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  • 1. CENTER FOR DUE DILIGENCE P.O. Box 8 • Western Springs, Illinois 60558 (630) 662-0284 • Fax (630) 662-0286 Consulting • Research E-mail: CFDD@401kduediligence.com Competitive Analysis Web: http://www.401kduediligence.com September 28, 2005 CFDD Advisor Conference SPEAKER BIOS “How To Grow Your Retirement Plans Business Part III: Marketing Advisory Services Instead Of Product” October 4-6, 2005 The Fairmont Chicago, 200 North Columbus Drive Chicago, Illinois Tuesday, October 4, 2005 7:00 a.m. - 8:00 a.m. Registration & Breakfast 8:00 a.m. – 8:15 a.m. International Ballroom Introduction Phil Chiricotti, President, CFDD 8:30 a.m. – 9:30 a.m. International Ballroom 401k Fiduciary Issues For Sponsors & Advisors: Plan Investments & Participant Investing Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING) Fred Reish is an ERISA attorney, whose practice focuses on tax qualification and fiduciary responsibility issues, including IRS audits and DOL investigations. Fred is recognized for his knowledge and insights on fiduciary responsibilities for 401(k) plans and the legal issues for providers and advisors. He is regularly quoted in pension publications and the general media, has written over 250 articles and four books about retirement plans, and currently writes columns on 401(k) fiduciary issues for Plan Sponsor magazine and the Journal of Pension Benefits. He is a Charter Fellow of the American College of Employee Benefits Council, and is the recipient of the IRS Commissioner’s Award, the IRS District Director’s Award, and the 2004 Eidson Founder’s Award from ASPPA. He co-chaired the IRS Los Angeles Benefits Conference for over 10 years, served as a founding Co-Chair of the 401(k) Sales Summit, and currently serves as a member of the Steering Committee of the DOL/ASPPA conference. Center for Due Diligence
  • 2. CFDD Advisor Conference Speaker Bios Page 2 September 28, 2005 Tuesday, October 4, 2005 (Continued) 9:45 a.m. – 11:00 a.m. Gold Room Evaluating Analytic Software Panel -Ward Harris (Moderator), Managing Director, The McHenry Group / PlanToolsTM -Bob Padgette, CFA, CIMA, Managing Director, Klein Decisions, LLC -John Rekenthaler, VP, New Product Development, Morningstar, Inc. -Jeff Schwartz, VP, Director of Sales & Marketing, Markov Processes International (mpi Stylus) -Peng Chen, Chief Investment Officer, Ibbotson Associates (Encorr Software) -Marc Odo, CFA, Consultant, Zephyr Associates, Inc., (StyleAdvisor) Ward Harris founded McHenry in 1998 following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory & retirement lines of business. His prior service was with The Bank of California (now Union Bank of California), First Interstate Bank (now Wells Fargo) & Dean Witter (now Morgan Stanley). He formed McHenry to support institutions with “best practices/best products” in the offer of investment based benefits services. Bob Padgette has been a driving force in the development of new products and services for the investment and financial services industries for more than 20 years. Prior to founding Klein Decisions in 2002, he was the Chief Executive Officer and founder of Möbius Group, Inc., a leading provider of software and data for investment professionals that was acquired by CheckFree in 1999. Bob began his investment career in 1981 at Kidder, Peabody & Co., where he last served as Vice President and National Director of the PRIME Asset Consulting Group. He received the Steve Kessler annual writing award in 1997 from IMCA and the Pioneer Award from the Money Management Institute in 2003 for his overall contributions to the managed accounts industry. Bob received both a BSEE and an MBA from Duke University. John Rekenthaler is Morningstar’s Vice President of Research and New Products, overseeing the firm’s research methodologies, and new product development efforts. He previously served as president of Morningstar Associates, LLC, a registered investment advisor serving the retirement industry. He holds a bachelor's degree in English from the University of Pennsylvania, a master's degree in business administration with high honors from the University of Chicago Graduate School of Business, and is a CFA. Jeff Schwartz is Vice President, Director of Sales and Marketing for Markov Processes International, a provider of customized software solutions and thought leadership for the financial services industry. Prior to joining MPI, he served for three years as Vice President, Investments and Vice President, Large Plan Sales for mPower a provider of on-line investment advice to defined contribution investors. His career in finance began with Ibbotson Associates, where, in his six years with the firm, he served as a product development analyst, consultant and eventually as the Vice President and Director of Asset Allocation Consulting. Center for Due Diligence
  • 3. CFDD Advisor Conference Speaker Bios Page 3 September 28, 2005 Tuesday, October 4, 2005 (Continued) Peng Chen Marc Odo, is a consultant with Zephyr Associates Inc, a leading provider of return analytics and asset allocation. His role includes client interface to ensure Zephyr’s StyleADVISOR and AllocationADVISOR is the answer to their manager search and selection, reporting, research, and asset allocation needs. Prior to joining Zephyr, Marc was with Accessor Capital Management, a mutual fund company based out of Seattle utilizing institutional money manager to subadvise their mandates and with Pacific Portfolio Consulting, a RIA catering to high net worth individuals and ERISA plans. Marc was the resident Zephyr expert at both companies and has joined Zephyr Associates to share his real-world expertise with Zephyr’s clients. He graduated from the University of Washington in 1996 and was awarded his CFA charter in 2003. 9:45 a.m. – 11:00 a.m. Crystal Room DC/DB Combination Plan Opportunities Panel -Dorann Cafaro (Moderator), Executive VP, 401k Advisors USA -Leo J. Polverini, Jr. VP, MassMutual Retirement Services -Harry A. Dalessio, Regional Sales VP, Prudential Financial -Joe Masterson, Sr VP, Chief Sales Officer, Diversified Investment Advisors -Gary Jackson, Managing Director, NYLIM Dorann Cafaro is a founding partner of The Cafaro Group, LLC, which was established in 1981. The firm provides retirement consulting services for corporations, unions, public agencies and non-profit organizations. Focusing exclusively on design and implementation of retirement plans, they provide the identification and monitoring of investment programs tailored to meet each sponsor’s needs such as addressing corporate liability, minimizing costs and reducing fiduciary responsibility of the Plan Administrator. In addition, they deliver in-person participant education around the country. Dorann has been a Regional Director of Retirement Services for Prudential Investments, a Corporate Vice President and National Director of Retirement Planning for PaineWebber, and a Senior Vice President of Marketing for a leading money management firm. She holds a BS from Marquette University in Mathematics, and is Series 8, 7, 63, 65, Life and Health licensed. Dorann frequently lectures at national conferences on retirement planning and has provided retirement education for many Fortune 500 Companies including the Garden State Parkway and New Jersey Turnpike Authority. With over 25 years in the financial industry, she is known for her unique unbiased consulting advice and was recently recognized as one of the “Best in Class” in the retirement plan industry. Center for Due Diligence
  • 4. CFDD Advisor Conference Speaker Bios Page 4 September 28, 2005 Tuesday, October 4, 2005 (Continued) Leo J. Polverini is a vice president, senior officer and member of the investment committee of MassMutual Retirement Services. His career has provided him with more than 30 years of sales experience in the retirement industry, during which time he has focused on investment product including Investment Services, Stable Value and Defined Benefit Sales. Harry Delassio Harry A. Dalessio, Managing Director, located in New York, New York, is responsible for all Northeast corporate sales and client relations covering DC, DB and NQ products. Harry joined Prudential Retirement in 1989 and has 16 years of experience in the institutional investment and retirement business. He received his B.A. in Economics from Providence College, a M.B.A. in Finance from Fordham University, and is a NASD Registered Representative. Joe Masterson, Senior Vice President, is a member of Diversified’s Executive Management Committee and Investment Committee. Mr. Masterson is responsible for leading Sales and Distribution Channel Management teams. He joined Diversified in 1985. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization in addition to his current responsibilities. Mr. Masterson held similar responsibilities with Diversified's predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Prior to joining MONY, he was a Vice President with Citicorp Investment Management, Inc. Mr. Masterson began his pension career in 1976 with Aetna, where he worked with many of their largest clients in the New York area. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. Mr. Masterson is past Chairperson of the Retirement & Investment Marketing Committee – LIMRA International; a longstanding member of AIMSE; a member of the Investment Management Consultants Association; and a member of the editorial advisory board of the Journal of Pension Benefits. He is a frequent speaker and author on retirement plans and asset allocation strategies. He has helped many organizations address their pension concerns and arrive at client driven solutions. Gary Jackson is currently Managing Director for New York Life Investment Management Retirement Plan Services, where he is responsible for the management of the RPS distribution strategy, the four sales channels, and two internal sales desks for both defined benefit and defined contribution plans. Prior to his current assignment, he joined UBS Global Asset Management for a year where he was an institutional sales director for the mega market defined contribution asset management area of UBS. He worked with the financial services company that became Citigroup for nine years beginning in 1992. During this time he was a senior vice president, and director of defined contribution plans for Citigroup Asset Management in Japan. Before going to Japan, he was Co-Director of Corporate Retirement Services in New York for Salomon Smith Barney. Mr. Jackson spent one and a half years in the field as a Regional Sales Director for Salomon Smith Barney. He owned his own administration and recordkeeping firm for ten years, and has nearly 30 years of experience in the retirement plan business as well as other benefit arrangements used by companies in the United States. Gary holds an undergraduate degree in business administration from the University of Oregon. He also has earned a Master of Science degree in Management and a Master of Science degree in Financial Services from the American College in Bryn Mawr, Pennsylvania. He holds both the CLU (Chartered Life Underwriter) and ChFC (Chartered Financial Consultant) designations from the American Society of CLU and ChFC. Center for Due Diligence
  • 5. CFDD Advisor Conference Speaker Bios Page 5 September 28, 2005 Tuesday, October 4, 2005 (Continued) 9:45 a.m. – 11:00 a.m. State Room Growing High Net Worth Rollover Accounts, Best Practices From The Best Advisors & HR Distribution Liability - Bryan M. Burke, AIF, VP & Sr. Retirement Plan Consultant, Federated Investors - Eugene Maloney, Executive VP & Corporate Counsel, Federated Investors Bryan M. Burke, is a graduate of the University of Oklahoma with a degree in Accounting. After graduation, he worked for a national non-profit group as a Regional Director before joining Merrill Lynch in 1994 as a Financial Advisor. Bryan started working with corporations to help develop and implement retirement plans as a junior specialist in 1995 after being recognized as one of the top 401k producers in his first year in production. Bryan was promoted to a Regional Vice President in 1996 with Merrill Lynch’s Retirement Group. For the next six years he worked with Small to Large companies to present, develop, implement, and find solutions for all of their retirement plan needs. Bryan was consistently in the top tier of his peer group for number of solutions brought to Merrill Lynch as well as the amount of assets that were brought into the firm. Bryan was recognized as being one of the top specialists in the entire Merrill Lynch organization and was also a member of the Merrill Lynch Chairman’s Club for top performance. Bryan joined Federated in early 2002 to work with the “Bank” and “Broker Dealer” channels to help build and support the efforts of one of the industry’s largest sales teams at Federated. Currently Bryan is a Vice President and has earned his Accredited Investment Fiduciary designation from the Foundation for Fiduciary Studies. Bryan has also developed an industry leading IRA program for Federated called “RAMP” Rollover Account Management Program. Bryan is a member of the Chairman’s Club at Federated. Eugene F. Maloney, is Executive Vice President, Corporate Counsel and a member of the Executive Committee of Federated Investors, Inc. He has been at Federated for thirty-three years. Mr. Maloney has appeared as a speaker at American Bankers Association gatherings and is a frequent speaker at State Bankers Association meetings on the deregulation of the financial services industry, the Uniform Prudent Investor Act and the investment management process, fiduciary compensation, and asset allocation as a means of optimizing return and minimizing risk. He has been the architect of various educational videos having to do with the Uniform Prudent Investor Act, the prudence of international investing, fiduciary compensation, asset allocation and the propriety of a corporate fiduciary utilizing a mutual fund to which it provides discrete services. He teaches Securities Activities of Banks at Boston University School of Law. B.A., Holy Cross College; J.D., Fordham Law School. Center for Due Diligence
