CENTER FOR DUE DILIGENCE
                              P.O. Box 8 • Western Springs, Illinois 60558
                      ...
Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference
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Sunday, September 30, 2007 (Continued)

Salon...
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Sunday, September 30, 2007 (Continued)

Salon...
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Sunday, September 30, 2007 (Continued)

Confe...
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Sunday, September 30, 2007 (Continued)

Salon...
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6:00 – 9:00 p.m.

Princess Plaza Courtyard   ...
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                                           (Ple...
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                               -David Finn, PRP,...
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Speaker/s: Good     Average   Below Average --- ...
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                                -Jon Manlove, C...
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Salon D&E                       Designations Fo...
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Salon F&G                      FIDUCIARY LIA...
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Comments:




Monday, October 1, 2007 (Continue...
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Salon I                       DESIGNATIONS F...
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2:30 – 3:30 p.m.

Salon H       ...
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                                     Repeat Ses...
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                                           (Plea...
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                                           (Pl...
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                              -Chip Hardy, AIF,...
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8:15 – 9:15 a.m.

Salon D&E                   ...
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                               -Charles Epstein...
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Salon D&E                    PAYOFF FOR THE FI...
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9:30 – 10:30 a.m.

Salon I                    ...
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Tuesday, October 2, 2007 (Continued)

10:45 – ...
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Tuesday, October 2, 2007 (Continued)

10:45 ...
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Tuesday, October 2, 2007 (Continued)

12:00 ...
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Tuesday, October 2, 2007 (Continued)

1:15 –...
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Tuesday, October 2, 2007 (Continued)

1:15 –...
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Tuesday, October 2, 2007 (Continued)

2:30 –...
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                                     Repeat Ses...
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Comments:




Tuesday, October 2, 2007 (Continu...
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Salon H                       RETIREMENT INCOME...
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4:45 – 6:00 p.m.

Conference Center/Plaza     C...
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                       -Fred Reish, Managing Di...
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11:00 – 12:00 p.m.


               SAFE HAR...
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Speaker/Presentation Evaluation Forms

