2023 Semi-Annual Meeting

Board Meeting

Location: Ahwatukee Room, 2nd Floor

James D. Robison AIF®, CBFA – Strategic Retirement Partners - Council President
Courtenay Shipley, CRPS®, AIF®, CPFA™ , CEPA – Retirement Planology, Inc.- Council President Elect

Location: Encanto

Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors
Craig Rosenthal - Fiduciary Decisions
Meeting Planning Committee Co-Chairs:

Location: Encanto

It is expected by many that, within 2 to 3 weeks before this semi-annual meeting, Congress will enact, and the President will sign into law, the major retirement legislation known as “SECURE 2.0”. Following on the heels of the 2019 “SECURE Act”, “SECURE 2.0” is a significantly more extensive package of changes to the rules governing 401(k)s, other qualified retirement plans, and IRAs, including scores of amendments to tax code and ERISA retirement provisions. This session will include a presentation of the highlights of the new legislation and roundtable discussion of the ins and outs and implications of the key provisions of interest to advisors

Speaker:  J. Mark Iwry formerly Senior Advisor to the US Secretary of the Treasury for national retirement and health policy and currently nonresident Senior Fellow at The Brookings Institution

Location: Encanto

Breakout 1 – Running a profitable business – team structure & service model & running profitable business 

Moderators:
Melissa Cowan | Melissa Cowan Consulting, LLC
Jania Stout, CPFA® |OneDigital Retirement & Wealth

Location: Paradise Valley

Breakout 2 – Transitioning from saving and accumulating to spending (Decumulation, GWIO, etc.) 

Moderators:
Paul D'Aiutolo AIF®, PRP® | The D’Aiutolo Institutional Consulting Team
Robert A. Massa, ChFC®, CEBS®, CPFA™, AIF®, CBC | Qualified Plan Advisors

Location: Camelback

Breakout 3 – Non-Qualified Deferred Compensation Plans 

Moderators:
Thomas B. Ford, C(k)P®, QPFC®  | The Gibson Group at Morgan Stanley
Devyn Duex AIF®, C(k)P®, CPFA, CRPS®, NQPA® | CAPTRUST Financial Advisors

Location: Laveen

General Session 2 - Financial Wellness Awards – Plan Sponsors

Moderator: Chris Geddie - Milliman

Panelists: Financial Award Winners

Denise Guess, Benefits Manager, Human Resources
TPC Group (Texas Petrochemicals)

Gabriella Giaquinto, Senior Manager, Benefits 
Varex Imaging Corporation

Location: Encanto

Closing for the Day

Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors
Craig Rosenthal - Fiduciary Decisions
Meeting Planning Committee Co-Chairs

Location: Encanto

The Arrogant Butcher
2 East Jefferson Street, #150
Phoenix, AZ 85004 

Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors
Craig Rosenthal - Fiduciary Decisions
Meeting Planning Committee Co-Chairs

Location: Encanto

The Financial Foundation$ Initiative represents an organized collaboration across key stakeholders in the Retirement Industry to influence enhanced financial wellness and retirement security for future generations by advancing youth financial education.
The Financial Foundation$ Initiative aims to support, organize, and inspire the collective volunteer and advocacy efforts of financial advisors, providers, fund companies, and associated affiliation groups in the Retirement Industry who share a commitment to advancing youth financial education in schools, community programs, and for families. Session moderated by the leadership of the Financial Literacy and Financial Wellness Promotion committee.

Speakers/moderators:

Lisa Buffington AIF®, CPFA® | Marsh & McLennan Agency – New England
Kristina P. Keck CPFA®, CBFA, ESG(k) | Woodruff Sawyer
Derek Fiorenza CFP®, C(k)P®, CPFA, AIF®, PPC™, MSBA  | Summit Group Retirement Planner

These discussion groups may perpetuate as study groups after the meeting

Topics (Advisor Roundtables)

Discussion Group members select topics for discussion among peers.  Suggested topics include:

• Technology to scale the practice
• Revenue sources other than retirement plan
• Hiring and capacity
• Virtual service model
• Building revenue against building assets

• Managing up / fighting for resources
• Other topics

Location: Encanto / Paradise Valley / Laveen / Camelback

Breakout Session 4 - Financial Wellness  (Service Providers)

Paneliststs
Stephanie Sharp | Transamerica
Karen DeCoud | John Hancock

Location: Camelback

Breakout Session 5 -Economic Impacts to Retirement Plans (Investment Management)

With continued talks of recession and a bear market this session will focus on additional due diligence that Financial Advisors and their clients should be considering with respect to plan investments.   We will start at a macro level and then dig deeper into potential impacts to stable value and target date funds as well as other investments that should be considered

Moderator: Vince Vicidomini - Mesirow

Location: Paradise Valley

Breakout Session 6 - The Devil is in the Details (Investment Management)

With newer investment types and product offerings comes the additional challenge of determining the factors you should consider when selecting and monitoring managed accounts, retirement income, ESG investments and dynamic QDIA.   What factors should Financial Advisors consider in order to mitigate risk for their clients and what resources are available?

Moderator: Glenn Dial - American Century Investments

Location: Laveen

Speaker: Theresa Conti QKA, APR, ERPA, CPFA  | The Cerrado Group | WiPN

Location: Encanto

At this session, we will discuss the implementation calendar and action plan for SECURE 2.0 sections effective 1/1/2023 and 1/1/2024.

Moderator: Greg A. Hobson AIF, CFP - Greenspring Advisors

Speaker:Mark Iwry formerly Senior Advisor to the US Secretary of the Treasury for national retirement and health policy and currently nonresident Senior Fellow at The Brookings Institution

Panelists:

Brandy Cross, Director of DC Compliance | Milliman
Katherine Scheungrab, Head of Offer Management | T. Rowe Price
Bradford Carman, Director – Solutions Product Management | Corebridge Financial

Location: Encato

The session will discuss the Department of Labor guidance on cybersecurity, and what plan sponsors and participants can do to mitigate fraud. Council members will receive tips for hiring a service provider, online security tips for participants and all users, and cybersecurity program best practices.

Greg Chanski | T Rowe Price

Location: Encanto

Conference co-chair

Location: Encanto

CE Credits Available :  CFP Ethics  

This program fulfills the requirement for CFP Board approved Ethics CE. It has been designed to educate CFP® professionals on CFP Board's new Code of Ethics and Standards of Conduct effective October 1, 2019.

Learning Objectives:

By the end of this program, the participant should be equipped to:

LO 1: Understand the structure and content of the revised Code and Standards, including significant changes from prior rules.

LO 2: Describe CFP Board’s Fiduciary Duty.

LO 3: Identify Material Conflicts of Interest and How to Avoid, or Fully Disclose, Obtain Informed Consent, and Manage Them.

LO 4: Understand the Duty to Report to CFP Board and the Duty to Cooperate.

LO 5: Identify the Practice Standards When Providing Financial Advice that Requires Financial Planning or Financial Planning.

LO 6: Understand the Duty to Provide Information to Clients When Providing Financial Planning and/or Financial Advice

Instructor: John Comer | Comer Consulting.

Location: Paradise Valley