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Broadridge continues to closely monitor the coronavirus (COVID-19) and its
impact on our associates, clients and industry. We will keep you informed if
conditions warrant a change to this event.

Agenda

Times are shown in Central Standard Time 
Session topics, speakers and details are subject to change.

Saturday, May 14, 2022 

8:00 AM - 3:00 PM 

AIF Capstone Desingation Training
Format: In-person ONLY

Interested in earning your AIF® Designation? Register for both AIF® Designation
Training and the 2022 Broadridge Fi360 Solutions Conference to save 20% on your
AIF® Designation Training costs.  

Our Capstone course is a combination of online and classroom training with an
exam administered at the end of the classroom portion.  You are responsible for
completing the online modules within your training account prior to attending
the class and taking the exam.  The capstone class is held in person Saturday
May 14th (the day prior to the conference), the exam will take place Sunday May
15.

AIF® Capstone | In-person

 * Saturday, May 14 | Capstone Training | 8:00 AM - 3:00 PM
   In-Person JW Marriott Austin
 * Sunday, May 15 | Capstone Exam | 9:00 AM - 11:00 AM
   In-Person JW Marriott Austin

Keith 'Sunny" Loveland
Instructor

Sunday, May 15, 2022

9:00 AM - 11:00 AM

AIF Capstone Designation Exam
Format: In-person ONLY

All In-Person AIF® Trainees will take the Exam on Sunday, May 15.

 

Keith 'Sunny" Loveland
Instructor

10:00 AM - 12:00 PM

Women in Finance Brunch
Format: In-person ONLY

The Broadridge Women in Leadership forum will host a special networking brunch
prior to the start of the conference.
Take your seat at the table as we dine together, enjoy a thoughtful
#breakthebias programming, network and celebrate each other. 

The brunch is open to all registered attendees at no additional cost. More
details on our speaker lineup to come!

 



12:30 PM - 2:30 PM

CFP Ethics
Format: In-person ONLY

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.

This session is eligible for 2 hours of CE credit for Fi360 and CFP Board.

Marguerita Cheng
CEO
Blue Ocean Global Wealth

3:15 PM - 3:45 PM 

Welcome - Opening Remarks
Format: In-person and Virtual



Cindy Dash
Sr. Vice President & General Manager , Matrix
Broadridge

John Faustino, AIFA, PPC
Vice President, Head of Fi360 Solutions
Broadridge

3:45 PM - 4:45 PM

Depoliticizing and Demystifying ESG for Retirement Plans
Format: In-person and Virtual

Interest in Environmental, Social and Governance (ESG) investing continues to
soar as investment professionals find that their clients, boards and investment
committees are asking for more insights and options, especially as they consider
investing for retirement. However, ESG has also become a polarizing topic amidst
shifting regulatory winds. Political association and uncertainty can often
overshadow some of the core pillars of prudent ESG investing, like fundamental
securities analysis, valuation and pursuit of long-term risk-adjusted returns.

This session is tailor-made to take the politics out of ESG investing. We’ll
bring you up-to-date with the current regulatory landscape, increase your ESG
fluency and highlight the benefits of authentic ESG integration and engagement
as drivers of long-term risk-adjusted returns for beneficiaries.

CE for this session is pending. Check back soon for more information!

Mary Green
Client Portfolio Manager & Vice President
Federated Hermes

Kary Moore
Senior Corporate Counsel & Senior Vice President
Federated Hermes

4:45 PM - 5:45 PM

Achieving Your Goals
Format: In-person and Virtual

In this keynote, presented in his charismatic style, the shark, Daymond John,
takes audience members on an inspiring, emotional rollercoaster ride. They’ll
hear, first-hand, how a man, with no formal business training whatsoever, went
from driving cabs and waiting tables at Red Lobster to creating a global fashion
empire with retail sales exceeding four billion dollars to date, and a starring
role on ABC’s hit reality business show, Shark Tank. Daymond entertains and awes
audience members with true-life tales of his incredible successes and numerous
failures. Equally important, however, he motivates, inspires, and teaches them
how to set and go after their own goals with newfound focus and determination.

