Financial Planning, providing instruction in investment planning and other subjects leading to the Certified Financial Planner™ designation. Susan Hajek is the Chief Sales & Marketing Officer for ASPPA. In her position, Susan is responsible for working in conjunction with the various member and service oriented departments of ASPPA to promote and sell the products and services offered. She has been a member of ASPPA for over eight years and has worked in the retirement industry for the past 20 years in a variety of capacities including sales, marketing, investment trading, trust services, client relationship management and performance measurement. Ms. Hajek received her B.S. in Business Administration from Truman State University and an M.B.A. from Fontbonne College. Don Settina is the co-founder and President of Financial Service Standards, LLC (FSS). Don is an industry veteran with more than twenty-five years of experience in the financial planning arena and retirement plan market. He is the Principal of a top-producing financial planning practice in the South Hills of Pittsburgh. Don is co-author of The 401k Service Solution Handbook for Plan Sponsors and Fiduciaries and teaches The 401k Service Training Program™ at Robert Morris University in Pittsburgh. Salon I MANAGING RETIREMENT INCOME: The Shift From Managing Accumulations To Managing Distributions -Lisa Shidler (Moderator), Reporter, InvestmentNews -Joseph Masterson, Sr. V.P. & Chief Sales Officer, Diversified Investment Advisors -Douglas McIntosh, Jr., V.P. Retirement Income, Prudential Financial -David Longfritz, Sr. V.P. & GM, Retirement Income & Rollover Solutions, John Hancock -Tere D’Amato, CFP, CLU, ChFc, MSFS, Director Of Advanced Planning, Commonwealth Financial Network Lisa Shidler, is a reporter at InvestmentNews, who concentrates on the issues advisers are facing as they prepare for the flood of baby boomers to retire. Her recent focus has been the impact the Pension Protection Act of 2006 will have on advisers. After consulting with numerous advisers in the industry, she has written about the challenges they are facing and their attempts to craft new business models which will help their clients shift from accumulating wealth for retirement to reaching an income at retirement. She also covers defined contribution plans, as well as trust and estate planning. Ms. Shidler has worked at two daily newspapers over the course of ten years, and has won a number of awards for her articles. Earlier this year, she served as a moderator at The InvestmentNews 2007 Retirement Income Summit in New York. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 12 Joseph Masterson, Senior Vice President and Chief Sales and Marketing Officer, is a member of Diversified’s Executive Management Committee and Investment Committee. Having joined Diversified in 1985, he is currently responsible for leading Sales, Distribution Channel Management and Marketing teams. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization. Mr. Masterson held similar responsibilities with Diversified's predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Mr. Masterson began his pension career in 1976 with Aetna. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. His industry affiliations include past Chairperson of the Retirement & Investment Marketing Committee – LIMRA International; a longstanding member of AIMSE; a member of the Investment Management Consultants Association; and a member of the editorial advisory board of the Journal of Pension Benefits. He is a frequent speaker and author on retirement plans and asset allocation strategies. Doug McIntosh is Vice President, Distribution for Retirement Income Strategies, a business unit within Prudential Retirement. He is charged with developing in-force distribution and training initiatives for the Retirement Income group, who assist retirement plan sponsors deliver efficient lifetime income vehicles to their employees. In addition, he is an integral member of the new product development function, serving as a vital link from the marketplace back to product management. Before joining the Retirement Income group, Doug held the position of Vice President, Consultant Relations, in which he was responsible for developing and maintaining relationships with premier benefits and investment consultants nationwide. Previously, he was Product Manager in the Investment Marketing and Product Development group, where he was responsible for the evaluation, selection and monitoring of sub- advised institutional funds. Prior to working for Prudential Retirement, Doug was Director, International Sales for Mentor Ophthalmics, a specialty medical manufacturer, where he ran international distribution in Asia and Latin America. Mr. McIntosh received a B.A. in English & Communications from Fairfield University, and holds an M.B.A. with Distinction in International Management & Finance from the Johnson Graduate School of Management at Cornell University. David Longfritz heads a new business unit focused on developing integrated lifetime retirement solutions for individuals, utilizing the products and services provided by the John Hancock Wealth Management businesses. Already a leader in variable annuities, mutual funds and 401(k) Financial products, John Hancock has formed the new Retirement Income and Rollover Solutions business unit specifically to create new solutions that complement and complete clients’ lifetime retirement income goals. Previously, Mr. Longfritz directed marketing of the variable annuity businesses for Manulife and John Hancock. Prior to joining Manulife Wood Logan in 2000, he was a retail broker with Merrill Lynch for seven years, and also worked in classical packaged goods, most notably at Procter and Gamble. David graduated from the University of Maine with a B.A. in Political Science and earned an M.B.A. in Marketing from the University of Connecticut. Tere D’Amato, as Director of Advanced Planning for Commonwealth Financial Network, manages Commonwealth’s planning efforts across the firm’s spectrum of Wealth Management services. Her special expertise lies in her ability to turn problems into creative sales opportunities. With a background of 20 years in insurance marketing, Tere has a keen understanding of the advanced insurance sale. Ms. D’Amato earned her Masters of Science in Financial Services, with an emphasis on estate planning, through American College in 2003. Salon F&G FIDUCIARY LIABILITY INSURANCE, BONDING & SERVICE AGREEMENTS FOR SPONSORS: How Sponsors & Advisors Share & Manage Liability - Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting, LLC - Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency - Marcia S. Wagner, Esq., President, The Wagner Law Group Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 13 Brian C. Hubbell, Principal, is the Founder of Hubbell Consulting. He began his career in the Pension Investment Division of Mutual of New York in 1980. Brian joined the consulting firm of Findley Davies in 1985, where during his 20+ years there, he became a senior Principal of the firm, member of the Board of Directors, and the firm’s Practice Leader for Retirement Consulting. Mr. Hubbell holds the AIF® designation from the Center for Fiduciary Studies, affiliated with the Katz Graduate School of Business, University of Pittsburgh. He has been a guest speaker at national conferences sponsored by the American Society of Pension Professionals & Actuaries, Profit Sharing/401(k) Council of America, Pension and Investment Age, and Center for Due Diligence. Brian is past president of the Charlotte Pension Forum and has been an instructor for the CEBS curriculum. He earned a Bachelor of Science degree from the University of Iowa with a major in Business Administration. Mr. Hubbell has also served as an “expert witness” in litigation on corporate retirement plan matters. Gary B. Sutherland has almost 20 years of insurance experience and founded North American Professional Liability Insurance Agency, LLP (NAPLIA) in 1998. NAPLIA has grown to be one of the leading writers of professional liability insurance specializing in financial professionals. Mr. Sutherland holds the prestigious designation of Certified Insurance Counselor (CIC), an honor attained by only 2% of all insurance brokers. He previously held the position of National Sales Manager for a leading provider of professional liability insurance. Mr. Sutherland’s expertise is well acknowledged and he regularly speaks at national conferences, most recently Fiduciary 360’s conference in San Diego, and for large accounting firms. Marcia S. Wagner is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group, A Professional Corporation, in Boston, Massachusetts, which she founded approximately 11 years ago. A summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School, she has practiced in Boston for over nineteen years. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, “rabbi” trusts, all forms of deferred compensation, and welfare benefit arrangements. She is a member of the Employee Benefits Committee of the American Bar Association, Taxation Section, and a member of the Pension Liaison Committee for the IRS Key District Office in Brooklyn, New York. Ms. Wagner is a frequent lecturer and author in the ERISA/employee benefits area and has authored a Bureau of National Affairs Tax Management Portfolio, entitled “Plan Disqualification and ERISA Litigation”, for which she has received the BNA 1994 Distinguished Author Commendation, and has also authored several other books and articles. Ms. Wagner has been listed as a “Massachusetts Super Lawyer” by Boston Magazine, Who’s Who Among Executive and Professional Women – Honors Edition by both Empire Who’s Who and Manchester’s Who’s Who, and has been selected to be listed in The Best Lawyers in America for 2003 through 2006, and has an AV peer review rating, as very high to preeminent legal ability and integrity, by LexisNexis Martindale-Hubbell. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 14 12:00 – 1:00 p.m. Conference Center/Plaza Lunch 1:15 – 2:15 p.m. Salon D&E ERISA LITIGATION: What Is The Nature Of Recent Lawsuits, Who Are The Named Defendants & What Safeguards Minimize Your Exposure? -Bruce Ashton, Esq., Partner, Reish Luftman Reicher & Cohen -Joe Faucher, Esq., Partner, Reish Luftman Reicher & Cohen Bruce Ashton is a partner of Reish Luftman Reicher & Cohen, a law firm specializing in employee benefits. His practice focuses on all aspects of employee benefits issues, including representing plans and their sponsors in controversies before the IRS and EBSA, negotiating the resolution of plan qualification issues under EP Division settlement programs, advising and defending fiduciaries on their obligations and liability under ERISA, and structuring qualified plans and non-qualified deferred compensation arrangements. Bruce was President of the American Society of Pension Professionals and Actuaries (ASPPA) for the 2003-2004 term. From 1998 through 2002, he served as the co-chair of ASPPA's Government Affairs Committee. He is a board member and has also served as past program and Spring Conference chairs of the Los Angeles Chapter Western Pension & Benefits Conference. Joe Faucher is a partner in the Los Angeles office of the law firm of Reish Luftman Reicher & Cohen. His litigation practice places special emphasis on ERISA and employee benefits matters, and litigation involving benefit plan service providers. He has acted as preferred counsel and panel counsel for national insurance carriers. Joe previously authored or co-authored several articles and a column on 401(k) investment issues for the Journal of Pension Benefits and was a contributing author of BNA Books' 2000 Supplement to Employee Benefits Law. He has also written articles on ERISA litigation for the Los Angeles Daily Journal, and House Counsel. He has been recognized as a Southern California "Super Lawyer." Joe received his B.A. degree from The University of Iowa, and his J.D. from the University of California, Davis, King Hall School of Law. Salon H THE ROLE OF THE RETIREMENT PLAN COMMITTEE: Challenges & Opportunities For Advisors In Today’s Regulatory Environment -Rocco DiBruno (Moderator), AIFA, Managing Director, Retirement Group, Thornburg Investment Management -Joe McLaughlin, CRPS, AIF, PRP, VP, Wealth Advisor, Kelliher Group at Morgan Stanley -Gary Josephs, Managing Partner, Castner Josephs Retirement Group, NRP Member Firm -Jim Pierce, RPA, Executive Managing Director, Holmes Murphy Financial Services -Jim O’Shaughnessy, AIF, PRP, Principal, Sheridan Road Financial, NRP Member Firm Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 15 Rocco DiBruno is a Managing Director of Thornburg Investment Management and Director of the Retirement Group for Thornburg Securities Corporation, the investment advisor for Thornburg mutual funds. He is responsible for the firm’s investment only Defined Contribution plan sales, key accounts and marketing of the company’s value- add services to plan service providers, and retirement plan advisors. Prior to joining Thornburg in 2003, Mr. DiBruno was a Vice President and Regional Sales Manager at Merrill Lynch where he was responsible for employer-sponsored retirement plan sales and client relations for the Mid - Atlantic States. He has over 25 years experience working with financial advisors and plan sponsors in retirement plan sales, consulting, marketing, and product development. Rocco received his Accredited Investment Fiduciary Analyst™ (AIFA) designation from The Center for Fiduciary Studies. He is a frequent industry speaker on retirement industry trends and fiduciary governance and is the author of the book, Best Practices for 401(k) Investment Committees. Rocco is a graduate of Temple University in Philadelphia, PA and has a B.A. in Business Management. Joe McLaughlin, as the group’s Senior Retirement Advisor, brings over thirteen years of expertise and commitment to the Qualified Plan marketplace. He oversees all aspects of plan design, investment management, and employee communications, in addition to operational and regulatory issues. This includes consulting on the selection, implementation and monitoring of plan service providers and investment options. A frequent public speaker on a range of investment and ERISA-related topics, his technical background plays an integral role in the development of the group’s corporate retirement plan business. Graduating with a B.A. in Economics from Stonehill College, he has completed numerous continuing education programs, including an Accredited Investment Fiduciary™ (AIF®) designation from the University of Pittsburgh Katz Graduate School’s Center