2020 Annual Meeting

• Goals & Objectives
• WOW! The COVID-19 Rollercoaster

President
Troy L. Redstone AIF® CFEI® CBFA® – PHD. Retirement Consulting

Meeting Planning Committee Co-Chairs
Michael H. Gouldin CRPC®, AIF® – Gouldin & McCarthy
Steve J. Smith - AIG Retirement

WOW! The COVID-19 Rollercoaster
How the COVID-19 pandemic, market downturn of 2020, and the CARES Act will shape the retirement plans business for years to come

Engaging plan sponsors and participants in a post COVID-19 world
Session sponsored by TIAA
Prior to the pandemic, your clients’ workforce already wanted help with their journey to retirement. COVID-19 has created a web of economic challenges which could throw many Americans into financial chaos, especially those who may need to tap into their retirement savings to make ends meet. In today’s session, you will gain strategies to help get both your clients and their participants back on track with their retirement plan.

Learning objectives

• Understand the impact of the pandemic has had both the plan sponsor and participants
• Review two newer pieces of legislation that can impact retirement outcomes
• Discuss three strategies to re-engage your clients and their participants with their employer-sponsored retirement program.

Speaker: Colin Feehan, Director, Consultant Relations, TIAA

Collective Investment Trusts (CITs): At the Tipping Point
Session sponsored by Franklin Templeton Investments
In recent years, Collective Investment Trusts (CITs) have gained substantial traction among DC plans.  Please join Franklin Templeton as we discuss the following:

• The current CIT landscape
• Key differentiators of CITs from traditional investment vehicles
• CIT trends in the DC marketplace
• The opportunity for customization

Speaker: Jason Colarossi, VP, National Retirement Strategist

Elevate Your Game - Technology
Session sponsored by Principal Financial Services
How do you transition your practice to the digital world? Learn how to build a marketing technology stack for your retirement plan practice. Find information about Customer Relationship Management (CRM) systems, how to organize your website, search engine optimization (SEO), email capturing and more. It's about building scalability and efficiency while delivering a digital experience your clients now expect.
Speaker: Mikki Strelow - Senior Marketing Strategist

How to Evaluate Income Options in Post-Secure Act World
Session sponsored by Prudential Retirement
The Secure Act has a far-reaching impact on the manner in which plan sponsors review and monitor investment options (including income options) in Post-Secure Act world.  The required participant income disclosure reframes the risks (running out of money in retirement) and metrics (projected income and replacement ratio) that plan sponsors must consider as part of their investment review process. Reflecting these outcome-oriented considerations, plan sponsors must now evaluate emerging risks and benchmark alternative types of income solutions. We will help navigate these new considerations under the annuity selection safe harbor and review related investment design questions.
Speaker: Marc Pester

State of the participant in a COVID-19 world – is readiness still within reach?
Session Sponsored by John Hancock Retirement Plans
401(k) plan participants and sponsors have never seen times quite like these. But as we all work to get back on track, a review of key data from before and during the COVID-19 crisis can help point the way. Join us as we reveal the questions we hoped our data would answer, as well as the trends we spotted and the opportunities they reveal for improving retirement readiness.
Speaker: Joe Smith - Divisional Vice President, Retirement

Mastering the Virtual Practice
Session sponsored by AB / AllianceBernstein
The COVID-19 pandemic has hyper-accelerated the adoption of virtual technology by both the general population and financial professionals. This massive tailwind has created the perfect conditions to push virtual meetings past the tipping point as a staple in a retirement plan advisor’s toolkit moving ahead. Stay at the forefront by learning how to master your approach and enhance your virtual conversations.
Speaker: Scott Tatum, Director, AB Advisor Institute

REIT’s in DC Plans and the COVID Effect
Session sponsored by Cohen & Steers
Join the industry leader in listed Real Estate to discuss the Diversification Benefits of REIT’s; how COVID is affecting the many REIT sectors in ways you may not think of - Cell Towers, Data Centers, Industrial Warehouses, Apartments, Malls, Shopping Centers and Hotels.
Speaker: Brian Cordes – Senior Vice President – Portfolio Specialist