Audience members will be galvanized as they realize they have been setting goals
for themselves all of their lives – whether they realized it or not! What’s
more, to their surprise, many attendees will learn that the goals they have been
setting have been self-destructive. Unlike some motivational speakers, rather
than spitting-out tiresome “I can make it, so can you” clichés, Daymond shares
the exact goal-setting strategies that he attributes to his success and teaches
audience members how to incorporate them into their endeavors. This keynote will
challenge attendees to exercise their brains in a way that cultivates a
positive, goal-setting mindset.

CE for this session is pending. Check back soon for more information!

KEYNOTE SPEAKER: Daymond John
Founder of FUBU & Star of Shark Tank

6:00 PM - 8:00 PM

Networking Dinner with Exhibitors
Format: In-person ONLY





Monday, May 16, 2022 

7:00 AM - 8:00 AM

Coffee & CITs (Power Breakfast)
Format: In-person ONLY

How are you incorporating the Fi360 Fiduciary Score® into your target date fund
selection process? GoalPath Solutions works with Broadridge Fi360 Solutions to
implement the Score as one of several fund selection criteria within the
GoalPath Fi360 Target Date Series.

Join us for a special conference session to understand how GoalPath and Fi360
Solutions are coming together to benefit advisors. 

This session will help you understand how:

 1. GoalPath incorporates the Fi360 Score into their fund selection methodology
 2. This can help you scale your fund review process
 3. The GoalPath Fi360 Target Date funds go hand-in-hand with other integrated
    fulfillment solutions such as financial wellness and back-office services
    that help advisors scale, defend and grow their practices. 

This session is not eligible for CE credit

Vern Cushenbery
Chief Investment Officer
GoalPath Solutions

John Faustino, AIFA, PPC
Vice President, Head of Fi360 Solutions
Broadridge

8:00 AM - 9:00 AM 

Concurrent Breakout Sessions 

The DOL’s New Fiduciary Rule, PTE 2020-02, and its Impact on Investment Advisers
Format: In-person and Virtual


The DOL’s new fiduciary interpretation and Prohibited Transaction Exemption
2020-02 became effective on February 1, 2022. It dramatically changes the
requirements for recommending plan-to-IRA rollovers and IRA-to-IRA transfers. 
It applies new Impartial Conduct Standards (including a best interest standard),
new disclosures, new policies and procedures, and a new retrospective annual
review and report.  Beginning July 1, 2022, it also requires that a participant
or IRA owner (“retirement investor”) be provided in writing with the “specific
reasons” why the rollover/transfer recommendation is in the retirement
investor’s best interest.  While the new guidance applies to all conflicted
fiduciary advice, it will primarily affect RIA recommendations to rollover money
from plans to an IRA with the adviser and to transfer an IRA from another firm
to the adviser’s firm.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Fred Reish
Partner
Faegre Drinker Biddle Reath

Do Advisors Need to Retire Anymore?
Format: In-person and Virtual

In the increasingly competitive M&A landscape, it’s assumed that everyone is a
potential buyer and everyone eventually sells.  The reality of both sides is
very different, especially in the solo practitioner and small team space.  If
you’re a buyer, there are many considerations to plan through in order to make
yourself a viable acquirer.  For sellers, the world of remote work and fintech
has radically changed how advisors view their retirement – if they consider one
at all.  In today’s session, we’ll view both sides of the deal from a real-world
POV, with examples and situations that showcase the advantages and potential
pitfalls in the M&A space.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Nathan Munits
President
Longwave Financial 

The Importance of Diversification: Portfolios, Team, Client Base
Format: In-person and Virtual

One of the core principles of successful wealth management is diversification of
financial assets. This diversification should extend to the other two crucial
assets of successful wealth management: team members and investment clients. We
will discuss the importance of diversification in both areas as means to enhance
current practices, and as a key driver in practice growth. We will also identify
opportunities to attract diversified pools of investment management applicants
and clients.

This session is eligible for 1 hour of CE credit for Fi360 and IWI

Taylor Mavrakos
Financial Advisor
MFP Financial Services, Inc.

Cryptocurrency – What You Need to Know, at Least for Now
Format: In-person ONLY

 

Target Audience: Trust Bank


Digital assets continue to dominate headlines and drive curiosity amongst
clients.  The objective of this session is to help firms answer the key
questions that bank / trust clients are asking.  Is it all hype or is there
something to it?  What do they mean for our segment?  How do I prepare to
support cryptocurrency?  What do I need to know as a fiduciary? What’s next?