  • 6. CFDD Advisor Conference Speaker Bios Page 6 September 28, 2005 Tuesday, October 4, 2005 (Continued) 9:45 a.m. – 11:00 a.m. Regent Room Why Affiliate With Other Advisors Stephen Winks, Publisher, Senior Consultant Stephen Winks is founder and Chairman of the Society of Fiduciary Advisors, which is engaged in defining fiduciary counsel based on statute, case law, regulatory opinion letters, best practices (process, procedures, work flow and task) and in identifying enabling resources and technology necessary to manage fiduciary liability and to build institutionalized support for fiduciary counsel. He is Chairman of PCT Research and Consulting, which is focused on resolving structural impediments to fiduciary counsel. and publishes SENIOR CONSULTANT, which deals with the latest advances and innovations that elevate the role and counsel of the advisor. Stephen ran the third largest retail and institutional consulting initiative on Wall Street. As President of FSC Advisory, Winks ran the largest national financial planning initiative in the industry, working with John Bell Keeble, the father of Financial Planning and founder of FSC. He pioneered the product management function, building and or managing just about every product area in the industry, to include institutional investment concepts typically only available at top old-line private banks. 11:15 a.m. – 12:30 p.m. Gold Room Professional Designations For Retirement Advisors Panel -Donald B. Trone (Moderator), AIFA, Co-Director, Center for Fiduciary Studies -Kevin Clift, CIMA, Senior VP – Investments, Corporate Client Group Director, Smith Barney -Todd L. Jones, CFP®, AIF®, ARPS, VP, CapTrust Financial Advisors Donald B. Trone, AIFA, 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’s Katz Graduate School of Business; and, Fiduciary Analytics which develops web-based tools to support the decision making process of investment fiduciaries. In 2005, Don was selected to 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. The Federal Retirement Thrift is the largest defined contribution plan in the world. In 2003, Don was appointed by the U.S. Secretary of Labor to represent the investment counseling industry on the ERISA Advisory Council. Center for Due Diligence
  • 7. CFDD Advisor Conference Speaker Bios Page 7 September 28, 2005 Tuesday, October 4, 2005 (Continued) Kevin Clift, is Senior Vice President and Corporate Client Group Director of Smith Barney, where he and his team are responsible for helping clients develop and implement prudent investment strategies. Kevin started with the E.F Hutton Company and has more than 20 years of investment advisory experience. He works with corporate retirement plans and public funds in managing their fiduciary responsibilities. Kevin holds a BBA from Eastern Michigan University and received his Certified Investment Management Analyst (CIMA) designation form Wharton. He is a Senior Institutional Consultant (SIC) with Smith Barneys Consulting Group, a title awarded to less than 1% of all Smith Barney Financial Consultants. He is also an Accredited Investment Fiduciary Auditor (AIFA) from the University of Pittsburgh and sits on the Board of the Carroll Education Foundation Todd L. Jones, Vice President of CapTrust Financial Advisors, 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. Named the Outstanding Undergraduate Student in Economics while in college, Todd has complemented 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 as well as the Chartered Financial Analyst (CFA) designation awarded through the CFA Institute. Todd possesses his NASD Series 7, 63, 65, and Insurance Licenses. He is an active member of the Financial Planning Association, and serves as a technical editor for the FPA's Financial Planning Perspectives article series. 11:15 a.m. – 12:30 p.m. Crystal Room How Providers Can Support The RIA Model -Sean Kelley, VP, Retirement Plan Sales, NYLIM -Donald Stone, President, Plan Sponsor Advisors, LLC Sean Kelley is a Vice President, Director of Retirement Plan Sales in the Western Region with New York Life Investment Management, LLC (NYLIM). His 15+ years of experience selling and distributing corporate retirement plans include positions with Fidelity Investments, AIM Distributors, Inc., John Hancock Funds, Inc., and Wells Fargo & Company. During his career, Sean has been involved in over 300 retirement plan transactions. Because of his extensive background in retirement plan sales and marketing, he has authored several articles and is a frequently requested speaker at various industry events. He has completed the Pension Fund and Investment Management program from the Wharton School at the University of Pennsylvania. Sean has had membership affiliations with the Society of Pension Administrators and Recordkeepers (SPARK), American Society of Pension Professionals & Actuaries (ASPPA), National Tax Sheltered Account Association (NTSAA), International Association for Financial Planning (IAFP), Western Pension & Benefits Conference, and Mid Size Pension Conference. He has had speaking engagements with ASPPA, NTSAA, IAFP, Mid Size Pension Conference, Los Angeles County Bar Association, CPA/Legal forum of California, National Life Underwriters Association, Geological Engineers Society, and Center For Due Diligence. Center for Due Diligence
  • 8. CFDD Advisor Conference Speaker Bios Page 8 September 28, 2005 Tuesday, October 4, 2005 (Continued) Donald Stone has been involved in virtually every aspect of the pension/401(k) industry for over 20 years. He has written and spoken extensively on a broad range of industry topics, chaired the ABA 401(k) Conference and lectured at the Midwest Trust School on retirement plan trends. Before 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. In August 2004, Don testified before the ERISA Advisory Council concerning non-disclosure of fees in the industry. In addition, he has served as an expert witness in employee benefit litigation. Don holds the Accredited Investment Fiduciary™ (AIF) designation NASD Series 7, 24 and 66 licenses, as well as life and health. He is a member of the Profit Sharing/401(k) Council of America (PSCA) and serves on the editorial advisory committee. Don is also a member of the program committee of the Worldwide Employee Benefit Network (WEB) Chicago chapter. 11:15 a.m. – 12:30 p.m. State Room Increasing Market Share With Stable Value Alternatives Leo Polverini, VP, Business Development, MassMutual Retirement Services Leo J. Polverini is a vice president, senior officer and member of the investment committee of MassMutual Retirement Services. His career has provided him with more than 30 years of sales experience in the retirement industry, during which time he has focused on investment product including Investment Services, Stable Value and Defined Benefit Sales. 11:15 a.m. – 12:30 p.m. Regent Room Analyzing Benchmarks for Investment Selection & Monitoring -Joe Masterson, Senior VP, Chief Sales Officer, Diversified Investment Advisors -Jim Gaynor, Director, Investment Management Group, Diversified Investment Advisors Joe Masterson, Senior Vice President, is a member of Diversified’s Executive Management Committee and Investment Committee. Mr. Masterson is responsible for leading Sales and Distribution Channel Management teams. He joined Diversified in 1985. Prior to his current assignment, Mr. Masterson also led Diversified’s Regional Client Management Organization in addition to his current responsibilities. Mr. Masterson held similar responsibilities with Diversified's predecessor, Mutual of New York, where he was also responsible for their Investment Advisory Division. Prior to joining MONY, he was a Vice President with Citicorp Investment Management, Inc. Mr. Masterson began his pension career in 1976 with Aetna, where he worked with many of their largest clients in the New York area. He received a B.S. in Marketing and an M.B.A. in Investment Management Finance from Fordham University. Mr. Masterson is past Chairperson of the Retirement & Investment Marketing Committee – LIMRA International; a longstanding member of AIMSE; a member of the Investment Management Consultants Association; and a member of the editorial advisory board of the Journal of Pension Benefits. He is a Center for Due Diligence
  • 9. CFDD Advisor Conference Speaker Bios Page 9 September 28, 2005 Tuesday, October 4, 2005 (Continued) frequent speaker and author on retirement plans and asset allocation strategies. He has helped many organizations address their pension concerns and arrive at client driven solutions. Jim Gaynor joined Diversified in 1988 and is currently a Director in the firm’s Investment Management Group. He is primarily responsible for managing the relationships between Diversified and selected retail mutual fund firms, and overseeing his firm’s competitive intelligence efforts from an investment perspective. He was formerly responsible for the selection and oversight of sub-advisors to the corporate portfolios. Early in his career he was responsible for performance measurement and portfolio analytics, and managed a team responsible for servicing Diversified’s investment-only clients. Prior to working at Diversified, Jim held an accounting position at International Business Machines Corp. He graduated with a B.S. degree from Dominican College. 12:30 p.m. – 1:30 p.m. Lunch 1:30 p.m. – 2:45 p.m. Gold Room Making Sponsors Aware Of Their Fiduciary Responsibilities Panel -Kerry Gile (Moderator), Senior VP, Wachovia Retirement Services -Peter Borowsky, Senior VP-Investment Officer, Wachovia Securities -Paul D’Aiutolo, Branch Sales Manager, VP, McDonald Financial Group -Robert J. Rafter, Sr. VP, Consulting Group Institutional Services, Smith Barney -Phyllis Klein, AIF, Director Retirement Plan Services, CapTrust Kerry Gile has worked in the Financial Services industry for over 20 years. Her career has included International Banking, Institutional Asset Management and various positions in the Employee Benefits arena in Sales and Sales Management. Kerry is a Senior Vice President and National Director of Sales for Wachovia Retirement Services. Prior to joining Wachovia, she held a similar position at Prudential Retirement Services and most recently was with AllianceBerstein. She received her BA from Lewis & Clark College and her MBA from the American Graduate School of International Management. Peter Borowsky a qualified plan consultant since 1995, has over 17 years of investment experience and is an Investment Officer at Wachovia Securities. His expertise in fiduciary liability management is in the area of plan investment selection and on-going investment monitoring. Peter was recently selected for the inaugural class for the PlanSponsor Retirement Professional Designation. He is founder of The Borowsky Group at Wachovia Securities. Paul D’Aiutolo has been in the qualified plan industry since 1993, which includes working as a 401(k) plan administrator and as qualified plan sales consultant in both the Retail and Institutional investment communities. Paul came to McDonald Investments in May of 2000 to serve as a pension consultant, in which responsibilities include being responsible for all retirement plan activity in the eastern United Center for Due Diligence
