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2018 Semi-Annual Meeting

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January 15/16/17, 2018

Hosted by: INVESCO

Meeting Objective

The 2018 semi-annual meeting is designed to be thought provoking - a lab experiment in social change - peers exploring the fundamental value of the plan advisor function with the goal of helping a group of outstanding advisors position their respective practice to thrive in a market turned upside down by technological innovation. We will leverage the uniqueness of the Council - collaboration among experts who respect each other across colleges in friendly company - to foster innovation and help participating advisors thrive in the challenging years ahead.

The entire meeting is a collaborative study in change.  Attendees do not get to select the sessions they attend.  Instead, advisors and practice leaders will be assigned to specific breakout groups to provoke differential conversation.  Investment managers and service providers in attendance will be assigned the role of prodder - devil's advocate - and charged with asking difficult questions they would probably not ask in a polite business conversation.  In each group, three anonymous observers will study the behavior of attendees and report at general sessions.  Sessions will be moderated by Council member service providers and investment managers to create unsettling situations.


11 Greenway Plaza
Houston, TX 77046

Dates and Times

Monday, January 15

12:30 p.m.

1:00 - 4:00 p.m.

6:00 p.m.

Transportation to pre-event

Pre-Event Houston Food Bank Project, Portwall Warehouse
35 Portwall
Houston, Texas 77029

Sponsored Pre-event dinner at Caracol

Tuesday, January 16

8:00 a.m.

8:30 a.m.


8:45 a.m.

9:00 a.m.











9:45 a.m.

10:00 a.m.

Continental Breakfast Buffet


Terry Kelly,
National Sales Director, Retirement, Insurance and Education

Opening and Goals and Objectives

Meeting Plannning Committee and Houston Area Advisors:
Rob Jennings
Amegy Bank

Steve Smith,

Big Bang Innovation to Succeed in the Retirement Plan Advice Business

Innovation takes many forms. Does it start with a sea change or small incremental modifications? What is the ripple effect of change in legislative, regulatory, service model shifts? This panel of retirement plan advisors will discuss the paths currently seen as the tried and true way to success and contrast those with the shifting dynamic of artificial intelligence, robo advisors and a disparate work force.

Steve Smith,
Managing Vice President, Business Development

Jania Stout,
Fiduciary Plan Advisors

Alexander G. Assaley, III,
Managing Principal,
AFS 401(k) Retirement Services

Refreshment Break

Breakout Sessions - Transformation of the Advisor Business

There is plenty of evidence that Professional Retirement Plan Advisors help client plans and their participants achieve superior outcomes. We now have evidence that employers reap business benefits from partnering with an outstanding Professional Retirement Plan Advisor.

However, the world is changing, and Plan Advisors need to define and redefine their value propositions, evolve business models and innovate faster than ever before to stay ahead. The future is swiftly becoming the present. Artificial intelligence is here now. Robotics are revolutionizing professions that historically relied on intellectual capital and relationships for differentiation (e.g. law firms, accountants). In the age of singularity, humans can’t keep up with the pace of technological innovation. How will your team thrive in this new era? Tough questions from your peers will keep you on your toes and help you stay ahead. You will be assigned to one of these three sessions:

Beyond Benchmarking: The Value of an Advisor
Location: Chicago Room

Adrian Hodge,
Senior Vice President
Eastern Division Manager - Workplace Investing
Fidelity Investments

Managing the Business for Successful Transition or Succession Planning
Location: Hong Kong Room

Mike Shamburger,
Head of Territory Sales
T. Rowe Price

Business Development:Is More Less? Is Less More? Is Scale the Key?
Location: London Room

Kevin D. Morgan,
Executive Director/Retirement Plan Investment Consultant
J.P. Morgan Asset Management

11:00 a.m.


12:15 p.m.

1:00 p.m.










2:00 p.m.