Rethinking Your Plan Profitability
Session sponsored by CUNA Mutual
How do you maintain profitability as an advisor or TPA in the retirement plan market especially the smaller end with the so many time-consuming activities? When can you afford to engage with a plan sponsor and with what level of service? This session will discuss strategies to recognize when to offer all your services but also when you should only engage in most, some, or even none of your services. The result is to not take away from your bottom line but, rather, add to it.
Speaker: Randy Fuss

DC Investment Trends-Practical Issues for ERISA Fiduciaries
Session sponsored by Envestnet Retirement Solutions
The retirement world is changing for advisors driven by market demands, new laws and technology providing major challenges and opportunities. Learn how Fiduciaries are leveraging these developments to better manage retirement plans.
Speaker: Brian McCarthy - VP Director of Sales

Next Level Practice Management
Sponsored by Fiduciary Benchmarks
Imagine all of your plan data and tools, wrapped in efficiency driving workflows and the ability to work on any mobile device. No imagination required – these capabilities exist today and don’t necessarily require costly and time consuming consulting engagements and programmers. See how your efficiency, scalability and profitability can be achieved via the Business Management Dashboard
Speaker: Craig Rosenthal - SVP Sales, Service & Marketing

Inside the Mind of the Plan Sponsor
Session sponsored by John Hancock Investments
Insight from inside the room: John Hancock Investment Management has partnered with a plan advisor search consultant to drill down into the five things plan sponsors really want during finals meetings and the sales process. These insights for advisors include personal positioning, asking the right questions, finals meeting follow up, and other ideas.

Millennials and Gen Z Perspective on Benefits… pre and post COVID
Session sponsored by Lincoln Financial Group
Join to hear the latest research on the financial needs of these two demographics and the impact of COVID
Speaker: Kelsey Bradberry - Senior Research and Insights Consultant

Breakout Session 1 – Advanced Plan Designs
Moderator: Keith Gredys, The Kidder Company
Location: Zoom meeting room TBA

This Session has been CANCELLED
Breakout Session 2 – Jumbo Plans Track
Moderator:
Location: Zoom meeting room

Breakout Session 3 – MEPs and PEPs
Moderator: Paula Hendrickson, NFP
Location: Zoom meeting room

Breakout Session 4 – Compensation of Team Members
Moderators: Rob Jennings and Gary Kleinschmidt
Location: Zoom meeting room

Breakout Session 5 – Driving Participant Engagement in Financial Wellness Initiatives
Moderator: Michael M. Kane CLU ChFC, AIFA, CPFA – Plan Sponsor Consultants
Location: Zoom meeting room

Breakout Session 6 – Advisor Team Management (recruiting, engaging, motivating)
Moderators: David P. Marshall, QPFC, CRPS^® - The Marshall Amato Buxton Group
Co-moderator TBA
Location: Zoom meeting room

Breakout Session 7 – Business Continuation Planning
Moderator: Steven W. Glasgow CFA, CIMA, AIF - Tower Circle Partners
Location: Zoom meeting room

This Session has been CANCELLED
Breakout Session 8 – Distribution Products
Moderator: Jeff Petrone, Sageview Advisory Group
Location: Zoom meeting room

Engaging plan sponsors and participants in a post COVID-19 world
Session sponsored by TIAA
Prior to the pandemic, your clients’ workforce already wanted help with their journey to retirement. COVID-19 has created a web of economic challenges which could throw many Americans into financial chaos, especially those who may need to tap into their retirement savings to make ends meet. In today’s session, you will gain strategies to help get both your clients and their participants back on track with their retirement plan.

Learning objectives

• Understand the impact of the pandemic has had both the plan sponsor and participants
• Review two newer pieces of legislation that can impact retirement outcomes
• Discuss three strategies to re-engage your clients and their participants with their employer-sponsored retirement program.