  • 10. CFDD Advisor Conference Speaker Bios Page 10 September 28, 2005 Tuesday, October 4, 2005 (Continued) States (Maine to Florida). While with McDonald Investments, Paul has assisted in close of nearly 425 qualified retirement plans, totaling assets in excess of $450 million. Based in Rochester, NY, Paul provides comprehensive fiduciary services, including fund selection, on going monitoring, vendor searches, annual trustee reviews and employee education services to 401(k) plans. As a Pension Consultant, Paul most recently has attained the PRP Designation sponsored by the Plan Sponsor Institute. In addition, Paul has been a featured speaker at many industry events including Governor King’s (Maine) Conference on Retirement and Aging, the November, 2002 S.P.A.R.K. Conference (West Palm Beach, Florida), the 2003 Center for Due Diligence Conference (Chicago), and several District presentations for KeyBank and McDonald Investments. Paul is a member of McDonald’s 401(k) Forum, an elite group of 401(k) Advisors within MFG. Robert J. Rafter is Director of Institutional 401(k) Consulting for Smith Barney’s Consulting Group. He has been with the firm and its predecessors since 1983. Bob is responsible for managing sales and marketing to institutional retirement clients and prospects. Mr. Rafter is a frequent author and public speaker on pensions, 401(k) plans, ERISA’s fiduciary standards, participant investment advice, and related subjects. Over the past fifteen years, he has chaired numerous industry conferences on the challenges faced by both employer sponsors and financial institutions. Mr. Rafter is a graduate of the University of California at Berkeley and the Fordham University School of Law. He is a member of the New York and Federal Bar. Phyllis Klein, joined CapTrust with 20 years of plan design, administration, recordkeeping and compliance experience. As the Director of Retirement Plan Services, she has responsibility for the retirement plan services delivered by CapTrust including fiduciary training, employee communications, vendor relationships and service features. Phyllis has a Bachelor of Science from the University of Wisconsin-LaCrosse and is certified as an Accredited Investment Fiduciary (AIF) by the Center for Fiduciary Studies in association with the University of Pittsburgh Katz Graduate School of Business, and the PlanSponsor Retirement Professional designation. She is also a member of the Wisconsin Retirement Plan Professionals (WRPPL) and the National Institute of Pension Administrators (NIPA) and has attained ASPA’s PA-1-3, DC-1, DC-2, as well as the NASD Series 6, 63 and 65. 1:30 p.m. – 2:45 p.m. Crystal Room Converting To Level Pricing Panel -Bryan M. Schneider (Moderator), Sr. VP, Smith Hayes Financial Services -Laura H. Gough, Managing Director, Corporate/Executive Services & Retirement Plans Services, Robert W. Baird & Co, Inc. -Jennifer Corbaley, Managing Principal, Digital Retirement Solutions Bryan M. Schneider, joined SMITH HAYES Financial Services in 1996 and is currently a Senior Vice President, director and shareholder with the firm. 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 Center for Due Diligence
  • 11. CFDD Advisor Conference Speaker Bios Page 11 September 28, 2005 Tuesday, October 4, 2005 (Continued) sixty plus clients. He is also responsible for competitive analysis and developing new corporate relationships. His previous work experience includes four years in the public accounting and consulting profession. Bryan is a member of numerous advisory groups, is Series 7, 63, 65, 24 and insurance licensed, as well as certified as an Accredited Investment Fiduciary (AIF) Laura Gough is Director of Corporate & Executive Services and Retirement Plans Services for Robert W. Baird & Co. She is responsible for directing the firm’s sales and marketing of corporate services, which includes corporate cash management, stock options, employee stock purchase plans, and qualified and non-qualified retirement plans. Laura is active in organizations identifying industry issues and contributing to industry outreach. She currently serves on the Securities Industry Association Retirement Savings Committee and was Chair of the committee in 2004. She is also a member of the International Foundation of Employee Benefits, the National Association of Stock Plan Professionals, and an affiliate member of the American Society of Pension Actuaries. Laura earned a B.S. in Economics from Virginia Commonwealth University. She holds the National Association of Securities Dealers Series 6, 7, 9, 10, 24, 63, 66 and 26 licenses as well as her State of Wisconsin insurance license. Jennifer Corbaley is the Director of Business Development at Digital Retirement Solutions, Inc., one of the country’s premier third-party administrators. As a founding partner of the firm, she has played a critical role in the growth of the company and marketing their value added services. Jennifer has more than 14 years of experience working with financial advisors and plan sponsors in plan administration, retirement plan sales, product development, and marketing. 1:30 p.m. – 2:45 p.m. State Room Maximizing The Benefit Of Non-Qualified Deferred Compensation Plans & The Impact Of Recent Legislation -Samuel Brkich, JD, VP & Chief Counsel, The Newport Group -Kenneth A. Dayton, JD, CPA, Regional Director, The Newport Group Samuel Brkich, J.D. is an ERISA attorney and Vice President and Chief Counsel of The Newport Group. He consults with clients on the plan design and administration of executive compensation arrangements. He also works closely with case development specialists and other Newport associates on the ERISA and tax-related aspects of the design and administration of executive compensation plans. Sam also serves as ERISA and tax counsel supporting Newport’s tax-qualified retirement plan services, and as ERISA fiduciary counsel to Newport Group Securities, Inc., Newport’s broker-dealer and registered investment advisor. Sam earned his undergraduate degree from the University of Wisconsin and his J.D. from the University of Wisconsin Law School. Kenneth A. Dayton provides client development and project oversight for consulting services in the design, funding and administration of executive benefits. He has over 25 years of experience in the fields of accounting, law, insurance and executive benefits consulting. Prior to joining Newport, he directed PricewaterhouseCoopers’ national deferred compensation consulting practice, with particular emphasis on non-qualified plan vendor selection and executive compensation. Ken earned his bachelor’s degree (with honors) from Stetson University and his JD (with honors) from the University of Miami Law School. He is a Florida CPA and a member of the Florida Bar. Center for Due Diligence
  • 12. CFDD Advisor Conference Speaker Bios Page 12 September 28, 2005 Tuesday, October 4, 2005 (Continued) 1:30 p.m. – 2:45 p.m. Regent Room Developing/Implementing Effective RIA Deliveries At The Sponsor & Participant Level Erin Eddins, ChFC, Sr. VP, Investment Services, Invesmart Advisors Erin Eddins is a Senior VP at Invesmart Advisors where she is responsible for managing the delivery of plan sponsor and participant investment advisory services. With more than 15 years experience in the retirement and investment planning business, Erin is actively involved with the product development, training, and promotion of plan fiduciary and participant advice services. Her roles have included financial advisor product and sales training, marketing, and client consulting. She has had the opportunity to be involved in the development of a number of innovative financial products designed to help individuals meet their investment goals. Erin earned a B.S. in Finance from Seattle University and received the Chartered Financial Consultant designation from The American College. 3:00 p.m. – 4:15 p.m. Gold Room Individually Managed Accounts Panel -Rhonda Evans, PhD (Moderator), Director of Research, The McHenry Group / PlanToolsTM -John Rekenthaler, VP, New Product Development, Morningstar, Inc. -Viggy Mokkarala, Executive Vice President, Envestnet Asset Management, Inc. -Bryce James, President, SmartPortfolios, LLC -Chad Parks, President, Decimal Inc. Rhonda Evans, Ph.D. is the Director of Research for The McHenry Group, where she is responsible for financial analysis and research on the latest trends in the investment-based benefits marketplace. She received her Ph.D. from the University of California, Berkeley and was the co-founder of a successful research firm specializing in employment and employee benefits research. She is presently also affiliated with UC Berkeley's Institute of Industrial Relations. John Rekenthaler is Morningstar’s Vice President of Research and New Products, overseeing the firm’s research methodologies, and new product development efforts. He previously served as president of Morningstar Associates, LLC, a registered investment advisor serving the retirement industry. He holds a bachelor's degree in English from the University of Pennsylvania, a master's degree in business administration with high honors from the University of Chicago Graduate School of Business, and is a CFA. Viggy Mokkarala is Executive Vice President of the Institutional Services Group at Envestnet, which is responsible for technology and back office administration services, professional services and retirement solutions to financial services institutions. Viggy was a co-founder of Oberon Financial Technology, Center for Due Diligence
  • 13. CFDD Advisor Conference Speaker Bios Page 13 September 28, 2005 Tuesday, October 4, 2005 (Continued) Inc., a company that provided turnkey asset management platform services to financial service firms, where he ran product management, sales and marketing. Oberon merged with Envestnet Asset Management in December 2004. Prior to Oberon, Viggy held management positions at Applied Materials, Silicon Graphics, and Hewlett Packard Co. Viggy holds a BSEE and an MS in Computer Sciences from the University of Wisconsin, Madison. Bryce James is the president and founder of Smart Portfolios, LLC, a firm that provides portfolio optimization solutions for institutional and individual investors. He has over twenty years of hands-on investment experience, most recently as a partner and founder of Shield Investment Advisors, a fixed- income fund of hedge funds. He was Senior Vice President with Morgan Stanley from 2001-2001 and a principal and senior officer in several start-up companies in addition to founding Seattle’s premier non- profit Investment Forum. From 1983-2000, Mr. James compiled a stellar record as a fee-based portfolio manager and consulted to corporations, trusts, retirement plans, ESOP’s and high net worth individuals. Mr. James launched his career in the investment industry creating the Investment-Consulting model for brokerage Drexel Burnham Lambert in 1984. Chad W. Parks is president and founder of Decimal, Inc., the leading provider of no-hidden fee, Web- based retirement plans for small and single-person businesses. Mr. Parks started out in the financial services industry by growing a portfolio of individual clients as a broker at Piper Jaffray, Inc. in San Francisco and then ran his own fee-for-service, independent financial planning practice. Mr. Parks founded Decimal in 1999, which now serves more than 1,800 small business customers in 50 states. Decimal provides solutions both directly and through distribution partners, such as Charles Schwab & Co., Inc., payroll companies, financial planners and CPAs. Mr. Parks is a Certified Financial Planner® (CFP®) licensee. 3:00 p.m. – 4:15 p.m. Crystal Room New Approaches To Prospecting Jim Louderback, VP, Larkspur Data Jim Louderback, VP Broker-Dealer Division & Senior Business Development Consultant for Larkspur Data, has been a licensed investment advisor for over 16 years. Jim was the second youngest person ever to be name VP by Merrill Lynch, a Million Dollar Round Table Producer and a member of Franklin Templeton's Kite & Key Club. His speaking engagements have attracted thousands of the nation's top producers and he is often invited to speak at closed meetings to help producers and senior management develop new market sales strategies. Center for Due Diligence
