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  • 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 BIOS (9/27/06) “CHALLENGE & OPPORTUNITY IN THE RETIREMENT INDUSTRY: Positioning For Change” October 3-5, 2006 (Tuesday-Thursday) The Fairmont Chicago, 200 North Columbus Drive Chicago, Illinois 60601 Phone: (312) 565-6698 Monday, October 2, 2006 6:00 p.m. - ? Moulin Rouge Ballroom CONFERENCE KICK-OFF PARTY Hosted by McHenry Group/PlanTools™ Tuesday, October 3, 2006 7:00 – 8:00 a.m. Exhibitor Area/ Registration & Breakfast Imperial Ballroom 8:00 – 8:15 a.m. International Ballroom Introduction Phil Chiricotti, President, CFDD Phil Chiricotti Center for Due Diligence
  • 2. Speaker Bios - CFDD’s 2006 Advisor Conference Page 2 Tuesday, October 3, 2006 (Continued) 8:30 – 9:30 a.m. International Ballroom MAJOR CHALLENGES FACING RETIREMENT PLANS & SPONSORS Keynote Session Speaker -David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by MassMutual) David L. Wray is the president of the Profit Sharing/401(k) Council of America (PSCA), a national, non- profit association of companies that sponsor profit sharing and 401(k) plans for over 5 million employees. He 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. He 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. 9:45 – 10:45 a.m. International Ballroom HOW SERVICE PROVIDERS DISCLOSE COSTS & REVENUE SHARING: Uniformity, Ambiguity & Accountability -Al Otto (Moderator), Co-Founder, White Horse Advisors, LLC -Brent Glading, Managing Director, Glading Group, LLC -Randy Bachman, Director, Retirement & Investor Services Principal Financial Group -Russell Odenbeck, VP National Distribution, Retirement Plan Services, M&I Trust Company N.A. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. He leads the Retirement Plan Advisors team, which serves more than 110 clients with over $1.25 billion of assets under advisement. He is a recognized expert on the topic of fees in retirement plans and developed Plan Resource AllocationSM, a proprietary tool for determining value vs. cost in a retirement plan. Al believes success comes by championing a client‐first approach and protecting client’s financial decisions through fee transparency. With over 25 years of experience, Al is a nationally recognized leader in the retirement industry. He is a frequent speaker on retirement plan issues, and has been published or quoted in Plan Sponsor Magazine, CFO Magazine, Employee Benefit News, Employee Benefit Plan Review, Investment News and Business & Compensation Solutions. In addition, Al is on the Editorial Advisory Board, as well as a contributing writer, for Benefits & Compensation Solutions. His most recently published articles Center for Due Diligence
  • 3. Speaker Bios - CFDD’s 2006 Advisor Conference Page 3 Tuesday, October 3, 2006 (Continued) include “401 (k) Plan Fee Disclosure for Dummies” in the Journal of Pensions and a three-part series in Benefits & Compensation Solutions that delves into the complex topic of retirement plan fees. Brent Glading is founder of the Glading Group. Mr. Glading and his firm have received national recognition for their work done in the retirement savings industry, including features on revolutionary fee disclosure and cost saving strategies in the New York Times, Wall Street Journal, USA Today, CFO Magazine, and on CNBC. Mr.Glading firms unique insight into the cost and fee structures of retirement savings plans stems from he and his partners extensive industry experience working for many of today’s major service providers. Randall (Randy) J. Bachman is an officer with the Principal Financial Group®. He is director – Sales Engineering in the Retirement and Investor Services division. Bachman joined the company in 1993 as a client service associate. He was promoted to pension underwriter in 1998, team leader in 1999 and manager in 2000. In 2003, Bachman was elected an officer and was promoted to marketing and product development officer. He was promoted to his current position in 2006. Bachman is a native of Peoria, IL and earned his bachelor degree in management from Southern Illinois University. He has earned the Retirement Plan Associate designation from Wharton School of Business through the Certified Employee Benefits Specialist program. He is an NASD Registered Representative and is a member of the American Marketing Association. Russell G. Odenbeck, Vice President - Intermediary Distribution, Marshall & Ilsle Trust Company N.A., has spent his entire career in the corporate benefit portfolio administration fields. After attending the University of Cincinnati, he joined Central Trust Company in Cincinnati as manager of employee benefit operations. He then became the manager of prototype plan administration, following which he managed relationships for national employee benefit plans and corporate custody accounts. Mr. Odenbeck joined M&I in 1986 as vice president of national portfolio administration, with an emphasis in Defined Contribution and ESOP Administration. In 1999, he moved into a position in the Institutional Trust Sales. Russ opened M&I’s southeast business development office in Charlotte, NC. in September 2000. In September 2004, he initiated an effort to develop new channels of distribution for the Institutional Trust Division. He is a member of the National ESOP Association, Southern Employee Benefits Conference, Charlotte Employee Benefits Forum and International Foundation of Employee Benefit Plans and currently holds Series 6 and 63 licenses, as well as being a recent speaker at The NRP National Conference in February 2006 and Plan Sponsor’s 2006 Plan Designs Conference. Center for Due Diligence
  • 4. Speaker Bios - CFDD’s 2006 Advisor Conference Page 4 Tuesday, October 3, 2006 (Continued) Gold Room SHOULD/CAN ADVISORS PROVIDE ADVICE AT THE PLAN & PARTICIPANT LEVEL: The Do’s, Don’ts & Risks -Ian S. Kopelman, Partner & Chair, U.S. Employee Benefits & Executive Compensation Practice Group, DLA Piper Rudnick Gray Cary LLP Ian S. Kopelman is Chair of the Employee Benefits and Executive Compensation Group at DLA Piper, an international law firm with over 1500 attorneys in over 24 cities in the United States, and over 1725 attorneys in over 50 cities in Europe, the Middle East, and Asia. Based in Chicago, Mr. Kopelman is also Legal Counsel to the Profit Sharing 401(k) Council of America, and Adjunct Professor of Law at the John Marshall Law School. In his practice, he is responsible for all matters involving retirement and other fringe benefit programs for clients ranging in size from major publicly held corporations and financial service providers to sole proprietorships and partnerships. He is a frequent speaker and has written extensively in the area of employee benefits. In addition to his work with the PSCA, Mr. Kopelman is a member of the American Bar Association and the Chicago Bar Association, where he is a former Chair of its Employee Benefits Committee. He has also served on the Chicago Association of Commerce and Industry's Employee Benefits Committee, the Midwest Benefits Conference where he is a former Chair of its Legal and Legislative Committee, and WEB. Mr. Kopelman received his B.A., cum laude, from Knox College and his J.D., with distinction, from the University of Iowa. He is listed in Who's Who in America, Who's Who in American Law, and Who's Who in the World. Crystal Room Investment Outlook -Mario DiVito, Investment Relationship Manager, American Funds Institutional Group Mario DiVito currently serves as an investment relationship manager in the American Funds Institutional Group providing insight into the global markets to the firm’s largest retirement plan clients. Mario has seventeen years of investment industry experience and prior to joining Capital Research Company he served as a vice president, relationship manager with MFS Investment Management. He earned an MBA from DePaul University and a BBA in finance from Loyola University. Regent Room SELF-DIRECTED BROKERAGE OPTIONS: Are They All The Same -Frank Bruno, Sr. VP, TruSource -Jim Huennekens, VP, TruSource -Thomas FitzPatrick, Consultant, Stanton Group Frank Bruno, AIF®, Sr. Vice President, National Sales of TruSource. Since 1985, Frank Bruno has been a member of the retirement plan wholesaling community. With more than 20 years experience, his credentials span several top firms, including Manulife (now John Hancock Financial), John Hancock, Qualified Benefits, Inc. and CIGNA Retirement & Investment Services. The tenure with these firms has sharpened Frank’s expertise in both large and small plan markets along with the understanding of working in both the investment only and full service plan arenas. Currently, Frank is Senior Vice President and the National Sales Director for TruSource, Trust Outsourcing Partners, a division of Union Bank of California, N.A. His responsibilities include the management of the TruSource sales team and Center for Due Diligence
  • 5. Speaker Bios - CFDD’s 2006 Advisor Conference Page 5 Tuesday, October 3, 2006 (Continued) procurement of new outsourcing opportunities. Frank has been with TruSource for close to 10 years. Frank graduated from the University of California, Los Angeles in 1984 where he earned a Bachelors degree in History. He holds NASD series 7, 24 and 63 licenses. Frank also holds an AIF® designation. Jim Huennekens is a Vice President & Regional Sales Director for TruSource and has been with the firm for 4 years. In his position, Jim is responsible for new business development and the distribution of TruSource products throughout the Mid-West. Jim has worked in the retirement industry for the past 25 years in various capacities including sales, investment services, trust services and consulting services. Jim received his B.S. from Illinois State in Economics and Accounting, member of ASPA, Certified Employee Benefit Specialist and holds a NASD Series 7 and Series 66. Thomas FitzPatrick Since 1984, Tom has assisted employers in the management of their qualified and non-qualified retirement plans. With experience in Trust, investments, and insurance he has served in leadership positions of management and business development. Tom is presently a Consultant at Stanton Group providing plan design, investment and fiduciary management services to the firm's mid-market benefit plan clients. Previously, he has held senior positions at Marquette Trust Company and US Bank Investment Services. Tom received a BA in Advanced Finance at St. Thomas College after being recognized as a William's Scholar for academic achievement as a student athlete at the University of Minnesota. In addition to life, health, and property casualty insurance licenses, Tom has held a general securities license (Series 7) since 1985. He has also obtained licensure for Series 24 (General Principal), Series 53 (Municipal Principal) and Series 65 (Registered Investment Advisor). 11:15 – 12:15 p.m. International Ballroom BEYOND THE MORNINGSTAR GRID: Selecting & Monitoring Funds -Kelly Higgins, VP Sales & Marketing, Zephyr Associates, Inc. -Bob Atkinson, Sales Manager, Zephyr Associates, Inc. Kelly Higgins is the Vice President of Sales and Marketing for Zephyr Associates, Inc. Based in Lake Tahoe, Kelly joined Zephyr Associates, Inc. in 1995 and has been directly responsible for the development and management of the company’s sales and marketing strategies which has included over 30 quarters of strong growth. Kelly’s primary goal has been to drive the company’s sales growth initiatives in a day-to-day leadership role. Prior to joining Zephyr Associates, Inc., Kelly was responsible for the Accounting Systems Department for Vail Resorts for five years. Bob Atkinson has been with Zephyr Associates for over six years. He earned dual degrees from the University of Southern California in Finance and Chemistry. He started as client support and quickly changed over to a consulting role helping clients build StyleADVISOR into their everyday business process. He also aids in research and has published 2 articles in regards to Returns Based Style Analysis. Bob's main role now is sales manager, however he still consults with clients regularly. Center for Due Diligence
  • 6. Speaker Bios - CFDD’s 2006 Advisor Conference Page 6 Tuesday, October 3, 2006 (Continued) Gold Room HOW PROVIDERS ADD VALUE & HELP ADVISORS GROW THEIR BUSINESS: Partnerships Are The Key To Distribution -Marcela Curry (Moderator), Director Business Development, US Retirement, Lipper – A Reuters Company -Terry Kelly, National Sales Manager, AIM Investments -Rocco DiBruno, Director, Retirement Group, Thornburg Investment Management -Chuck LaCascia, Managing Director, DC Business Development, Putnam Retail Management -George van Hook III, Program Manager, Advisor Initiatives, ADP Retirement Services Marcela Curry joined Lipper in January, 2006 as Director of Business Development. Prior to coming to Lipper, Marcela was a Senior Account Executive for Diversified Investment Advisors, Inc., where she spent over 2 years. In all Marcela has over 17 years experience in the Retirement market, serving as a Relationship Manager for Defined Benefit, Defined Contribution and Non-qualified plans for large Fortune 500 plans as well as setting up new retirement plans. Marcela moved to Boston in the year 2000 from Charlotte, NC to join Fidelity Retirement Services Company as a Client Relationship Manager where she was responsible for the oversight of three Fortune 500 cross practice relationships. While in Charlotte, NC, Marcela worked for Aetna Financial Services, now ING Financial Services as Regional Director of Client Management, responsible for 8 Relationship Managers in two regional offices, Charlotte, NC and Nashville TN. In addition, Marcela worked for Provident Mutual Life Insurance Company, also as a Relationship Manager, covering 7 southern states as they marketed their retirement offering via the advisor channel. Marcela has a broad background in the retirement industry having transition from the administration side to relationship management. Ms. Curry received a BA from the University of Houston, Downtown campus, she also holds NASD Series 6, 63 and 26 licenses Terry Kelly Chuck LaCascia is the Director of Defined Contribution Business Development. He joined Putnam in 1993 as Manager of Budget and Planning in the Transfer Agency and became Manager of Budget Planning in Defined Contributions in 1995. In 1997, he was promoted to Chief Administrative Officer of Defined Contributions and assumed his current position in 2000. Mr. LaCascia has 13 years of investment industry experience and holds his series 7 and 24 licenses with the NASD. George van Hook III maintains responsibility for Advisor programs at ADP Retirement Services. In this role, George heads the Alliance Sales Desk, and serves as the internal advocate for the Advisor community. George is a 20 year industry veteran, and has spent the past 15 years in the qualified plan marketplace, managing retirement sales and marketing organizations. Recently, George has successfully launched a Repeat Producer Program at ADP Retirement Services and is currently developing an enhanced Advisor service model for ADP. Center for Due Diligence