Speaker: Colin Feehan, Director, Consultant Relations, TIAA

Collective Investment Trusts (CITs): At the Tipping Point
Session sponsored by Franklin Templeton Investments
In recent years, Collective Investment Trusts (CITs) have gained substantial traction among DC plans.  Please join Franklin Templeton as we discuss the following:

• The current CIT landscape
• Key differentiators of CITs from traditional investment vehicles
• CIT trends in the DC marketplace
• The opportunity for customization

Speaker: Jason Colarossi, VP, National Retirement Strategist

Elevate Your Game - Technology
Session sponsored by Principal Financial Services
How do you transition your practice to the digital world? Learn how to build a marketing technology stack for your retirement plan practice. Find information about Customer Relationship Management (CRM) systems, how to organize your website, search engine optimization (SEO), email capturing and more. It's about building scalability and efficiency while delivering a digital experience your clients now expect.
Speaker: Mikki Strelow - Senior Marketing Strategist

How to Evaluate Income Options in Post-Secure Act World
Session sponsored by Prudential Retirement
The Secure Act has a far-reaching impact on the manner in which plan sponsors review and monitor investment options (including income options) in Post-Secure Act world.  The required participant income disclosure reframes the risks (running out of money in retirement) and metrics (projected income and replacement ratio) that plan sponsors must consider as part of their investment review process. Reflecting these outcome-oriented considerations, plan sponsors must now evaluate emerging risks and benchmark alternative types of income solutions. We will help navigate these new considerations under the annuity selection safe harbor and review related investment design questions.
Speaker: Marc Pester

State of the participant in a COVID-19 world – is readiness still within reach?
Session Sponsored by John Hancock Retirement Plans
401(k) plan participants and sponsors have never seen times quite like these. But as we all work to get back on track, a review of key data from before and during the COVID-19 crisis can help point the way. Join us as we reveal the questions we hoped our data would answer, as well as the trends we spotted and the opportunities they reveal for improving retirement readiness.
Speaker: Joe Smith - Divisional Vice President, Retirement

Mastering the Virtual Practice
Session sponsored by AB / AllianceBernstein
The COVID-19 pandemic has hyper-accelerated the adoption of virtual technology by both the general population and financial professionals. This massive tailwind has created the perfect conditions to push virtual meetings past the tipping point as a staple in a retirement plan advisor’s toolkit moving ahead. Stay at the forefront by learning how to master your approach and enhance your virtual conversations.
Speaker: Scott Tatum, Director, AB Advisor Institute

REIT’s in DC Plans and the COVID Effect
Session sponsored by Cohen & Steers
Join the industry leader in listed Real Estate to discuss the Diversification Benefits of REIT’s; how COVID is affecting the many REIT sectors in ways you may not think of - Cell Towers, Data Centers, Industrial Warehouses, Apartments, Malls, Shopping Centers and Hotels.
Speaker: Brian Cordes – Senior Vice President – Portfolio Specialist

Rethinking Your Plan Profitability
Session sponsored by CUNA Mutual
How do you maintain profitability as an advisor or TPA in the retirement plan market especially the smaller end with the so many time-consuming activities? When can you afford to engage with a plan sponsor and with what level of service? This session will discuss strategies to recognize when to offer all your services but also when you should only engage in most, some, or even none of your services. The result is to not take away from your bottom line but, rather, add to it.
Speaker: Randy Fuss

DC Investment Trends-Practical Issues for ERISA Fiduciaries
Session sponsored by Envestnet Retirement Solutions
The retirement world is changing for advisors driven by market demands, new laws and technology providing major challenges and opportunities. Learn how Fiduciaries are leveraging these developments to better manage retirement plans.
Speaker: Brian McCarthy - VP Director of Sales

Next Level Practice Management
Sponsored by Fiduciary Benchmarks
Imagine all of your plan data and tools, wrapped in efficiency driving workflows and the ability to work on any mobile device. No imagination required – these capabilities exist today and don’t necessarily require costly and time consuming consulting engagements and programmers. See how your efficiency, scalability and profitability can be achieved via the Business Management Dashboard
Speaker: Craig Rosenthal - SVP Sales, Service & Marketing

Inside the Mind of the Plan Sponsor
Session sponsored by John Hancock Investments
Insight from inside the room: John Hancock Investment Management has partnered with a plan advisor search consultant to drill down into the five things plan sponsors really want during finals meetings and the sales process. These insights for advisors include personal positioning, asking the right questions, finals meeting follow up, and other ideas.

Millennials and Gen Z Perspective on Benefits… pre and post COVID
Session sponsored by Lincoln Financial Group
Join to hear the latest research on the financial needs of these two demographics and the impact of COVID
Speaker: Kelsey Bradberry - Senior Research and Insights Consultant

1:00 p.m. - 2:00 p.m.