  1. 1. 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/PRESENTATION EVALUATIONS (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 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) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  2. 2. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 2 Sunday, September 30, 2007 (Continued) Salon H 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  3. 3. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 3 Sunday, September 30, 2007 (Continued) 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 12:00 p.m. – Kierland Golf Club Charity Golf Event 15636 North Clubgate Drive Scottsdale, AZ 85254 (480) 922 9283 Center for Due Diligence
  4. 4. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 4 Sunday, September 30, 2007 (Continued) Conference Center FIDUCIARY EDUCATION PROGRAM: Managing Advisor Liability & Operational Compliance (Includes three sessions below: Hosted by CFDD) Salon H 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  5. 5. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 5 Sunday, September 30, 2007 (Continued) Salon H 3:45 – 4:45 p.m. 404(c) Liability: Diving Into The Abyss Of True Compliance -David Witz, Managing Director, Fiduciary Risk Assessment, LLC (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 5:00 – Conference Center Cybercafé & Registration Desk Opens Center for Due Diligence
  6. 6. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 6 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 Monday, October 1, 2007 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H FALL OF THE MERRILL RULE: What’s Next For BDs & Retirement Advisors -Ward Harris, Founder & CEO, The McHenry Group/PlanTools LLC Center for Due Diligence
  7. 7. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 7 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 8:15 – 9:15 a.m. Salon I Advanced Plan Design For Family-Owned & Closely Held Corporations -Michael. H. Manning, National Director of Retirement Plans Distribution Sales, UNIFI Companies (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 Center for Due Diligence
  8. 8. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 8 -David Finn, PRP, MBA, Director of Business Development, Northeast Employee Benefits Practice, Milliman, Inc (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 9:30 – 10:30 a.m. Salon H PPA ONE YEAR LATER: What Happened? -Michael Taricani, VP, Compliance/Product & Advisory Services, Prudential Financial -Chad J. Larsen, PRP, AIF, Sr VP, Retirement Plan Services, Moreton Financial Solutions, LLC, NRP Member Firm (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 (Please circle one) Center for Due Diligence
  9. 9. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 9 Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 9:30 – 10:30 a.m. Salon I Advice For Advisors of 401k Plans With Company Stock -Daniel Reser, JD, CCTS, MPF, President, Fiduciary Services, In -Laurence Goldberg, Partner, Sheppard, Mullin, Richter & Hampton (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 Center for Due Diligence
  10. 10. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 10 -Jon Manlove, Client Service Director (CRM Consultant), The McHenry Group (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 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, VP, DB Practice Leader, Diversified Investment Advisors -Gary Burczek, FSA, EA, MAAA, Actuary, Principal Financial Group (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  11. 11. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 11 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) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 10:45 – 11:45 a.m. Salon I MANAGING RETIREMENT INCOME: The Shift From Managing Accumulations To Managing Distributions -Lisa Shidler (Moderator), Reporter, InvestmentNews -Joseph Masterson, Sr VP & Chief Sales Officer, Diversified Investment Advisors -Douglas McIntosh, Jr, VP Retirement Income, Prudential Financial -David Longfritz, Sr VP & GM, Retirement Income & Rollover Solutions, John Hancock -Tere D’Amato, CFP, CLU, ChFc, MSFS, Director Of Advanced Planning, Commonwealth Financial Network (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  12. 12. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 12 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Center for Due Diligence
  13. 13. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 13 Comments: Monday, October 1, 2007 (Continued) 1:15 – 2:15 p.m. 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  14. 14. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 14 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 1:15 – 2:15 p.m. 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Center for Due Diligence
  15. 15. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 15 Comments: 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 VP, Wachovia Securities -Barb Delaney, PRP, AIF, President, FFoA, NRP Member Firm -Mark Gutrich, President & CEO, ePlan Services, Inc. -Lisa Smith, Sr VP, Retirement, Fidelity Investments Institutional (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 2:30 – 3:30 p.m. 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) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Center for Due Diligence
  16. 16. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 16 Repeat Session? Y N Comments: 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. (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 2:30 – 3:30 p.m. Salon F&G SEARCHING FOR THE DISTINGUISHED: What Determines The RFP Winner -Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP -John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group Director, Smith Barney -Wayne Boenig, CFA, CFP, AIF, Chief Investment Consultant, PFE Advisors, LLC -Randy Long, Managing Principal, SageView Advisory Group Center for Due Diligence
  17. 17. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 17 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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. (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 3:45 – 4:45 p.m. Salon F&G A REQUIREMENT FOR CREDIBILITY & MARKETING, BUT NOT SUCCESS: Polling Reveals How Advisors View Retirement Plan Designations & How To Improve Them -Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC -Donald Settina, CFP, AIFA, PPC, President, Financial Service Standards, LLC Center for Due Diligence