  • 7. Speaker Bios - CFDD’s 2006 Advisor Conference Page 7 Tuesday, October 3, 2006 (Continued) Crystal Room ASSET RETENTION: How An IRA Rollover Program Can Differentiate Your Retirement Plans Service -Reginald Bowser, President & CEO, RolloverSystems Reginald Bower has over fifteen years of marketing, business development and general management experience, and is charged with setting the strategic and business direction for RolloverSystems. RolloverSystems represents Mr. Bowser's third start-up venture. Previously, he was a member of the executive management team and Chief Marketing Officer of HorizonGuide, Inc., a web-based venture funded by T. Rowe Price. Prior to joining HorizonGuide, Mr. Bowser was one of the original team members of LendingTree, Inc. where, as Vice President of Marketing and Advertising, he directed every facet of the company's consumer and trade-focused marketing initiatives. Under his marketing direction, the company launched the highly successful When Banks Compete, You Win advertising campaign, making LendingTree the dominant brand in online lending. Mr. Bowser also served in various sales and marketing roles at Eastman Kodak Company and Electronics for Imaging, the world leader in enabling networked printing solutions. Mr. Bowser received a B.S. from George Mason University and an MBA from The Darden Graduate School of Business at the University of Virginia. Regent Room Tax-Exempt Opportunities -David Hinderstein (Moderator), National Retirement Partners -David Ray, VP, Not-For Profit- Business Leader, Diversified Investment Advisors -Peter Margiotta, Director, National Marketing, Great-West Retirement Services -Vince Rainforth, VP, Business Development/Tax-Exempt Market, Principal Financial Group David Hinderstein in his role at National Retirement Partners (NRP), he is responsible for assisting plan sponsors with all aspects of managing their retirement plans. Mr. Hinderstein has over 20 years of experience as a consultant assisting tax-exempt plan sponsors and their employees. Prior to joining NRP, Mr. Hinderstein worked for Arthur J. Gallagher & Co, where he served as President of GBS Retirement Services, Inc.. In addition, David spent almost 10 years in various management positions with CitiStreet (previously The Copeland Companies). David earned his BS degree in Finance from The American University in Washington, D.C. David Ray is Vice President and Not-For-Profit (NFP) Business Leader for Diversified Investment Advisors. In that capacity, he leads the company’s not-for-profit sales and product development efforts. David was previously Regional Vice President with Fidelity Investments Tax-Exempt Services Company (FITSCo) for 18 years and was responsible for investment management, marketing and client services for the not-for-profit market in the Midwest, Southwest and Southeast Regions. He has in excess of 20 years of experience working with not-for-profit organizations on their retirement needs. David earned his Bachelor of Business Administration in Finance from the University of Texas at Arlington. He holds his Series 6, 7, 63 securities licenses, as well as his Group 1 Life Insurance license. Center for Due Diligence
  • 8. Speaker Bios - CFDD’s 2006 Advisor Conference Page 8 Tuesday, October 3, 2006 (Continued) Peter Margiotta is the National Director of Marketing for Great-West Retirement Services and has over 18 years experience in the pension industry specializing in retirement plans for not-for-profit organizations. Currently, his responsibilities range from the marketing of Great-West’s products to overseeing the transition and integration of new clients. Prior to joining Great-West, Mr. Margiotta worked for Diversified Investment Advisors where his responsibilities included sales and marketing. He has a Bachelor of Science degree in business administration from Iona College and is NASD Series 6 and 63 registered Vince Rainforth is vice president of business development, tax exempt at the Principal Financial Group. He is responsible for the national sales and channel development for the tax exempt market. Vince has extensive experience with retirement plan design consultation, 403(b), 401(a), 401(k), defined benefit, 457(b) Qualified and Nonqualified and 457(f) Nonqualified plans and current trends in the tax exempt market. He joined The Principal in 1997 as a retirement plan specialist, and then served as a regional pension specialist role for tax exempt business, focusing on hospital/healthcare and association retirement plans, before moving into his current role in 2005. Prior to joining the company, Vince worked for MLBA for ten years. He received a bachelor’s degree in economics and speech communication from Illinois State University. Vince has his series 7, 63, 66 and life and health license. 12:30 – 1:30 p.m. Exhibitor Area/ Lunch Imperial Ballroom 2:00 – 3:00 p.m. International Ballroom BEYOND CORE MUTUAL FUNDS: When & How To Use Alternative Investment Vehicles Like Collective Trusts & ETFs -Steve Ferber, Executive VP, Collective Fund Services, AST Trust Company -Pamela Hess, Sr. Investment Consultant, Hewitt Associates Steve E. Ferber is Executive Vice President of AST Trust Company and is responsible for the firm’s Collective Fund Services. Steve has over 20 years of retirement, institutional asset management and benefit’s experience and has particular expertise in helping asset managers build and leverage distribution channels. Steve is a regular industry speaker on a variety of investment and retirement industry subjects, has a degree in Economics from U.C.L.A. and holds his Series 7, 63 and 24 securities licenses. Pamela Hess, CFA, Senior Investment Consultant, has been with Hewitt Associates since January 1999. She has nearly 15 years of experience in the investments industry. Her primary responsibilities are assisting clients with 401(k) plan design, investment manager selection, and performance monitoring. Additionally, Pam is an expert in the evaluation of total plan cost, and serves as Hewitt’s spokesperson on Center for Due Diligence
  • 9. Speaker Bios - CFDD’s 2006 Advisor Conference Page 9 Tuesday, October 3, 2006 (Continued) this and other topics. She has authored or contributed to a number of articles on investing, and defined contribution trends. Pam earned her Masters in Business Administration from The Graduate School of Business at the University of Chicago, and received a Bachelor of Science in Finance from the University of Illinois. Additionally, she holds the Chartered Financial Analysts® designation and is NASD licensed (Series 7, 63 and 65). Gold Room OPEN ARCHITECTURE PROVIDER BUSINESS MODELS: Strengths, Weaknesses & Differentiation -Brian Lampsa (Moderator), VP, Howe Barnes Investments, Inc -Frank Bruno, Sr. VP, TruSource -Henry Schwarzberg, National Sales Director, DailyAccess Corporation -Mike Narkoff, Sr. VP, Distribution Support Services BISYS Retirement Services -Gerald Erickson, Principal, Milliman, Inc. Brian Lampsa, CIMA, AIF founded the Retirement Plan Group for Howe Barnes Investments, Inc. to focus on the unique needs of plan sponsors. Brian graduated from Marquette University with a Business Administration degree with a specialization in Finance. Brian has earned a Certified Investment Management Analyst (CIMA) designation from the Investment Management Consultants Association (IMCA). He has also earned the Accredited Investment Fiduciary (AIF) designation from the Center for Fiduciary Studies. Frank Bruno, AIF®, Sr. Vice President, National Sales of TruSource. Since 1985, Frank Bruno has been a member of the retirement plan wholesaling community. With more than 20 years experience, his credentials span several top firms, including Manulife (now John Hancock Financial), John Hancock, Qualified Benefits, Inc. and CIGNA Retirement & Investment Services. The tenure with these firms has sharpened Frank’s expertise in both large and small plan markets along with the understanding of working in both the investment only and full service plan arenas. Currently, Frank is Senior Vice President and the National Sales Director for TruSource, Trust Outsourcing Partners, a division of Union Bank of California, N.A. His responsibilities include the management of the TruSource sales team and procurement of new outsourcing opportunities. Frank has been with TruSource for close to 10 years. Frank graduated from the University of California, Los Angeles in 1984 where he earned a Bachelors degree in History. He holds NASD series 7, 24 and 63 licenses. Frank also holds an AIF® designation. Henry Schwarzberg, JD, AIF®, PRP is the Director of Business Development for DailyAccess Corporation based in Mobile AL. DailyAccess Corporation is a nationally known premier retirement plan solution provider serving more than 800 Defined Contribution plans nationwide with more than $3.5B in assets. Most recently Henry was the Regional Sales Director; Wealth Strategies Division, Retirement Investments, for Columbia Management Distributors, covering the Western states, Alaska and Hawaii. He previously served as Executive Director of Retirement Services for the Western Region of CIBC Oppenheimer, a division of CIBC World Markets. Originally a practicing attorney from New York Henry commenced his career in financial services in 1978 as Assistant General Counsel for the insurance subsidiary of Orion Capital Corp. a New York Stock Exchange listed company. He has had his own securities and investment advisory firms, and has been a DFA Advisor. Center for Due Diligence
  • 10. Speaker Bios - CFDD’s 2006 Advisor Conference Page 10 Tuesday, October 3, 2006 (Continued) Mike Narkoff oversees sales and marketing efforts for BISYS’ financial intermediaries. His long experience in sales and marketing allows him to offer in-depth insights on needs-based retirement plan selling to financial advisors. Mike’s career spans 16 years of various responsibilities for retirement services, operations, project management, industry intelligence and client relations. He has also been involved in product development, mergers and acquisitions, and marketing and distribution. Gerald Erickson is a principal and benefits consultant with the Midwest Employee Practice of Milliman. He joined the firm in 1996. Gerald is actively involved in setting the direction of Milliman’s defined contribution services and the Midwest Employee Benefits Practice. He is currently a member of Milliman’s Employee Benefits Steering Committee and Chairman of the Strategic Marketing Group. He also participates in several other committees. Mr. Erickson’s Professional Designations are as follows: Certified Pension Consultant, American Society of Pension Professionals and Actuaries, Qualified Pension Administrator, American Society of Pension Professionals and Actuaries, Qualified 401(k) Administrator, American Society of Pension Professionals and Actuaries, NASD Series 65: Registered Investment Advisor Exam, NASD Series 63: Uniform Securities Agent State Law Exam, and NASD Series 6: Registered Mutual Fund Representative Crystal Room DEVELOPING ADVISOR WEBSITES, BROCHURES & NEWSLETTERS: How Advisors Market, Sell & Service In The 21st Century -Rhonda Evans, PhD. (Moderator), Director Of Research, The McHenry Group/Plan Tools™ -Eric Hughes, Managing Director, Simplexity, LLC -Brian C. Hubbell, Principal, Hubbell Consulting, LLC -Al Otto, Co-Founder, White Horse Advisors, LLC -Randy Long, Managing Principal, SageView Advisory Group Rhonda Evans is 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. Eric Hughes is Managing Director and Vice President of Client Services for Simplexity, a software technology firm serving the financial services industry. Eric worked as a Director at Charles Schwab, where he designed Schwab’s electronic distribution and delivery applications and trading environments, managing the purchase, installation and support of multi-million dollar systems. Eric also initiated and ran a cross-disciplinary group responsible for architecting implementing one of the largest private TCP/IP-based networks in the U.S. for Wells Fargo Bank. When Wells Fargo and First Interstate Banks merged, Eric was promoted to Vice President of Intranet Applications to build and lead a group to design, implement and manage the new “internal internet.” By the time Eric left Wells in late 1997 to go into business for himself, the bank’s Homestead intranet had grown to serve more than 20,000 employees. Center for Due Diligence
  • 11. Speaker Bios - CFDD’s 2006 Advisor Conference Page 11 Tuesday, October 3, 2006 (Continued) 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. In 1985, he joined the consulting firm of Findley Davies where he spent over 20 years becoming 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 Profit Sharing/401(k) Council of America, Pension and Investment Age, and Center for Due Diligence. He is past president of the Charlotte Pension Forum and has been an instructor for the CEBS curriculum. Brian earned a Bachelor of Science degree from the University of Iowa with a major in Business Administration. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. He leads the Retirement Plan Advisors team, which serves more than 110 clients with over $1.25 billion of assets under advisement. He is a recognized expert on the topic of fees in retirement plans and developed Plan Resource AllocationSM, a proprietary tool for determining value vs. cost in a retirement plan. Al believes success comes by championing a client-first approach and protecting client’s financial decisions through fee transparency. With over 25 years of experience, Al is a nationally recognized leader in the retirement industry. He is a frequent speaker on retirement plan issues, and has been published or quoted in Plan Sponsor Magazine, CFO Magazine, Employee Benefit News, Employee Benefit Plan Review, Investment News and Business & Compensation Solutions. In addition, Al is on the Editorial Advisory Board, as well as a contributing writer, for Benefits & Compensation Solutions. His most recently published articles include “401 (k) Plan Fee Disclosure for Dummies” in the Journal of Pensions and a three-part series in Benefits & Compensation Solutions that delves into the complex topic of retirement plan fees. Randall C. Long Financial services industry veteran 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. Long formed SageView by assembling a team of top, seasoned financial advisors and professionals from Mellon Consulting (formerly Buck Consulting), First Financial Resources, Benefits Funding Services Group (BFSG), and Smith Barney. 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. Long earned his Bachelor of Science degree in business administration from San Diego State University. Long 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. Long is an Accredited Investment Fiduciary (AIF) 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