  • 14. CFDD Advisor Conference Speaker Bios Page 14 September 28, 2005 Tuesday, October 4, 2005 (Continued) 3:00 p.m. – 4:15 p.m. State Room Developing A Referral Program & Maximizing Centers Of Influence -Matt Gnabasik, Managing Director, Blue Prairie Group -Jeb Graham, Retirement Plan Consultant, CapTrust Financial Advisors Matthew 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 based in Chicago. He writes and speaks regularly on retirement plan issues and is frequently interviewed by the national media including the Wall Street Journal, the New York Times, CBS MarketWatch, Fox News, MSNBC and the News Hour with Jim Lehrer. He is the author of the 2002 award-winning book for plan sponsors, Smart Choices: Selecting and Administering a Safe 401(k) Plan and is currently finishing his second book (this one geared towards financial advisors) entitled, 401(k) Inc: Building A Successful Retirement Plan Practice due out later this year. James E. (Jeb) Graham joined CapTrust Advisors in January 2005, providing institutional investment consulting services to corporate, closely held, non-profit and governmental organizations. Prior to joining CapTrust, Jeb spent 12 years with Raymond James as National Director, Retirement Plan Consulting Group in the Raymond James international corporate headquarters in St. Petersburg. Jeb is well respected in the retirement plans industry and frequently quoted as an industry expert. He has written articles for or been featured in industry publications such as 401khelpcenter.com, Plan Sponsor, Institutional Investor, Pension World, Registered Representative, Financial Planning and the Journal of Pension Benefits, and has been a featured guest on both local and national television news programs on retirement plans. On a national level, he is a member of the ASPPA 401(k) Summit Committee, ASPPA Govt. Affairs – Investment Regulations Committee, and is a former member of the Securities Industry Association’s Savings/Retirement Committee. Locally, Jeb is a board member of the Florida West Coast Employee Benefits Council and active in the Tampa Bay Pension Council. He has earned both the Certified Employee Benefits Specialist (CEBS) and Chartered Life Underwriter (CLU) designations. 3:00 p.m. – 4:15 p.m. Regent Room Prudent Practices For 401(k) Investment Committees Rocco DiBruno, Director Retirement Group, Thornburg Investment Management Ronald E. Hagan, President, Roland/Criss Fiduciary Services Rocco DiBruno is the Director of the Retirement Group at Thornburg Investment Management, the investment advisor for Thornburg Mutual Funds. He is responsible for the firm’s investment only corporate retirement plan business development and marketing of the company’s value added services to service providers and financial advisors. Rocco has over 25 years experience working with financial advisors and plan sponsors in retirement plan sales, marketing, client services and product development. Rocco is Series 7 and 63 licensed and holds the Accredited Investment Fiduciary Auditor (AIFA) designation from The Center for Fiduciary Studies. He is a graduate of Temple University in Philadelphia, PA. Center for Due Diligence
  • 15. CFDD Advisor Conference Speaker Bios Page 15 September 28, 2005 Tuesday, October 4, 2005 (Continued) Ronald E. Hagan is the President and Chief Executive Officer of Roland | Criss. The firm’s investment fiduciary advisory operations are included within his purview. His lengthy career has focused on developing retirement plan fiduciary processes, selecting prudent experts, and monitoring their activities. Prior to joining the Roland | Criss team in 1986, Ron was a Senior Vice President with the First National Bank of Commerce, where he served as a fiduciary on its Asset Liability Management Committee. Subsequently, he advised executives of Fortune 500 companies on fiduciary processes as a Principal with Booz, Allen & Hamilton. Ron has published numerous articles on the subject of investment fiduciary standards of care and is a co-developer of Roland | Criss’ FiduciaryPLUS™ program. He is an alumnus of Erie College with a degree in accounting, received his certification as Accredited Investment Fiduciary Auditor from the Center for Fiduciary Studies, and is also a registered investment advisor. 4:15 p.m. – 5:45 p.m. Exhibition Area Cocktail Party Center for Due Diligence
  • 16. CFDD Advisor Conference Speaker Bios Page 16 September 28, 2005 Wednesday, October 5, 2005 7:00 a.m. - 8:00 a.m. Breakfast 8:00 a.m. – 9:15 a.m. Gold Room How To Price Services When Transitioning From Commissions To Fee-Based Business Panel -Glenn A. Dial (Moderator), VP, National Sales Manager, Ceridian Retirement Plan Svcs -Al Otto, AIF, Executive VP, White Horse Advisors -Camp R. Wynn, CFA, VP, Colonial Trust Company -Brian Ward, Managing Director–Investments, Ward Financial Advisory of Wachovia Securities Glenn A. Dial is Vice President for Ceridian Retirement Plan Services and a 17 year veteran of the retirement plan industry. He is responsible for managing national distribution for all retirement plan products including 401(k), 403(b), Money Purchase, ESOP’s and Defined Benefit plans. Glenn has written articles or been quoted in such publications as Defined Contribution News, Plan Sponsor Magazine, Benefits Compensation, Employee Benefits Plan Review, Paytech, 401(k) Exchange, Human Capital Magazine and Employee Benefit News. Glenn has been in his current position with Ceridian since 1999. Prior to joining Ceridian he was the 401(k) Southeast Regional Manager for Automatic Data Processing. Glenn spent the beginning of his career as a financial analyst and consultant for McDonnell Douglas, General Mill and Smith Barney. Glenn is an Accredited Investment Fiduciary, a NASD registered Principal, holds a MBA from Rollins College and a BSBA-Finance from the University of Central Florida. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. With over 23 years of experience, he is a highly respected leader in the retirement planning industry and an expert on fees in retirement plans. Al is an Accredited Investment Fiduciary(r) and has contributed writings to or been quoted in several publications such as Plan Sponsor Magazine, Employee Benefit News and Employee Benefit Plan Review. Camp R. Wynn, is a Vice President of Colonial Trust Company, which he joined in 2001. His responsibilities include security research and analysis, portfolio management, and wealth management strategies. Both Colonial and Camp developed experience and expertise in retirement plans to provide avenues to business owners to maximize tax deferred investments. He started his career as an analyst for the Banc of America Securities, Global Corporate Investment Bank, where he was involved in the organization and structuring of capital products, including debt, equity and mezzanine financing. Camp subsequently joined the Bank of America Financial Strategies Group where he had similar duties in the middle market. He is a 1997 graduate of the University of South Carolina and was awarded the Chartered Financial Analyst® designation by the Association of Investment Management and Research® in 2003. Center for Due Diligence
  • 17. CFDD Advisor Conference Speaker Bios Page 17 September 28, 2005 Wednesday, October 5, 2005 (Continued) Brian Ward works primarily with high net worth individuals, corporations, and institutions in a variety of investment and financial planning areas. Specific areas of experience include financial and estate planning, investment policy formulation, asset allocation analysis, money manager and mutual fund performance analysis, design/implementation of corporate retirement plans, record keeping/administration cost comparison analysis, development of employee communication programs, and fiduciary performance monitoring. 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 began his investment career with Kidder, Peabody & Company which was later acquired by PaineWebber, Inc. While with PaineWebber, Brian received national recognition in PaineWebber’s Pace Setter Club. A founding member of the Retirement Exchange, he is frequently a guest speaker at nationwide conferences. Brian has written numerous articles on retirement planning, fiduciary responsibility, and ERISA compliance as well as being featured in articles centered on financial planning and investment issues. Brian is currently a member of the Million Dollar Round Table and Wachovia’s Chairman’s Council – Wachovia’s highest professional recognition distinction. He was recently invited to become a charter member of the Wachovia Securities Institute. Brian is a member of the Society for Human Resource Management, the Middle Tennessee Society for Human Resources Management, the Profit Sharing/401(k) Council of America and the Middle Tennessee Employee Benefits Council. He has also earned the Accredited Investment Fiduciary (AIF) designation. 8:00 a.m. – 9:15 a.m. Crystal Room Synergy-Based Selling: Leveraging Payroll Providers Kendall Kay, LLIF, VP, Marketing, Strategic Planning & Business Development, ADP Retirement Services Kendall Kay is Vice President of Marketing, Strategic Planning and Business Development with ADP Retirement Services. In this role Kendall has responsibility for organizing and leading the strategic planning process and the business development efforts of ADP Retirement Services overall. A featured industry spokesperson, he is on the Board of Directors of the SPARK Research Institute, PRAC member for the PSCA, Morningstar Client Advisory Council, and a founding member of the Retirement Services Council of the Corporate Executive Board. 8:00 a.m. – 9:15 a.m. Regent Room Measuring The Effectiveness of Participant Communications Peter Newkirk, President, Newkirk Peter Newkirk and three of his brothers founded NEWKIRK in 1972, where his primary responsibilities include sales, marketing and product development. Over the past thirty-three years, hundreds of financial institutions, TPA’s, estate planners, investment advisors and accounting firms have utilized NEWKIRK's syndicated, customized and data-base driven publications to communicate with customers, prospects, and plan participants. Pete is a frequent speaker at industry trade associations, user groups and national conferences. In 2003, he received a Lifetime Achievement Award from Defined Contribution News. He received his BA from Hamilton College and his MBA from the Harvard Business School. Center for Due Diligence
  • 18. CFDD Advisor Conference Speaker Bios Page 18 September 28, 2005 Wednesday, October 5, 2005 (Continued) 8:00 a.m. – 9:15 a.m. State Room How To Market Fiduciary Advisory Services: Transitioning From Product Peddler To Plan Advisor Pete Swisher, VP Wealth Management & Advisory Services, Unified Trust Company Pete Swisher is a Certified Financial Planner with a background in business management and experience in both personal and business planning. 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 joined the financial planning profession after several years’ management experience with a Fortune 1000 company. Pete 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, Financial Planning Association chapters, National Institute of Pension Administrators (NIPA), Broker/Dealer organizations, and the California Association of Independent Broker Dealers. He is the author of numerous articles, including “How to Build a Fee-Based Pension Practice,” “Solving the Employer’s Fiduciary Dilemma,” “The Future of the 401(k),” “The Legality of Kickbacks,” and “The Goofy Doctor Plan: Brokers, Self-Direction, and Fiduciary Duty in Qualified Plans,” and has been published by Financial Planning Magazine and the Journal of Financial Planning. Pete holds his Series 7, 63, 66, and Life/Health licenses and is currently Vice President of Wealth Management and Advisory Services for Unified Trust Company. He serves as President of the Lexington Employee Benefits Council and is a member of the Financial Planning Association, American Society of Pension Actuaries, and Society of Financial Service Professionals. 9:30 a.m. – 10:45 a.m. Gold Room Developing A Business Exit Strategy Panel -Timothy O’Brien (Moderator), CEO, ExpertPlan, Inc. -Lisa G. Kottler, VP Retirement Services, National Financial Partners -Bill Chetney, President, 401(k) AdvisorsUSA -J. Fielding Miller, CIMA, CEO, Managing Partner, CapTrust Timothy O’Brien Lisa G. Kottler is the Vice President of Retirement Services for National Financial Partners and has in excess of 13 years experience selling and marketing retirement plans to small, mid-size, and large companies on both a direct and indirect basis. Her primary focus at the firm is to help retirement plan Advisors deliver a comprehensive consulting process to their clients, while enhancing the revenue and profitability of their business. Immediately prior to NFP, Lisa served as the Vice President of Marketing and Sales for a regional TPA, where she was responsible for expanding their 401k, DB, and cafeteria plan business. She held similar roles for other industry leaders such as The 401k Company, CIGNA and CitiStreet. She holds the Accredited Investment Fiduciary (AIF) designation, the Qualified 401k Center for Due Diligence