BREAKOUT SESSIONS – INVESTMENT MANAGER AND SERVICE PROVIDER STRATEGIC ISSUES

Breakout Session 9 - Riding the Payroll Integration and Wellness Wave: Momentum in Your Favor
The demand for holistic wellness solutions is growing the volume of questions plan sponsors ask about the connection between payroll platform and DC plan service provider. Join a robust discussion with retirement plan service providers to figure out how we can all partner to populate advisor and plan sponsor workstations with the right datapoints, and capture consulting revenue opportunities. Your opinion can make a difference on the growth and direction of our industry.

Moderators: Amber Harms - ADP Retirement and Tom Pappas - Prudential Retirement

Breakout Session 10 - Win-Win – Successful Examples of Advisor-Service Provider Partnerships (Service Providers)
Moderator: Colette Sagar and Mike Murphy - John Hancock Retirement Plan Services

GENERAL SESSION
Decision Making in a Dynamic World
Company decision making models are more important than ever. The amount of information to be considered has increased exponentially. Timelines have all but disappeared. The stakes are huge. This session will explore different decision models and how they integrate with corporate structure. We will also consider how different models may be appropriate depending on what the issue is.

Speaker: Jerry Ripperger, National VP of ESOP Consulting - Principal Financial Group

5:00 p.m. - 6:30 p.m.

Engaging plan sponsors and participants in a post COVID-19 world
Session sponsored by TIAA
Prior to the pandemic, your clients’ workforce already wanted help with their journey to retirement. COVID-19 has created a web of economic challenges which could throw many Americans into financial chaos, especially those who may need to tap into their retirement savings to make ends meet. In today’s session, you will gain strategies to help get both your clients and their participants back on track with their retirement plan.

Learning objectives

• Understand the impact of the pandemic has had both the plan sponsor and participants
• Review two newer pieces of legislation that can impact retirement outcomes
• Discuss three strategies to re-engage your clients and their participants with their employer-sponsored retirement program.

Speaker: Colin Feehan, Director, Consultant Relations, TIAA

Collective Investment Trusts (CITs): At the Tipping Point
Session sponsored by Franklin Templeton Investments
In recent years, Collective Investment Trusts (CITs) have gained substantial traction among DC plans.  Please join Franklin Templeton as we discuss the following:

• The current CIT landscape
• Key differentiators of CITs from traditional investment vehicles
• CIT trends in the DC marketplace
• The opportunity for customization

Speaker: Jason Colarossi, VP, National Retirement Strategist

How to Evaluate Income Options in Post-Secure Act World
Session sponsored by Prudential Retirement
The Secure Act has a far-reaching impact on the manner in which plan sponsors review and monitor investment options (including income options) in Post-Secure Act world.  The required participant income disclosure reframes the risks (running out of money in retirement) and metrics (projected income and replacement ratio) that plan sponsors must consider as part of their investment review process. Reflecting these outcome-oriented considerations, plan sponsors must now evaluate emerging risks and benchmark alternative types of income solutions. We will help navigate these new considerations under the annuity selection safe harbor and review related investment design questions.
Speaker: Marc Pester

State of the participant in a COVID-19 world – is readiness still within reach?
Session Sponsored by John Hancock Retirement Plans
401(k) plan participants and sponsors have never seen times quite like these. But as we all work to get back on track, a review of key data from before and during the COVID-19 crisis can help point the way. Join us as we reveal the questions we hoped our data would answer, as well as the trends we spotted and the opportunities they reveal for improving retirement readiness.
Speaker: Joe Smith - Divisional Vice President, Retirement

Mastering the Virtual Practice
Session sponsored by AB / AllianceBernstein
The COVID-19 pandemic has hyper-accelerated the adoption of virtual technology by both the general population and financial professionals. This massive tailwind has created the perfect conditions to push virtual meetings past the tipping point as a staple in a retirement plan advisor’s toolkit moving ahead. Stay at the forefront by learning how to master your approach and enhance your virtual conversations.
Speaker: Scott Tatum, Director, AB Advisor Institute