  • 12. Speaker Bios - CFDD’s 2006 Advisor Conference Page 12 Tuesday, October 3, 2006 (Continued) Regent Room How To Evaluate Trustees & Custodians -Larry Johnson (Moderator), Principal, Lawrence Johnson & Associates -David Semmler, VP Sales, Matrix/MG Trust Company -Sharon H. Ennis, SVP, Reliance Trust Company -Michael W. Hlavin, VP, Corporate Client Services, Wilmington Trust Company Lawrence Johnson has over 30 years of tax experience of which the past 25 have concentrated on qualified retirement plans. A nationally recognized expert in the qualified plan area, Mr. Johnson is a frequent author and lecturer and has been quoted in many publications, including the Wall Street Journal. Mr. Johnson is a graduate of U.C. Berkeley and sits on the U.C. Berkeley Board of Trustees. A CPA, he is a member of the American Institute of CPA’s and the California Society of CPA’s. He also sits on several advisory boards including Schwab’s PAS Trust & Custody Advisory Board, and the SunGard Executive Forum. David Semmler In his role as Vice President with Matrix Settlement & Clearance Services, LLC (MSCS)/MG Trust Company, David provides plan-level sales consulting and support for mid-large market retirement plans to the company’s TPA partners nationwide as well as brokers and advisors using the platform. This includes providing RFP responses, negotiating service fees, asset reviews, competitive analysis, generating proposals and representing MSCS/MG Trust Company in finals presentations. He also markets to the broker/dealer, advisor and consultant communities to build awareness of the MSCS/MG Trust Company independent, open-architecture. David has over 10 years experience in the industry with stints at Charles Schwab Corporate Services, Vanguard and AST Trust Company. He earned his Bachelors of Science degree in Management from Grand Canyon University, in Phoenix, AZ and is an Accredited Investment Fiduciary (AIF). He is a member of the American Society of Pension Professionals & Actuaries and also the Western Pension & Benefits Conference – Denver Chapter. Sharon H. Ennis joined Reliance Trust Company in 1993 as Senior Vice President; she is the Manager of Alliance Services in the Institutional Trust Division. Her responsibilities include sales, product development and institutional relationship management. She has over twenty-five years experience managing and consulting in financial services environments. Her background includes securities brokerage, investment management, compliance, employee benefits, trust operations and product development. Prior to joining Reliance in 1993, she served as a Vice President at Bank of America, managing in the institutional trust division and the Bank’s predecessor companies in their investment services group and brokerage subsidiary. She currently serves as a member on the Investment Company Institute Bank Trust and Recordkeeping Advisory Committee (BTRAC). Her professional education includes NASD licensing (six total, including four NASD Principal designations), the Tuck School of Business at Dartmouth, Cannon Financial Institute of Employee Benefits, SPARK, CRSP designation (Certified Retirement Services Professional) and ASPPA memberships. Sharon has served as the Chairman of Reliance's Investment Policy Committee. Michael W. Hlavin is a Vice President of Wilmington Trust Company’s Corporate Client Services Division. Mike is responsible for new business development and client relationship initiatives of the Corporate Retirement Services’ trust, custody, trading and paying agent services through strategic partners. With over 20 years of experience in the financial services industry and an emphasis in corporate retirement plan services, Mike serves as a valuable resource to plan sponsors, TPAs and their respective investment advisors. Center for Due Diligence
  • 13. Speaker Bios - CFDD’s 2006 Advisor Conference Page 13 Tuesday, October 3, 2006 (Continued) 3:15 – 4:15 p.m. International Ballroom Is Open Architecture Over Marketed, Largely Irrelevant, Not Particularly Desirable & Does It Really Exist? -David Hinderstein (Moderator), National Retirement Partners -David L. Liebrock, EVP, Retirement, Fidelity Investments Institutional Services Company, Inc -Dave Thompson, Field VP, Sales & Business Development, Charles Schwab & Co., Inc -Mark Kordonsky, Principal, SageView Advisory Group -A. W. “Bud” Green, Principal, Fortress Wealth Management David Hinderstein in his role at National Retirement Partners (NRP), he is responsible for assisting plan sponsors with all aspects of managing their retirement plans. Mr. Hinderstein has over 20 years of experience as a consultant assisting tax-exempt plan sponsors and their employees. Prior to joining NRP, Mr. Hinderstein worked for Arthur J. Gallagher & Co, where he served as President of GBS Retirement Services, Inc.. In addition, David spent almost 10 years in various management positions with CitiStreet (previously The Copeland Companies). David earned his BS degree in Finance from The American University in Washington, D.C. David L. Liebrock is an Executive Vice-President with Fidelity Investments Institutional Services Company, Inc. Based in Smithfield, Rhode Island Dave heads up the advisor-market defined contribution group including product development, new business, compliance services, program marketing and customer service. Dave is a 15 year veteran with Fidelity who has held leadership roles in the retirement business including; Large Plan Services and distribution of DC in Canada and the United Kingdom. Dave Thompson is National Director of Sales for Charles Schwab Corporate and Retirement Services, overseeing the direct sales effort for Schwab’s bundled retirement offering. He also leads the Business Development teams including Consultant Relations, Retirement Investment Services, Proposals and Business Acceptance. David joined Schwab in October of 1998 to build a national consultant relations effort around Schwab’s growing defined contribution bundled services offering, serving as the primary point of contact at Schwab for investment and benefits consultants and advisors working in the corporate benefit plan marketplace. Prior to joining Schwab, David spent twelve years with Fidelity Investments where he was Vice President of Consultant Sales for the Tax-Exempt Services Company. Other responsibilities included officer-level positions in sales development, client relationship management and plan implementation and conversion. David has been a featured presenter in numerous industry conferences including the Securities Industry Association and the Investment Management Institute. He holds the Series 7, 6, 63 and 26 licenses through the NASD and is a graduate, cum laude, of Bowdoin College. Center for Due Diligence
  • 14. Speaker Bios - CFDD’s 2006 Advisor Conference Page 14 Tuesday, October 3, 2006 (Continued) Mark Kordonsky, Principal, SageView Advisory Group, in the Los Angeles office, 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. A. W. “Bud” Green is a Principal of Fortress Wealth Management, Inc. a fee based 401(k) Consultant and Investment Management firm with locations in San Ramon and Santa Monica, California. Mr. Green has 20 years of experience in the 401(k) industry and holds an AIF designation from the Center for Fiduciary Studies. Gold Room How Advisors Can Partner With The Next Generation Of Non- Producing TPAs & Neutral Trust Platforms -Joseph P. Finn (Moderator), Regional VP, Fidelity Investments Retirement Plan Administrator Svcs -Kent Fitzpatrick, EVP, Charles River Retirement Consultants, Inc. -Matt Gulseth, Qualified Plan Team Leader, Virchow Krause Wealth Management, LLC -Ross Brown, SVP, Sales and Relationship Management, ExpertPlan, Inc. -Thomas B. Pittman, Chief Marketing Officer, The Newport Group Joseph P. Finn is vice president for Fidelity Registered Investment Advisor Group (FRIAG), a leading provider of custody and brokerage services and a unit of Fidelity Investments. Mr. Finn is responsible for sales relationship management for Third Party Administrators and bank trust markets. Mr. Finn joined Fidelity in 1995 responsible for new business development with Registered Investment Advisors. Mr. Finn assumed his current position in 1999. Prior to joining Fidelity he worked for Keystone Distributors wholesaling mutual funds. Mr. Finn started his career as a Financial Consultant with Shearson Lehman Brothers in 1986. Mr. Finn received a bachelor of science in business from Fitchburg State College in 1986 and an MBA from Suffolk University in 1995. Kent A. Fitzpatrick, AIFA, ARPC is a founding partner and principal of Charles River Retirement Consultants, a SEC Registered Investment Advisory firm focused on retirement plan consulting. Charles River has offices in Boston, Massachusetts and Harrisburg, Pennsylvania. He is a General Securities Principal, a Registered Investment Advisor Representative, and a Registered Representative of NFP Securities, Inc. Kent is also an Accredited Investment Fiduciary Auditor tm from the Center for Fiduciary Center for Due Diligence
  • 15. Speaker Bios - CFDD’s 2006 Advisor Conference Page 15 Tuesday, October 3, 2006 (Continued) Studies at the University of Pittsburgh and an Accredited Retirement Plan Consultant with the Society of Professional Administrators and Record keepers. He also serves as theVice President of Retirement Advisors and Designers of America (RADA). Kent graduated from St. Anselm College with a BA in Financial Economics. Matt Gulseth is an Attorney and leader of the Virchow Krause Qualified Retirement Plan team. His team currently represents over 100 qualified plans with combined plan assets of over $500 million dollars. He is also a Certified Financial Planner® and Chartered Retirement Plan Specialist®. Matt holds Series 7, 63, and 65 securities licenses and is a registered investment advisors representative. He received his Juris Doctorate from the University of Minnesota Law School. His undergraduate degree is from the University of North Dakota in Engineering Management. Ross Brown, Senior Vice President of Sales & Relationship Management has been with ExpertPlan for 6 years and is responsible for driving sales through the company’s 120 strategic partnerships. He is credited with building the firms in-house retirement plans sales desk and co-developing many of ExpertPlan’s business development products. Prior to ExpertPlan he held operational positions at both Merrill Lynch and CitiStreet. Ross is an active member of ASPPA and received his B.A. in Communications from Rutgers University. 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. Crystal Room Tax Reform & 401(k) Plans -Rick Lawson, VP, Federal Government Relations, Principal Financial Group Richard C. Lawson is Vice President, Federal Government Relations, with the Principal Financial Group, the nation’s 401(k) leader. After graduating from Emory Law School, Mr. Lawson began his career as a labor attorney in Atlanta, Georgia. Subsequently, he was U.S. Senate Labor Counsel where he had jurisdiction over pension laws. His career in the Senate also included serving as Chief of Staff to Senator Don Nickles (R-OK) and as Chief of Staff to the Senate Republican Policy Committee. Prior to joining The Principal, Mr. Lawson was Executive Director at the American Academy of Actuaries. Previous lobbying experience includes serving as Vice President and Counsel, Federal Government Relations, at the American Insurance Association. A native of Perry, Georgia, Mr. Lawson received his B.A. in Business Administration from the College of William and Mary. Center for Due Diligence
  • 16. Speaker Bios - CFDD’s 2006 Advisor Conference Page 16 Tuesday, October 3, 2006 (Continued) Regent Room 2006 RETIREMENT CONSULTANT STUDY: Strategies To Grow Your Business -Ann Schleck, Principal, Ann Schleck & Company -Don Salama, Sr Managing Director, Sales & Marketing, NYLIM Retirement Plan Services -Rick Shoff, CapTrust Financial Advisors -Mark Paone, Financial Advisor, Corporate Client Group Director, Citigroup Global Markets, Inc. 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 & Touche. Ms. Schleck’s experience includes, competitive benchmarking, sales performance programs, client retention and service strategies, product development and business strategy, and strategic marketing. Ann’s clients served are as follows: American Express Retirement Services, AMVESCAP, Board of Pensions – ELCA, Charles Schwab, CIGNA Retirement & Investment Services, Diversified Investment Advisors, Frank Russell, Franklin Templeton, ING, MassMutual, Merrill Lynch, MFS, Mutual of Omaha, New York Life Benefit Services, Prudential, Putnam Investments, SunTrust, T. Rowe Price, Wachovia and Wells Fargo. Ms. Schleck received her Bachelor’s degree in English from St. Mary’s College, Notre Dame, and she was past President of the Minnesota Chapter of the Midwest Pension Conference. Don Salama is Senior Managing Director in charge of Sales, Marketing and Product Management at NYLIM Retirement Plan Services. Don has held numerous positions in the retirement plan industry over the last 20 years, including running Retirement Plan Solutions at Hartford Financial Solutions, where he built and managed a $10 billion group retirement plan business line, running institutional sales and marketing for the Vanguard Group, and holding other 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 BS in Aerospace Engineering. He also received an MBA from Cornell University, Johnson Graduate School of Management in 1986. Rick Shoff Center for Due Diligence
  • 17. Speaker Bios - CFDD’s 2006 Advisor Conference Page 17 Tuesday, October 3, 2006 (Continued) Mark Paone is currently responsible for Citigroup’s institutional consulting practice within the defined contribution and defined benefit marketplace. Mark originally began his career at Citigroup in 1996 acting in the capacity of Regional Sales Director for Citistreet Retirement Services. His primary responsibility was the sale of the firm’s proprietary bundled 401(k) products. Additionally, Mark’s responsibilities included qualified plan training for financial advisors at Smith Barney. Prior to joining Citigroup, Mark first developed his retirement plan expertise at MFS Retirement Services in Boston, MA. Mark graduated from Bates College with a Bachelor of Arts degree in Economics. Mark is an associate member of the American Society of Pension Professionals and Actuaries. Mark is also a founding member of the K-Group at Citigroup Smith Barney. 4:30 – 6:00 p.m. Exhibitor Area/ Cocktail Party Imperial Ballroom Center for Due Diligence
  • 18. Speaker Bios - CFDD’s 2006 Advisor Conference Page 18 Wednesday, October 4, 2006 7:00 – 8:00 a.m. Exhibitor Area/ Breakfast Imperial Ballroom 8:30 – 9:30 a.m. International Ballroom YOUR BUSINESS HAS VALUE TO YOU, BUT WILL IT HAVE VALUE TO SOMEONE ELSE: Business Valuation, Health & Succession/Transition Keynote Session Speakers -Ray Henderson, Business Health, PTY., Ltd. (Sponsored by John Hancock Retirement Plan Services) -Tom Bruns, Divisional VP, John Hancock Retirement Plan Services Bob Ossey and Ray Henderson (along with Tony Stephens in Brisbane, Terry Bell and Rod Bertino in Sydney) are two of the Principals of Business Health Pty Limited. Business Health was established to provide practical “down to earth” assistance to businesses with particular emphasis in the financial services industry. The Business Health Team have clients in Australia, the U.S., the U.K., South Africa and New Zealand that range in size from large multinationals to boutique firms. As well as providing cutting edge advice and practice development programs to their private clients, the company has spent over 5 years researching and developing an industry specific web based diagnostic tool, The Business HealthCheck. The HealthCheck is a unique, objective and innovative self-assessment tool, which enables practitioners to step back from the pressures of day-to-day business life and take a careful look at how their business is really traveling. The HealthCheck has been on the market since the middle of 2002 and already over 2000 firms in the U.S., New Zealand, South Africa and Australia have benefited from receiving a comprehensive report from Business Health on how to specifically improve the efficiency and value of their businesses. Business Health brings a wealth of knowledge and experience to the Financial Services industry. Ray and Bob have spoken and consulted in Australia, the U.S.., South Africa, New Zealand and the U.K. helping businesses position themselves for success in the 21st Century. Business Health’s knowledge of market trends and business structures has helped many professionals build valuable, profitable, sustainable and relevant practices. Tom Bruns is a Divisional Vice President for John Hancock Retirement Plans, responsible for the western half of the U.S. He joined Manulife (re-branded John Hancock in 2005) in September of 2003, after 11 years at Kemper and the successor company Scudder. At Kemper, Tom was the President of Retirement Plans in the 90’s with the successful KemFlex product and later at Scudder the President of Scudder Distributors, Inc. With over 23 years of experience in the retirement plan and investment markets, Tom originally worked for Metropolitan Life and later Aetna prior to joining Kemper. Tom attended the University of Illinois and received his Bachelor’s of Science in Biochemistry and Northwestern Kellogg Graduate School of Management where he earned his Masters of Management in Finance and Marketing. Previously a Chicago Fund for UNICEF board member, the last five years, he Center for Due Diligence