for Fiduciary Studies, a Chartered Retirement Plans Specialist™ (CRPS®) designation from the College for Financial Planning and a PLANSPONSOR Retirement Professional™ (PRP®) designation from Asset International’s PLANSPONSOR Institute. Gary Josephs is a Managing Partner of the Castner Josephs Retirement Group, Inc. He was recognized in PLANSPONSOR Magazine as one of the “Most Successful Advisors” in 2006 and as one of the top 30 retirement plan advisors in the nation in the categories of “Most Successful Advisors by Assets” and the “Most Successful Advisors by Region” in 2005. Mr. Josephs holds the designations of Accredited Investment Fiduciary (AIF) from The Center for Fiduciary Studies and PLANSPONSOR Retirement Professional (PRP). He was appointed to the Wachovia Retirement Advisor Committee in 2005 to provide guidance and advisory services to assist in the development of plan specific tools to plan sponsors. In 2003, Gary was appointed to the Prudential Retirement Advisors Roundtable, which utilizes the most successful retirement advisors to further the cause of enhancements to the retirement marketplace. He has a Master of Business Administration from Washington University in St. Louis and a Bachelor of Science in Management from Tulane University in New Orleans, Louisiana. Jim Pierce has more than 20 years of experience in employee benefits (qualified plan emphasis), asset management and financial planning. He provides leadership to the Retirement Plan Services Division of Holmes Murphy Financial Services. Jim is an expert on qualified plan issues and is an author as well as a frequent speaker on topics affecting retirement planning in the ERISA market. He was a 2005 Finalist for the PLANSPONSOR Retirement Plan Advisor of the Year Award. Jim O’Shaughnessy is a Managing Partner of Sheridan Road, who is responsible for the day to day operations of the company’s retirement plan consulting business and wealth management group. He also maintains all third party mutual fund, insurance and third party administrative relationships. Prior to co-founding Sheridan Road, Mr. O’Shaughnessy worked for AXA Advisors where he built one of the largest asset management businesses focused on middle market corporate retirement plans in the country. Jim holds the Accredited Investment Fiduciary™ (AIF) designation from the Center for Fiduciary Studies and the PRP designation from PLANSPONSOR. He is NASD Series 6, 7, 24, 63 and 65 licensed, as well as, life, health and variable licensed. Jim’s experience in the field of qualified plans has led to his active involvement with several industry advisory boards. Mr. O’Shaughnessy is currently a member of American Funds Advisory Council, JP Morgan’s Retirement Advisory Council and Putnam’s Golden Scale Advisory Council. He is a member of the Center for Fiduciary Studies and the Profit Sharing Council of America. Jim is an advocate for the retirement plan industry, frequently speaks at industry conferences and Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 16 consults on ways to improve the overall health of the U.S. retirement plan system. For his achievements, he was recently recognized by PLANSPONSOR Magazine as a top 5 finalist for PLANSPONSOR Advisor of the Year. Jim received his B.S. in Industrial Management from Purdue University. Salon I DESIGNATIONS FOR RETIREMENT PLAN ADVISORS: An Advisor’s Perspective -Paul D’Aiutolo (Moderator), PRP, AIF, QPFC, VP Investments, PRIME Asset Consulting Group, UBS Financial Services, Inc. -Doug Prince AIFA, CPA, Managing Director, Stifel Nicolaus & Co. -Michael Morris, AIF, CRPS, Director Institutional Consulting, Ross, Sinclaire & Assoc., NRP Member Firm -Monica Garver, CPA, CFP, AIF, Managing Director, PrimeSOLUTIONS Advisors, LLC Paul D’Aiutolo has over 14 years of experience in the qualified plan industry, which includes working as a 401(k) plan administrator (TPA) and as a qualified plan sales consultant in both the Retail and Institutional Investment communities. Throughout his career, Paul has either sold or provided consultation on over 1,000 plans, representing several billion dollars in assets. At UBS, Paul has recently been accepted into the prestigious PRIME Asset Consulting Group and focuses on Fiduciary relationships north of $25 million. As a Pension Consultant, Paul has been a featured speaker at many industry events including Governor King’s (Maine) Conference on Retirement and Aging, S.P.A.R.K. and CFDD conferences. Paul has an Accounting degree from St. John Fisher College and holds NASD series 7, 9, 10, 31, 63, & 65 licenses and NY State Life, Accident and Health Insurance licenses. Doug Prince, Managing Director of Stifel Nicolaus & Company, Inc., has been working with retirement programs since 1990. He currently advises clients throughout Indiana with assets in excess of $1 billion. In the December 2005 issue of PLANSPONSOR Magazine, Doug’s team was named as one of the 30 most successful retirement plan advisory groups in the country. Mr. Prince received his Bachelor of Science in Accounting from Northern Kentucky University. He is a member of the Ohio Society of Certified Public Accountants and the American Institute of Certified Public Accountants. Doug has his Securities licenses (Series 7 and 63) and is a Registered Investment Advisor (Series 65). Doug is also licensed for Life, Health and Variable Annuity products. Mr. Prince is an Accredited Investment Fiduciary Auditor through the Center for Fiduciary Studies and a PLANSPONSOR Retirement Professional. His expertise in employee benefits and retirement savings has made him a frequently requested guest speaker at numerous industry events. Doug is a board member of BehaviorCorp in Indianapolis and a member of the Profit Sharing Council of America’s Research Committee. He has written for and been quoted over 30 times in regional and national publications. Michael E. Morris, Director of the Institutional Consulting Division of RSA and is also an affiliate member of NRP. Michael is responsible for the development and oversight of the institutional consulting business in the retirement plan marketplace for corporate, non-profit and governmental retirement plans. Mr. Morris has extensive experience with over 18 years in the retirement plan and investment consulting marketplace. Michael currently holds the Accredited Investment Fiduciary (AIF®) designation and the Chartered Retirement Plan Specialist (CRPS®) designation. He has written many articles relating to the retirement plan business with both local and industry affiliated publications and is a regular requested guest panelist at many industry conferences such as ASPPA, CFDD, Plan Design Forum and NRP. Michael earned a B.A. from Xavier University and currently holds the National Association of Securities Dealers designations as General Securities Representative (Series 7), Uniform Investment Advisor (Series 65), Managed Futures Fund (Series 31) and the Uniform Securities Agent (Series 63). Monica M. Garver, an Independent RIA at PrimeSOLUTIONS Advisors, LLC, has over 24 years of experience in the accounting, financial planning and investment advisory industries. Her previous positions include Tax Manager at a Big 8 Accounting Firm and a regional Bank Trust Officer. As Monica’s career evolved, she acquired professional designations to enhance and develop her expertise. Ms. Garver is an AIF currently serving as an Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 17 Investment Advisor for Retirement Plans and Pension Committees and has also served as a fiduciary consultant for county and municipal governmental entities. In addition, she provides financial planning and fee only investment advisory services to high net worth individuals. Monica is a past instructor for the College for Financial Planning as well as the Pennsylvania Institute of Public Accounting. Salon F&G E&O INSURANCE & BONDING FOR RETIREMENT ADVISORS: Requirements, Exclusions & Traps For The Unwary - Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting, LLC - Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency - David Benfield, Attorney, Claims Counsel Financial Services D&O Division, Hartford Financial Products, The Hartford Brian C. Hubbell, Principal, is the Founder of Hubbell Consulting. He began his career in the Pension Investment Division of Mutual of New York in 1980. Brian joined the consulting firm of Findley Davies in 1985, where during his 20+ years there, he became a senior Principal of the firm, member of the Board of Directors, and the firm’s Practice Leader for Retirement Consulting. Mr. Hubbell holds the AIF® designation from the Center for Fiduciary Studies, affiliated with the Katz Graduate School of Business, University of Pittsburgh. He has been a guest speaker at national conferences sponsored by the American Society of Pension Professionals & Actuaries, Profit Sharing/401(k) Council of America, Pension and Investment Age, and Center for Due Diligence. Brian is past president of the Charlotte Pension Forum and has been an instructor for the CEBS curriculum. He earned a Bachelor of Science degree from the University of Iowa with a major in Business Administration. Mr. Hubbell has also served as an “expert witness” in litigation on corporate retirement plan matters. Gary B. Sutherland has almost 20 years of insurance experience and founded North American Professional Liability Insurance Agency, LLP (NAPLIA) in 1998. NAPLIA has grown to be one of the leading writers of professional liability insurance specializing in financial professionals. Mr. Sutherland holds the prestigious designation of Certified Insurance Counselor (CIC), an honor attained by only 2% of all insurance brokers. He previously held the position of National Sales Manager for a leading provider of professional liability insurance. Mr. Sutherland’s expertise is well acknowledged and he regularly speaks at national conferences, most recently Fiduciary 360’s conference in San Diego, and for large accounting firms. David Benfield is a claims counsel with the Financial Services D & O unit of Hartford Financial Products in Boston, MA. He joined The Hartford in 1998 and specializes in claims against Registered Investment Advisers and Investment Companies as well as securities claims against large financial institutions. He has also handled a wide range of professional liability and general liability claims, including architects and engineers, lawyer’s malpractice and employment claims. Mr. Benfield graduated from Boston University School of Law and was admitted to the Massachusetts Bar in 1991. He graduated from Emory University Business School in 1986 and passed the CPA exam in 1988. In 1996, he was awarded a Pegasus Scholarship through the American Inns of Court Foundation and interned with civil and criminal barrister chambers in London. He is AV rated by Martindale Hubbell. His prior experience includes litigating numerous commercial matters as well as providing coverage opinions while in private law practice. Mr. Benfield was a founder, executive committee member and former Co-President of the Boston Inns of Court, and is a Vice Chairmen, Professional Officers & Directors Liability Committee, Torts & Insurance Practice Section of the ABA; and Steering Committee Member, Boston Chapter, Professional Liability Underwriting Society. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 18 2:30 – 3:30 p.m. Salon H THE AUTOMATION OF 401(k) PLANS: Evolving Changes Post PPA -Steve Glasgow (Moderator) CFA, CIMA, AIF, PRP, Sr. Institutional Consultant, 1st V.P., Wachovia Securities -Barb Delaney, PRP, AIF, President, FFoA, NRP Member Firm -Mark Gutrich, President & CEO, ePlan Services, Inc. -Lisa Smith, Sr. V.P., Retirement, Fidelity Investments Institutional Steven Glasgow is a First Vice President – Investments, and Senior Institutional Consultant with Wachovia Securities. He works with institutional investors; defined contribution funds, defined benefit plans, endowments, and foundations, as well as servicing the needs of a select group of high net worth individuals. During the past 13 years, Mr. Glasgow has been a consultant to various institutions responsible for more than $2 billion of institutional plan assets. Steven joined Wachovia Securities from Morgan Stanley in June of 2004. Prior to joining Morgan Stanley in 2000, he spent 10 years with PaineWebber, and worked as a member of the PRIME institutional asset consulting team. Steven received his Bachelors degree in finance from Auburn University and an M.B.A. from the Crummer School of Business at Rollins College in Winter Park, Florida. He is a CFA (chartered financial analyst), and a CIMA (Certified Investment Management Analyst) designee. He has received advanced instruction in capital market theory, fixed income and equity analysis and valuation, and asset consulting from the executive education program at the Wharton School of Business at the University of Pennsylvania. He is also a graduate of the Accredited Investment Fiduciary (AIF®) program offered through the Center for Fiduciary Studies – an organization affiliated with the Katz School of Business at the University of Pittsburgh, and also holds the PRP designation (PLANSPONSOR Retirement Professional ) offered through the PLANSPONSOR Institute. Barb Delaney is President and Founder of FFoA. She began her career in 1980 at E.F. Hutton. As a result of her rapid success and intuitive sense of the business, Ms. Delaney was soon promoted to Senior Vice President of the Personal Financial Planning Division. In 1988, Barbara joined The Tribus Companies, one of New Jersey ’s largest employee benefit consulting firms, where she formed their Investment Management Services Division which specialized in the qualified and non-qualified retirement plan arena. When The Tribus Companies was sold to First Union Bank in January 2000, Barbara made the decision to create her own company and formed FFoA as an independent retirement plan consulting firm. Barbara has been a guest speaker at numerous industry conferences and seminars and has authored various articles for industry publications. She holds a B.A. degree in Business Administration and Economics from St. Thomas Aquinas College and has attended New York University’s Stern School of Business for her graduate work. Barbara has earned the PLANSPONSOR Retirement Professional (PRP) designation. Mark Gutrich is a co-founder of ePlan Services, Inc., and currently serves as its President, Chief Executive Officer and Chairman. Before founding the Company, in 1999, Mr. Gutrich owned a private ERISA Consultancy and Investment Advisory firm. He served in various roles within two independent broker-dealers, Shearson Lehman Brothers and Prudential, in Washington and Colorado. Mr. Gutrich is frequently quoted and featured in articles on the subjects of 401k recordkeeping, administration and fee disclosure, including recent articles in US Banker, Investment News, Defined Contribution News & Savings Alert as well as The 401k Wire. ePlan Services has been recognized as one of the fastest growing 401(k) service providers in the country, whose exclusive private-labeled partners include Wachovia Bank, Mutual Service Corp and CompuPay. Lisa M. Smith is a Senior Vice President with Fidelity Investments Institutional Services Company, Inc. Ms. Smith, a 17 year veteran of Fidelity, is responsible for the strategic management of 401(k) sales and service programs designed specifically for the Advisor marketplace. Her responsibilities include new product development, marketing programs and sales support. Lisa has held a number of other leadership roles at Fidelity including heading the New Business Implementation and the Communication and Education group for Fidelity Retirement Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 19 Service Company’s (FIRSCo) Large Corporate Market which provides total benefits outsourcing to Fortune 500 Companies. Salon D&E WHAT’S A ROLLUP? Acquisitions, Franchises & Licensing -Ward Harris (Moderator), Founder & CEO, The McHenry Group/Plan Tools LLC -Vince Giovinazzo, CEO, 401(k) Producer Services (NFP acquisition) -Clark Frese, CPC, AIFA, Principal, Asset Strategy Retirement Consultants (Former Invesmart affiliate) -Robert Francis, Chief Operating Officer, NRP -TBD Advisor (Prospective acquisition or affiliate) Ward Harris is the Founder and Managing Director of The McHenry Group/PlanTools.