  • 19. CFDD Advisor Conference Speaker Bios Page 19 September 28, 2005 Wednesday, October 5, 2005 (Continued) Administrator (QKA) designation, the NASD Series 24, 7 and 63 licenses and the Life & Health and Variable Annuities license. William R. Chetney is the founder and President of 401(k) Advisors USA. In this capacity, he has the overall responsibility for strategic planning, office establishment, and product development. The firm currently has over 60 offices in 26 states consulting to thousands of companies with assets in excess of $13 billion. After receiving a BA from Pitzer College and a MBA from The Drucker School of Management, Bill began his career in the pension business as The National Consulting Desk Manager for Mutual Benefit Financial Services in 1986. Upon his transfer to Mutual Benefit Pension Corporation in 1989, he managed operations in 14 western states and over $2 billion in customer assets. Most recently, Bill was a partner with Michael K. Farrell & Associates. In his role as National Sales Manager, he was instrumental in the development of a proprietary 401(k) product for ReliaStar Financial Corporation, which was later sold to ING Group. J. Fielding Miller, is the CEO and co-founder of CapTrust. He has over 18 years of experience in advising private and institutional clients. He received a BS degree in Business from East Carolina University and earned his Certified Investment Management Analyst (CIMA) designation in 1996. Prior to forming CapTrust, he was Senior Vice President in the Investment Consulting Group, a division of Interstate/Johnson Lane. Mr. Miller is actively involved in the community as he currently serves on the Board of Trustees of East Carolina University, the Board of Trustees of the Ravenscroft School and the Board of Directors of the Oak Ranch. 9:30 a.m. – 10:45 a.m. Crystal Room Investment Outlook Mario DiVito, Investment Relationship Manager, American Funds Institutional Group Mario DiVito currently serves as an Investment Relationship Manager of Capital Research Company. Mario has fifteen years of investment industry experience, and prior to joining The Capital Group Companies 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. 9:30 a.m. – 10:45 a.m. Regent Room How TAG Can Help You Leverage Technical Knowledge & Distinguish Your Practice Richard N. Carpenter, CPC, CEBS, President, Technical Answer Group, Inc. Richard N. Carpenter is one of the original founders of the Technical Answer Group. He was formerly the Senior Manager in charge of the Florida employee benefits consulting practice for Deloitte & Touche. He has an MBA and has earned both the Certified Employee Benefits Specialist (CEBS) and Certified Pension Consultant (CPC) designations. Richard was an instructor for the CEBS program and is a frequent national speaker on the design and administration of 401(k) and non-qualified deferred compensation arrangements. Center for Due Diligence
  • 20. CFDD Advisor Conference Speaker Bios Page 20 September 28, 2005 Wednesday, October 5, 2005 (Continued) Center for Due Diligence
  • 21. CFDD Advisor Conference Speaker Bios Page 21 September 28, 2005 Wednesday, October 5, 2005 (Continued) 9:30 a.m. – 10:45 a.m. State Room Best Practices For Monitoring & Selecting Investments Donald Stone, President, Plan Sponsor Advisors, LLC Donald Stone has been involved in virtually every aspect of the pension/401(k) industry for over 20 years. He has written and spoken extensively on a broad range of industry topics, chaired the ABA 401(k) Conference and lectured at the Midwest Trust School on retirement plan trends. Before 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. In August 2004, Don testified before the ERISA Advisory Council concerning non-disclosure of fees in the industry. In addition, he has served as an expert witness in employee benefit litigation. Don holds the Accredited Investment Fiduciary™ (AIF) designation NASD Series 7, 24 and 66 licenses, as well as life and health. He is a member of the Profit Sharing/401(k) Council of America (PSCA) and serves on the editorial advisory committee. Don is also a member of the program committee of the Worldwide Employee Benefit Network (WEB) Chicago chapter. 11:00 a.m. – 12:15 p.m. Gold Room What Retirement Advisors Should & Should Not Expect from Their B-D: “B-D Perspective” Panel -Pat Oberlander (Moderator), Director Retirement Services, McDonald Financial Group -Laura H. Gough, Managing Director, Corporate/Executive Services & Retirement Plans Services, Robert W. Baird & Co, Inc. -Brant Griffin QKA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. Pat Oberlander is Senior Vice President and Director of Retirement Services with McDonald Financial Group (MFG), the brokerage division of KeyCorp. Since joining the firm in 1995, he has overseen an almost tenfold increase in the annual retirement plan production to almost 500 plans and $700 million. Pat manages a staff of 18 professionals who promote and support the retirement sales and service efforts of the firm’s 500 financial advisors, as well as through other bank lines of business. He has held various administrative, underwriting, sales, and management roles with Travelers, CIGNA, and Transamerica during his career in the retirement business, which spans almost 30 years. Pat is a 2005 member of the Securities Industry Association’s Retirement and Savings Committee. Laura Gough is Director of Corporate & Executive Services and Retirement Plans Services for Robert W. Baird & Co. She is responsible for directing the firm’s sales and marketing of corporate services, which includes corporate cash management, stock options, employee stock purchase plans, and qualified and non-qualified retirement plans. Laura is active in organizations identifying industry issues and contributing to industry outreach. She currently serves on the Securities Industry Association Retirement Savings Committee and was Chair of the committee in 2004. She is also a member of the International Foundation of Employee Benefits, the National Association of Stock Plan Professionals, and an affiliate member of the American Society of Pension Actuaries. Laura earned a B.S. in Economics from Virginia Center for Due Diligence
  • 22. CFDD Advisor Conference Speaker Bios Page 22 September 28, 2005 Wednesday, October 5, 2005 (Continued) Commonwealth University. She holds the National Association of Securities Dealers Series 6, 7, 9, 10, 24, 63, 66 and 26 licenses as well as her State of Wisconsin insurance license. Brant J. Griffin is a Director of the Corporate Services Group at Oppenheimer & Co. Inc., a co-fiduciary retirement plan advisory practice specializing in the mid-sized plan market. Clients have included private and public companies, non-profit organizations, associations, and professional service groups. Brant’s career commenced with T. Rowe Price & Associates as a Senior Retirement Plan Consultant. He subsequently joined the Retirement Services Department of Oppenheimer & Co., Inc. ultimately rising to the position of Western Regional Director of the Division. Brant has attained the Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professionals and Actuaries (ASPPA). He has also earned the Accredited Investment Fiduciary™ (AIF) awarded by the Center for Fiduciary Studies and the PLANSPONSOR Retirement Professional designation (PRP) from the PLANSPONSOR Institute. 11:00 a.m. – 12:15 p.m. Crystal Room Leaving Your B-D & Setting Up Shop As An Independent RIA James D. Stoker, Managing Director, Water Street Investment Consultants, LLC James D. Stoker consults to endowments, foundations, high net-worth individuals, and public and private companies on investment management and policy, fiduciary responsibility, custody, and trust issues. He is responsible for overseeing all client service at WaterStreet Investment Consultants, LLC. Prior to forming WaterStreet Investment Consultants, James was a Senior Institutional Consultant with the Consulting Group of Smith Barney for 19 years. Previous positions include Senior Financial Analyst with Cooper Industries and Senior Financial Analyst and Corporate Cash Manager with DSC Communications (Alcatel). He is a Certified Investment Management Analyst (CIMA), a designation offered by The Wharton School (University of Pennsylvania). James is the past president of The Association of Professional Investment Consultants (APIC). In 2004 he received the Association's highest award of achievement for years of service, stewardship, and commitment to membership, the Tom Gorman Award. He received the Consulting Group's Professionalism Award in 1992, the Smith Barney 401(k) Consultant of the Year Award in 1993, and the Harry Irvine Award for ethics and commitment to clients in 1997. James is a CFA candidate and received a Bachelor of Science degree in Business Administration from the University of Arkansas, Fayetteville in 1978. Center for Due Diligence
  • 23. CFDD Advisor Conference Speaker Bios Page 23 September 28, 2005 Wednesday, October 5, 2005 (Continued) 11:00 a.m. – 12:15 p.m. Regent Room Maximizing The Trustee/Custodian’s Value David Semmler, VP, Sales, MG Trust (Formerly Matrix) David Semmler has over 10 years experience in the industry with stints at Charles Schwab Corporate Services, Vanguard and AST Trust. 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 the Western Pension & Benefits Conference – Denver Chapter. 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. 11:00 a.m. – 12:15 p.m. State Room Beyond 401(k) - TRS & The RIA Model For Plans Under $25 Million Dan McGee, VP-Business Development, Principal Financial Group Dan McGee is Vice President of Business Development in the Charlotte Retirement Services Office. Dan manages all aspects of Principal's alliance, channel and unique market activities. He graduated from the University of Iowa, in Iowa City, with a BBA degree in Marketing in 1992. Dan joined the Principal Financial Group in 1992 as Group Service Representative in the Oklahoma City Office. Since then, Dan has held several positions with the firm including sales, sales management and an international assignment in Sydney, Australia. 12:15 p.m. – 1:15 p.m. Lunch Center for Due Diligence
  • 24. CFDD Advisor Conference Speaker Bios Page 24 September 28, 2005 Wednesday, October 5, 2005 (Continued) 1:15 p.m. – 2:30 p.m. Gold Room What Retirement Advisors Should & Should Not Expect From Their B-D: “Advisor Perspective” Panel -Randy Long (Moderator), Managing Principal, SageView Advisory Group -Trisha Brambley, President, Resources For Retirement, Inc -Dorann Cafaro, Executive VP, 401k Advisors USA -Douglas G. Prince, Senior VP, Stifel Nicolaus Randall C. Long is the Managing Principal of SageView Advisory Group, a SEC Registered Investment Advisory firm specializing in services for retirement plan sponsors. His firm is responsible for managing more than $1 billion in retirement plan assets. Randall has worked in the financial services industry for more than 25 years, focusing most of that time in the retirement plan arena. He is an Accredited Investment Fiduciary (AIF), a CFA candidate and earned his Bachelor of Science degree in business administration from San Diego State University. He is an active member of the American Society of Pension Professionals and Actuaries (ASPPA) and serves as a regional director for Financial Network Investment Corporation. Trisha Brambley launched RESOURCES in 1995 to help plan sponsors understand the choices available to them, which include plan types, vendors, design, funds and fees. The company focuses on finding the best solutions for clients. Trisha is a noted expert in the retirement plan area, and has been frequently quoted in the press including Money Magazine, USA Today, Readers Digest, Working Women, Plan Sponsor and many more. Her firm won four Best In Class Awards from Plan Sponsor Magazine for their consultative approach to clients. Her previous experience includes senior management at an international benefits firm, and as an innovator and pioneer in the early days of 401k Plans. Advisory Board Member of 401k Advisors USA. Dorann Cafaro is a founding partner of The Cafaro Group, LLC, which was established in 1981. The firm provides retirement consulting services for corporations, unions, public agencies and non-profit organizations. Focusing exclusively on design and implementation of retirement plans, they provide the identification and monitoring of investment programs tailored to meet each sponsor’s needs such as addressing corporate liability, minimizing costs and reducing fiduciary responsibility of the Plan Administrator. In addition, they deliver in-person participant education around the country. Dorann has been a Regional Director of Retirement Services for Prudential Investments, a Corporate Vice President and National Director of Retirement Planning for PaineWebber, and a Senior Vice President of Marketing for a leading money management firm. She holds a BS from Marquette University in Mathematics, and is Series 8, 7, 63, 65, Life and Health licensed. Dorann frequently lectures at national conferences on retirement planning and has provided retirement education for many Fortune 500 Companies including the Garden State Parkway and New Jersey Turnpike Authority. With over 25 years in the financial industry, she is known for her unique unbiased consulting advice and was recently recognized as one of the “Best in Class” in the retirement plan industry. Center for Due Diligence