  • 19. Speaker Bios - CFDD’s 2006 Advisor Conference Page 19 Wednesday, October 4, 2006 (Continued) has lead a humanitarian group to Honduras to help build homes and provide aid. He lives in the greater Chicago area and is the father of six children and one very beautiful wife. 9:45 – 10:45 International Ballroom How To Add Value When Sponsor Clients Are Subject To A DOL Or IRS Audit -Mark S. Weisberg, Partner, Winston & Strawn LLP Mark S. Weisberg is a partner in Winston & Strawn's employee benefits and executive compensation group. He represents large employers in the design, establishment and administration of employee benefit plans. He has been named one of the leading employee benefits and executive compensation attorneys in the US by the Chambers Guide. Gold Room TPA/Recordkeeper Programs Vs. Bundled Programs -Tommy Thomasson (Moderator), President & CEO, DailyAccess Corporation -Christine Danko, Sr. Planner, Corporate Retirement Plans, Plante Moran Financial Advisors -Gerald Wernette, Principal/Director, Retirement Plan Services, The Rehmann Group -Scott Parry, VP, Institutional Sales, Invesmart Advisors, Inc. -Dan Dodillet, VP Sales, NYLIM Retirement Plan Services Tommy Thomasson serves as President and CEO of DailyAccess Corporation. He co-founded DailyAccess in 1995 to meet the business and technology needs of financial advisors and plan sponsors. Previously Thomasson was a Financial Consultant with Merrill Lynch, focusing on the 401(k) market and gaining extensive experience with large plan sponsors. At Merrill Lynch he sponsored and coordinated the Annual Retirement Plan and ERISA Conference. Thomasson also owned and operated Financial Asset Management Services, Inc., a registered investment advisory firm providing money management services to private and institutional clients. He is actively involved in the local community and serves on the board of The Alzheimer's Foundation of the South. Thomasson earned a Bachelor's degree from Washington & Lee University. Christine Danko is a senior planner with Plante Moran Financial Advisors responsible for the Ohio retirement plan market. She consults with companies on investments, participant education, and plan design. Chris has over thirteen years of retirement plan experience encompassing trust, client management, plan design, sales and consulting. She joined PMFA in 2005 after working with McDonald Investments as their National Sales Manager in the retirement services group. Her team supported more than 500 advisors around the country in the sales and service of retirement plans. Later, she was responsible for McDonald’s Institutional retirement plan practice focusing on retirement plans with $20 million to $400 million in plan assets. Chris has a BBA in Business Management from Baldwin Wallace Center for Due Diligence
  • 20. Speaker Bios - CFDD’s 2006 Advisor Conference Page 20 Wednesday, October 4, 2006 (Continued) College. She earned a Qualified Pension Administrator and a Qualified 401(k) Administrator designation from the American Society of Pension Professionals and Actuaries where she is a member of the Cleveland chapter. She is also a member of the Worldwide Employee Benefit Network (WEB) Cleveland chapter. Gerald Wernette, Principal/Director of Retirement Plan Services, The Rehmann Group, has over 20 years of experience providing retirement plan solutions to industries ranging from professional services to manufacturing, and from one-person firms to organizations with over 10,000 employees. His scope of services has taken him from plan design through annual administration to the plan termination process. Gerald combines his strong technical skills with a solid set of communication skills to deliver the high level of service needed in today’s business environment. Prior to joining Retirement Plan Services, Gerald worked in the tax department of Rehmann Robson and practiced extensively in the Federal Tax area. Gerald is a graduate of Central Michigan University with a Bachelor of Science degree in accounting. He has also earned his designations as a Certified Public Accountant, Certified Employee Benefit Specialist, Accredited Investment Fiduciary Auditor™ and holds an Accident, Health and Life Insurance and Securities licenses and is a Registered Investment Advisor. Scott Parry is the Vice President, Institutional Sales for Invesmart and has the primary responsibility to develop and manage preferred partner relationships with national financial intermediaries. Prior to Invesmart, Scott founded Ameritrade Retirement Services where he created the Ameritrade Retirement Account, Ameritrade's successful Self-Directed Brokerage Account, and elective and EGTRRA IRA Rollover products offered through partnerships with TPAs. Prior to Ameritrade, Scott was a VP for Nelson Information where he led the institutional investment industry's successful effort to standardize composite performance reporting on a monthly time-series basis. Scott holds his NASD Series 7, 24, 63, and 65 licenses. Dan Dodillet is Vice President of Sales for NYLIM Retirement Plan Services and has over 19 years of industry experience. Prior to joining NYLIM, Dan worked as Director of Investment Services and Vice President at large financial service firms. He earned his BA in Economics at the University of Illinois and currently maintains his Series 6 and 63 licenses. Crystal Room GOLD: An Alternative Asset Class -George Milling-Stanley, Manager, Investment & Market Intelligence, World Gold Council -Jill Iacono, Principal, Advisor Strategies Group, State Street Global Advisors George Milling-Stanley is Manager of Investment and Market Intelligence with the World Gold Council. The Council is an international association of the leading gold mining companies from around the world, and its mandate is to increase the consumption of gold in all its forms. George first wrote about the gold market as a young journalist in 1972. He covered the mining industry as a reporter with the Financial Times in London, ran gold market intelligence for Consolidated Gold Fields (which was at the time the second largest gold mining company in the world), and relocated to New York in 1989 to generate business for the precious metals trading desk at Lehman Brothers. His involvement with the creation and launch of Street Tracks Gold Shares, the first gold ETF in the US, has been the highlight of his 10 years at the World Gold Council. Center for Due Diligence
  • 21. Speaker Bios - CFDD’s 2006 Advisor Conference Page 21 Wednesday, October 4, 2006 (Continued) Jill Iacono is a principal of State Street Global Advisors and director of national accounts with the Advisor Strategies Group. She is responsible for building strategic partnerships with national financial services firms. Prior to this, Jill was a senior marketing manager for State Street Global Advisors Limited in London, England where she was responsible for distribution of SSgA's European-based investment products. Before moving to London, Jill was a member of the SSgA Funds Management Group in Boston, where she facilitated marketing and product development for SSgA's US-registered mutual funds. She has been with the SSgA since 1997. Regent Room COMPANY STOCK & RETIREMENT PLANS: Mitigating Risk, Committee Structure & Due Diligence Issues -Daniel M. Reser, President, Fiduciary Services, Inc. -Laurence A. 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 he 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, Mr. Reser has graduated from the UCLA John Anderson Graduate School of Management, 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. Larry Goldberg is a partner in the Tax, Employee Benefits, and Trusts and Estates Practice Group in Sheppard Mullin's San Francisco office. Mr. Goldberg focuses his practice on the design, implementation and operation of Employee Stock Ownership Plans ("ESOPs"). He has extensive experience in structuring ESOP transactions involving both closely-held and publicly-traded companies in a wide variety of industries. These ESOP transactions are often designed as part of a family ownership transition, management buyout, or investment diversification/liquidity strategy for shareholder groups. Mr. Goldberg also advises clients on various types of pension and profit sharing plans. Prior to joining Sheppard Mullin, Mr. Goldberg was a partner with the firm of Kirkpatrick & Lockhart Nicholson Graham LLP in San Francisco. Mr. Goldberg is a member of the American Bar Association, the National Center for Employee Ownership, the State Bar of California and the San Francisco Bar Association. Additionally, he serves as member of the Steering Committee of The ESOP Association, California/Western States Chapter, and the ESOP Association , where he serves as member of the Legislative and Regulatory Advisory Committee. He was past Chair of the Administrative Advisory Committee of the ESOP Association and a member of the Board of Directors of the Western Pension and Benefits Conference from1993-1996. He is admitted to practice in California and in Texas. Mr. Goldberg was recently named one of the "Top Benefits & Compensation Lawyers in the Bay Area" by Bay Area Lawyer Magazine. Mr. Center for Due Diligence
  • 22. Speaker Bios - CFDD’s 2006 Advisor Conference Page 22 Wednesday, October 4, 2006 (Continued) Goldberg has taught a course in employee benefits for the University of California, Berkeley, Extension Program. 11:15 – 12:15 p.m. International Ballroom How Providers Can Help Advisors Convert To The RIA Model -Greg Munson, VP, Sales & Relationship Management, Charles Schwab & Co., Inc -Robert Oros, VP & Sr Divisional Sales Manager, Eastern Division, Charles Schwab Institutional -John Villegas, Senior Manager, Schwab Retirement Advisor Services Greg Munson manages Sales, Relationship Management and Marketing for Schwab’s retirement intermediary business channel, serving more than 300 institutional clients and 11,000 retirement plans. Schwab provides a full range of retirement support services to Third Party Administrators and Registered Investment Advisors. Schwab administers more than $159 billion in company-sponsored retirement plan assets. Greg joined Schwab in 1993, and has held a number of positions serving its retirement customers. Prior to Schwab, Greg worked at Bank of America in its Trust Services division, managing corporate trust and recordkeeping functions. Greg holds a Bachelor of Science in Business Administration from San Francisco State University and Series 7, 24 and 63 securities licenses. He is the past president of the Northern California Trust Companies Association. Robert Oros joined Charles Schwab & Co. in 1994 in its Corporate Services (SCS) division. In his current role he is responsible for all Sales and Relationship Management activities for Schwab Institutional, which provides custody, trading and practice management services to Registered Investment Advisors. In this capacity he oversees seven regions in the eastern United States representing $187 billion in advised assets. Prior to joining Schwab Institutional, Mr. Oros had responsibility for Product Strategy for the bundled retirement plan business, SchwabPlan. During 1998-2000 he was Chief Operating Officer of Schwab Retirement Technologies (formerly TrustMark), a wholly owned subsidiary of Charles Schwab & Co. Mr. Oros has demonstrated experience in Sales and General Management including Relationship Management, Operations and Technology Development. Prior to joining Charles Schwab & Co., he spent five years in Institutional Trust Relationship Management at Comerica Bank in Detroit, Michigan. Mr. Oros earned a B.S.B.A in Finance and Economics from Central Michigan University and has completed post-graduate work at Walsh College in Troy, Michigan. Mr. Oros has earned the designation of Qualified 401k Administrator (QKA) from the American Society of Pension Actuaries and holds the NASD Series 7, 24 and 63 licenses. Center for Due Diligence
  • 23. Speaker Bios - CFDD’s 2006 Advisor Conference Page 23 Wednesday, October 4, 2006 (Continued) John Villegas The Charles Schwab Trust Company is responsible for the firm’s broker sold platform “Schwab Retirement Advisor Services platform”. In his capacity of Senior Manager, John has overall responsibility for marketing, distribution and contract negotiations for the platform. Prior to joining Schwab , John was employed by ADP Retirement Services where he served as the firm's Vice President, Financial Control responsible for daily trading, reconciliation, adjustment processing, cashiering operations, vendor and mutual fund relationship management. John is an active member of the joint DTCC/ICI Bank Trust Record keeping Advisory Committee where he recently chaired a cross industry task force responsible for putting forwards best practices for the DTCC solution intended to address SEC 22c-2. John lives outside Chicago with his wife, son and daughter. Gold Room How Advisors Add Value & Differentiate Themselves -Rocco DiBruno (Moderator), Director Retirement Group, Thornburg Investment Management -John Kellar, VP Investments, Retirement Plans Consultant, Wachovia Securities -Greg Poplarski, National Sales Director,Major Wirehouses, Regionals and Banks, Lincoln Financial -Steven E Benson, SVP Business Development, ExpertPlan Rocco DiBruno is the Director of the Retirement Group at Thornburg Investment Management, the investment advisor for Thornburg mutual funds. He is responsible for investment only mutual fund sales and marketing of the company’s value added services to plan service providers and financial advisors. Prior to joining Thornburg in 2003, Rocco was a Vice President and Regional Sales Manager responsible for employer-sponsored retirement plan sales and marketing at Merrill Lynch. Rocco has over 25 years experience working with financial advisors and plan sponsors in retirement plan sales, consulting, marketing, and product development. 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 received his Accredited Investment Fiduciary Analyst™ (AIFA) designation from The Center for Fiduciary Studies. John P. Kellar, Investments, Retirement Planning Advisor, graduated Florida Institute of Technology with a Bachelors of Technology in Petroleum Engineering in 1978. Degree in Business Management from Nichols State University in 1983. Licensed in the security business in December of 1986. John Kellar currently holds the following licenses: Series 63, Series 65 and Series 7, as well as Health, Life and Annuity. He 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 Instutute PRP(r) (Plan Sponsor Retirement Professional), an associate member of ASPPA (American Society of Pension Professionals & Actuaries) and NTSAA (National Tax Sheltered Accounts Association). He has been actively involved in the retirement and 401(k) market since 1988 and has been an employee of Wachovia Securities since 1998. John has extensive experience in plan design as well as employee education. John has conducted numerous searches for corporations seeking a new provider and has first hand working knowledge of 401k plans. Center for Due Diligence