This session is not eligible for CE credit

Mike Tropeano CFA, AIF®
Senior Director, Professional Services
Broadridge

Misbehaving in retirement plans:  It’s time to retire that thinking
Format: In-person and Virtual

When bad behaviors happen to good participants, it is usually

because of timing, uncertainty or attention biases that cloud sound
decision-making. We will share practical strategies in plan design and
participant education from the world of behavioral finance. The goal is to
improve conversations with plan sponsors and participants in order to help
offset the natural tendencies that lead to bad outcomes.

CE for this session is pending. Check back soon for more information!

Jonathan Young
Senior National Accounts Manager
Capital Group

9:00 AM - 9:30 AM 

Break | Meet with Exhibitors | Tech Talk
Format: In-person and Virtual




Broadridge Tech Talk: Leveraging Decision Optimizer to comply with DOL PTE
2020-02
Format: In-person and Virtual

Learn how you can comply with the enforcement of the Department of Labor’s
Prohibited Transaction Exemption (PTE) 2020-02. You’ll see firsthand how
Decision Optimizer combines cutting-edge technology with expert guidance to make
oversight scalable and seamless. Configurable by firm, experts will show 
Decision Optimizer in action supporting the information gathering,
documentation, and oversight requirements of the regulation. Specifically you
will see:

 * Single workflow analysis with customizable criteria and attestation templates
 * Access to robust benchmarking data when actual plan documentation isn't
   available
 * Interactive advisor interface with real-time updates
 * Documentation of recommendations and client-friendly reports

This session is not eligible for CE credit

 

Dave Palascak
Sr. Director Product Management
Broadridge

Steve Niehoff
COO
Pension Resource Institute

 

9:30 AM - 10:30 AM

Concurrent Breakout Sessions 

Managing Fiduciary Oversight
Format: In-person ONLY

 

Target Audience: Bank Trust

The duties of a fiduciary are getting more complicated.  Having the right
infrastructure and tools to ensure you meet your obligations and can scale as
you grow your business is a must in today’s evolving world.  The experts from
Broadridge will share updates on the market and best practices to meet your
fiduciary obligations and use this as an opportunity to show your value.

This session is not eligible for CE credit

 

John Faustino, AIFA® , PPC
Vice President, Head of Fi360 Solutions
Broadridge

Jason Roberts
CEO
Pension Resource Institute

 

Three Unique Categories of Retirement Plan Investments
Format: In-person and Virtual

A look at how ESG Investments, Cryptocurrency, and Private Equity investments
possibly fit (or don’t fit) in an ERISA-qualified retirement plan.

CE for this session is pending. Check back soon for more information!

Chuck Rolph
Technical Director, Advanced Consulting Group
Nationwide Financial



Misbehaving in retirement plans:  It’s time to retire that thinking
Format: In-person and Virtual

When bad behaviors happen to good participants, it is usually because of timing,
uncertainty or attention biases that cloud sound decision-making. We will share
practical strategies in plan design and participant education from the world of
behavioral finance. The goal is to improve conversations with plan sponsors and
participants in order to help offset the natural tendencies that lead to bad
outcomes.

CE for this session is pending. Check back soon for more information!

Jonathan Young
Senior National Accounts Manager
Capital Group

Understanding Medicare:  The ins and outs of Medicare coverage
Format: In-person and Virtual

Learn how to plan for Medicare decisions by understanding the history of
Medicare, the parts of Medicare and how they work, enrollment rules, and the
costs associated with Medicare. Also discussed are Medigap plans, Medicare
Advantage plans (Part C), and what you need to consider if you plan on working
past 65.

CE for this session is pending. Check back soon for more information!



10:30 AM - 11:00 AM 

Break | Meet with Exhibitors | Tech Talk
Format: In-person and Virtual




Broadridge Tech Talk: Powering a Prudent Process: Get to Know the Fiduciary
Focus Toolkit
Format: In-person and Virtual

See how you can work prudently and efficiently with the Fiduciary Focus
ToolkitTM. You’ll get an understanding of how the built-in best practices,
streamlined workflows, client-friendly reports, and more help you drive superior
client outcomes and achieve better business results. 