  • 25. CFDD Advisor Conference Speaker Bios Page 25 September 28, 2005 Wednesday, October 5, 2005 (Continued) Douglas G. Prince is a Managing Director with Stifel Nicolaus & Company and partner with The Knall Group. He works with over 80 institutional clients with assets under management of $1 billion. His prior positions include Vice President at McDonald Investments, Manager at Grant Thornton LLP and Financial Analyst at the law firm of Peck, Shaffer & Williams. Doug received his Bachelor of Science in Accounting from Northern Kentucky University. He is a member of the Ohio Society of Certified Public Accountants and the American Institute of Certified Public Accountants. Doug currently has his Securities licenses (Series 7 and 63) and is a Registered Investment Advisor (Series 65). He is also licensed for Life, Health and Variable Annuity products. He is an Accredited Investment Fiduciary Auditor through the University of Pittsburg Katz School of Business, and Certified Public Accountant (Ohio). Doug is a frequent public speaker at such organizations as Indiana Continuing Legal Education Forum, Indiana Pension Conference, Ohio Society of CPAs and has authored over 30 articles in various publications. 1:15 p.m. – 2:30 p.m. Crystal Room Using Behavioral Science To Manage Sponsor Expectations About Risk Tolerance & Fund Selection Panel -Ward Harris (Moderator), Managing Director, The McHenry Group/PlanTools™ -Robert L. Padgette, CFA, CIMA, Managing Director, Klein Decisions, LLC -Rhonda Evans, AIF®, PhD., Director of Research, The McHenry Group / PlanToolsTM -Al Otto, AIF®, Executive VP, White Horse Advisors Ward Harris founded McHenry in 1998 following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory & retirement lines of business. His prior service was with The Bank of California (now Union Bank of California), First Interstate Bank (now Wells Fargo) & Dean Witter (now Morgan Stanley). He formed McHenry to support institutions with “best practices/best products” in the offer of investment based benefits services. Bob Padgette has been a driving force in the development of new products and services for the investment and financial services industries for more than 20 years. Prior to founding Klein Decisions in 2002, he was the Chief Executive Officer and founder of Möbius Group, Inc., a leading provider of software and data for investment professionals that was acquired by CheckFree in 1999. Bob began his investment career in 1981 at Kidder, Peabody & Co., where he last served as Vice President and National Director of the PRIME Asset Consulting Group. He received the Steve Kessler annual writing award in 1997 from IMCA and the Pioneer Award from the Money Management Institute in 2003 for his overall contributions to the managed accounts industry. Bob received both a BSEE and an MBA from Duke University. Center for Due Diligence
  • 26. CFDD Advisor Conference Speaker Bios Page 26 September 28, 2005 Wednesday, October 5, 2005 (Continued) Rhonda Evans, Ph.D. is the Director of Research for The McHenry Group, where she is responsible for financial analysis and research on the latest trends in the investment-based benefits marketplace. She received her Ph.D. from the University of California, Berkeley and was the co-founder of a successful research firm specializing in employment and employee benefits research. She is presently also affiliated with UC Berkeley's Institute of Industrial Relations. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. With over 23 years of experience, he is a highly respected leader in the retirement planning industry and an expert on fees in retirement plans. Al is an Accredited Investment Fiduciary(r) and has contributed writings to or been quoted in several publications such as Plan Sponsor Magazine, Employee Benefit News and Employee Benefit Plan Review. 1:15 p.m. – 2:30 p.m. Regent Room Successful 401(k) Advisor Profiles & Trends -Merl Baker, Principal, Brightwork Partners, LLC (Sponsored by MassMutual) -Andy O’Rourke, Director, Distribution Channel Marketing, MassMutual Retirement Services Merl W. Baker, Brightwork Partners’ principal, is a quantitative researcher by background and the former president of Louis Harris and Associates USA, the firm where he spent most of his career before founding Brightwork Partners in 1999. Merl has also managed financial services research portfolios at Monitor Group, Yankelovich Partners and Spectrem Group/PSI Global. Brightwork Partners is a research-based consultancy focusing on product, service and distribution issues in retail and institutional financial services. Best known for its work among advisors, Brightwork supports clients who distribute retail investment and retirement services products through non-proprietary advisor channels. The firm’s research is based on work among business owners; high net worth individuals; retail advisors; participants and former participants in qualified plans; plan sponsors; advisors who sell retirement services; and TPAs who administer retirement plans. Andy O’Rourke is the Director of Distribution Channel Marketing for MassMutual’s Retirement Services division. He is responsible for developing and delivering strategic marketing programs that are designed to cultivate retirement business activity through all intermediary distribution channels. Andy is a retirement services professional with over 13 years of experience. Prior to joining MassMutual, he worked for State Street Bank, Fidelity Investments, and Emplanet Retirement Services, in various relationship management, product development, and strategic marketing positions. Andy is a graduate of Miami University in Oxford, Ohio, and has earned a Masters of Business Administration from Babson College. Center for Due Diligence
  • 27. CFDD Advisor Conference Speaker Bios Page 27 September 28, 2005 Wednesday, October 5, 2005 (Continued) 1:15 p.m. – 2:30 p.m. State Room Gross-To-Net Pricing & Administering Plan Expense Reimbursement Accounts: All Providers Are Not Equal Glenn A. Dial, VP, National Sales Manager, Ceridian Retirement Plan Svcs Glenn A. Dial is Vice President for Ceridian Retirement Plan Services and a 17 year veteran of the retirement plan industry. He is responsible for managing national distribution for all retirement plan products including 401(k), 403(b), Money Purchase, ESOP’s and Defined Benefit plans. Glenn has written articles or been quoted in such publications as Defined Contribution News, Plan Sponsor Magazine, Benefits Compensation, Employee Benefits Plan Review, Paytech, 401(k) Exchange, Human Capital Magazine and Employee Benefit News. Glenn has been in his current position with Ceridian since 1999. Prior to joining Ceridian he was the 401(k) Southeast Regional Manager for Automatic Data Processing. Glenn spent the beginning of his career as a financial analyst and consultant for McDonnell Douglas, General Mill and Smith Barney. Glenn is an Accredited Investment Fiduciary, a NASD registered Principal, holds a MBA from Rollins College and a BSBA-Finance from the University of Central Florida. 3:00 p.m. – 4:15 p.m. Gold Room Managing Your Clients: Continuing The Value Added Process & Navigating The Minefield Of Client Relationships Panel -Carol J. Skinner, QPA (Moderator), President, Sterling Retirement Plan Services, Inc. -Barbara Best, VP – Investments, Capital Strategies Group of Wachovia Securities -Michael Morris, VP, Gradison McDonald Financial Group -Joseph S. Moynihan, CEBS, CIMA, Sr. VP, McDonald Financial Group Carol J. Skinner Carol J. Skinner has a 25+ year career in the retirement plan industry. She is President of Sterling Retirement Plan Services, Inc., providing fee based consulting and investment services. Most recently, Carol served as the Atlanta Pension Sales Manager for Securian Retirement Services. Her previous experiences include establishing a mutual fund revenue recapture program for a Fortune 250 company’s plan and developing client management programs for past employers. She is a credentialed (QPA) member of the American Society of Pension Actuaries, currently serves as a Director on ASPPA's Board, is a member and Past Chairman of ASPPA’s ABC Committee, and is a member of the Investment Regulatory Sub-Comittee. She also is a current Board member and served as a Past President of the ASPPA Benefits Council of Atlanta. Barbara J. Best has over 22 years of financial services experience. She has worked with numerous well- recognized Fortune 500 companies supporting their benefits programs and identifying and implementing enhanced solutions. She speaks at industry functions and has led client discussions at various client conferences. Prior to joining Capital Strategies Group, Barbara spent over 18 years at a major financial Center for Due Diligence
  • 28. CFDD Advisor Conference Speaker Bios Page 28 September 28, 2005 Wednesday, October 5, 2005 (Continued) services firm, most recently as a senior member of their Institutional Client Relationship Team. Barbara received her BA at Boston College, magna cum laude, in economics and studied at London School of Economics and the Faculte des Lettres in France. She also received a Professional Program in Business Certificate in Finance from New York University. Finally, Barbara has recently completed the Accredited Investment Fiduciary program sponsored by the Center for Fiduciary Studies and received the PRP designation from the Plan Sponsor Institute. Michael E. Morris is currently a Vice President with Gradison McDonald Financial Group. His practice currrently oversees 55 retirement plans with approximately $225 million in assets. His group specializes in the non-profit retirement plan sector and counts a current client list of 10 hospitals to date. He has earned the Accredited Investment Fiduciary (A.I.F.) designation and holds the series 7, 6, 63, 65, 31 licences. He was formerly employed with Fidelity Investments as a Government Bond Trader on the retail trading desk and he brings over 17 years of Industry experience to his clients. Mike earned a B.A. in Psychology at Xavier University. Joseph S. Moynihan, CEBS, CIMA, is a Senior Vice President with McDonald Investments, and currently services 65 retirement plans with approximately $290 million in assets. Prior to joining McDonald, Joe was a Senior Actuarial Consultant with Watson Wyatt Worldwide and a Pension Auditor/ Investigator at the U.S. Department of Labor, Employee Benefits Security Administration (EBSA), where he examined benefit plan activity for compliance with Title I of ERISA, DOL regulations, civil and criminal laws. Joe has been appointed by various federal district courts as an ERISA independent fiduciary on orphan defined contribution and health and welfare plans. Joe’s role upon formal appointment is to settle the affairs of defined contribution, defined benefit, employee stock ownership and health plans. Joe holds a B.A. and M.A. from the University of Detroit and an M.B.A. in Finance from Loyola University of Chicago. He is a Certified Employee Benefits Specialist (CEBS), Certified Investment Management Analyst (CIMA) and Accredited Investment Fiduciary Auditor (AIFA). Joe is a member of the American Society of Pension Actuaries and American Academy of Actuaries. 3:00 p.m. – 4:15 p.m. Crystal Room How To Market The Value Of The RIA Approach Panel -Mark A. Metz, (Moderator) Sr. VP, Sales & Marketing Director, Principal Trust Company (formerly ABN-AMRO/Chicago Trust) -Matt Gnabasik, Managing Director, Blue Prairie Group -Al Otto, AIF, Executive VP, White Horse Advisors -Ken Ulrich, AIF, Sr. VP, Complete Pension Services, Inc. Mark Metz, senior vice president, Principal Trust Company, is currently helping to manage transition issues related to the purchase of ABN AMRO Trust Services Company by The Principal Financial Group. Prior to the acquisition, Mark managed all sales and marketing activities of the Retirement Plan Services group of ABN AMRO Asset Management. His responsibilities included management and direction of sales staff, building distribution, product development, oversight of marketing activities and pricing. Mark entered the retirement plan industry in 1979 with a major insurance company where he last served as Midwest regional pension manager with sales, marketing and client service responsibility for a ten state territory. He joined ABN AMRO Asset Management in 1995. Mark has worked extensively Center for Due Diligence