CEO / Chief Innovation Officer / Chief Happiness Officer - Views on Innovation - Retirement Plans of the Future

Thomas M. Connolly,
Vice President, National Accounts
Empower Retirement

Youngro Lee
Co-founder and CEO
Next Seed

Other panelists TBA

Luncheon - Texas Barbecue Sponsored by INVESCO


Marcela Curry
Senior Vice President, National Director of Sales – Business Development
Wells Fargo Institutional Retirement and Trust

Doug Peterson,

Tim Rouse,
SPARK Institute

Keith Sykes,
Wells Fargo Institutional Retirement & Trust

James Dietle,

Breakout Session - Client Concerns / Industry Support 

Consolidation and waves of staff reduction lead investment management firms and service providers to focus their attention on key relationships. At the end of the day, your strategic partners may have no choice but to let some people fall by the wayside. Are you worth their attention? Why is that important? You will be assigned to one of these three sessions:

What’s Happening to the Business Beyond the Fiduciary Rule?
Location: Chicago Room

This session will discuss what are the impacts on the employer while providing their employees access to retirement benefits and the impact for IRAs and the allure of retirement plan business for financial services firms.

Yaqub Ahmed,
Senior Vice President - Head of Defined Contribution-U.S.
Franklin Templeton Investments

What is the Impact of Technological Innovation on Managed Accounts and Professional Money Management?
Location: Hong Kong Room

Kathleen Beichert,
Head of Retirement & Third Party

Where Will Employer Appetite for Financial Wellness and HSAs, Equity Compensation, and 529 plans Lead Your Business and Are You Willing to Go Down this Path?
London Room

Dan Fay,
Senior Advisor Relations Manager
Financial Engines

3:00 p.m.

3:15 p.m.





4:15 p.m.







5:15 p.m.

6:30 p.m.

Refreshment Break

General Session - The Retirement Advisor Council General Business

The Retirement Advisor Council needs to take a more proactive approach to enhancing the role of the retirement advisor. For example, committee structures   need to be transformed to build a stronger, more effective PR advocacy organization.

Membership criteria needs to better focus on the future of retirement advisors. Tenure and size alone no longer guarantee success. Entrepreneurial spirit, the ability to adapt to a changing environment are critical in a world characterized by constant flux. How do we reflect these new success factors in the definition of “outstanding” and in the composition of our membership?

New Word Order - It’s Not Just What You Say, It’s What People Hear

Hear about defined contribution plan participants reaction to the vocabulary we use to communicate with them. Take away four principles to apply when communicating with participants. Invesco Consulting teamed up with the word specialists Maslansky + Partners to conduct one of the largest, most comprehensive studies of its kind on financial language. The research included measuring investors’ emotional responses to words using unique instant dial-response technology. The firm then conducted a national survey with the goal of validating findings, and uncovered amazing results

Jeff Hemker, CIMA®,
National Sales Manager


Event Dinner at Tony’s

Wednesday, January 17

7:30 a.m.

8:00 a.m.








9:00 a.m.





10:00 a.m.

10:15 a.m.






11:15 a.m.

Continental Breakfast

The Role of CFOs in Business Strategy and Future Direction

Robert A. Massa,
Qualified Plan Advisors

Jeff Martini,
Chief Operating and Financial Officer
HICOR Technologies

Jordan Copland,
Chief Financial Officer
Quorum Business Solutions

Troy Gaddie,
Chief Financial Officer
Star of Hope

Arthur Cabrera,
Chief Financial Officer
Yokogama Corporation of America

Retirement Income – Can It Change and Insure the Future?

Tim Black,
Black Diamond Advisory Services

Craig McKenna,
MFS Investment Management

Refreshment Break

HROs: Forward-looking Talent Management Strategy

Martha Spano,
UBS Financial Services, Inc.

Irene Higgins,
US Oncology Network

Lynn Moffett,
BMC Software


Hotel / Transportation

DoubleTree by Hilton Hotel Houston - Greenway Plaza
6 E Greenway Plaza
Houston, Texas, 77046

For reservations, contact Council staff Kate Connole



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