  • 24. Speaker Bios - CFDD’s 2006 Advisor Conference Page 24 Wednesday, October 4, 2006 (Continued) Greg Poplarski is the National Sales Director for Banks and Wire Houses for Lincoln Employer Markets. As part of an aggressive expansion of the Intermediary Channel, Poplarski is recruiting to increase the Bank and Wire House team to 12 wholesalers. Prior to joining Lincoln Employer Markets, Poplarski served as Senior Vice President, National Sales at Prudential Retirement. In that role, he expanded distribution channels and was responsible for hiring and training four new Retirement Plan Wholesalers. In 1994, Poplarski joined Merrill Lynch as Vice President, Retirement Plan Manager before being promoted to Vice President, Eastern Regional Sales Director. He also worked at Sedgewick Noble Lowndes, Dean Witter Reynolds and TIAA-CREF. Poplarski earned a bachelor’s e degree in business management in 1981 from St. John’s University in New York. In addition to various NASD registrations, Poplarski is an Accredited Investment Fiduciary and holds a Retirement Plan Associate designation from the Wharton School, International Foundation of Employee Benefits. He currently resides in Atlanta, Georgia. Steven E. Benson, Senior Vice President, Business Development, ExpertPlan,Inc. Mr. Benson has 30 years experience marketing retirement plans and has held key management positions at UPI/ BISYS, Diversified Investment Advisors, Prudential and Aetna/ING. He is know for his diverse knowledge of defined contribution plan operations, investments and sales practices. His knowledge and experience has led to assignments as an expert witness. In his current assignment Mr. Benson provides strategic design, marketing consulting and training to numerous TPA’s, mutual fund firms, broker dealers and investment advisors. Mr. Benson received his B.S. from the University of Massachusetts and his M.A. from the University of Connecticut. Crystal Room EDUCATING THE PARTICIPANT: Whose Job Is It & What Is Effective -Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP -Lisa Smith, Sr. VP, Retirement, Fidelity Investments Institutional Services Company, Inc. -Ralph Vizl, VP Strategy & Research, John Hancock Retirement Services -Ian Sheridan, VP, Marketing & Business Development, MassMutual Dorann Cafaro is the Executive Vice President of National Retirement Partners, a leading national network of independent retirement experts. Dorann is the founding partner of The Cafaro Group LLC, started in 1981 and she was recently identified by PLANSPONSOR magazine as the Retirement Advisor of the Year. The Cafaro Group LLC provides retirement consulting services to retirement plan sponsors and their participants. Dorann 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 holds a B.S. from Marquette University in mathematics, and is Series 7, 8, 63, 65 and Health and Life licensed. Dorann, with over 28 years in the financial industry, is recognized for her unique, unbiased consulting advice. Lisa Smith is a Senior Vice President with Fidelity Investments Institutional Services Company, Inc. Lisa, a 16 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, including the business acceptance functions. Lisa has held a number of leadership roles at Fidelity including heading the Communication and Education Center for Due Diligence
  • 25. Speaker Bios - CFDD’s 2006 Advisor Conference Page 25 Wednesday, October 4, 2006 (Continued) group for Fidelity Retirement Service Company’s (FIRSCo) Large Plan Services unit which provides total benefits outsourcing to Fortune 500 Companies. In that role, Lisa was part of the team that developed Fidelity's industry leading first|PERSON communication program. Ralph Vizl, VP Strategy and Research, is responsible for developing divisional strategies and leading research activities for the Retirement Plan Services organization. Prior to this new role, Ralph was VP Marketing responsible for the development of the new Ezk Participant Program, a comprehensive program that delivered leading on line and print solutions to satisfy participant retirement and financial planning needs. Prior to joining Manulife in 1999, Ralph held senior management positions in both Marketing and Finance. Over the span of his sixteen-year career in the financial services and public accounting sectors, Ralph has worked for Kemper, The Dominion of Canada General Insurance Company and PriceWaterhouseCoopers. He has held various roles as Assistant Vice President Inforce Marketing, Chief Financial Officer, Assistant Vice President Business Analysis and Assistant Vice President Business Development. Ralph is a Chartered Accountant and holds a Bachelor of Commerce degree from the University of Toronto. Ian Sheridan has more than 20 years of retirement industry experience in strategic planning, business development, marketing and operations. He is the innovator of MassMutual’s first-of-its-kind e4SM Enhanced Electronic Enrollment Experience, a wireless participant education and enrollment technology, and co-author of a recently published white paper, “A Behavorial Approach to Retirement Planning: Automation, Personalization and Engagement.” Prior to joining MassMutual, Sheridan headed marketing and business development for ADP Retirement Services. A graduate of Western Connecticut State University’s Ancell School of Business, he is a member of the Society of Professional Administrators and Record Keepers, the National Defined Contribution Council, and the Profit Sharing/401(k) Council of America’s Provider Advisory Committee. Regent Room CAPITALIZING ON THE TREND TO FREEZE/TERMINATE DB PLANS: Issues & Opportunities -Patrick J. Kendall, VP, DB Practice Leader, Diversified Investment Advisors -Matt Gnabasik, Managing Director, Blue Prairie Group Patrick J. Kendall, F.C.A., E.A., is a Vice President and Defined Benefit Practice Leader. Mr. Kendall is also a member of Diversified’s Defined Benefit Management Committee, which is responsible for managing the Company’s Defined Benefit business. Mr. Kendall is responsible for all aspects of marketing, product development and sales regarding Diversified’s Defined Benefit platform. 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, Mr. Kendall directs efforts to design, implement, and maintain marketing materials and campaigns to accurately exhibit continually evolving product features to target audiences. Also, Mr. Kendall serves as the Senior Consulting Actuary for a small group of Diversified National Accounts. 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 is a frequent speaker at conferences geared toward the retirement plan sponsor community, and has been in the Retirement Plans business since 1989. Mr. Kendall is a graduate of Dartmouth College. Center for Due Diligence
  • 26. Speaker Bios - CFDD’s 2006 Advisor Conference Page 26 Wednesday, October 4, 2006 (Continued) Matt Gnabasik is one of the nation’s most respected retirement plan consultants, having worked with hundreds of corporate, not-for-profit and government clients throughout the country. He is the founder of Blue Prairie Group, a full service human resource and investment consulting firm and the author of the award-winning book, Smart Choices: Selecting and Administering a Safe 401(k) Plan. Matt has spent his entire career in the employee benefits area concentrating on ERISA retirement plans. Prior to founding Blue Prairie Group, he headed up three separate institutional retirement consulting practices in Florida and the Midwest and before that, sold retirement plans for a large 401(k) provider. He writes and speaks regularly on retirement plan issues and is currently working on his second book, 401(k) Inc.: Building a Successful Retirement Practice. (Please go to www.blueprairiegroup.com for sample writings, interviews and speeches.)” 12:30 – 1:30 p.m. Exhibitor Area/ Lunch Imperial Ballroom 2:00 – 3:00 p.m. International Ballroom DEVELOPING HIGH NET WORTH BUSINESS: Strategy & Efficiency -Ward Harris, (Moderator), Founder & CEO, The McHenry Group/Plan Tools™ -Dennis Clark, CEO, Advisor Partners -Linda Lubitz, President, The Lubitz Financial Group - Gerry O’Connor, Director, Spectrem Group Ward Harris, founder and chief executive of The McHenry Group. Since1998 has McHenry and its PlanTools™ subsidiary have helped safely create better business results and enhanced client relationships. Ward was formerly national sales development director with Charles Schwab & Co., supporting the development and distribution of corporate and advisory services through direct and indirect business channels. His prior service was with The Bank of California, First Interstate Bank and Dean Witter. Dennis Clark Center for Due Diligence
  • 27. Speaker Bios - CFDD’s 2006 Advisor Conference Page 27 Wednesday, October 4, 2006 (Continued) Linda S. Lubitz, CFP®, is the founder and President of The Lubitz Financial Group in Miami, Florida, providing fee-based personal financial planning and investment advisory services for individuals and company-sponsored retirement plans. She is also the Managing Director of Boone Financial Advisors, East Bay Region, in San Francisco. She has been named one of "America's Best Financial Advisors" by WORTH Magazine starting in 1994, and has also been named one of the “Top 120 Financial Advisors for Doctors” every year since 1998 by Medical Economics Magazine. Nationally, she served on the Board of Directors of the Financial Planning Association from 1999 – 2002 and was Chairperson for The Conference for Advanced Planning in 1996. She is also currently an emeritus member of the advisory board of the TIAA-CREF Institute. Ms. Lubitz is also an accomplished writer, having co-authored, along with Norm Boone, CFP®, Creating An Investment Policy Statement: Guidelines and Templates published by FPA Press in 2004. A prior publication and software, The Investment Policy Statement Guidebook, was published by Ibbotson Associates. She is also the developer of the web based software application, WWW.IPSAdvisorPro.com, a patent pending application to help advisors easily and professionally create Investment Policy Statements for their clients. Ms. Lubitz also successfully summited Mt. Kilimanjaro in Africa in January of 2004. She would be happy to tell you about that experience, but she’s sure you’ll want to hear about today’s program instead. Or you can always ask about her three cats. Gerry O’Conner Gold Room THE INVESTMENT FIDUCIARY: Defining A Global Standard Of Excellence -Don Trone, Co-Director, Center for Fiduciary Studies Don Trone is the CEO of Fiduciary360, which coordinates the resources of the Foundation for Fiduciary Studies; the Center for Fiduciary Studies, which operates in association with the University of Pittsburgh; and, Fiduciary Analytics which develops web-based tools to support the decision making process of investment fiduciaries. He is also on the Board of Directors for CEFEX (Centre for Fiduciary Excellence), which was established to serve as the global certifying body for Investment Stewards, Investment Advisors, and Investment Managers. In 2006 and 2005, Don was selected for the prestigious IA25, the listing of the twenty-five most influential people in the investment advisory industry. 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. In 2003, Don was appointed by the U.S. Secretary of Labor to represent the investment counseling industry on the ERISA Advisory Council. Don is co-author of two industry bestsellers, Procedural Prudence and The Management of Investment Decisions (McGraw-Hill Publishing), and lead the development of the industry’s fiduciary handbook series, Prudent Investment Practices. Center for Due Diligence
  • 28. Speaker Bios - CFDD’s 2006 Advisor Conference Page 28 Wednesday, October 4, 2006 (Continued) Crystal Room What Advisors Want From Providers -Mark Kordonsky (Moderator), Principal, SageView Advisory Group -Doug Prince, Managing Director, Stifel Nicolaus & Company -Trisha Brambley, President, Resources For Retirement, Inc. Mark Kordonsky, Principal, SageView Advisory Group, in the Los Angeles office, 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. Doug Prince is a Managing Director with Stifel Nicolaus & Company, Inc. He has been working with retirement programs since 1990. Doug currently advises over $1 Billion in assets for clients throughout Indiana. In December of 2005, Doug’s team was named, in Plan Sponsor Magazine, as one of the 30 most successful retirement plan advisory groups in the country. Doug received his Bachelor of Science in Accounting from Northern Kentucky University. Doug 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. Doug is an Accredited Investment Fiduciary Auditor through the Center for Fiduciary Studies. Doug is a frequent public speaker and has spoken on many areas of employee benefits and retirement savings. Doug is a board member of BehaviorCorp in Indianapolis and a member of the Profit Sharing Council of America’s Research Committee. Doug has written for and been quoted over 30 times in regional and national publications. Trisha Brambley As part of the team that developed the country’s first 401(k) plans, Ms. Brambley was involved in all aspects of bringing these plans to life. Her role included the successful creation of the first 401(k) education programs, putting together plans that fit with the clients’ culture that adopted them, and working through the early days’ trials, tribulations and excitement in uncharted waters. Beginning in 1995, Ms. Brambley launched Resources for Retirement dedicated to helping plan sponsors assess the choices available to them – choices in plan types, vendors, funds and pricing arrangements. Focused on finding the best solutions for her clients, the company provides support for plan fiduciaries and brings a fresh perspective and deep knowledge to plan sponsors. The company was listed in Plan Sponsor Magazine’s list of top consulting firms and garnered among the top scores in the country for client satisfaction. Ms. Brambley is frequently quoted in the press including Money Magazine, Readers Digest, USA Today, Pension & Investment Age, The Philadelphia Inquirer and hundreds more. In addition, she is a speaker on many national forums that focus on retirement plan issues and was an expert witness for the Department of Labor. Center for Due Diligence
  • 29. Speaker Bios - CFDD’s 2006 Advisor Conference Page 29 Wednesday, October 4, 2006 (Continued) Regent Room Developing A Managed Account Solution At The Advisor Level -John Newman, VP, Fiserv Investment Support Services -David Krasnow, President, Pension Advisors John Newman is a CPA with more than 20 years of experience in the retirement plan industry. While at Fiserv, John has been responsible for managing large Wall Street brokerage relationships, analyzing business acquisitions in the trust industry, developing new products and running the Institutional Retirement Plan Services business. Most recently, he has led the development of industry-leading portfolio products for retirement plans working with investment advisors. John has a Bachelor’s degree in Marketing from Washington State University and a Masters degree in Taxation from the University of Denver’s Graduate Tax Program. John lives with his wife and their four children in Highlands Ranch, Colorado. David Krasnow received his BA from Indiana University in 1991 and began his career in the pension industry shortly thereafter with Great West Life & Annuity Company in Chicago, Illinois. After working for GWL for 7 years, David decided to pursue different avenues within the pension field and was hired by Key Bank in Cleveland, Ohio as a Vice President of Institutional Sales. After two years with Key Bank, David had a strong desire to become an independent pension advisor because of the need that he saw for more comprehensive, hands-on service, than that which was being provided by the large institutions. In 1999, David formed Pension Advisors, a pension advisory firm in Beachwood, Ohio. Pension Advisors has grown into a six person firm with over 90 corporate accounts and manages over 400 Million in assets. Pension Advisors’ strength lies in it in-depth knowledge of the pension industry, its aggressive, on-going servicing of its existing accounts, as well as becoming a pioneer in the managed account industry. In 2005, Pension Advisors became the first pension advisory firm to introduce its own managed account product, AdviseMe!® which enables it to personally manage individual participants’ 401(k) accounts. The response to the product has greatly exceeded expectations with an over 62% participation rate. Based on the success of its AdviseMe!® program, Pension Advisor has started a program licensing this program to financial advisors enabling them to offer AdviseMe!® to their clients. David lives in Moreland Hills, Ohio with his wife, Beth, and four children. David enjoys golfing, coaching his children’s sports teams, golfing, spending time with his family, and golfing. Center for Due Diligence