You will learn how you can:

 * Gain confidence with comprehensive investment screening and monitoring like
   layering in ESG ratings 
 * Work more efficiently with automated workflows and productive integrations
 * Impress clients with reports that illustrate that their best interests always
   come first
 * Build an end-to-end fiduciary focused technology stack 

This session is not eligible for CE credit

Travis Reeder
Product Manager
Broadridge

Tyler Kirkland
Director of Sales
Broadridge

 

11:00 AM - 12:00 PM

Concurrent Breakout Sessions 

Retirement Plans:  A  Update on Litigation, Legislation and Regulation
Format: In-person and Virtual

Even during this work-from-home period, the Department of Labor, Congress and
the Courts have been busy with retirement plan issues.  This program covers the
most important lawsuits, laws and bills, and regulations affecting retirement
plans.  The subjects will range from ESG investing to Pooled Employer Plans
(PEPs), from Lifetime Income Illustrations to the proposed SECURE Act 2.0, and
from lawsuits on expensive investments to settlements about financial wellness
programs…and more.  The program offers an overview of most of the “hot”
developments in retirement plans over the past two years.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Fred Reish
Partner
Faegre Drinker Biddle Reath

The Most Important Page in your Financial Plan
Format: In-person and Virtual

In this session, I dive into how a customizable cash-flow projection captures
all aspects of a financial plan to create the most effective planning for your
clients. The cash flow includes the client portfolio values, sources of income
(withdrawals, RMDs, pension and Social Security Income), expected rate of return
with volatility layered in (based on their individual allocation), inflation,
effective tax rate, gifting, long-term care costs, life insurance proceeds,
inheritance, sale of business, etc. I articulate the key considerations of
selecting an effective tax rate to use in the projection, why volatility
matters, and how this tool can be used as to assist advisors from a behavioral
finance perspective. The presentation will include my experience with client’s
improved ability to focus on their long-term plan and enhanced decision-making
capability versus getting caught in the weeds or unsure about their future
plans. This one-page is objective and all encompassing; integrating the role
advisors have as a fiduciary.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Lindsay Glassman
Senior Investment Consultant
Landmark Wealth Management

What’s Driving Retirement Income Solutions
Format: In-person and Virtual

This session will explore the three reasons driving retirement income as a
critical focus and what action steps to take today.

This panel will discuss how past and potentially future legislation,
participants and plan sponsors are all influencing the need for in-plan
retirement income solutions. Participants in this session will understand why
retirement income solutions are imminent and what resources are available to
understand the landscape of available solutions, plan design considerations and
how immediate action steps.

CE for this session is pending. Check back soon for more information!

 

Brendan McCarthy
Nuveen

Don Stroube
Senior Product Consultant - Investments
Principal

Bonnie Treichel

Matthew Wolniewicz
Income America

 

You Have Trained the Team; How do you Retain Them?
Format: In-person ONLY

 

Target Audience: Bank Trust

The Great Resignation is just the latest labor challenge facing banks and
independent trust companies.   What can be done to retain your top talent?  What
are the best practices in dealing with talent shortages in critical front,
middle and back-office roles?  Join this panel discussion moderated by
Broadridge’s Kevin Crawford where industry leaders will share what their firms
are doing to navigate through this client impacting issue.

This session is not eligible for CE credit

JoAnn Donahue
VP, Human Resources
Broadridge

Cindy Dash
Sr. Vice President & General Manager , Matrix
Broadridge

 

12:00 PM - 1:00 PM 

Lunch 




1:00 PM - 2:00 PM 

Concurrent Breakout Sessions

A New Strategy to Generate Lifetime Income
Format: In-person and Virtual

Despite more than a half century of research detailing the potential value of
guaranteed lifetime income products for retirees, sales of annuities remain
low.  There is a new annuity gaining traction in the market place where the
lifetime income evolves based on account performance where the account value is
accessible, an approach we call a “Protected Lifetime Income Benefit.” This
presentation contrasts this particular structure against other annuities focused
on lifetime income and provides context for which types of retirees the
respective solutions are likely to work best.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

David Blanchett
Head of Retirement Research
PGIM

 

Group Retirement Plans: Opportunity Analysis
Format: In-person and Virtual

Sweeping legislative and regulatory changes have opened the door for employers
(and advisors) to pull together resources to access higher quality products and
services.  Each group plan type, however, comes with unique challenges and
opportunities.  Jason will provide an overview of Pooled Employer Plans (PEPs),
Groups of Plans (GoPs), Multiple Employer Plans (MEPs) and Association
Retirement Plans (ARPs) and explain which types of group plans are creating the
most opportunities based upon unique goals of particular employers and their
advisors.  Attendees will be provided with plain English takeaways they can use
to educate their clients and prospects on the requirements and benefits
associated with each option.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Jason Roberts
CEO
Pension Resource Institute & Retirement Law Group

Designing Retirement Plans for Diverse Populations of Workers
Format: In-person and Virtual

America and American workforces are rapidly diversifying. The recently completed
2020 US Census shows diversity has expanded significantly since the census' last
iteration in 2010.