  18. 18. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 18 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H CASH BALANCE PLANS: A Post PPA Opportunity -Tom Bruns, Divisional VP, John Hancock Retirement Plan Services (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Monday, October 1, 2007 (Continued) 3:45 – 4:45 p.m. 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 Center for Due Diligence
  19. 19. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 19 -Chip Hardy, AIF, PPC, PrimeTRUST Advisors (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 4:45 – 6:00 p.m. Conference Center/Plaza Cocktail Party Tuesday, October 2, 2007 7:00 – 8:00 a.m. Conference Center/Plaza Breakfast Center for Due Diligence
  20. 20. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 20 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, VP, 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H The Modern Investment Management Process: Asset Allocation to Fund Selection -Thomas Idzorek, CFA, VP, Director of Research & Product Development, Ibbotson Associates (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Tuesday, October 2, 2007 (Continued) 8:15 – 9:15 a.m. Salon F&G Managing & Motivating Your Staff Center for Due Diligence
  21. 21. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 21 -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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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, JD, VP & Chief Counsel, The Newport Group (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Tuesday, October 2, 2007 (Continued) 9:30 – 10:30 a.m. Center for Due Diligence
  22. 22. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 22 Salon D&E PAYOFF FOR THE FIRM: Compensation Planning -Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon H INVESTMENT RESULTS DON’T COME IN A BOX: A Fund Company’s Perspective -Steve Caruthers, VP, Capital Research & Management Company (American Funds Institutional Group) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Tuesday, October 2, 2007 (Continued) Center for Due Diligence
  23. 23. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 23 9:30 – 10:30 a.m. 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, VP, Desktop Software, Morningstar, Inc (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon F&G GROW YOUR BUSINESS: A View From The Trenches -Vince Giovinazzo, CEO, 401(k) Producer Services (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  24. 24. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 24 Tuesday, October 2, 2007 (Continued) 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon D&E Building A Business With Transferable Equity -Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  25. 25. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 25 Tuesday, October 2, 2007 (Continued) 10:45 – 11:45 a.m. 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  26. 26. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 26 Tuesday, October 2, 2007 (Continued) 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, VP, Retirement Services, NFP (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  27. 27. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 27 Tuesday, October 2, 2007 (Continued) 1:15 – 2:15 p.m. Salon H MANAGED ACCOUNTS & THE NEW TARGET 401k) 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. (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 -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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  28. 28. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 28 Tuesday, October 2, 2007 (Continued) 1:15 – 2:15 p.m. 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 2:30 – 3:30 p.m. Salon H AUTOMATING COMPLIANCE FUNCTIONS: SEC Books & Records Requirements -Cherie Jolly, B/D & IA Consultant, ComplianceMAX Financial Corporation (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  29. 29. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 29 Tuesday, October 2, 2007 (Continued) 2:30 – 3:30 p.m. Salon D&E EMPLOYEE EDUCATION: What Role Should Advisors Play? -John Mott (Moderator), AIF, PRP, Sr. VP, 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. VP, Wealth Management, Smith Barney -Tom Bruns, Divisional VP, John Hancock Retirement Plan Services (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Salon I Holistic Fiduciary Oversight -Doug Conkel, Principal, Milliman, Inc -Ginny Boggs, QPA, QKA, QFPC, Senior Compliance Consultant, Milliman, Inc (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Center for Due Diligence
  30. 30. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 30 Repeat Session? Y N Comments: Tuesday, October 2, 2007 (Continued) 2:30 – 3:30 p.m. Salon F&G BUYING SIGNS: A New Look At Selling -Rick Cortellessa, CRPS, Legg Mason Retirement Services -Bill Acheson, University Of Pittsburgh (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Center for Due Diligence
  31. 31. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 31 Comments: Tuesday, October 2, 2007 (Continued) 3:45 – 4:45 p.m. Salon F&G Technology Business Solutions That Build Value -Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group -Jeff Schwartz, VP, 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  32. 32. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 32 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 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Tuesday, October 2, 2007 (Continued) 3:45 – 4:45 p.m. Salon I Fiduciary Myths & How To Correct Them To Your Advantage -Pete Swisher, CFP, QPA, CPC, VP Of Advisor Services, Unified Trust Company, NA (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  33. 33. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 33 4:45 – 6:00 p.m. Conference Center/Plaza Cocktail Party 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 Center for Due Diligence
  34. 34. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 34 -Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING Retirement Services) (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Wednesday October 3, 2007 (Continued) 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 VP, Chief Sales & Marketing Officer, Diversified Investment Advisors (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence
  35. 35. Speaker/Presentation Evaluations - CFDD’s 2007 Advisor Conference Page 35 11:00 – 12:00 p.m. SAFE HARBOR & THE PPA: Navigating The Fiduciary Advisor Waters Safely -Donald B Trone, AIFA, CEO, Fiduciary360 (Please circle one) Speaker/s: Good Average Below Average --- Presentation: Good Average Below Average Repeat Session? Y N Comments: Center for Due Diligence

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