™ Ward started McHenry following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory and retirement lines of business. His prior service was with Union Bank of California, First Interstate Bank and Dean Witter. In his home town of Seattle, Ward was a partner in a registered investment advisory firm. Vince Giovinazzo is the CEO of 401(k) Advisors and 401(k) Producer Services. He co-founded 401(k) Advisors in 2000 and has since grown the firm to become one of the leading defined contribution consulting organizations to the mid-market in the U.S. today. In 2004, he founded 401(k) Producer Services, an outsource division of 401(k) Advisors dedicated exclusively to providing back-office solutions that grow the profitability of 401(k) consulting firms. Mr. Giovinazzo has over 25 years experience in the employee benefits and financial services fields. Before founding 401(k) Advisors and 401(k) Producer Services, Vince served as the Regional Pension Manager for The Principal Financial Group, where he expanded the business in his Orange County office to become one of the largest 401(k) offices in the U.S. Vince graduated with a B.A. in Philosophy. He is a registered investment advisor and holds his NASD Series 6, 63, 7, and 65, Life & Disability, and Variable Life licenses. Clark Frese is a Certified Pension Consultant (American Society of Pension Professionals and Actuaries), and Accredited Investment Fiduciary Auditor. Cofounder of Alliance Benefit Group as well as his own TPA, Clark sold his firm to Invesmart in 2000. Charles River Retirement Consultants was formed in 2003 to narrow the focus of the practice to investment advisory and pension consulting. The name Charles River Retirement Consultants was changed in July, 2007 to Asset Strategy Retirement Consultants LLC to reflect a joint venture with Asset Strategy Consultants LLC (a Callan investment advisory firm managing $7 Billion) as their Defined Contribution consulting partner. Robert Francis began his career in the retirement services industry after graduating from Eckerd College in 1980 with a B.S. degree in American Studies. He joined Aetna Retirement Services in 1980 as a Pension and Financial Services Account Executive. He was appointed Managing Director of Aetna Capital Management in 1993 and Senior Vice President, National Sales of Aetna Retirement Services in November 1997. Two years later Mr. Francis was promoted to President, Corporate Markets of Aetna Retirement Services responsible for financial management, product development, marketing, sales and client relationship management. He continued in this position after the sale of Aetna Retirement Services to ING. In 2002, Mr. Francis was promoted to President of Institutional Distribution and Client Relationship Management for all of ING’s worksite markets including employee benefits, corporate, government and nonprofit retirement markets. In addition, he assumed overall responsibility for ING Financial Advisors, LLC, a broker/dealer with over 2300 registered representatives. Mr. Francis joined National Retirement Partners in January of 2006 and is currently their Chief Operating Officer. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 20 Salon I BUILDING A TEAM APPROACH TO RETIREMENT PLAN ADVISORY PRACTICES: -James D. Stoker, (Moderator) CIMA, Chief Executive Officer, Water Street Investment Consultants, LLC -Chris Lakumb, CFA, CRSP, VP, Managing Director, Retirement Services, InterOcean Wealth Management -Henry Tebben, CFA, Nat’l Director Business Development, DB, Principal Financial Group -Paul D’Aiutolo, PRP, AIF, QPFC, VP Investments, PRIME Asset Consulting Group, UBS Financial Services, Inc. James D. Stoker, a founder of WaterStreet Investment Consultants, serves as Chief Executive Officer. With more than 26 years of experience, he consults to endowments, foundations, high-net worth individuals, public, and private companies on investment management and policy, fiduciary responsibility, custody, and trust matters. Prior to founding WaterStreet, Mr. Stoker spent 19 years with Smith Barney’s Consulting Group, where most recently he was a Director responsible for evaluating and monitoring investment advisory firms, and providing consulting services to institutional clients. His previous positions include Senior Financial Analyst at Cooper Industries, Senior Financial Analyst and Corporate Cash Manager at DSC Communications (Alcatel), and 2 nd Lieutenant, U.S. Army, FA. Mr. Stoker holds a B.S. and a B.A. from The University of Arkansas and an A.A. from the New Mexico Military Institute. He received his Certified Investment Management Analyst designation from the University of Pennsylvania’s Wharton School of Finance, and he is a CFA Level I Candidate. Chris Lakumb is the Managing Director of Retirement Services for InterOcean Wealth Management. Prior to joining InterOcean, Chris spent nine years in the retirement services industry with Cole Taylor Bank. During those years, he focused on all aspects of the retirement services business including trading/operations, relationship management, business development, investment selection/monitoring, and employee education. His responsibilities also included acting as a member of the Investment Policy Committee and development/maintenance of CTB’s mutual fund working list. Mr. Lakumb holds the Chartered Financial Analyst (CFA) as well as the Certified Retirement Services Professional (CRSP) designations. Chris received his Bachelor of Arts degree in Finance from Lewis University in Romeoville, Illinois. He is a Chartered member of the CFA Society of Chicago where he serves as a volunteer on the Social Advisory Committee. Henry Tebben is the National Director of Business Development for Principal Financial Group, where he is responsible for all national Sales and Channel development for Defined Benefit Plans. Henry has over 26 years experience in the Pension industry. 15 years working as an RIA and consultant and 11 years representing the vendor side. He is a CFA Charter holder, earned his M.B.A. from Emory in Atlanta, GA and is a member of the NASD. [Series 7, 63, 65] Paul D’Aiutolo has over 14 years of experience in the qualified plan industry, which includes working as a 401(k) plan administrator (TPA) and as a qualified plan sales consultant in both the Retail and Institutional Investment communities. Throughout his career, Paul has either sold or provided consultation on over 1,000 plans, representing several billion dollars in assets. At UBS, Paul has recently been accepted into the prestigious PRIME Asset Consulting Group and focuses on Fiduciary relationships north of $25 million. As a Pension Consultant, Paul has been a featured speaker at many industry events including Governor King’s (Maine) Conference on Retirement and Aging, S.P.A.R.K. and CFDD conferences. Paul has an Accounting degree from St. John Fisher College and holds NASD series 7, 9, 10, 31, 63, & 65 licenses and NY State Life, Accident and Health Insurance licenses. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 21 Salon F&G SEARCHING FOR THE DISTINGUISHED: What Determines The RFP Winner -Dorann Cafaro (Moderator), Executive V.P., NRP Member Firm -John Mott (Moderator), AIF, PRP, Sr. V.P., Corporate Client Group Director, Smith Barney -Wayne Boenig, CFA, CFP, AIF, Chief Investment Consultant, PFE Advisors, LLC -Randy Long, Managing Principal, SageView Advisory Group Dorann Cafaro is the President and founding partner of The Cafaro Group LLC which she started in 1981. The Cafaro Group LLC provides retirement consulting services to retirement plan sponsors and their participants. With over 28 years in the financial industry, she is recognized for her unique, unbiased consulting advice. Ms. Cafaro has been a Regional Director of Retirement Services for Prudential Investments, a Corporate V.P. and National Director of Retirement Planning for PaineWebber, and a senior Vice President of Marketing for a leading money management firm. She is an Executive Vice President of National Retirement Partners, a leading national network of independent retirement experts and she was recently identified by PLANSPONSOR magazine as the Retirement Advisor of the Year. Dorann holds a B.S. from Marquette University in mathematics, and is Series 7, 8, 63, 65 and Health and Life licensed. John B. Mott is a Senior Vice President and Corporate Client Group Director with Smith Barney. John was the inaugural winner of the Retirement Plan Advisor of the Year award presented by PLANSPONSOR Magazine. John graduated from Rice University. Wayne Boeing is Chief Investment Consultant for PFE Advisors, LLC d/b/a The PFE Group, a leading financial education and consulting firm serving clients nationwide. Wayne has been in the investment management and consulting field since 1988. Prior to joining PFE, Wayne spent five years as Director of Quantitative Analytics at Loomis, Sayles & Co., LP, a leading investment management firm in Boston, where he also served as client liaison in the firm’s Consultant Relations Department. He also has nine years experience with brokerage/consul ting firms, having served as Director of Manager research for LPL Financial Services and as a Senior Investment Management Analyst for The Smith Barney Consulting Group. He has done extensive research in the areas of performance attribution, risk management, and asset allocation modeling. Wayne has a B.S. in Business Administration and Economics from the University Of Delaware and holds the CFA, CFP and AIF designations. He is a member of the Association for Investment Management and Research and the Boston Security Analysts Society. He has been an instructor in the Boston University Program for Financial Planners since 2004. Randall C. Long is the founder and managing principal of SageView Advisory Group, a consulting firm specializing in services for retirement plan sponsors and personal wealth management. Headquartered in Irvine, California, SageView delivers customized solutions to retirement plan sponsors and participants, as well as personal wealth management services to clients, throughout the United States. Long has worked in the financial services industry for more than 25 years, focusing most of that time in the retirement plans market sector. From 1989 to 2004, Long served as president and founding partner of Benefits Funding Services Group, an Irvine, California based financial services advisory firm, where he was responsible for managing more than $750 million in retirement assets for clients. Randall earned his Bachelor of Science degree in business administration from San Diego State University. He is an active member in numerous business and professional organizations, including the American Society of Pension Actuaries and the National Association of Insurance and Financial Advisors. Mr. Long is an Accredited Investment Fiduciary (AIF), PLANSPONSOR Retirement Professional (PRP) and a Chartered Financial Analyst (CFA) candidate. He is a Registered Investment Advisor and holds his California Life and Disability licenses, along with NASD Series 7 and 24 securities licenses. He serves as a Regional Director of Financial Network Investment Corporation. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 22 3:45 – 4:45 p.m. Salon D&E How Providers Can Work With RIAs -Cheri Moeder, Director Corporate Communications, CPI Qualified Plan Consultants, Inc. Cheri Moeder’s experience spans more than 25 years in the retirement plan industry. Although her tenure with CPI Qualified Plan Consultants, Inc. began with plan documents and administration, her focus has been on sales and marketing since the mid-90s. As Regional Manager, she provided consulting services to plan sponsors and their financial advisors to design the appropriate retirement plan solution. That experience lead to an internal position as Director – Strategic Alliance Relationships, acting as liaison between CPI and the mutual fund companies on its platform. She currently enjoys the position of Director – Corporate Communications, working on local, regional, and national marketing campaigns and materials, along with advertising and press releases. Cheri also provides technical research to CPI’s sales staff, both internal and external. Salon I NEGOTIATING ON BEHALF OF CLIENTS DURING THE RFP PROCESS: How To Demonstrate Value & Differentiate From Other Advisors -Nick Della Vedova, RIA, President, 401(k) Advisors -Chip Hardy, AIF, PPC, PrimeTRUST Advisors Nick Della Vedova joined the 401(k) Advisors’ executive management team in spring 2004 and is responsible for driving the firm’s growth and development in the mid-size 401(k) plan consulting marketplace. He is also responsible for the creation and execution of 401(k) Producer Services, the proven Retirement Plan Advisory System dedicated to helping advisors grow their retirement business. Nick has more than a decade of experience in the qualified retirement plan industry and has served in various capacities, most recently Regional Vice President for one of the largest Retirement Plan Service Providers in the nation. He has spoken at various industry conferences and is continually asked to share his mid market experience on various panels. Nick graduated with a B.S. in Finance. He is a registered investment advisor and holds his NASD Series 6, 64, 7 and 65, Life, Disability and variable insurance licenses. Chip Hardy has been in the financial services industry for over 18 years, with his time equally divided between having been a commercial banking relationship manager and a consultant to ERISA plans and various institutional trust services. Mr. Hardy has been a division sales leader, sales manager, and mentor to other consultants. He has experience with a super regional bank trust operation as well as a small TPA/RIA firm. Having learned two very different approaches, and still feeling restricted in what he could offer his clients, Chip wanted the freedom and complete independence to bring the “best of the best” to his clients. It is the culmination of these experiences that led to the formation of PrimeTRUST Advisors in 2006. Chip is from Columbia, SC and graduated from Hampden- Sydney College with a degree in Management Economics. He has given back to his community through leadership involvement with Rotary International, the National Kidney Foundation of SC, and the Columbia Museum of Art. Salon F&G A REQUIREMENT FOR CREDIBILITY & MARKETING, BUT NOT SUCCESS: Polling Reveals How Advisors View Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 23 Retirement Plan Designations & How To Improve Them -Sharon Pivirotto, AIF, PPC, V.P., Financial Service Standards, LLC -Donald Settina, CFP, AIFA, PPC, President, Financial Service Standards, LLC Sharon Pivirotto is the Vice-President and founding partner of Financial Service Standards LLC. Sharon has more than twelve years of financial industry experience. Formerly licensed as a securities and insurance professional, she managed an investment office for a national firm for almost seven years before starting her own company in 2002. In 2005, she teamed up with Don Settina to develop, formalize and teach the 401k Service Training Program™ to industry service professionals [the Professional Plan Consultant™ (PPC™) designation program]. Sharon is a proud veteran of the U.S. Army (active duty) and has served in various civic and charitable leadership roles including serving as the President of the Oakmont, PA Rotary club, and Vice-President of the Oakmont Chamber of Commerce. Don Settina is the co-founder and President of Financial Service Standards, LLC (FSS). Don is an industry veteran with more than twenty-five years of experience in the financial planning arena and retirement plan market. He is the Principal of a top-producing financial planning practice in the South Hills of Pittsburgh. Don is co-author of The 401k Service Solution Handbook for Plan Sponsors and Fiduciaries and teaches The 401k Service Training Program™ at Robert Morris University in Pittsburgh. Salon H CASH BALANCE PLANS: A Post PPA Opportunity -Tom Bruns, Divisional V.P., John Hancock Retirement Plan Services Thomas V. Bruns is a Divisional Vice President for John Hancock Group Pensions. Responsible for the Western Division, Tom manages over one hundred talented individuals that specialize in sales, sales support, enrollment, education and customer relationships. He joined Manulife – John Hancock in September of 2003, after many enjoyable years at Kemper and the successor company, Scudder. Tom was the President of Retirement Plans at Kemper and later became the President of Scudder’s distribution company, Scudder Distributors, Inc. With over 22 years of experience in the retirement plan and investment markets, he also worked for Metropolitan Life and Aetna prior to joining Kemper. Tom received his Bachelor’s of Science in Biochemistry from the University of Illinois and his Masters of Management in Finance and Marketing from Northwestern Kellogg Graduate School of Management. 4:45 – 6:00 p.m. Conference Center/Plaza Cocktail Party Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 24 Tuesday, October 2, 2007 7:00 – 8:00 a.m. Conference Center/Plaza Breakfast 8:15 – 9:15 a.m. Salon D&E How Sponsors Should Evaluate Retirement Plan Advisors -Jon Upham (Moderator), Managing Director, Advisory Services, SageView Advisory Group -Robert Pruim, V.P., Human Resources, FinishMaster (Plan Sponsor) -TBD Plan Sponsor -Marcia S. Wagner, Esq., President, The Wagner Law Group -David Wray, President, Profit Sharing/401(k) Council of America Jon Upham serves as Managing Director, Advisory Services for SageView Advisory Group working with clients on designing, implementing and managing their retirement plan needs, including assisting with ERISA fiduciary responsibilities and employee education and communication. His extensive experience with qualified retirement plans for companies in different industries has allowed him to provide clients with the appropriate oversight and guidance that is needed for their plans. Upham has assisted in the design and implementation of SageView’s proprietary investment program. Additionally, he is instrumental in guiding clients to build goals and objectives for their plans, integrating customized education programs. Jon has worked in the financial services field for over ten years. Before joining SageView, he worked for an institutional securities trading firm in San Diego, California. Upham earned a B.A. from University of Redlands and a M.A. from Concordia University. He is an Accredited Investment Fiduciary (AIF), holds his Series 7 and 63 licenses and is currently completing coursework towards attaining the designation of Chartered Financial Analyst (CFA). Robert J. (“Bob”) Pruim serves as Vice President, Human Resources of FinishMaster, the leading independent distributor of automotive coatings and associated products in the United States. A publicly traded company, FinishMaster’s majority shareholder is LDI, Ltd., a privately held holding company that concentrates on firms in the distribution industry. LDI also owns Ed Tucker Distributing (doing business as Tucker Rocky), a distributor of apparel and accessories for the power sports industry. In addition to managing the Employee Benefits for FinishMaster’s 1,500 employees, Bob also provides benefit administration and benefit consulting services to LDI and Tucker Rocky, including 401 (k) plan administration and consulting. He earned a Bachelor of Science degree with emphasis in Personnel and Labor Relations from Grand Valley State University in 1977. Marcia S. Wagner is a specialist in pension and employee benefits law, and is the principal of The Wagner Law Group, A Professional Corporation, in Boston, Massachusetts, which she founded approximately 11 years ago. A summa cum laude and Phi Beta Kappa graduate of Cornell University and a graduate of Harvard Law School, she has practiced in Boston for over nineteen years. Ms. Wagner is recognized as an expert in a variety of employee benefits issues and executive compensation matters, including qualified and non-qualified retirement plans, “rabbi” Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 25 trusts, all forms of deferred compensation, and welfare benefit arrangements. She is a member of the Employee Benefits Committee of the American Bar Association, Taxation Section, and a member of the Pension Liaison Committee for the IRS Key District Office in Brooklyn, New York. Ms. Wagner is a frequent lecturer and author in the ERISA/employee benefits area and has authored a Bureau of National Affairs Tax Management Portfolio, entitled “Plan Disqualification and ERISA Litigation”, for which she has received the BNA 1994 Distinguished Author Commendation, and has also authored several other books and articles. Ms. Wagner has been listed as a “Massachusetts Super Lawyer” by Boston Magazine, Who’s Who Among Executive and Professional Women – Honors Edition by both Empire Who’s Who and Manchester’s Who’s Who, and has been selected to be listed in The Best Lawyers in America for 2003 through 2006, and has an AV peer review rating, as very high to preeminent legal ability and integrity, by LexisNexis Martindale-Hubbell. David L. Wray is the president of the Profit Sharing/401(k) Council of America (PSCA), a national, non-profit association of companies that sponsors profit sharing and 401(k) plans for over 5 million employees. Mr. Wray is a nationally recognized authority on 401(k) and other defined-contribution plan issues and he has testified before congressional committees and at Labor Department, Treasury Department, and Internal Revenue Service hearings. He was the 2004 Chair of the Department of Labor’s ERISA Advisory Council, which advises the Secretary of Labor on benefits issues, and was a member of the Certified Financial Planner Board of Standards Advisory Board. He is a member of the John Marshall Law School Center for Tax Law and Employee Benefits Advisory Board. David frequently speaks before trade groups, contributes to benefits publications and is quoted frequently in the media. He wrote “Take Control With Your 401(k)” which was published by Dearborn Trade in June 2002. Salon H The Modern Investment Management Process: Asset Allocation to Fund Selection -Thomas Idzorek, CFA, V.P., Director of Research & Product Development, Ibbotson Associates Tom Idzorek is Vice President in charge of research and product development for Ibbotson Associates, a registered investment advisor and wholly owned subsidiary of Morningstar, Inc. He manages a team of Ph.D. professionals responsible for Ibbotson’s research agenda and new product development, and serves on the firm’s Investment Policy Committee. Idzorek has expertise in strategic asset allocation, tactical (dynamic) asset allocation, asset allocation implementation, fund-of-funds optimization, risk budgeting, returns-based style analysis, and performance analysis. Prior to joining Ibbotson Associates, he was the senior quantitative researcher of Zephyr Associates, where he developed and researched financial models and techniques for inclusion in the company’s analytical software. Some of his many successes while at Zephyr include the co-development of the “Style Drift Score,” published in the Journal of Portfolio Management, the implementation of the Black-Litterman model, the application of returns-based style analysis to hedge funds, and the development of a methodology for creating fixed income universes. Idzorek received his bachelor’s degree in marketing from Arizona State University, his master’s degree in business administration from Thunderbird School of Global Management and the Chartered Financial Analyst designation from the CFA Institute. Salon F&G Managing & Motivating Your Staff -Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business Specialist, Principal, Epstein Financial Group, Co-Founder, The 401k Coach Program -Lynne Peluso, Executive Office Manager, Epstein Financial Group & Benefits Consulting Group, LLC Charles D. Epstein has over twenty five years of experience in the financial services industry. He is a founding partner of Benefits Consulting Group, LLC (a top-producing regional TPA) and the principal of Epstein Financial Services. These companies specialize in retirement plan design and administration, executive compensation Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 26 planning, retirement planning, fee for service financial planning and business and estate preservation programs. Charlie is a founding Coach of The 401k Coach® Program – a program that assists practitioners to focus on developing, nurturing and building a retirement plan business. The 401k Coach® Program is built around Charlie’s success in the retirement plan industry both in creating exceptional client relationships, strategic alliances and developing unique systematized processes to deliver a unique experience. Since inception four and a half years ago, over 400 Advisors have participated in The 401k Coach® Program. Charlie was named to the Investment Wire’s “2007 Fifty Most Influential People in the 401 (k) Industry” list. Lynne Peluso is the Executive Office Manager of Epstein Financial Group, a RIA firm, and the Benefits Consulting Group, LLC, a non-producing TPA firm. These companies specialize in retirement plan design and administration, executive compensation planning, retirement planning, fee for service financial planning and business and estate preservation programs. Lynne also manages The 401k Coach® Program, a program that assists practitioners to focus on developing, nurturing and building a retirement plan business. She has been instrumental in creating client relationships, strategic alliances and systematized processes, which contributed to the exponential growth and progress the companies have experienced over the past eight years. Lynne holds a Degree in Marketing from Southeastern Massachusetts University. Her prior experience includes positions in the financial services industry with Phoenix Home Life and MML Investor Services. Lynne partnered with Charlie Epstein in 1999 as an administrative assistant, but quickly shifted her focus toward strategic planning and management as the Epstein Financial Group grew. She is NASD Series 6 & 63 licensed. Salon I The ERISA Budget -Tom Pittman (Moderator), Chief Marketing Officer, The Newport Group -Jason Chepenik, CFP, RFC, AIF, Managing Director, Partner, Chepenik Financial -Andrew DeGroat, AIF, Principal, Wharton Advisors -Samuel T. Brkich, J.D., V.P. & Chief Counsel, The Newport Group Thomas B. Pittman, Chief Marketing Officer, leads the sales and marketing of Newport's qualified retirement plans, non-qualified deferred compensation and independent investment advisory services. His responsibilities include oversight of the firm's Regional Directors, and coordination with its team of Managing Directors. Tom is also responsible for all client and business development at Newport, and is charged with creating and launching initiatives to accelerate and expand growth in all lines of businesses. Tom's experience in the financial services industry includes building and leading successful sales organizations; establishing strategic alliance relationships; and integrating acquired business into existing organizations. Most recently, he was head of sales for ADP's retirement services business. Prior to ADP, Tom was a retirement plan manager and financial consultant with Merrill Lynch. He earned his bachelor's degree in business administration from Baylor University. Tom also holds his Series 7 and 63 registrations with the NASD and has a Chartered Retirement Plans Specialist designation from the College for Financial Planning. Jason K. Chepenik is Managing Director and Partner of Chepenik Financial, a 35 year old employee benefit and wealth management firm. Jason's primary responsibilities revolve around the corporate retirement space, with a focus on both plan design and investment consulting. The history of the firm and its broad range of services have allowed the practice to excel in the qualified plan arena, now representing close to $1 billion in combined assets, including several public companies, and providing services to more than 25,000 employees. Jason is a Certified Financial Planner Practitioner and has obtained the Accredited Investment Fiduciary (AIF) designation offered by the Center for Fiduciary Studies. Prior to joining Chepenik Financial, he was an Investment Executive with Legg Mason in both the Orlando and New Orleans offices. Jason graduated from Tulane University in New Orleans with a BSM (Finance). In addition to his responsibilities at the firm, he is also a regular correspondent for the Orlando NBC affiliate (WESH TV). As the station's Financial Advisor, he has shared his thoughts and comments with numerous local and national media outlets. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 27 Andrew J. DeGroat is the Co-Founder and President of Wharton Advisors, a retirement plan consulting, investment advisory and administration firm. Wharton Advisors has been a National Financial Partners firm since 2002 and serves more than 150 clients in the “middle market” with over $1.5 billion of plan assets under advisement. Mr. DeGroat has provided retirement plan consulting services to clients on an independent basis for over 15 years. He is a recognized expert on the topic of fee disclosures in retirement plans and developed several proprietary tools that help plan trustees and fiduciaries determine “fair value” for retirement plan services. Andrew received a B.A. from Franklin & Marshall College. In addition to life and health licenses, he has held a general securities license (Series 6 & 7) since 1989. He has also obtained licensure for Series 24 (General Principal), and Series 65 (Registered Investment Advisor). Sam Brkich, as Vice President and Chief Counsel for The Newport Group, consults with clients on the plan design and administration of executive compensation arrangements. He works closely with case development specialists and other Newport associates on the ERISA and tax-related aspects of the design and administration of executive compensation plans. Sam also serves as ERISA and tax counsel for Newport’s qualified retirement plans business, and as ERISA fiduciary counsel to Newport Group Securities, Inc., Newport’s broker-dealer and registered investment advisor. He has over 17 years of experience in employee benefits and executive compensation, representing clients in investment matters, focusing on institutional plan sponsors and pension funds, and assisting clients in developing products for pension fund investors. Sam is also a frequent and popular industry speaker on topics such as deferred compensation and legislative issues. Before joining Newport, he was a partner at the law firms of Katten Muchin Zavis Rosenman and McGuireWoods. Sam earned his undergraduate degree from the University of Wisconsin and his J.D. from the University of Wisconsin Law School. 9:30 – 10:30 a.m. Salon D&E PAYOFF FOR THE FIRM: Compensation Planning -Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) Rebecca H. Pomering is a principal in Moss Adams LLP, specializing in practice management consulting to the financial advisory industry. Since joining Moss Adams in 1997, Ms. Pomering has provided consulting services to financial advisory firms, broker-dealers, CPA firms and independent trust companies on business management and business transition issues. She is a certified Senior Professional of Human Resources and the head of Moss Adams’ compensation consulting practice as well as a key member of the Moss Adams Securities & Insurance Niche consulting team. Her work in this industry is focused on strategic planning and consulting on issues related to compensation, practice management, organizational effectiveness, partner admission and succession planning. Rebecca is a past member of the Financial Planning Association’s national board of directors. She participates in more than a dozen annual industry research and benchmark projects on compensation and operating performance, including the annual Moss Adams advisor studies as well as studies for NAPFA, MDRT, Schwab Institutional, BAM and the Financial Services Institute. Ms. Pomering has been engaged as a speaker on financial services topics for numerous organizations in the industry. She writes a regular column for Financial Advisor and has authored numerous articles published in other industry publications. She is a co-author of Practice Made Perfect, published by Bloomberg Press. Rebecca received a B.S. in Finance and Accounting from the University of Illinois, graduating magna cum laude. Salon H INVESTMENT RESULTS DON’T COME IN A BOX: A Fund Company’s Perspective Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 28 -Steve Caruthers, V.P., Capital Research & Management Company (American Funds Institutional Group) Steve Caruthers currently serves as a vice president and investment relationship manager in the American Funds Institutional Group. Prior to joining Capital Research and Management Company in 2005, he was a vice president and investment adviser at JPMorgan where he served as the primary investment contact for institutional retirement plan clients. Steve has over ten years experience in the investment and retirement plan business and holds the Chartered Financial Analyst designation. He received his bachelor's degree from the University of Kansas and his M.B.A. from the University of Missouri-Kansas City. He is a member of the CFA Society of Los Angeles. Salon I REPORTING SERVICES: What Services Advisors Are Using & How They Integrate The Process -Doug Prince (Moderator), AIFA, CPA, Managing Director, Stifel Nicolaus & Co. -Mark Metz, Managing Director, Business Development, PlanTools, LLC -Andy Frommeyer, AIF, Director, Product Development & Management Fiduciary Analytics -John Faustino, V.P., Desktop Software, Morningstar, Inc. Doug Prince, Managing Director of Stifel Nicolaus & Company, Inc., has been working with retirement programs since 1990. He currently advises clients throughout Indiana with assets in excess of $1 billion. In the December 2005 issue of PLANSPONSOR Magazine, Doug’s team was named as one of the 30 most successful retirement plan advisory groups in the country. Mr. Prince received his Bachelor of Science in Accounting from Northern Kentucky University. He is a member of the Ohio Society of Certified Public Accountants and the American Institute of Certified Public Accountants. Doug has his Securities licenses (Series 7 and 63) and is a Registered Investment Advisor (Series 65). Doug is also licensed for Life, Health and Variable Annuity products. Mr. Prince is an Accredited Investment Fiduciary Auditor through the Center for Fiduciary Studies and a PLANSPONSOR Retirement Professional. His expertise in employee benefits and retirement savings has made him a frequently requested guest speaker at numerous industry events. Doug is a board member of BehaviorCorp in Indianapolis and a member of the Profit Sharing Council of America’s Research Committee. He has written for and been quoted over 30 times in regional and national publications. Mark Metz is the managing director of PlanTools, LLC and The McHenry Group. He leads the sales effort for the PlanTools™ Risk Management System. Prior to joining PlanTools™ in 2006, Mark managed all sales and marketing activities of the Retirement Plan Services group of ABN AMRO Asset Management. His responsibilities included management and direction of sales staff, building distribution, product development, oversight of marketing activities and pricing. Mark entered the retirement plan industry in 1979 with a major insurance company where he last served as Midwest regional pension manager with sales, marketing and client service responsibility for a ten state territory. He joined ABN AMRO Asset Management in 1995. Mark has worked extensively with a diverse clientele including small entrepreneurial companies, labor unions and large corporations. Having worked closely with advisors throughout his career, Mark has developed a thorough understanding of the role of the advisor with retirement plan clients. Andy Frommeyer is the Director of Product Development and Management with Fiduciary360. In this role, he oversees Fiduciary Analytics, considered by many to be a leading, global resource for analytical, reporting, and consulting services. Andy is responsible for research, development, design, marketing and pricing, and operations and administration of Fiduciary Analytics’ products and services. He helped to develop the Fiduciary Score™ and the Fund Family Fiduciary Rankings™ as well as other proprietary Fiduciary360 innovations that have become industry standards. Andy has been with Fiduciary360 since its inception, helping to build it from a start-up operation to one of the most prominent training and technology providers in the industry. Prior to joining Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 29 Fiduciary360, Andy worked in the actuarial division of a global consulting firm. He received a Bachelor of Science degree in Mathematics from Pennsylvania State University and has completed the M.B.A. Essentials program at the Joseph M. Katz Graduate School of Business, Center for Executive Education at the University of Pittsburgh. In addition, he has earned the Accredited Investment Fiduciary® designation and holds the NASD Series 65 license. John Faustino is Vice President, Desktop Software for Morningstar, Inc.’s Advisor business where he oversees the Principia® and Portfolio Strategist® product lines. His prior work experience includes operational and administrative responsibilities for over $1B in retirement plan assets at Brinson Partners and serving as an Officer on Fort Dearborn Income Securities, a Closed-End Bond Fund. John holds a B.S. in Finance from the University of Illinois, a M.Sc. in Decision Sciences from the London School of Economics, and a M.B.A. with concentration in Analytic Finance from the University of Chicago. Salon F&G GROW YOUR BUSINESS: A View From The Trenches -Vince Giovinazzo, CEO, 401(k) Producer Services Vince Giovinazzo is the CEO of 401(k) Advisors and 401(k) Producer Services. He co-founded 401(k) Advisors in 2000 and has since grown the firm to become one of the leading defined contribution consulting organizations to the mid-market in the U.S. today. In 2004, he founded 401(k) Producer Services, an outsource division of 401(k) Advisors dedicated exclusively to providing back-office solutions that grow the profitability of 401(k) consulting firms. Mr. Giovinazzo has over 25 years experience in the employee benefits and financial services fields. Before founding 401(k) Advisors and 401(k) Producer Services, Vince served as the Regional Pension Manager for The Principal Financial Group, where he expanded the business in his Orange County office to become one of the largest 401(k) offices in the U.S. Vince graduated with a B.A. in Philosophy. He is a registered investment advisor and holds his NASD Series 6, 63, 7, and 65, Life & Disability, and Variable Life licenses. 10:45 – 11:45 a.m. Salon F&G Evaluating & Benchmarking Target Date Funds -Steve Ferber (Moderator), EVP, Collective Fund Services, AST Trust Company -Dan Esch, Managing Director, Defined Contribution Advisors, Inc. -Matt Smith, Managing Director, Retirement Services, Russell Investment Group -John Sturiale, CFP, AIF, Field VP, Retirement Investment Services, Portfolio Manager, Schwab Managed Retirement Trust Funds, Schwab Corporate & Retirement Services, Inc. -Joseph C. Nagengast, CEBS, Founder, Turnstone Advisory Group, LLC Steve Ferber is responsible for AST Capital Trust Company’s Collective Fund product division. Steve’s focus is to deliver highly respected asset managers at attractive prices to retirement plan providers, advisors and plan sponsors. Steve brings over 20 years of retirement, institutional asset management and benefits experience to this division. He has particular expertise in assisting asset managers in building and leveraging distribution channels and plan sponsors in improving the value and flexibility of their retirement plans. Before joining AST, Steve was Senior Vice President of sales, marketing and client service for Gartmore Morley Financial (GMF), a $13 billion institutional asset management firm. The 20 year-old firm grew by approximately $5 billion during Steve's three and a half-year tenure as head of sales. Steve has a Bachelor‘s degree in Economics from UCLA. He is a regular industry speaker on various retirement subjects. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 30 Daniel J. Esch has over 25 years of experience in retirement plans and has provided consulting and fiduciary advisory services to over 300 major corporations in the areas of plan design, investment consulting, record keeping administration and employee communications. He has extensive experience in the management and operation of retirement plans including advising and assisting plan fiduciaries in their fiduciary responsibilities involving qualified plan issues. Dan serves as Managing Director of Defined Contribution Advisors, Inc. Prior to founding the firm, Dan was Vice President and a member of the Board of Directors for Wyatt Asset Services, Inc. He was also a member of Wyatt's National Defined Contribution Practice Committee and a key contributor to a number of strategic initiatives for the firm. Matt Smith is Managing Director of retirement services for Russell Investment Group. He is responsible for DC research and strategic development of Russell's defined contribution investment management business in the U.S. In his previous assignment, Matt was responsible for the strategic development of Russell's mutual fund distribution business for qualified retirement plans in the U.S. markets. He joined Russell in 2001. Matt's career in the DC business began in 1983 and has included positions with FBD Consulting, Buck Consulting and ADP Retirement Services prior to joining Russell. John Sturiale is Director of the Retirement Investment Services Group at Charles Schwab Corporate Services. He is also the Portfolio Manager and architect of the Schwab Management Retirement Trust Funds®. He developed the SCR Ratio, a measure used by industry advisors to analyze the frequency and magnitude of mutual funds’ out performance versus a benchmark. Mr. Sturiale also invented the Portfolio Diversification Measure, used to assist plan sponsors in scoring their defined contribution investment lineups. He has more than 19 years of investment experience in the institutional investment setting, previously spending three years as a team leader and senior portfolio manager with National City Bank and seven years as an investment analyst and senior portfolio manager with Goodyear Tire & Rubber Co. Mr. Sturiale is a member of the CFA Institute and the Financial Planning Association. He earned a bachelor’s degree in finance from the University of Akron and an M.B.A. from Ashland University. Mr. Sturiale is a certified financial planner and has earned the AIF designation from the Center for Fiduciary Studies-University of Pittsburgh. Joseph C. Nagengast founded Turnstone Advisory Group LLC to bring the best principles, strategies and efficiencies of institutional investing to a broader group of investors. For over twenty years he has consulted clients on issues of institutional investing, fiduciary compliance, and retirement plans and policies. He is a Certified Employee Benefits Specialist, a past president of the Los Angeles Chapter of ISCEBS, a founding member of the Southern California Chapter of Investment Management Consultants Association, and a member of the Western Pension & Benefits Conference. He is widely quoted in investment publications and is a regular speaker and writer on topics related to retirement plans and institutional investments. Mr. Nagengast has a B.A. in linguistics from the University of California at Santa Cruz. He directs and co-authors, “Popping the Hood,” a recurring and comprehensive analysis of target date fund families, which is a joint venture with, and published by PLANSPONSOR Magazine. Salon D&E Building A Business With Transferable Equity -Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) Rebecca H. Pomering is a principal in Moss Adams LLP, specializing in practice management consulting to the financial advisory industry. Since joining Moss Adams in 1997, Ms. Pomering has provided consulting services to financial advisory firms, broker-dealers, CPA firms and independent trust companies on business management and business transition issues. She is a certified Senior Professional of Human Resources and the head of Moss Adams’ compensation consulting practice as well as a key member of the Moss Adams Securities & Insurance Niche consulting team. Her work in this industry is focused on strategic planning and consulting on issues related to Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 31 compensation, practice management, organizational effectiveness, partner admission and succession planning. Rebecca is a past member of the Financial Planning Association’s national board of directors. She participates in more than a dozen annual industry research and benchmark projects on compensation and operating performance, including the annual Moss Adams advisor studies as well as studies for NAPFA, MDRT, Schwab Institutional, BAM and the Financial Services Institute. Ms. Pomering has been engaged as a speaker on financial services topics for numerous organizations in the industry. She writes a regular column for Financial Advisor and has authored numerous articles published in other industry publications. She is a co-author of Practice Made Perfect, published by Bloomberg Press. Rebecca received a B.S. in Finance and Accounting from the University of Illinois, graduating magna cum laude. Salon H Developing Strategic Alliances & Partnerships With Other Professionals -Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business Specialist, Principal, Epstein Financial Group, Co-Founder, The 401k Coach Program Charles D. Epstein has over twenty five years of experience in the financial services industry. He is a founding partner of Benefits Consulting Group, LLC (a top-producing regional TPA) and the principal of Epstein Financial Services. These companies specialize in retirement plan design and administration, executive compensation planning, retirement planning, fee for service financial planning and business and estate preservation programs. Charlie is a founding Coach of The 401k Coach® Program – a program that assists practitioners to focus on developing, nurturing and building a retirement plan business. The 401k Coach® Program is built around Charlie’s success in the retirement plan industry both in creating exceptional client relationships, strategic alliances and developing unique systematized processes to deliver a unique experience. Since inception four and a half years ago, over 400 Advisors have participated in The 401k Coach® Program. Charlie was named to the Investment Wire’s “2007 Fifty Most Influential People in the 401 (k) Industry” list. Salon I THE ETHICS OF REVENUE SHARING & DISCLOSURE: A Model For Professionals -Pete Swisher, CFP, QPA, VP Of Advisor Services, Unified Trust Company, NA -Al Otto, AIFA, EVP, White Horse Advisors, LLC Pete Swisher is a pension consultant and head of institutional sales for Unified Trust in Lexington, Kentucky. A graduate of the University of Virginia and a former U.S. Marine, Pete has spoken nationally on qualified plans and fiduciary risk management for groups that include ASPPA, the Financial Planning Association (FPA), and the National Institute of Pension Administrators (NIPA). 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 an active member of the Financial Planning Association and American Society of Pension Professionals and Actuaries. Al Otto is the Co-Founder and Executive Vice President of White Horse Advisors. He leads the Retirement Plan Solutions Team, which provides guidance, oversight and risk management solutions for institutional fiduciaries. With over 25 years of experience, Al is a nationally recognized leader in the retirement industry. He is a frequent speaker and author on retirement plan issues and has developed extensive expertise on the topic of fee disclosure. Al earned his Bachelor of Science in Mechanical Engineering from Virginia Tech and was a President’s Fellow at Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 32 Georgia Tech. He earned the Accredited Investment Fiduciary Analyst® designation in 2006, and is an Associated Professional Member of ASPPA. 12:00 – 1:00 p.m. Conference Center/Plaza Lunch 1:15 – 2:15 p.m. Salon D&E FROM THE TRENCHES TO THE BOARDROOM: A Seismic Shift In The Advisor’s Role -Jamie Worrell (Moderator), AIF, PRP, J.D., President, GPS Investment Advisors -Thomas Scalici, CFP, CEBS, AIF, Managing Director, Cornerstone Advisors Asset Management, Inc -Lisa Kottler, QKA, AIF, V.P., Retirement Services, NFP Jamie Worrell is an Investment Advisor Representative, Registered Representative and President of GPS Investment Advisors. Mr. Worrell has over 15 years of experience working with both public and private companies and all aspects of their Retirement Plans. He has spoken before the American Bar Association, Boston Bar Association, R.I. Bar Association and R.I. Society of CPA’s. Jamie has been quoted in various local newspapers as well as in PLANSPONSOR Magazine and Plan Advisor Magazine. Prior to founding GPS he was Director of the Retirement Plan Consulting Group for Financial Architects Partners and also spent seven years with a Boston-based mutual fund company. He has a B.A. from Connecticut College and a law degree, cum laude, from Suffolk University. Jamie earned the AIF designation from the Center for Fiduciary Studies and the PRP designation from the PLANSPONSOR Institute. Jamie is fluent in Spanish. He is a board member and finance committee member of Blithewold and of The Providence Children’s Museum and is on the investment committee of Neighborhood Health Plan of Rhode Island. Thomas Scalici is a co-founder and Managing Director of Cornerstone Advisors Asset Management, Inc., a Registered Investment Advisory firm in Pennsylvania and a subsidiary of Harleysville National Bank. Mr. Scalici specializes in providing investment consulting services to organizations with a fiduciary responsibility for the assets under their care. Cornerstone is an advisor for approximately $2.3 billion of assets, with the majority of them in the retirement plan market. Tom has 21 years experience working with all forms of retirement plans including 401(k), 403(b) and Defined Benefit Plans. In his career, he has had extensive experience in virtually every aspect of retirement planning ranging from providing investment advice to individuals to acting as a fiduciary and an investment manager under ERISA 3(38) for his clients. Tom holds the CEBS, CFP and AIF designations as well as the Series 7, 24, 63, & 65 and securities licenses. Lisa G. Kottler is the Vice President of Retirement Services for National Financial Partners, a leading independent broker-dealer that manages $30 billion in retirement plan assets. Ms. Kotler’s primary focus is to help NFP retirement plan advisors deliver comprehensive consulting services to plan sponsors, while enhancing the revenue and profitability of the advisors’ business. Lisa has in excess of 15 years in the retirement plan business. Immediately prior to NFP, she served as the Vice President of Marketing and Sales for a regional TPA, where she was responsible for expanding their 401k, DB, and cafeteria plan business. Lisa held sales roles for other industry Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 33 leaders such as The 401k Company, CIGNA and CitiStreet. She holds the Accredited Investment Fiduciary (AIF) designation, the Qualified 401k Administrator (QKA) designation, NASD Series 24, 7, 63 and 65 licenses and the Life & Health and Variable Annuities license Salon H MANAGED ACCOUNTS & THE NEW TARGET 401(k) PLAN: Helping People Retire With Economic Security -Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group -Dr. Frank Sortino, Founder & Chairman, Sortino Investment Management, LLC -Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC Rhonda Evans is Managing Director of Research for the McHenry Group/PlanTools™. At McHenry, Rhonda is responsible for conducting financial analyses, industry assessments, and research on the latest trends in the investment-based benefits marketplace. Her research skills were honed in both academia and the private sector. She received a Ph.D. from the University of California, Berkeley. Rhonda also co-founded a successful research firm specializing in employment and work processes research. Frank Sortino is finance professor emeritus from San Francisco State University and Director of the Pension Research Institute. which he founded in 1981. For 10 years, he wrote a quarterly analysis of mutual funds for Pensions and Investments Magazine and he co-authored a book on “Managing Downside Risk in Financial Markets” with Professor Stephen Satchell at Cambridge University. Dr. Sortino serves on the Advisory Board of The Foundation For Fiduciary Studies. He recently founded an affiliate of PRI with a number of close associates for the purpose of bringing the benefits of PRI’s research findings to DC plans and high net worth investors. The affiliate is Sortino Investment Management (SIM) where he serves as Chairman and CIO. SIM is a sub-advisor to Fiserv Trust on five collective investment funds for DC plans. Fiserv Trust is a division of Fiserv Inc., a Fortune 500 company, and provides custodial services to over 300,000 accounts valued at over $45 Billion. Frank received his B.S. in business from USC, an M.B.A. from U.C. Berkeley, and a Ph.D. in Finance from The University of Oregon. He has published many articles on the application of downside risk and has been a speaker at many conferences. in the U.S., Europe, South Africa, and the Pacific Basin. Mark Kordonsky is a Principal in the Los Angeles office of the SageView Advisory Group. Mark is considered an expert on both domestic and international compensation and benefits. He leads both the Domestic and International Investment Services Practices in Los Angeles, with an emphasis on the development of strategic benefit outsourcing solutions. Mark speaks frequently on finance and investment strategies for employee benefit plans worldwide. He co-authored an article in the Journal of Corporate Finance on the volatility of pension expense under the Statement of Financial Accounting Standards No. 87, and an article in International Compensation and Benefits on worldwide pension funding. His education and achievements are as follows: B.S. in mathematics and statistics from the University of New York at Stony Brook, M.B.A. in international finance and investments from the University of Southern California, coursework toward a Ph.D. in executive management specializing in human resource strategy at the Peter F. Drucker Institute at Claremont, registered NASD securities representative, Registered Investment Advisor and pursuing a CFA designation. Salon F&G VALUE ADDED SPONSOR SERVICES: Will Your BD Support The Delivery Of More Complex Services In Today’s Changing Environment -Mitch Haber (Moderator), Managing Director, MassMutual Retirement Services Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 34 -Pat Oberlander, Executive Director, Retirement Consulting Services, UBS Financial Services, Inc. -Mary Claire Voss, AIF, 1st VP, Manager Qualified Plans Services, Stifel, Nicolaus & Company -Brant J. Griffin, QKA, PRP, AIFA, Director Corporate Services Group, Oppenheimer & Co., Inc. -Vince Morris, AIF, PRP, VP, Bukaty Companies, NRP Member Firm Mitchell Haber joined MassMutual in 2001 and is currently a managing director of institutional sales for Retirement Services. His current responsibilities include business cultivation in Arizona, southern California, Nevada and Hawaii. He is also a member of MassMutual’s Retirement Services Field Advisory Council where he provides marketplace feedback to management on behalf of field representatives. Prior to joining MassMutual, Mr. Haber spent 13 years at CIGNA where he was most recently vice president of sales for CIGNA’s Retirement and Investment Services. Mr. Haber holds a bachelor’s degree from the University of Pittsburgh, a M.B.A. from Pepperdine University and has completed the UCLA Executive Management Program. He holds NASD Series 7 and 63 registrations, as well as the resident life and health insurance license in the state of California and nonresident life and health insurance licenses in Massachusetts, Oregon, Idaho, Nevada, Arizona, New Mexico and Hawaii. Patrick Oberlander is Executive Director, Wealth Planning, Products & Services -US for UBS Financial Services, Inc. He has primary responsibility for the $35 billion corporate retirement plan business under the UBS