REIT’s in DC Plans and the COVID Effect
Session sponsored by Cohen & Steers
Join the industry leader in listed Real Estate to discuss the Diversification Benefits of REIT’s; how COVID is affecting the many REIT sectors in ways you may not think of - Cell Towers, Data Centers, Industrial Warehouses, Apartments, Malls, Shopping Centers and Hotels.
Speaker: Brian Cordes – Senior Vice President – Portfolio Specialist

Rethinking Your Plan Profitability
Session sponsored by CUNA Mutual
How do you maintain profitability as an advisor or TPA in the retirement plan market especially the smaller end with the so many time-consuming activities? When can you afford to engage with a plan sponsor and with what level of service? This session will discuss strategies to recognize when to offer all your services but also when you should only engage in most, some, or even none of your services. The result is to not take away from your bottom line but, rather, add to it.
Speaker: Randy Fuss

DC Investment Trends-Practical Issues for ERISA Fiduciaries
Session sponsored by Envestnet Retirement Solutions
The retirement world is changing for advisors driven by market demands, new laws and technology providing major challenges and opportunities. Learn how Fiduciaries are leveraging these developments to better manage retirement plans.
Speaker: Brian McCarthy - VP Director of Sales

Next Level Practice Management
Sponsored by Fiduciary Benchmarks
Imagine all of your plan data and tools, wrapped in efficiency driving workflows and the ability to work on any mobile device. No imagination required – these capabilities exist today and don’t necessarily require costly and time consuming consulting engagements and programmers. See how your efficiency, scalability and profitability can be achieved via the Business Management Dashboard
Speaker: Craig Rosenthal - SVP Sales, Service & Marketing

Inside the Mind of the Plan Sponsor
Session sponsored by John Hancock Investments
Insight from inside the room: John Hancock Investment Management has partnered with a plan advisor search consultant to drill down into the five things plan sponsors really want during finals meetings and the sales process. These insights for advisors include personal positioning, asking the right questions, finals meeting follow up, and other ideas.

Millennials and Gen Z Perspective on Benefits… pre and post COVID
Session sponsored by Lincoln Financial Group
Join to hear the latest research on the financial needs of these two demographics and the impact of COVID
Speaker: Kelsey Bradberry - Senior Research and Insights Consultant

10:00 a.m. - 10:30 a.m.

GENERAL SESSION
Keynote Remarks from Members of Congress
Ways & Means Chair Richie Neal
Senate Finance Committee Chair Chuck Grassley (invited)
Moderator: Alan Spierer AIF(r) - UBS Institutional Consulting Group

10:30 a.m. - 11:00 a.m.

GENERAL SESSION
Remarks from Political Consultants on the Upcoming Elections
Moderator: Alan Spierer AIF(r) - UBS Institutional Consulting Group

1:00 p.m. - 2:00 p.m.

GENERAL SESSION
Plan Sponsors Speaking on Financial Wellness
Moderator: Andrew Harbour - CFP® CIMA® - Morgan Stanley Graystone Consulting Atlanta
Panelists:
David Westergaard - EVP and CFO - Riddle’s Group Inc.
Todd Mitchell - VP Administration and Procurement - North American Stainless
Donna Cruz - Benefits Manager - Daikin America, Inc
Elisabeth Sandersfeld - Chief Financial Officer - GuideOne Mutual

BREAKOUT SESSIONS – ADVISOR BEST PRACTICES (REPEATED)

Breakout Session 13 – Advanced Plan Designs
Moderator: Keith Gredys - The Kidder Company
Location: Zoom meeting room

This Session has been CANCELLED
Breakout Session 15 – MEPs and PEPs
Moderator: Paula Henrickson, NFP
Location: Zoom meeting room

Breakout Session 16 – Compensation of Team Members
Moderator: Rob Jennings and Gary Kleinschmidt
Location: Zoom meeting room

Breakout Session 18 – Advisor Team Management (recruiting, engaging, motivating)
Moderator: David P. Marshall, QPFC, CRPS^® - The Marshall Amato Buxton Group
Co-moderator TBA
Location: Zoom meeting room

Breakout Session 20 – Distribution Products
Moderator: Jeff Petrone, Sageview Advisory Group
Location: Zoom meeting room