  • 30. Speaker Bios - CFDD’s 2006 Advisor Conference Page 30 Wednesday, October 4, 2006 (Continued) 3:15 – 4:15 p.m. International Ballroom TARGET MATURITY FUNDS: Advantages/Disadvantages, Differences In Management Style & How To Measure Performance -Donald Stone (Moderator), President, Plan Sponsor Advisors, LLC -John Sturiale, Director Of Retirement Investment Services, Schwab Corporate Services -Doug Prince, Managing Director, Stifel Nicolaus & Company -Eric Rubin, President, American Independence Funds -Daniel Wallick, Principal, Investment Counseling & Research Division, The Vanguard Group Donald Stone For twenty-two years, Don has been involved in virtually every aspect of the pension/401(k) industry. He has written and spoken extensively on a broad range of industry topics, chaired the ABA 401(k) Conference, at the Midwest Trust School on retirement plan trends and testified before the ERISA Advisory Council. He is quoted frequently in the financial press including: Bloomberg, Investment News, Financial Executive, Business Finance and the L.A. Times. Before co-founding Plan Sponsor Advisors, LLC, Don ran the investment advisory business in the United States for a European bank and insurance company. Prior to that he ran the institutional trust group of Key Bank and has been involved in the creation of numerous retirement products. Don holds the Accredited Investment Fiduciary™ (AIF) designation from the Center for Fiduciary Studies. He is a member of the Profit Sharing/401(k) Council of America (PSCA) and serves on the Program Committee of the Worldwide Employee Benefit Network (WEB). Don received a Master of Science degree from San Diego State University, completed post-graduate studies at Case Western Reserve University and attended the AIMSE Institute at The Wharton School of Business. John Sturiale is Field Vice President of the Retirement Investment Services Group at Charles Schwab Corporate Services. John serves as the Portfolio Manager for the Schwab Managed Retirement Trust Funds®. He has more than 17 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. He developed the Portfolio Diversification Measure, used to assist plan sponsors in scoring their defined contribution investment lineups. Mr. Sturiale is a member of the Association for Investment Management and Research 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 Accredited Investment FiduciaryTM (AIF®) designation from the Center for Fiduciary Studies-University of Pittsburgh. Doug Prince is a Managing Director with Stifel Nicolaus & Company, Inc. He has been working with retirement programs since 1990. Doug currently advises over $1 Billion in assets for clients throughout Indiana. In December of 2005, Doug’s team was named, in Plan Sponsor Magazine, as one of the 30 most successful retirement plan advisory groups in the country. Doug received his Bachelor of Science in Accounting from Northern Kentucky University. Doug 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. Doug is an Accredited Investment Fiduciary Auditor Center for Due Diligence
  • 31. Speaker Bios - CFDD’s 2006 Advisor Conference Page 31 Wednesday, October 4, 2006 (Continued) through the Center for Fiduciary Studies. Doug is a frequent public speaker and has spoken on many areas of employee benefits and retirement savings. Doug is a board member of BehaviorCorp in Indianapolis and a member of the Profit Sharing Council of America’s Research Committee. Doug has written for and been quoted over 30 times in regional and national publications. Eric Rubin, President of American Independence Funds, is a founding principal of a new and growing investment management firm, American Independence Financial Services, LLC (AIFS). AIFS serves as the investment adviser to the American Independence Funds, featuring the NestEgg Dow Jones U.S. Target Date Funds. Mr. Rubin has been instrumental in fostering the relationship between AIFS and Dow Jones Indexes – having developed the basis for the business rationale for the methodology used to create the Dow Jones U.S. Target Date Indexes. As a result, his firm has created the first ever series of target- date mutual funds based on the Dow Jones U.S. Target Indexes – resulting in a new and innovative financial product that combines the basis of such well-known indexes with the ever-increasing appeal of lifecycle investments. Mr. Rubin’s primary responsibilities include the sales, marketing, and product development for AIFS, which is targeting both institutional and retail investors. Mr. Rubin’s career in financial services spans nearly twenty years. The majority of his focus has been dedicated to building and launching retirement services and mutual funds platforms for well-known organizations across the U.S. such as ING, Furman Selz, Banc One and Mercantile Capital Advisors. Daniel Wallick is a principal in Vanguard's Investment Counseling & Research Group where he is responsible for developing client portfolio strategies. In this role, Mr. Wallick has worked extensively with a broad range of clients creating customized solutions for their investment needs. Prior to joining IC&R Mr. Wallick worked in the Portfolio Review Group, which is responsible for Vanguard's manager selection and the Fixed Income Group where he was a credit analyst. Before coming to Vanguard in 1998, Mr. Wallick worked for Public Financial Management, a public finance consulting firm. Mr. Wallick earned his B.A. in history from the University of Pennsylvania and an M.B.A. from Harvard University. Gold Room How To Build A Business Instead Of A Practice -Bryan Schneider (Moderator), Sr. VP, SMITH HAYES Financial Services -Joseph M. McLaughlin, VP Wealth Management, Senior Retirement Plan Consultant, Kelliher Group at Smith Barney -Paul D’Aiutolo, Institutional Sales Director, McDonald Investments, Inc. Bryan Schneider, AIF® is a Senior Vice President, director and shareholder with the firm SMITH HAYES Financial Services. Prior to joining SMITH HAYES in 1996, he spent four years in the public accounting and consulting profession. As part of a three-member team that focuses on qualified and nonqualified retirement plans, Bryan’s responsibilities include plan design, investment management, employee communication, fiduciary issues and general consulting services to the team’s sixty plus client. He is also responsible for competitive analysis and developing new corporate relationships. Bryan is a member of numerous advisory groups and is Series 7, 63, 65, 24 and insurance licensed. Center for Due Diligence
  • 32. Speaker Bios - CFDD’s 2006 Advisor Conference Page 32 Wednesday, October 4, 2006 (Continued) Joseph M. McLaughlin As The Kelliher Group’s Senior Retirement Advisor, Mr. McLaughlin brings over twelve 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. Joe is one of four Retirement Plan Advisors within the group and is supported by both a client service and analytical team. Graduating with a B.A. in Economics from Stonehill College, he has maintained a rigorous continuing education, including an Accredited Investment Fiduciary™ (AIF®) designation from the University of Pittsburgh Katz Graduate School’s Center for Fiduciary Studies and a PlanSponsor Retirement Professional™ (PRP®) designation from Asset International’s Plan Sponsor Institute. Paul D’Aiutolo has nearly 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, with assets representing $1 Billion. Currently, Paul has been instrumental in building the Institutional Consulting Group (ICG) at McDonald Investments, whose focus is to provide dedicated services to mid-market ($20 Million & larger) ERISA clients. 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 graduated from St. John Fisher College in 1994 with an Accounting degree. He holds NASD series 7, 9,10, 31,63, & 65 licenses and NY State Life, Accident and Health Insurance licenses. In addition, Paul is married and resides with his wife and three children in Rochester, NY. Crystal Room How Advisors Can Partner With TPA/Recordkeepers To Maximize Value -Tommy Thomasson (Moderator), President & CEO, DailyAccess Corporation -Scott Everhart, President, Everhart Financial Group -Jane L. Hagen, VP & Trust Officer, Tri-Start Trust Bank -Erik Gauger, Retirement Plans Consultant, UBS Financial Services, Inc Tommy Thomasson serves as President and CEO of DailyAccess Corporation. He co-founded DailyAccess in 1995 to meet the business and technology needs of financial advisors and plan sponsors. Previously Thomasson was a Financial Consultant with Merrill Lynch, focusing on the 401(k) market and gaining extensive experience with large plan sponsors. At Merrill Lynch he sponsored and coordinated the Annual Retirement Plan and ERISA Conference. Thomasson also owned and operated Financial Asset Management Services, Inc., a registered investment advisory firm providing money management services to private and institutional clients. He is actively involved in the local community and serves on the board of The Alzheimer's Foundation of the South. Thomasson earned a Bachelor's degree from Washington & Lee University. Center for Due Diligence
  • 33. Speaker Bios - CFDD’s 2006 Advisor Conference Page 33 Wednesday, October 4, 2006 (Continued) Scott Everhart, CFP, AIF is the founding member of Everhart Financial Group, Inc. EFG has approximately $190 MM AUM, with $120 MM in retirement plan assets. With approximately 45 plans and 13 years in the retirement plan business, EFG still has a 100% client retention ratio (we have never been removed as the advisor to a plan so far!). We have a total staff of 13, including 2 attorneys, 1 CPA, 3 CFP's, and 2 AIF's. EFG was also racked as the 13th fastest growing RIA in our size range in the country for 2005 by Financial Advisor magazine. Jane L. Hagen has been with Tri-Star Trust Bank for six years. Prior to joining Tri-Star, she spent thirteen years with Citizens Bank in banking and specializing in retirement plans. Jane holds her Michigan Life and Health insurance license, NASD Series 6 and State Securities 63 license. Also, she is a graduate of the Cannon Trust/Employee Benefit School, Graduate of the Accredited Investment Fiduciary (AIF) Center for Fiduciary Studies and a Graduate of Delta College. She is on the board of the Bay Area Community Foundation, Covenant Medical Foundation and is a member of Bay City Morning Rotary, Junior League of Saginaw Valley and Northeast Estate Planning Council. E. Erik Gauger, CFP, QKA is a Retirement Plans Consultant with UBS Financial Services Inc. located in Brookfield WI. Erik has been working with plan sponsors on their retirement plans since 1997. His educational background includes an undergraduate degree in finance from the University of WI- Whitewater, the Certified Financial Planner designation and the Qualified 401(k) Administrator designation. Erik is currently a Level II candidate for the Chartered Financial Analyst designation and is a member of ASPPA and the Milwaukee Society of the CFA Institute. Regent Room Retirement Plan Legislative & Regulatory Update -Kathryn Capage, Strategic Planning Director, Retirement & Tax Advantages Products Division, AIM Investments Kathryn Capage serves as first vice president of sales and strategy in AIM’s Retirement and Education Products Division. With more than 30 years of experience in the marketing, design and administration of qualified plans, Kathryn uses her wealth of knowledge to speak on the ins and outs of retirement and educational plans. Her incisive presentations cover everything from the intricacies of recent tax law changes to ideas 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. 4:30 – 6:00 p.m. Exhibitor Area/ Cocktail Party Imperial Ballroom Center for Due Diligence
  • 34. Speaker Bios - CFDD’s 2006 Advisor Conference Page 34 Thursday, October 5, 2006 7:00 – 8:00 a.m. Exhibitor Area/ Breakfast Imperial Ballroom 8:15 – 9:15 a.m. International Ballroom Strengths & Weaknesses Of Various Small Plan Providers -Vincent Morris (Moderator), VP, Bukaty Companies Retirement Services -Tom Herbruck, Retirement Specialist & Shareholder, Herbruck Alder -Richard A. Robb, Partner, Capital Management Partners, LLC Vincent Morris, PRP®, Vice President, Retirement Plan Services, joined the Bukaty Companies, an employee benefit firm, as an owner of the retirement plan services division in July of 2001. Since joining the Bukaty Companies, he has grown the division from a start up company with few plan assets to a branch office with 8 team members that handle in excess of 100 institutional retirement plan clients with over $420 million in assets, and over 12,000 participants. His management duties include business development, marketing and overseeing day to day operations of the retirement plan services division but as a consultant, he manages vendor searches, implementation timelines and conversion teams, plan design and administration, industry and market analysis and develops written communication plans. Mr. Morris also oversees board training and fiduciary services that help clients stay compliant with various fiduciary standards and best practices. Bukaty Companies adds 25 to 30 retirement plans per year as clients translating into about $80,000,000 to $100,000,000 in new plan assets per year In May of 2006 Bukaty Companies become a member firm of National Retirement Partners. Mr. Morris is a graduate of University of Kansas and has successfully passed the NASD Series 6, 7, 24, 63 and 65 examinations. He has earned the Plansponsor Retirement Professional (PRP) designation, belongs to the Society of Human Resources, is a member of HRMA, and is a member of the American Society of Pension Professionals Association (ASPPA). Tom Herbruck is the VP of Financial Services and shareholder at Herbruck Alder, a Cleveland-based employee benefits brokerage and consulting firm established in 1963. Tom has been advising Ohio employers on benefit issues for over 12 years, with a specialty in qualified retirement plans, and leads a retirement plan team of four specialists. Herbruck Alder provides benefit advice to over 500 Ohio businesses. Richard A. Robb, CFP, AIF Rich's practice focuses on the smaller side of qualified plans. He looks to provide a broad array of associated services of the plan to both the business owners and participants. His typical client is a closely held family business. Rich and his team look to provide high-end comprehensive services to business owners, helping link the usage of the qualified plan to the owner's overall personal and financial goals. On the other end of the spectrum are the rank and file employees, a group Rich's team also looks to service. These people are most in need of retirement support. His team is hard at work devising ways to provide services to this group efficiently and effectively and in a fashion that stimulates them to plan. Center for Due Diligence