umbrella. Prior to joining UBS, Pat led the retirement services group at McDonald Investments for 10 years. His entire 30+ year career has been spent in the retirement plan business, much of it (16 years) with CIGNA, but also periods with Transamerica and Travelers. Mary Claire Voss is a First Vice President and Manager of the Qualified Plan Services Department at Stifel, Nicolaus & Company in their St. Louis, MO headquarters. She joined Stifel in 1998 and is responsible for assisting Stifel’s 1,000 Financial Advisors with qualified plan sales, marketing and retention. Since Stifel offers no proprietary product, she is familiar with and works closely with numerous mutual fund, insurance, money manager, RIA and TPA products, in mainly the small- and mid-market. She previously spent 11 years at Robert W. Baird & Co. in a similar role. Mary Claire earned a B.A. from Marquette University in Milwaukee, WI. She is Series 7 and 63 licensed. She has also completed training with the Center for Fiduciary Studies and has satisfied all requirements for accreditation as Accredited Investment Fiduciary, as well as PLANSPONSOR Institute’s PRP (PLANSPONSOR Retirement Professional), and is an associate member of ASPPA (American Society of Pension Professionals & Actuaries). Brant J. Griffin is a Vice President and Director of The Corporate Services Group of Oppenheimer & Co. (CSG). CSG provides retirement plan advisory services, institutional investment management consulting, provider search, employee education and other consulting services for its diverse mid-market clientele. After attaining his B.A. in Economics from Elon University in North Carolina, Brant commenced his career in with T. Rowe Price & Associates as a Senior Retirement Plan Consultant. In 1999, he joined the Retirement Services Department of Oppenheimer & Co., Inc. rising to the position of Western Regional Director of the Division before forming CSG. Brant attained the Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professionals and Actuaries (ASPPA). He has also earned the Accredited Investment Fiduciary Analyst™ (AIFA) designation and the PLANSPONSOR Retirement Professional designation (PRP). Brant is a regular speaker at industry conferences. Vince Morris established the retirement plan services division within Bukaty Companies in 2001. Since joining Bukaty, he has grown the division from a start up firm with a handful of plan assets to a branch office with eight team members, who handle in excess of 100 institutional retirement plan clients and wealth management operations. Combined, the plans have more than half a billion dollars in assets with more than 15,000 plan participants. His management responsibilities include business development, marketing and supervision of day-to- day operations of both the retirement plan services and wealth management divisions. As a consultant, Morris Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 35 manages vendor searches, implementation timelines and conversion teams, plan design and administration, industry and market analysis and develops written communication plans. He oversees board training and fiduciary services to ensure clients are compliant with fiduciary standards and best practices. In 2006 Bukaty Companies became a member firm of National Retirement Partners (NRP). Morris has successfully passed the NASD Series 6, 7, 24, 63 and 65 examinations. He has earned the PLANSPONSOR Retirement Professional (PRP) designation and the Accredited Investment Fiduciary (AIF®) designation. Morris is member of the Society of Human Resources (SHRM) and the American Society of Pension Professionals Association (ASPPA). Salon I HOW YOUR CLIENTS REALLY FEEL: Soliciting Feedback & Improving Satisfaction -Gene Huxhold, CFP Investment Only Specialist, John Hancock Financial Services -Ray Henderson, Director, Business Health, PTY., Ltd. (Sponsored by John Hancock Retirement Plan Services) Gene Huxhold is the Investment Only Specialist for the Central U.S. for John Hancock Financial Services. His experience in the industry surpasses 20 years. Prior to joining John Hancock, Gene worked at CNA Financial, Kemper/Scudder Investments and most recently Allstate Financial Services. He has held a variety of roles including Retirement Plan Wholesaler, Senior Vice President/National Sales Manager of sales for both mutual fund and retirement plan wholesalers. Just prior to joining John Hancock, Gene was a senior vice president, who managed a large retail organization for Allstate. Gene holds a B.S. in Finance/Personnel Management and an M.B.A. in Economics from DePaul University. He is a Certified Financial Planner and he has been recognized for his expertise by organizations such as ASPPA, the Profit Sharing Council of America and the Center for Due Diligence. He has also testified before the House Ways & Means Sub-Committee on matters concerning non-profit retirement plans. Ray Henderson is a Principal of Business Health PTY, Ltd, a company that was established in 2000 with a straightforward approach to providing assistance to businesses in the financial services industry. Ray has over 30 years experience in a variety of senior management, business development and operational roles in which he helped businesses position themselves for success in the 21st Century. He was a founding director of one of Australia’s leading Life Brokerages and Licensed Security Dealers and is involved in a number of financial planning firms’ advisory boards. Business Health has spent over 7 years researching and developing a range of business tools, including the Business HealthCheck, an industry specific web based business diagnostic and the CATScan (Client Acid Test), a comprehensive client survey. The Business Health team has clients in Australia, New Zealand, Canada, the U.S.A. and South Africa. 2:30 – 3:30 p.m. Salon H AUTOMATING COMPLIANCE FUNCTIONS: SEC Books & Records Requirements -Cherie Jolly, B/D & IA Consultant, ComplianceMAX Financial Corporation Cherie J. Jolly is a consultant/auditor with ComplianceMAX Financial Corporation, who travels throughout the country conducting Registered Investment Advisor securities training and audits as well as broker/dealer training and audits. She has served in various capacities during her 13 years in the securities industry. For the past eight years her various titles and positions include Vice President of Operations and Compliance, OSJ Manager, Chief Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 36 Compliance Officer and Senior Compliance Specialist. In these various roles her duties have included setting up books and records to meet accounting requirements for startup firms and large firms. Cherie has also served as an NASD Arbitrator – Industry Specialist for the past five years, where she continues to assimilate information regarding securities rules and regulations. Salon D&E EMPLOYEE EDUCATION: What Role Should Advisors Play? -John Mott (Moderator), AIF, PRP, Sr. V.P., Corporate Client Group Director, Smith Barney -Brian Ward, Managing Director-Investment Officer, Sr. Institutional Consultant Ward Financial Advisory of Wachovia Securities -Ron Sanders, AIF, Sanders Booze Capital Advisors -George Fraser, Sr. V.P., Wealth Management, Smith Barney -Tom Bruns, Divisional V.P., John Hancock Retirement Plan Services John B. Mott is a Senior Vice President and Corporate Client Group Director with Smith Barney. John was the inaugural winner of the Retirement Plan Advisor of the Year award presented by PLANSPONSOR Magazine. John graduated from Rice University. Brian Ward is a Managing Director – Investment Officer of Wachovia Securities, where he works primarily with high net worth individuals, corporations and institutions in a variety of investment planning areas. He has previously held the positions of Senior Vice President – Investments, Senior Investment Management Consultant, and Retirement Planning Consultant with Prudential Securities. Mr. Ward has also had previous experience as a consultant with IBM and founded and operated a successful private company. He began his investment career with Kidder, Peabody & Company which was later acquired by PaineWebber, Inc. While with PaineWebber, Brian received national recognition in PaineWebber’s Pace Setter Club. A founding member of the Retirement Exchange, he is frequently a guest speaker at nationwide conferences. Brian has written numerous articles on retirement planning, fiduciary responsibility, and ERISA compliance as well as being featured in articles centered on financial planning and investment issues. He is currently a member of the Million Dollar Round Table and Wachovia’s Chairman’s Council – Wachovia’s highest professional recognition distinction. Brian was recently invited to become a charter member of the Wachovia Securities Institute and was a finalist for PLANSPONSOR Magazine’s “Advisor of the Year” in addition to being selected for Barron’s Winner’s Circle Top 100 Advisors. Brian earned his Bachelor’s degree from Christian Brother’s University and his M.B.A. from Vanderbilt University. He holds the Accredited Investment Fiduciary designation from the University of Pittsburgh, Katz Graduate School of Business, Center for Fiduciary Studies. Ron Sanders is the co-founder of Sanders Booze Capital Advisors and heads the firm's institutional investment consulting practice. His expertise spans advising qualified retirement plan sponsors and institutions with their investment needs to capital market research and securities analysis. He holds a B.A. in Economics from Central Missouri State University, an M.B.A. from Rockhurst College and served as an Officer in the United States Navy. Prior to co-founding Sanders Booze and Co., Mr. Sanders worked as an investment consultant for DeMarche Associates, Inc. and an equity research analyst for American Century Investment Management, Inc. Mr. Sanders has earned the Accredited Investment Fiduciary® designation, awarded by the Center for Fiduciary Studies, where he received formal training in investment fiduciary responsibility. George Fraser is a Senior Vice President of Wealth Management for Citigroup Smith Barney in Phoenix, Arizona. For the past 14 years, George and his group of financial advisors have concentrated on the retirement marketplace and currently manage over $300 million in 35 plans. George developed a model, which he presents at meetings, that provides one-on-one guidance to his client’s employees and helps them to prepare for a better retirement. Mr. Fraser started his career at INC., magazine in Boston, where he was promoted just after a year to their publishing headquarters in New York City. After seven years in New York City, George moved to Arizona and entered the Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 37 brokerage industry. He spent his first four years at Dean Witter, then four years with Piper Jaffrey and most recently six years with McDonald Investments, Inc., where he led the firm in 401(k) sales. George hails from Nova Scotia, Canada where he studied business at Dalhousie University. Thomas V. Bruns is a Divisional Vice President for John Hancock Group Pensions. Responsible for the Western Division, Tom manages over one hundred talented individuals that specialize in sales, sales support, enrollment, education and customer relationships. He joined Manulife – John Hancock in September of 2003, after many enjoyable years at Kemper and the successor company, Scudder. Tom was the President of Retirement Plans at Kemper and later became the President of Scudder’s distribution company, Scudder Distributors, Inc. With over 22 years of experience in the retirement plan and investment markets, he also worked for Metropolitan Life and Aetna prior to joining Kemper. Tom received his Bachelor’s of Science in Biochemistry from the University of Illinois and his Masters of Management in Finance and Marketing from Northwestern Kellogg Graduate School of Management. Salon I Holistic Fiduciary Oversight -Doug Conkel, Principal, Milliman, Inc -Ginny Boggs, QPA, QKA, QFPC, Senior Compliance Consultant, Milliman, Inc Douglas A. Conkel is a Milliman Principal and the Senior Benefits Consultant for the Southern Region’s Defined Contribution Retirement Plan Administration Group. As such, his duties include collaborating with the other Milliman offices to ensure consistent client satisfaction across the country. Along with his client relationship management responsibilities, he is a defined contribution consultant serving as an Engagement Manager, assisting clients with plan design, implementation, communication, compliance and operational processing effectiveness. Mr. Conkel has worked in the pension industry for his entire professional career, starting as a youth in his father’s pension firm. Ginny Boggs Salon F&G BUYING SIGNS: A New Look At Selling -Rick Cortellessa, CRPS, Legg Mason Retirement Services -Bill Acheson, University Of Pittsburgh Rick Cortellessa, Director of Retirement Sales Distribution for Legg Mason, is responsible for raising IODC assets through the firm’s strategic partnerships. Prior to his role at Legg Mason, Rick served as Key Accounts/Sales Director for Citigroup Asset Management responsible for the creation, promotion and distribution of qualified and non-qualified investment solutions and related services. Prior to joining Citigroup, Rick worked with the Copeland Companies as a registered representative, sales manager, branch manager and in new business development. Rick is currently licensed with a Series 6, 7, 65, 26 and is accredited with the CRPS designation from the College of Financial Planning. Bill Acheson is an expert in nonverbal communication. Since 1985, Bill has taught communication at the University of Pittsburgh and during that time he has spoken to thousands of sales professionals about how to use body language to sell more effectively. Bill taught employees from Van Kampen Investments, Ernst & Young, Merrill Lynch, Blue Cross, Salomon SmithBarney, Nationwide, MorganStanley, ING Pilgrim, SunAmerica, UBS PaineWebber, First Union, Prudential Securities, EdwardJones, ICI Chemical, ICAR Canada, and the International Management Development Institute that it’s not what you say, but how you say it! Mr. Acheson has made presentations and conducted seminars across the United States and Canada as well as in Europe, Asia, and Africa. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 38 3:45 – 4:45 p.m. Salon D&E The Value Of An Independent Retirement Advisor -Chip Hunt (Moderator), AIF, PPC, Principal, PrimeTRUST Advisors -Clark Frese, Principal, Asset Strategy Retirement Consultants Chip Hunt entered the retirement services business in 1980 by joining his family’s well-established pension actuarial services firm, Hunt, DuPree Rhine and Associates, Inc. (HDR) in Greenville, SC. In 1992, Chip started his first RIA firm to advise the 401(k) recordkeeping clients of HDR in the investment selection and monitoring process. A few years subsequent to bank acquisition of the firms, Chip left to start a new consulting firm, PrimeTRUST Advisors. PTA is a fee-only retirement plan consulting and investment advisory services firm. Chip is an Accredited Investment Fiduciary from the Center for Fiduciary Studies in conjunction with the University of Pittsburgh; and a Professional Plan Consultant from the Financial Service Standards Company and the Center for Leadership at Robert Morris University. Chip has written numerous articles and is a frequent speaker on retirement plan issues. Clark Frese is a Certified Pension Consultant (American Society of Pension Professionals and Actuaries), and Accredited Investment Fiduciary Auditor. Cofounder of Alliance Benefit Group as well as his own TPA, Clark sold his firm to Invesmart in 2000. Charles River Retirement Consultants was formed in 2003 to narrow the focus of the practice to investment advisory and pension consulting. The name Charles River Retirement Consultants was changed in July, 2007 to Asset Strategy Retirement Consultants LLC to reflect a joint venture with Asset Strategy Consultants LLC (a Callan investment advisory firm managing $7 Billion) as their Defined Contribution consulting partner. Salon F&G Technology Business Solutions That Build Value -Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group -Jeff Schwartz, V.P., Markov Processes International -Matthew Hammonds, AIF, PRP, Managing Director, Research &Operations, SageView Advisory Group -Mark Metz, Managing Director, Business Development, PlanTools, LLC -Al Otto, Co-Founder, White Horse Advisors, LLC Rhonda Evans is Managing Director of Research for the McHenry Group/PlanTools™. At McHenry, Rhonda is responsible for conducting financial analyses, industry assessments, and research on the latest trends in the investment-based benefits marketplace. Her research skills were honed in both academia and the private sector. She received a Ph.D. from the University of California, Berkeley. Rhonda also co-founded a successful research firm specializing in employment and work processes research. Jeff Schwartz joined MPI in early 2003. Prior to joining MPI, Jeff served three years as Vice President, Investments and Vice President, Large Plan Sales for mPower, a provider of on-line investment advice to defined contribution investors. His career in finance began with Ibbotson Associates, where, in his six years with the firm, he served as a product development analyst, consultant and eventually as the Vice President and Director of Asset Allocation Consulting. At Ibbotson Associates, Jeff was the chief developer of Portfolio Strategist, a mean-variance optimization and historical analysis tool for financial planners and Fund Strategist, a comprehensive book of returns- based analysis on public mutual funds. He also served as an editor of the Stocks, Bonds, Bills and Inflation (SBBI) yearbook; taught educational workshops for institutions, financial professionals and the Alliance - Ibbotson Research Institute (AIRI) and oversaw Ibbotson's consulting practice which provided asset allocation, behavioral finance, fund analysis and capital market research solutions to other financial institutions. Jeff's expertise lies in financial software development and application, strategic asset allocation, modeling (forecasting) of alternative and Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 39 foreign investments, manager analysis, behavioral finance, asset-liability modeling, valuation and general capital market research. His opinions have appeared in such publications as The Wall Street Journal, The New York Times, Pensions and Investments, Financial Planning, Smart Money and Money Magazine, as well as appearing on CNBC and NPR's Odyssey. Matt Hammonds serves as the Managing Director of Research & Operations for the SageView Advisory Group and heads the firm’s internal investment committee. He works with clients to ensure the investment options offered in a plan meet all Investment Policy Statement guidelines and provide participants with a high level of return for the amount of risk being taken. Hammonds leads the development of SageView’s proprietary investment evaluation process, which provides an unbiased comparison of funds within a category. This process is an important element in the ongoing monitoring and evaluation of a plan’s investment lineup. With over ten years of experience in the financial services industry, Hammonds has been a Registered Representative and the OSJ Branch Manager for Financial Network Investment Corporation for over six years. Prior to joining SageView, he served as the branch manager for a financial services company in Irvine, California. Matt graduated from California State University at Fullerton with a Bachelors degree in Communications. He is an Accredited Investment Fiduciary (AIF), PLANSPONSOR Retirement Professional (PRP), a Chartered Financial Analyst (CFA) candidate and holds the NASD Series 7, 24, 51 and 63 licenses. Mark Metz is the managing director of PlanTools, LLC and The McHenry Group. He leads the sales effort for the PlanTools™ Risk Management System. Prior to joining PlanTools™ in 2006, Mark managed all sales and marketing activities of the Retirement Plan Services group of ABN AMRO Asset Management. His responsibilities included management and direction of sales staff, building distribution, product development, oversight of marketing activities and pricing. Mark entered the retirement plan industry in 1979 with a major insurance company where he last served as Midwest regional pension manager with sales, marketing and client service responsibility for a ten state territory. He joined ABN AMRO Asset Management in 1995. Mark has worked extensively with a diverse clientele including small entrepreneurial companies, labor unions and large corporations. Having worked closely with advisors throughout his career, Mark has developed a thorough understanding of the role of the advisor with retirement plan clients. Al Otto is the Co-Founder and Executive Vice President of White Horse Advisors. He leads the Retirement Plan Solutions Team, which provides guidance, oversight and risk management solutions for institutional fiduciaries. With over 25 years of experience, Al is a nationally recognized leader in the retirement industry. He is a frequent speaker and author on retirement plan issues and has developed extensive expertise on the topic of fee disclosure. Al earned his Bachelor of Science in Mechanical Engineering from Virginia Tech and was a President’s Fellow at Georgia Tech. He earned the Accredited Investment Fiduciary Analyst® designation in 2006, and is an Associated Professional Member of ASPPA. Salon H RETIREMENT INCOME GUARANTEES: Meeting The Challenge Of The Next Generation -Dan Campbell, Managing Director, Retirement Guarantee Network, Milliman, Inc. -Ken Mungan, FSA, MAAA, Principal, Milliman, Inc. Dan Campbell is the Managing Director of Milliman's Retirement Guarantee Network (RGN). He is responsible for the overall development, marketing and roll-out of the RGN to the 401(k) and IRA markets. Dan has over 25 years of experience in consulting with large plan sponsors on the design and administration of 401(k) plans. He spent 23 years at Hewitt Associates, most recently as their Defined Contribution Practice Leader for the Midwest Region. Dan received his M.B.A. from Northwestern University Kellogg Graduate School of Management and his Bachelor's degree from DePaul University. Ken Mungan is a principal at Milliman and head of their Financial Risk Management Practice. Founded in 1998, the practice has grown to become the industry leader in management of retirement savings guarantees, currently Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 40 handling more than $500 billion in account value for over 6 million customers. Ken pioneered hedging techniques that have become the standard practice in the industry today. A fellow of the Society of Actuaries and a Member of the American Academy of Actuaries, he is a frequent speaker at industry events and has authored many professional articles. Ken received his Bachelor's degree in Mathematics from the Massachusetts Institute of Technology. Salon I Fiduciary Myths & How To Correct Them To Your Advantage -Pete Swisher, CFP, QPA, CPC, V.P. of Advisor Services, Unified Trust Company, NA Pete Swisher is a pension consultant and head of institutional sales for Unified Trust in Lexington, Kentucky. A graduate of the University of Virginia and a former U.S. Marine, Pete has spoken nationally on qualified plans and fiduciary risk management for groups that include ASPPA, the Financial Planning Association (FPA), and the National Institute of Pension Administrators (NIPA). 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 an active member of the Financial Planning Association and American Society of Pension Professionals and Actuaries. 4:45 – 6:00 p.m. Conference Center/Plaza Cocktail Party Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 41 Wednesday October 3, 2007 7:00 – 8:00 a.m. Conference Center/Plaza Breakfast 8:00 – 8:30 a.m. Salons F, G, H & I CFDD Introduction & Market Overview -Phil Chiricotti, President, Center for Due Diligence KEYNOTE SESSIONS: (Includes three sessions by Fred Reish, David Wray & Don Trone) 8:30 – 9:30 a.m. THE DIRECTION OF 401(k) PLANS: Present, Future & Beyond -Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING Retirement Services) Fred Reish is an ERISA attorney whose practice focuses on fiduciary responsibility issues. He was recently appointed as a member of the Wolters Kluwer Law & Business Pension Editorial Advisory Board and has been recognized for his contributions to the 401(k) community: the 401(k) Industry’s Most Influential Person for 2007 by 401kWire; the Commissioner’s Award and the District Director’s Award by the IRS; the Eidson Founder’s Award by ASPPA; the Institutional Investor Lifetime Achievement Award; the PLANSPONSOR Magazine Lifetime Achievement Award; and as a Charter Fellow of the Employee Benefits Counsel of the American Bar Association. Fred has been recognized in the legal community as one of “The Best Lawyers in America,” and as a “Super Lawyer in Southern California.” He has written over 250 articles and four books about retirement plans, including a monthly column on 401(k) fiduciary issues for Plan Sponsor magazine. Fred co-chaired the IRS Los Angeles Benefits Conference for over 10 years, served as a founding Co-Chair of the ASPPA 401(k) Summit, and has served on the Steering Committee for the DOL National Conference. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 42 9:45 – 10:45 a.m. FEES, EXPENSES & REVENUE SHARING: Are Fees Too High, Do Fiduciaries Understand Them, Disclosure & Government Requirements -David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by Diversified Investment Advisors) -Joseph Masterson, Sr. V.P., Chief Sales & Marketing Officer, Diversified Investment Advisors David L. Wray is the president of the Profit Sharing/401(k) Council of America (PSCA), a national, non-profit association of companies that sponsors profit sharing and 401(k) plans for over 5 million employees. Mr. Wray is a nationally recognized authority on 401(k) and other defined-contribution plan issues and he has testified before congressional committees and at Labor Department, Treasury Department, and Internal Revenue Service hearings. He was the 2004 Chair of the Department of Labor’s ERISA Advisory Council, which advises the Secretary of Labor on benefits issues, and was a member of the Certified Financial Planner Board of Standards Advisory Board. He is a member of the John Marshall Law School Center for Tax Law and Employee Benefits Advisory Board. David frequently speaks before trade groups, contributes to benefits publications and is quoted frequently in the media. He wrote “Take Control With Your 401(k)” which was published by Dearborn Trade in June 2002. Joseph Masterson, Senior Vice President and Chief Sales and Marketing Officer, is a member of Diversified’s Executive Management Committee and Investment Committee. Having joined Diversified in 1985, he is currently responsible for leading Sales, Distribution Channel Management and Marketing teams. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization. Mr. Masterson held similar responsibilities with Diversified's predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Mr. Masterson began his pension career in 1976 with Aetna. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. His industry affiliations include past Chairperson of the Retirement & Investment Marketing Committee – LIMRA International; a longstanding member of AIMSE; a member of the Investment Management Consultants Association; and a member of the editorial advisory board of the Journal of Pension Benefits. He is a frequent speaker and author on retirement plans and asset allocation strategies. Center for Due Diligence
    • Speaker Bios - CFDD’s 2007 Advisor Conference Page 43 11:00 – 12:00 p.m. SAFE HARBOR & THE PPA: Navigating The Fiduciary Advisor Waters Safely -Donald B Trone, AIFA, CEO, Fiduciary360 Don Trone is the CEO of Fiduciary360, which coordinates the resources of the Foundation for Fiduciary Studies; the Center for Fiduciary Studies, and, Fiduciary Analytics. He is also on the Board of Directors for CEFEX (Centre for Fiduciary Excellence), which is the international certifying body for investment fiduciaries. In 2007, Don was selected as one of the fifty most influential people in the retirement industry. He was listed in the prestigious IA25, a compilation of the twenty-five most influential people in the investment advisory industry in 2006 and 2005. In 2004, The Center for Fiduciary Studies was selected to provide fiduciary training to the Directors of the Federal Retirement Thrift, the retirement plan for 3.2 million Federal employees, including members of Congress and the uniformed services. Don was appointed by the U.S. Secretary of Labor to represent the investment counseling industry on the ERISA Advisory Council in 2003. He is co-author of two industry bestsellers, Procedural Prudence and The Management of Investment Decisions (McGraw-Hill Publishing), and led the development of the industry’s fiduciary handbook series, Prudent Investment Practices. “For organizations and employees alike, the only real security is the ability to adapt, change and grow.” Center for Due Diligence