  • 29. CFDD Advisor Conference Speaker Bios Page 29 September 28, 2005 Wednesday, October 5, 2005 (Continued) throughout his career with a diverse clientele including small entrepreneurial companies, labor unions and large corporations. He has developed a unique understanding of employee benefit issues from the client’s perspective. Matthew 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 based in Chicago. He writes and speaks regularly on retirement plan issues and is frequently interviewed by the national media including the Wall Street Journal, the New York Times, CBS MarketWatch, Fox News, MSNBC and the News Hour with Jim Lehrer. He is the author of the 2002 award-winning book for plan sponsors, Smart Choices: Selecting and Administering a Safe 401(k) Plan and is currently finishing his second book (this one geared towards financial advisors) entitled, 401(k) Inc: Building A Successful Retirement Plan Practice due out later this year. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. With over 23 years of experience, he is a highly respected leader in the retirement planning industry and an expert on fees in retirement plans. Al is an Accredited Investment Fiduciary(r) and has contributed writings to or been quoted in several publications such as Plan Sponsor Magazine, Employee Benefit News and Employee Benefit Plan Review. Ken Ulrich is a Senior Vice President with Complete Pension Services, Inc., a Southern California independent retirement plans consulting firm with more than 200 plans under management. Ulrich has over twelve years experience in the industry and also manages other producers for the firm. Prior to joining Complete Pension Services in 1999, he held similar positions with PaineWebber and Wells Fargo. Ken also has an extensive marketing background and held senior marketing positions with Procter & Gamble and Mattel prior to entering the financial services field. Ken holds BS and MBA degrees from the University of Southern California and has earned the Accredited Investment Fiduciary (AIF) designation. 3:00 p.m. – 4:15 p.m. Regent Room Plan Sponsor & 401(k) Market Insights: An Inside Look At What Your Clients Are Telling Us Lisa M. Smith, Senior Vice President, Fidelity Investments Institutional Services Co., Inc. Lisa M. Smith is Senior Vice President, Fidelity Investments Institutional Services Co., Inc. (FIIS), a division of Fidelity Investments. Lisa, a 15 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, Plan Sponsor and Investment Professional servicing and sales support including management of the Sales Desk and Business Acceptance Functions. Prior to joining FIIS in 2003, Lisa was the head of the communication and education business for Fidelity’s Retirement Services Company (FIRSCO) Large Plan Services unit which provides total benefits outsourcing to Fortune 500 Companies. There she had responsibility for employee education of their plan sponsors clients’ defined contribution, pension, health Center for Due Diligence
  • 30. CFDD Advisor Conference Speaker Bios Page 30 September 28, 2005 Wednesday, October 5, 2005 (Continued) and welfare, and HR/Payroll plans and in that role, Lisa and her team received the Crystal Award of Excellence from the Communicator Awards for the industry leading first|PERSON communication program. Lisa is a graduate of the University Of Massachusetts School Of Management. 3:00 p.m. – 4:15 p.m. State Room Support Services For Retirement Advisors Bill Chetney, President, 401(k) AdvisorsUSA William R. Chetney is the founder and President of 401(k) Advisors USA. In this capacity, he has the overall responsibility for strategic planning, office establishment, and product development. The firm currently has over 60 offices in 26 states consulting to thousands of companies with assets in excess of $13 billion. After receiving a BA from Pitzer College and a MBA from The Drucker School of Management, Bill began his career in the pension business as The National Consulting Desk Manager for Mutual Benefit Financial Services in 1986. Upon his transfer to Mutual Benefit Pension Corporation in 1989, he managed operations in 14 western states and over $2 billion in customer assets. Most recently, Bill was a partner with Michael K. Farrell & Associates. In his role as National Sales Manager, he was instrumental in the development of a proprietary 401(k) product for ReliaStar Financial Corporation, which was later sold to ING Group. 4:15 p.m. – 5:45 p.m. Exhibition Area Cocktail Party Center for Due Diligence
  • 31. CFDD Advisor Conference Speaker Bios Page 31 September 28, 2005 Thursday, October 6, 2005 7:00 a.m. - 8:00 a.m. Breakfast 8:00 a.m. – 9:15 a.m. Gold Room Should Advisors Offer Other Services Panel -Trisha Brambley (Moderator), President, Resources For Retirement, Inc -Jim Scheinberg, CIMA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. -Vincent Morris, VP, Bukaty Companies Retirement Services Trisha Brambley launched RESOURCES in 1995 to help plan sponsors understand the choices available to them, which include plan types, vendors, design, funds and fees. The company focuses on finding the best solutions for clients. Trisha is a noted expert in the retirement plan area, and has been frequently quoted in the press including Money Magazine, USA Today, Readers Digest, Working Women, Plan Sponsor and many more. Her firm won four Best In Class Awards from Plan Sponsor Magazine for their consultative approach to clients. Her previous experience includes senior management at an international benefits firm, and as an innovator and pioneer in the early days of 401k Plans. Advisory Board Member of 401k Advisors USA. Jim Scheinberg is a Vice President at Oppenheimer & Co. and Director of the Corporate Services Group (CSG). CSG is a co-fiduciary retirement plan advisory practice specializing in the mid-sized plan market. He joined Oppenheimer in 1994 as an institutional investment consultant. Jim's current clients include private and publicly traded corporations and professional service groups. Jim received his B.A. in Political Science at the University of California, in Los Angeles, achieved the Certified Investment Management Analyst (CIMA) designation in 2001 and also holds the Accredited Investment Fiduciary(tm) (AIF®) and PLANSPONSOR Retirement Professional (PRP) designations. Vincent Morris, Vice President of Bukaty Companies Retirement Plan Services, has over 13 years experience in the financial services industry. He joined Bukaty Companies in July of 2001 to form the retirement plan services division, where he has worked with hundreds of corporate clients to help them design, implement and more effectively administer their retirement plans. As vice president, he manages the day to day operations of retirement plan services and oversees client services. As a consultant, he manages provider searches, implementation timelines and conversion teams for large group retirement plans. He also develops on-going employee education programs that enhance individual employees’ understanding and appreciation of their retirement plan benefit and assists companies with the implementation of their educational program. Vince also oversees board training and fiduciary services that help clients stay compliant with various fiduciary standards and practices including development of investment policy statements, on-going investment monitoring and demographics analysis. Since Vince joined the Bukaty Companies, the retirement services division has grown from a start up with zero assets to a branch office with over $300 million in assets. He manages a retirement plan staff that handles in excess of 88 plans with over 8,200 participants and projected growth of approximately 20 plans a year. Center for Due Diligence
  • 32. CFDD Advisor Conference Speaker Bios Page 32 September 28, 2005 Thursday, October 6, 2005 (Continued) Vince also manages and oversees the wealth management division of the Bukaty Companies and coordinates cross selling opportunities among the various other products and services represented by the Bukaty Companies. 8:00 a.m. – 9:15 a.m. Crystal Room Fiduciary Reporting -Ward Harris, Managing Director, The McHenry Group / PlanToolsTM -Al Otto, AIF®, Executive VP, White Horse Advisors -Rick Tasker, President, Epoch Consulting Group Ward Harris founded McHenry in 1998 following a twenty year career in financial services. He was formerly national sales development director with Charles Schwab & Co., supporting both advisory & retirement lines of business. His prior service was with The Bank of California (now Union Bank of California), First Interstate Bank (now Wells Fargo) & Dean Witter (now Morgan Stanley). He formed McHenry to support institutions with “best practices/best products” in the offer of investment based benefits services. Al Otto is the Co-Founder and Vice President of White Horse Advisors, LLC. With over 23 years of experience, he is a highly respected leader in the retirement planning industry and an expert on fees in retirement plans. Al is an Accredited Investment Fiduciary(r) and has contributed writings to or been quoted in several publications such as Plan Sponsor Magazine, Employee Benefit News and Employee Benefit Plan Review. Rick Tasker 8:00 a.m. – 9:15 a.m. State Room How To Use Wholesalers Effectively George Fahey, Sr. VP/National Sales Director, Retirement Plans/Oppenheimer Funds Inc. George R. Fahey is a Senior Vice President and National Sales Director for Retirement Plans at OppenheimerFunds, Inc. He has spent eighteen years of his professional career in the financial services industry, and has worked for organizations such as Prudential, Equitable, and American Funds. George began working for OppenheimerFunds in 1997 as a Retirement Plan Consultant, covering the South Central territory, and later covered the Mid-Atlantic territory. George was promoted to his position as National Sales Director in June of 1999. His responsibilities include the management of all retirement sales associates, product development and strategic accounts. During his tenure at Oppenheimer, retirement sales have increased from $4B to over $10B and $45B in assets. In 2004 Oppenheimer was ranked #4 in net flows into DC plans and a 46% growth rate. Oppenheimer currently ranks #9 for assets under management in DC plans. George is a graduate of Bucknell University, and holds a BA in Political Science and Sociology. Center for Due Diligence
  • 33. CFDD Advisor Conference Speaker Bios Page 33 September 28, 2005 Thursday, October 6, 2005 (Continued) 8:00 a.m. – 9:15 a.m. International Ballroom How To Build A Dynamic & Automated Prospecting Engine Panel -Tom Herbruck (Moderator), Retirement Specialist & Shareholder, Herbruck Alder -Mike Taffi, Program Manager, 401k Sales Force, LLC -Thomas E. Hoffman, Certified Fund Specialist, Chartered Retirement Plan Specialist, KAF Financial Advisors, LLC -Brian Lampsa, VP Retirement Plan Group, Howe Barnes Investments, Inc. -Randy Long, Managing Principal, SageView Advisory Group Tom Herbruck is an account executive and shareholder at Herbruck Alder, an employee benefits brokerage and consulting firm established in 1963 that provides benefit advice to over 400 Ohio businesses. Tom has been consulting with Ohio employers on benefit issues for over 12 years. Mike Taffi has over 20 years experience providing technology, teleservices and direct marketing solutions to the financial services industry and has dedicated the past 6 years to lead generation through tele-prospecting. Mike has been involved with 401k Sales Force since inception and has recently taken over as President and Program Manager. Mike has developed a sophisticated online prospect management program and with the assistance of retirement plan advisors is developing scripts and training tele-prospectors to provide lead generation to the retirement plans industry. Mike serves on the boards of several organizations, including the Board of Academic Advisors for the Akron Institute of Technology. Thomas E. Hoffman, a 20 year veteran of the financial services industry, focuses a majority of his practice on the design, implementation and administration of all types of retirement plans, primarily in the small and mid size marketplace. Tom was elected by his peers to the Capital Analysts, Inc. (broker dealer) Field Advisory Board and has qualified all ten years of the firm’s top producer Circle of Excellence. He is a member of ASPPA and the 401(k) Profit Sharing Council of America. His practice is part of a diversified regional financial services firm that includes a CPA firm, business workout group, technology consulting and certified business valuation group. Tom holds an MBA in Accounting from The University of Massachusetts at Amherst (1977) and is a 1975 graduate of St. Lawrence University with a BA in Economics. Prior to his financial services career, Tom served nine years as Public Relations Director and Training Camp Manager for the New England Patriots. Brian Lampsa 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) and the Accredited Investment Fiduciary (AIF) designation from the Center for Fiduciary Studies. He started the Retirement Plan Group at Howe Barnes Investments, Inc. to assist and provide participants with the programs, tools, knowledge and motivation to contribute wisely and confidently to the company's retirement plan. Center for Due Diligence