  • 35. Speaker Bios - CFDD’s 2006 Advisor Conference Page 35 Thursday, October 5, 2006 (Continued) Gold Room How To Convert From A Commission-Based Business To A Fee- Based Business Within A Wirehouse Environment -Stephen D. Wilt, VP, Sr Financial Advisor, The STAR Group with Merrill Lynch -Susan M. Clausen, Financial Advisor, The STAR Group with Merrill Lynch -Brian Ward, Managing Director - Investment Officer, Ward Financial Advisory of Wachovia Securities Stephen D. Wilt, Senior Financial Advisor, First Vice President, ARPC, is the managing partner for The STAR Group, a premier financial advisor team specializing in retirement, deferred compensation and wealth management programs. Under Steve’s leadership, The STAR Group has been recognized nationally and regionally as a leading consultant and advisor to plan sponsors and participants. Steve is a member of the Merrill Lynch FA Advisory Council, The Profit Sharing Council of America and The American Association of Pension Actuaries. He is past president of The Akron City Club Board and College of Business Alumni Boards. Steve currently serves on the Summa Hospitals Board of Directors and The University of Akron Finance Alumni Board. Steve is a graduate of The University of Akron where he attained his BSBA in International Marketing. Susan M. Clausen, CFM, ARPC, AIF, Partner, The STAR Group with Merrill Lynch, brings over 20 years of institutional plan management and administrative expertise to the STAR Group. During Susan’s career, she has provided client management services for several major service providers, served as the retirement plan sponsor for a Fortune 500 Company and provided consulting services through her own consulting practice. Susan now partners with Steve Wilt as the STAR Group with Merrill Lynch, specializing in plan sponsor consultation, fiduciary guidance, employee education and pre-retirement financial planning. Susan has been a speaker and participant for industry organizations including WEB, Plan Sponsor and ASPA. Susan is a graduate of Northwestern University and the National Graduate Employee Benefit Trust School and has earned the Certified Financial Manager, Accredited Retirement Plan Consultant and Accredited Investment Fiduciary Designations. Brian Ward is Managing Director, Investment Officer, and Senior Institutional Consultant with Ward Financial Advisory of Wachovia Securities. Specific areas of experience include financial strategies and estate planning, investment policy formulation, asset allocation analysis, money manager and mutual fund performance analysis, design/implementation of corporate retirement plans, recordkeeping/administration cost comparison analysis, development of employee communication programs, and fiduciary performance monitoring. Prior to entering the investment field, Brian earned his Bachelor's degree from Christian Brother's University and his MBA from Vanderbilt University. He has also received advanced instruction in Capital Market Theory from the University of Virginia’s Darden Business School as well as training in fixed-income analysis from St. John's University. Brian holds the Accredited Investment Fiduciary (AIF) designation from the University of Pittsburgh, Katz Graduate School of Business, Center for Fiduciary Studies. A founding member of the Retirement Exchange, Brian 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. Brian 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. Outside of his professional career, Brian is very active in the not-for-profit community. Center for Due Diligence
  • 36. Speaker Bios - CFDD’s 2006 Advisor Conference Page 36 Thursday, October 5, 2006 (Continued) Crystal Room COMPLIANCE: Emerging Trends Affecting Providers, Asset Managers & Advisors -Rhonda Evans, PhD., Director Of Research, The McHenry Group/Plan Tools™ -Lois Towers, US Compliance Officer, Barclays Global Investors Rhonda Evans is 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. Lois Towers, Principal and US Compliance Officer, Barclays Global Investors, has a 25 year career in securities compliance. With her departure from Barclays later this year, she will lead The McHenry Group’s compliance and risk management consulting practice as Managing Director. Her role at McHenry will be one of strategic leadership as the firm helps clients address current and evolving regulatory and business issues in the trust, investment management and retirement marketplace. Lois joined Barclays in 1999 following service with Linsco / Private Ledger (Chief Compliance Officer), Charles Schwab & Co. (Schwab Institutional Division Compliance Officer) and Fidelity Investments (multiple divisional roles). Regent Room Using Plan Design As A Sales Tool -Tom Foster, National Spokesperson, The Hartford Retirement Plans Group Tom Foster is Hartford Life's 401(k) National Spokesperson and is also an ERISA attorney. He has over thirty years of experience working with defined contribution retirement plans and is acknowledged as an industry expert in retirement plan legislation, regulations and compliance testing. Mr. Foster has been quoted and/or published in the following periodicals: Investors Business Daily, Smart Money, Kiplinger's Personal Finance Magazine, Dow Jones, Business Finance Magazine, Dallas Morning News, Mutual Fund Magazine, Barron's, CFO Magazine, Defined Contribution News, Bloomberg Television, and Sirius Radio. Center for Due Diligence
  • 37. Speaker Bios - CFDD’s 2006 Advisor Conference Page 37 Thursday, October 5, 2006 (Continued) 9:30 – 10:30 a.m. International Ballroom Strengths & Weaknesses Of Various Mid-Market Plan Providers -Jim Scheinberg (Moderator), Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. -Trisha Brambley, President, Resources For Retirement, Inc. -Steven Glasgow, First VP, Ward Financial Advisory of Wachovia Securities Jim Scheinberg 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. Jim began his career in venture capital in 1990 moving to general securities with Smith Barney Harris Upham in 1992 before joining Oppenheimer's institutional investment management consulting department in 1994. He achieved the Certified Investment Management Analyst (CIMA) designation in 2001 and holds the Accredited Investment Fiduciary Analyst™ (AIFA) and PLANSPONSOR Retirement Professional (PRP) designation. Jim majored in Political Science at the University of California, Los Angeles, and is a regular speaker at industry conferences. Trisha Brambley As part of the team that developed the country’s first 401(k) plans, Ms. Brambley was involved in all aspects of bringing these plans to life. Her role included the successful creation of the first 401(k) education programs, putting together plans that fit with the clients’ culture that adopted them, and working through the early days’ trials, tribulations and excitement in uncharted waters. Beginning in 1995, Ms. Brambley launched Resources for Retirement dedicated to helping plan sponsors assess the choices available to them – choices in plan types, vendors, funds and pricing arrangements. Focused on finding the best solutions for her clients, the company provides support for plan fiduciaries and brings a fresh perspective and deep knowledge to plan sponsors. The company was listed in Plan Sponsor Magazine’s list of top consulting firms and garnered among the top scores in the country for client satisfaction. Ms. Brambley is frequently quoted in the press including Money Magazine, Readers Digest, USA Today, Pension & Investment Age, The Philadelphia Inquirer and hundreds more. In addition, she is a speaker on many national forums that focus on retirement plan issues and was an expert witness for the Department of Labor. Steven Glasgow is a First Vice President – Investments and Senior Institutional Consultant with Wachovia Securities. He works with institutional investors such as defined benefit funds, defined contribution plans, endowments, and foundations, as well as servicing the needs of a small group of high net worth individuals. He has experience working with institutions as a consultant for over $2 billion of institutional plan assets over the last 10 years. 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 asset consulting team. Steven received his Bachelors degree in finance from Auburn University and an MBA 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 Center for Due Diligence
  • 38. Speaker Bios - CFDD’s 2006 Advisor Conference Page 38 Thursday, October 5, 2006 (Continued) Fiduciary (AIF®) program offered through the Center for Fiduciary Studies – an organization affiliated with the Katz School of Business at the University of Pittsburgh. Steven is also one of only two professionals currently in the state of Tennessee to have the PRP designation (Plan Sponsor Retirement Professional) offered through the Plan Sponsor Institute. Steven has been a frequent speaker at numerous professional conferences addressing issues related to hedge fund investing, asset allocation, ERISA compliance, and revenue sharing in the defined contribution marketplace. Last year, Steven was recognized by Plan Sponsor magazine as one of the 30 most successful advisors in the country for the work he provides to plan sponsors as a consultant (Plan Sponsor Magazine; December, 2005.) Steven just completed his tenure as president CFA society of Nashville. Gold Room Helping Advisors Build An Efficient, Scaleable & Profitable Business -Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP -Denise Diana, VP Channel Management, Prudential Retirement -J. Fielding Miller, CEO & Managing Partner, CapTrust Financial Advisors -Robert L. Francis, EVP, Corporate Development, 401kAdvisorsUSA/NRP Dorann Cafaro is the Executive Vice President of National Retirement Partners, a leading national network of independent retirement experts. Dorann is the founding partner of The Cafaro Group LLC, started in 1981 and she was recently identified by PLANSPONSOR magazine as the Retirement Advisor of the Year. The Cafaro Group LLC provides retirement consulting services to retirement plan sponsors and their participants. Dorann 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 holds a B.S. from Marquette University in mathematics, and is Series 7, 8, 63, 65 and Health and Life licensed. Dorann, with over 28 years in the financial industry, is recognized for her unique, unbiased consulting advice. Denise Diana, Vice President, National Channel Director- Prudential Retirement is responsible for the management of all intermediary distribution channels for Prudential Retirement's Division. She and her team develop marketing and sales strategies for key intermediary channels within the retirement industry. She has over 15 years of sales & marketing experience in the benefit and retirement industry and has spent the last 7 years at Prudential Retirement. She received her B.S. Marketing degree from Bryant University and holds her NASD Series 7 & 66, CT Life & Health licenses. J. Fielding Miller is the CEO and co-founder of CAPTRUST Financial Advisors. He has over 19 years of experience in advising fiduciaries, institutions and private investors. CAPTRUST is an independent advisory firm with a specialized focus in the qualified retirement plan market. Headquartered in Raleigh, CAPTRUST has branch offices in Atlanta, Charlotte, Richmond and Washington, DC with 20 advisors that oversee $14 Billion in client assets. Robert L. Francis joined National Retirement Partners in January, 2006, to lead the effort to maximize national relationships with retirement product providers and contribute to the strategic development of the Member Firm acquisition model. In addition, Mr. Francis is instrumental in the development of compliance and corporate governance standards. Mr. Francis began his career in the retirement services Center for Due Diligence
  • 39. Speaker Bios - CFDD’s 2006 Advisor Conference Page 39 Thursday, October 5, 2006 (Continued) industry after graduating from Eckerd College in 1980 with a B.A. 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. Crystal Room AUTOMATIC 401(k): How To Help Participants, Increase Plan Assets & Avoid The Traps Of Negative Election -Pete Swisher, VP of Advisory Services, Unified Trust Company, NA Pete Swisher is a pension consultant and head of institutional sales for Unified Trust in Lexington, Kentucky. In 1988 he graduated with a degree in Linguistics from the University of Virginia, where he was selected for the prestigious Echols Scholar Program. He accepted a commission in the U.S. Marine Corps and served in the Gulf War as Executive Officer of an infantry company. He was promoted to Captain in the top 2% of his class and awarded the Navy Achievement Medal before leaving the Marines for a civilian career in 1993. He joined the financial planning profession after several years’ management experience with a Fortune 1000 company and became a partner in Alley Financial Group in Lexington, Kentucky, where his practice focused on employee benefits. Mr. Swisher has spoken nationally on qualified plans and fiduciary risk management for groups that include the Institute for International Research, American Society of Pension Professionals and Actuaries (ASPPA), Employee Benefits Councils, the Financial Planning Association (FPA), National Institute of Pension Administrators (NIPA), Broker/Dealer organizations, the ERISA Fiduciary Guild, and the California Association of Independent Broker Dealers. As the principal author of the “ERISA Boot Camp” workshop series he delivers workshops across the country annually. He is the author of numerous articles, including “How to Build a Fee-Based Pension Practice,” “Solving the Employer’s Fiduciary Dilemma,” “Revenue Sharing and Ethics,” “The Legality of Kickbacks,” “The Goofy Doctor Plan: Brokers, Self-Direction, and Fiduciary Duty in Qualified Plans,” “Automatic 401(k): Challenges and Opportunities,” and “Prohibited Transactions Involving Revenue Sharing and How to Prevent Them.” His work has appeared in Financial Planning Magazine, the Journal of Financial Planning, The ASPPA Journal, Employee Benefits News, ABA Trust & Investments, and other venues. A paper written with co-author Gregory W. Kasten, “Post Modern Portfolio Theory,” won first prize in the 2005 Annual Call for Papers of the Journal of Financial Planning. His expertise in qualified plans led him to accept his current position as Vice President of Advisory Services for Unified Trust Company in 2000. Mr. Swisher was included in the 2005 Guide to America’s Best Financial Planners published by the Consumers’ Research Council. Mr. Swisher is Past President of the Lexington Employee Benefits Council and is an active member of the Financial Planning Association and American Society of Pension Professionals and Actuaries. Center for Due Diligence
  • 40. Speaker Bios - CFDD’s 2006 Advisor Conference Page 40 Thursday, October 5, 2006 (Continued) Regent Room ASP RECORDKEEPING: Next Generation Daily Valuation Open Architecture Solution -John Blossom (Moderator), President, Alliance Benefit Group -Ross Brown, SVP, Sales and Relationship Management, ExpertPlan, Inc. -Chad W. Parks, President & CEO, The Online 401(k)/Decimal, Inc. -Raj Pillai, EVP, 401k DIRECT John Blossom is president of Alliance Benefit Group, a national TPA firm, with thirteen regional offices. Each ABG office is independently owned and controlled to offer regional administration. As a national organization, Alliance Benefit Group administers several billion dollars in plan assets. Blossom is president and CEO of Alliance Benefit Group of Illinois, inc., the ABG licensee for Illinois, with a branch office in Milwaukee, Wisconsin. The office serves over 700 retirement plans with participants in 42 sates and assets of more than one billion from their office in Peoria. John has been in the benefits field over 40 years. He is a full "Member" of the American Society of Pension Actuaries. He is a CLU and life member of the life insurance industry's Million Dollar Round Table. He is a founder of Retirement Administrators and Designers of America (RADA) a resource-sharing group for retirement plan administrators with a history of more than thirty years. He is a member of the Steering Committee of the Society of Plan Administrators and Recordkeepers (SPARK). He currently is serving on the Charles Schwab TPA Advisory Board, and Fiserv Advisory Board. Blossom attended the University of Colorado, majoring in economics and finance and earned the Master of Business Administration degree from the Graduate Theological Foundation in January 1995. Ross Brown, Senior Vice President of Sales & Relationship Management has been with ExpertPlan for 6 years and is responsible for driving sales through the company’s 120 strategic partnerships. He is credited with building the firms in-house retirement plans sales desk and co-developing many of ExpertPlan’s business development products. Prior to ExpertPlan he held operational positions at both Merrill Lynch and CitiStreet. Ross is an active member of ASPPA and received his B.A. in Communications from Rutgers University. Chad W. Parks is President and CEO of The Online 401(k) (www.theonline401k.com), the leading provider of no-hidden fee, Web-based retirement plans for small and single-person businesses. Mr. Parks is a Certified Financial Planner® (CFP®) who started his Registered Investment Advisor (RIA) practice 10 years ago to help high-net worth individuals and business owners with complex financial needs. Through his RIA practice, Mr. Parks found the small business retirement plan market neglected and underserved, and decided to launch The Online 401(k) in 1999. Today, the company serves more than 2,200 small business customers in 50 states, providing solutions both directly and through distribution partners, such as Charles Schwab & Co., Inc., payroll companies, registered representatives, and registered investment advisor Raj Pillai Center for Due Diligence
  • 41. Speaker Bios - CFDD’s 2006 Advisor Conference Page 41 Thursday, October 5, 2006 (Continued) 10:45 – 11:45 a.m. International Ballroom Strengths & Weaknesses Of Various Large Plan Providers -Randy Long (Moderator), Managing Principal, SageView Advisory Group -Dan Esch, Managing Director, Defined Contribution Advisors, Inc. -Todd Jones, VP, Financial Advisor, CAPTRUST Financial Advisors -Jennifer Marconi Flodin, Chief Operating Officer, Plan Sponsor Advisors, LLC Randall C. Long Financial services industry veteran 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. Long formed SageView by assembling a team of top, seasoned financial advisors and professionals from Mellon Consulting (formerly Buck Consulting), First Financial Resources, Benefits Funding Services Group (BFSG), and Smith Barney. 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. Long earned his Bachelor of Science degree in business administration from San Diego State University. Long 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. Long is an Accredited Investment Fiduciary (AIF) 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. Daniel J. Esch is founder and Managing Director of Defined Contribution Advisors, Inc. Dan has over 20 years of experience in defined contribution plans and has provided consulting services to over 300 major companies in the area of plan design and administration. He has lectured extensively on a national basis and has experience in all aspects of defined contribution plans, including investments, recordkeeping, plan design and employee communications. Prior to founding Defined Contribution Advisors, Inc., 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. Todd L. Jones, Vice President of CAPTRUST Financial Advisors in Raleigh, NC, is a Certified Financial Planner, an Accredited Investment Fiduciary, and an Accredited Retirement Plan Specialist. He consults extensively with corporate retirement plan sponsors on a range of retirement plan management issues to ensure they satisfy their fiduciary obligations. Todd’s formal background lies in the field of Economics. Todd has complimented his formal education by obtaining the designations of CFP ® (from the Certified Financial Planner Board of Standards), AIF® (from the Center for Fiduciary Studies in association with the University of Pittsburg Joseph M. Katz Graduate School of Business), and ARPS (from the Society of Professional Administrators and Recordkeepers). He is currently pursuing the Certified Investment Management Analyst (CIMA) designation awarded by the Investment Management Consultants Association through the Wharton School of the University of Pennsylvania. Mr. Jones possesses his NASD Series 7, 63, 65, and Insurance Licenses. He is an active member of the Financial Center for Due Diligence
  • 42. Speaker Bios - CFDD’s 2006 Advisor Conference Page 42 Thursday, October 5, 2006 (Continued) Planning Association, and serves as a technical editor for the FPA's Financial Planning Perspectives article series. He is an accomplished speaker and has been frequently quoted in the media. Jennifer Marconi Flodin For the past 15 years, Jennifer has been involved in the investment advising and consulting industry. Prior to co-founding Plan Sponsor Advisors LLC, Jennifer spent much of her career at Citibank where she managed a large diversified equity portfolio. In addition to her extensive background in investment analysis and consulting, Jennifer has worked with corporations of all sizes regarding complex fiduciary and investment issues surrounding their retirement plans. Jennifer is a frequent speaker on issues involving the retirement plan market, specifically on topics such as investment selection and analysis, understanding the true cost of running retirement plans, and life-cycle vs. life-style funds just to name a few. Most recently she was interviewed by the U.S. General Accounting Office on fees in retirement plans and how much participants know and/or are informed about how much their plans are costing them. In addition, Jennifer has been quoted in Institutional Investor, Crain's, and Investment News to name a few. Jennifer holds the Accredited Investment Fiduciary™ (AIF) designation from the Center for Fiduciary Studies, the PLANSPONSOR Retirement Professional (PRP) designation from the PLANSPONSOR Institute, NASD Series 7, 24, 51, 63 and 65 licenses as well as life and health licenses. Jennifer is a member of the Profit Sharing/401(k) Council of America (PSCA) as well as the Worldwide Employee Benefits Network (WEB) acting as the Co-Chair for Sponsorship. Jennifer is an active volunteer for the March of Dimes. Jennifer holds a Bachelor of Science degree from the University of Wisconsin - Whitewater. Gold Room RETIREMENT: Evolution Or Revolution? A Call To Action -Richard Malconian, Global Head of Retirement Services, Lipper, Inc., A Reuters Company Richard Malconian joined Lipper, Inc. in 2005 as Global Head of Retirement Services. Lipper is a leading global provider of financial products research and analysis: a wholly owned subsidiary of Reuters. As a Global Head of Retirement Services, Rich is leading the development and implementation of the Global Retirement strategy for both Lipper and Reuters . Prior to his assignment with Lipper, Rich served as Managing Director & President of US Defined Contribution Group at Barclay's Global Investors, Inc. In addition, Rich also served as President of Fidelity Investment Tax-Exempt Services Company where he served for seven years , and was instrumental in establishing Fidelity’s leadership position in the US retirement market. Rich also spent 14 years at Salomon Brothers in New York where he became Managing Director and head of several business units. As a retirement industry leader and speaker, Rich has been featured in Trustee Magazine an The Wall Street Journal. Currently, Rich serves as founding member of Retirement Income Industry Association (RIIA),an also is a member of Reuters America Retirement Committe. Mr. Malconian received an AB, Magna Cum Laude from Bowdoin College and an MBA from Columbia University Graduate School of Business Center for Due Diligence
  • 43. Speaker Bios - CFDD’s 2006 Advisor Conference Page 43 Thursday, October 5, 2006 (Continued) Crystal Room PRACTICE MANAGEMENT: Maximizing The Team Effort In Prospecting, Closing & Servicing -Bryan Schneider (Moderator), Sr. VP, SMITH HAYES Financial Services -Vincent Morris, VP, Bukaty Companies Retirement Services -Jim Scheinberg, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. Bryan Schneider is a Senior Vice President, director and shareholder with the firm SMITH HAYES Financial Services. Prior to joining SMITH HAYES in 1996, he spent four years in the public accounting and consulting profession. As part of a three-member team that focuses on qualified and nonqualified retirement plans, Bryan’s responsibilities include plan design, investment management, employee communication, fiduciary issues and general consulting services to the team’s sixty plus client. He is also responsible for competitive analysis and developing new corporate relationships. Bryan is a member of numerous advisory groups and is Series 7, 63, 65, 24 and insurance licensed. Vincent Morris, PRP®, Vice President, Retirement Plan Services, joined the Bukaty Companies, an employee benefit firm, as an owner of the retirement plan services division in July of 2001. Since joining the Bukaty Companies, he has grown the division from a start up company with few plan assets to a branch office with 8 team members that handle in excess of 100 institutional retirement plan clients with over $420 million in assets, and over 12,000 participants. His management duties include business development, marketing and overseeing day to day operations of the retirement plan services division but as a consultant, he manages vendor searches, implementation timelines and conversion teams, plan design and administration, industry and market analysis and develops written communication plans. Mr. Morris also oversees board training and fiduciary services that help clients stay compliant with various fiduciary standards and best practices. Bukaty Companies adds 25 to 30 retirement plans per year as clients translating into about $80,000,000 to $100,000,000 in new plan assets per year In May of 2006 Bukaty Companies become a member firm of National Retirement Partners. Mr. Morris is a graduate of University of Kansas and has successfully passed the NASD Series 6, 7, 24, 63 and 65 examinations. He has earned the Plansponsor Retirement Professional (PRP) designation, belongs to the Society of Human Resources, is a member of HRMA, and is a member of the American Society of Pension Professionals Association (ASPPA). Jim Scheinberg 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. Jim began his career in venture capital in 1990 moving to general securities with Smith Barney Harris Upham in 1992 before joining Oppenheimer's institutional investment management consulting department in 1994. He achieved the Certified Investment Management Analyst (CIMA) designation in 2001 and holds the Accredited Investment Fiduciary Analyst™ (AIFA) and PLANSPONSOR Retirement Professional (PRP) designation. Jim majored in Political Science at the University of California, Los Angeles, and is a regular speaker at industry conferences. Center for Due Diligence
  • 44. Speaker Bios - CFDD’s 2006 Advisor Conference Page 44 Thursday, October 5, 2006 (Continued) Regent Room STINGUISHING TPAs/PROVIDERS BY QUALITY CONTROL PROCEDURES: The SAS 70, Quality Controls & Third Party Audits -Brian C. Hubbell, Principal, Hubbell Consulting, LLC -Donald Stone, President, Plan Sponsor Advisors, LLC 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. In 1985, he joined the consulting firm of Findley Davies where he spent over 20 years becoming 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 Profit Sharing/401(k) Council of America, Pension and Investment Age, and Center for Due Diligence. He is past president of the Charlotte Pension Forum and has been an instructor for the CEBS curriculum. Brian earned a Bachelor of Science degree from the University of Iowa with a major in Business Administration. Donald Stone For twenty-two years, Don has been involved in virtually every aspect of the pension/401(k) industry. He has written and spoken extensively on a broad range of industry topics, chaired the ABA 401(k) Conference, at the Midwest Trust School on retirement plan trends and testified before the ERISA Advisory Council. He is quoted frequently in the financial press including: Bloomberg, Investment News, Financial Executive, Business Finance and the L.A. Times. Before co-founding Plan Sponsor Advisors, LLC, Don ran the investment advisory business in the United States for a European bank and insurance company. Prior to that he ran the institutional trust group of Key Bank and has been involved in the creation of numerous retirement products. Don holds the Accredited Investment Fiduciary™ (AIF) designation from the Center for Fiduciary Studies. He is a member of the Profit Sharing/401(k) Council of America (PSCA) and serves on the Program Committee of the Worldwide Employee Benefit Network (WEB). Don received a Master of Science degree from San Diego State University, completed post-graduate studies at Case Western Reserve University and attended the AIMSE Institute at The Wharton School of Business. Center for Due Diligence
  • 45. Speaker Bios - CFDD’s 2006 Advisor Conference Page 45 Thursday, October 5, 2006 (Continued) 12:00 – 1:00 p.m. International Ballroom AN OVERVIEW OF FIDUCIARY ISSUES: Marketplace Models & The Future Of 401(k) Plans Keynote Session Speaker -Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING) Fred Reish, Esq., Managing Director of Reish Luftman Reicher & Cohen, is an ERISA attorney whose practice focuses on fiduciary responsibility issues. He has written over 250 articles and four books about retirement plans. Fred writes a monthly column on 401(k) fiduciary issues for Plan Sponsor magazine. He is a Charter Fellow of the American College of Employee Benefits Counsel and has been awarded the IRS Commissioner’s Award, the IRS District Director’s Award, the ASPPA Eidson Founder’s Award, the Institutional Investor Lifetime Achievement Award, and the Plan Sponsor Magazine Lifetime Achievement Award for his contributions to the benefits community. Fred has also been recognized as one of “The Best Lawyers in America” and as a “Super Lawyer in Southern California.” 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 serves on the Steering Committee for the DOL National Conference. Center for Due Diligence
  • 46. Speaker Bios - CFDD’s 2006 Advisor Conference Page 46 Restricted and confidential. Not to be duplicated or distributed. © Copyright 2006 Center for Due Diligence. All rights reserved. This information has been taken from sources believed reliable, but accuracy and completeness cannot be guaranteed. The information is client use only and should not be construed as an offer to buy or sell securities or any other investment. “For organizations and employees alike, the only real security is The ability to adapt, change and grow.” Conference Contact Information: Phillip Chiricotti President Center for Due Diligence P.O. Box 8 Western Springs, IL 60558 Phone: (630) 662-0284 Fax: (630) 662-0286 Email: CFDD Homepage: http://401kduediligence.com Advisor Conference Homepage: http://www.401kduediligence.com/CFDDconference2006.asp Center for Due Diligence