  • 34. CFDD Advisor Conference Speaker Bios Page 34 September 28, 2005 Thursday, October 6, 2005 (Continued) Randall C. Long is the Managing Principal of SageView Advisory Group, a SEC Registered Investment Advisory firm specializing in services for retirement plan sponsors. His firm is responsible for managing more than $1 billion in retirement plan assets. Randall has worked in the financial services industry for more than 25 years, focusing most of that time in the retirement plan arena. He is an Accredited Investment Fiduciary (AIF), a CFA candidate and earned his Bachelor of Science degree in business administration from San Diego State University. He is an active member of the American Society of Pension Professionals and Actuaries (ASPPA) and serves as a regional director for Financial Network Investment Corporation. 9:30 a.m. -10:45 a.m. Gold Room Maximizing The Value Of Your Practice & Monetizing Your Investment -Thomas V. Bruns, Divisional Sales VP – Western Division, U.S. Group Pensions, John Hancock Life Insurance Company -Bob Ossey, Partner, Business Health, PTY., Ltd. Thomas V. Bruns is a Divisional Vice President for John Hancock Retirement Plans, managing over one hundred talented individuals that specialize in sales, sales support, enrollment and education, and customer relationships. He joined Manulife (re-branded John Hancock in 2005) in September of 2003, after many enjoyable 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 has led a humanitarian group to Honduras to help build homes and provide aid. Bob Ossey Bob Ossey is one of the Principals of Business Health Pty Limited with clients in Australia, the U.S., the U.K., South Africa and New Zealand that range in size from large multinationals to boutique firms. Business Health was established to provide practical "down to earth" assistance to businesses with particular emphasis in the financial services industry As well as providing cutting edge advice and practice development programs to their private clients, the company has spent over four years researching and developing an industry specific web based diagnostic tool, The Business HealthCheck. Bob Ossey has personally spoken and consulted in Australia, South Africa, the U.S. and the U.K. helping businesses position themselves for success in the 21st century. His knowledge of market trends and business structures has helped many professionals build valuable, profitable, sustainable and relevant practices. Center for Due Diligence
  • 35. CFDD Advisor Conference Speaker Bios Page 35 September 28, 2005 Thursday, October 6, 2005 (Continued) 9:30 a.m. -10:45 a.m. Crystal Room Operational Audits Brian Hubbell, Principal, Findley Davies, Inc Brian C. Hubbell is a Principal with the firm of Findley Davies, a compensation and employee benefit consulting firm, with offices in Charlotte, Cleveland, Greensboro, and Toledo. Brian opened the Charlotte office of the firm in May 1987 and has over 25 years' experience in the retirement consulting field. He has been involved in all aspects of employee benefit plans including plan design, implementation, funding and administration. Brian earned a Bachelor of Science degree from the University of Iowa with a major in Business Administration. He is past president of the Charlotte Pension Forum and has been an instructor in the Certified Employee Benefit Specialist Program at Queens University in Charlotte. 9:30 a.m. -10:45 a.m. State Room How To Move Your Practice Upstream & Compete Effectively In The $25-100 Million Market -Jim Scheinberg CIMA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. -Brant Griffin QKA, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. Jim Scheinberg is a Vice President at Oppenheimer & Co. and Director of the Corporate Services Group (CSG). CSG is a co-fiduciary retirement plan advisory practice specializing in the mid-sized plan market. He joined Oppenheimer in 1994 as an institutional investment consultant. Jim's current clients include private and publicly traded corporations and professional service groups. Jim received his B.A. in Political Science at the University of California, in Los Angeles, achieved the Certified Investment Management Analyst (CIMA) designation in 2001 and also holds the Accredited Investment Fiduciary(tm) (AIF®) and PLANSPONSOR Retirement Professional (PRP) designations. Brant J. Griffin is a Director of the Corporate Services Group at Oppenheimer & Co. Inc., a co-fiduciary retirement plan advisory practice specializing in the mid-sized plan market. Clients have included private and public companies, non-profit organizations, associations, and professional service groups. Brant’s career commenced with T. Rowe Price & Associates as a Senior Retirement Plan Consultant. He subsequently joined the Retirement Services Department of Oppenheimer & Co., Inc. ultimately rising to the position of Western Regional Director of the Division. Brant has attained the Qualified 401(k) Administrator (QKA) designation from the American Society of Pension Professionals and Actuaries (ASPPA). He has also earned the Accredited Investment Fiduciary™ (AIF) awarded by the Center for Fiduciary Studies and the PLANSPONSOR Retirement Professional designation (PRP) from the PLANSPONSOR Institute. Center for Due Diligence
  • 36. CFDD Advisor Conference Speaker Bios Page 36 September 28, 2005 Thursday, October 6, 2005 (Continued) 9:30 a.m. -10:45 a.m. International Ballroom To Fee Or Not To Fee: What Are The Questions? Panel -Sean Kelley (Moderator),VP, Retirement Plan Sales, NYLIM -Mark Kordonsky, Principal, Sageview Advisory Group -Tom Phillips, CEO, Investor Fiduciary Services -Jon Upham, Sageview Advisory Group Sean Kelley is a Vice President, Director of Retirement Plan Sales in the Western Region with New York Life Investment Management, LLC (NYLIM). His 15+ years of experience selling and distributing corporate retirement plans include positions with Fidelity Investments, AIM Distributors, Inc., John Hancock Funds, Inc., and Wells Fargo & Company. During his career, Sean has been involved in over 300 retirement plan transactions. Because of his extensive background in retirement plan sales and marketing, he has authored several articles and is a frequently requested speaker at various industry events. He has completed the Pension Fund and Investment Management program from the Wharton School at the University of Pennsylvania. Sean has had membership affiliations with the Society of Pension Administrators and Recordkeepers (SPARK), American Society of Pension Professionals & Actuaries (ASPPA), National Tax Sheltered Account Association (NTSAA), International Association for Financial Planning (IAFP), Western Pension & Benefits Conference, and Mid Size Pension Conference. He has had speaking engagements with ASPPA, NTSAA, IAFP, Mid Size Pension Conference, Los Angeles County Bar Association, CPA/Legal forum of California, National Life Underwriters Association, Geological Engineers Society, and Center For Due Diligence. Mark Kordonsky, Principal of SageView Advisory Group, is considered a regional expert on both domestic and international compensation and benefits. He leads both the Domestic and International Investment Services divisions in Los Angeles, with an emphasis on the development of strategic benefit outsourcing solutions. Mark specializes in investment, financial and administrative strategies relating to employee benefit plans. As a result, he has helped numerous clients to develop an outsourcing strategy and select appropriate vendors. Renowned for devising innovative solutions for clients in highly regulated countries such as Germany, Belgium, Brazil and the Netherlands, he is also considered a national expert on benefit design and financial reporting issues specific to Latin America. Mark has over 24 years of wide-ranging consulting experience for both domestic and multinational clients in such areas as compensation and benefit program finance and design, corporate transactions (mergers, acquisitions, dispositions, change-in-control situations, joint venture formations, IPOs and going-private transactions), actuarial analysis and financial reporting. Before joining SageView, he was a Partner with Buck Consultants for 10 years and Managing Consultant with Foster Higgins for six years. Mark also spent four years with ARCO Investment Management, and previously was an actuary with the consulting firm of Towers, Perrin, Forster & Crosby. He is currently completing coursework towards attaining the designation of Chartered Financial Analyst (CFA) and is NASD Series 7 and 63 securities registered. Center for Due Diligence
  • 37. CFDD Advisor Conference Speaker Bios Page 37 September 28, 2005 Thursday, October 6, 2005 (Continued) Tom Phillips is President of 401k Fiduciary Services. Tom has 15 years in the financial services arena. Prior to founding 401k Fiduciary Services, Tom was director of trust operations for CNA Trust. As the owner of Century Financial Group in 1999, Tom grew the company over 100 plans in 18 months with assets over $1.3 Billion. He previously grew and sold First Financial Services, a firm specializing in Qualified Retirement Plan Asset Management. As an investment banker with The Boston Group, Tom took 22 companies public over a 2 year period. Tom holds a degree in finance from Portland State University. Jon Upham serves as Managing Director, Advisory Services for SageView working with clients on designing, implementing and managing their retirement plan needs, including assisting with ERISA fiduciary responsibilities and employee education and communication. Before joining SageView, Jon worked for an institutional securities trading firm in San Diego, California. He is currently completing coursework towards attaining the designation of Chartered Financial Analyst (CFA). Jon received his B.A. from University of Redlands and M.A. from Concordia University. He is an Accredited Investment Fiduciary (AIF) and NASD Series 7 and 63 securities registered. 11:00 a.m. – 12:15 p.m. International Ballroom “It’s The Future:” DC Developments & The Retirement Business David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by Diversified Investment Advisors & Transamerica Retirement Services) 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 four million employees. He is a nationally recognized authority on 401(k) and other defined-contribution plan issues and he has testified before a number of 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 often quoted in the media. He is the author of “Take Control With Your 401(k)” which was published by Dearborn Trade in June 2002. Center for Due Diligence
  • 38. CFDD Advisor Conference Speaker Bios Page 38 September 28, 2005 Unassigned Topics The following is a list of unassigned topics suggested by the CFDD’s advisor network. These topics will be considered as replacements should any current topic be cancelled and/or for future conferences. - Seminars, Associations & Conferences For Retirement Advisors - RIA Registration - Ongoing Compliance For RIAs - O&E Coverage & Fiduciary Liability Insurance For RIAs - Computer-Based Systems For Advisors: Prospecting, Client Management & Performance Reporting - Advisor Technology To Efficiently Manage Rollover Accounts “For organizations and employees alike, the only real security is the ability to adapt, change and grow.” Conference Contact Information: Center for Due Diligence P.O. Box 8 Western Springs, Illinois 60558 Phone: (630) 662-0284 Fax: (630) 662-0286 Email: cfdd@401kduediligence.com CFDD Home Page: http://401kduediligence.com Advisor Conference Homepage: http://www.401kduediligence.com/CFDDconference2005.asp Center for Due Diligence P.O. Box 8, Western Springs, IL 60558 Phone: (630) 662-0284 Fax: (630) 662-0286 E-mail: CFDD@401kduediligence.com - Web: http://www.401kduediligence.com