Our presentation will acknowledge those changes in the American workforce, and
explore different types of diversity present in the workplace. We will help
retirement plan professionals understand how they can leverage plan design
features to encourage and support participation in the retirement plan.
Attendees will leave with a greater understanding of workplace need for
diversity and diverse thinking, suggestions for their existing and potential
clients, and statistics and anecdotes to help support their recommendations.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Christina Tunison
Financial Advisor/Retirement Plan Consultant
LPL

Rosalyn K. Brown
Diversity, Equity, and Inclusion Chair
WIPN

DEFINE. DEFEND. REPEAT.
Format: In-person and Virtual

Years ago at an Fi360 conference I heard the phrase Define. Defend. Repeat. as
the basis for a sophisticated, fiduciary based manager due diligence process.  

I have applied that concept to every aspect of my portfolio management process
and our firm level fiduciary operations.  

The presentation will focus on an overview of the concept, how it synchs with
the fiduciary best practices model, how it can and should be integrated into
manager due diligence practices, and finally how it applies to the overall
operational structure and management of a fiduciary compliant investment
advisory firm.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Todd Early
Chief Investment Officer
Sovereign Investment Advisors

Trust Technology Roundtable
Format: In-person ONLY

 

Target Audience: Bank Trust

Solution providers in the wealth trust market continue to make major investments
in their platform to drive scale and improve the user experience.  What is next
transformation?  How are they helping clients increase achieve their goals? 
What is being done to support the evolving regulatory market?  During this
interactive discussion, leaders from some of the top firms in the market will
join Broadridge to discuss what’s next for trust.

This session is not eligible for CE credit

Mike Tropeano CFA, AIF®
Senior Director, Professional Services
Broadridge

2:00 PM - 2:30 PM

Break | Meet with Exhibitors | Tech Talk
Format: In-person and Virtual




Broadridge Tech Talk: The Matrix Effect: Elevating Advisors During the
Retirement Plan Lifecycle
Format: In-person and Virtual

Matrix goes beyond trust and custody to provide advisors with an independent
end-to-end retirement lifecycle solution. This session will bring you into the
world of Matrix and its comprehensive advisor offerings. You won’t want to miss
seeing how you can build unique plan line-ups with differentiating investments
like model portfolios, learning about ongoing plan monitoring so you can be
proactive, understanding the support you gain when participants leave the plan,
and more.

This session is not eligible for CE credit

Erin Redman
Sr. Director Product Management
Broadridge

2:30 PM - 3:30 PM 

Concurrent Breakout Sessions

Biagnostics® for plan advisors: Addressing retirement plan challenges with
behavioral finance
Format: In-person and Virtual

Forging a path of least resistance to plan participant success remains at the
center of a plan sponsor’s fiduciary responsibility. Plan advisors play a major
role in designing plan features and investments to help meet that
responsibility. While automated plan features are a start, they are not
enough—it takes creative participant education and motivation as well. This
brings the field of behavioral finance to the forefront. Through the application
of behavioral finance techniques, plan advisors can help educate and motivate
participants to take the right steps toward retirement readiness. This session
explores the idea that retirement investors may be their own worst enemy and
provides insights into:

• The science behind behavioral finance and the innate “problem” of the human
brain

• Behavioral biases and their impact on investor decisions and general market
trends

• Generational and life/investing phase dynamics and their influence on investor
attitudes and actions

• Solutions to help overcome common retirement investor mistakes

CE for this session is pending. Check back soon for more information!

D.J. Tierney
Senior Investment Portfolio Strategist
Charles Schwab & Co., Inc.

Ready or not: here comes retirement income!: 3 reasons why lifetime income is
now a critical focus, how it translates into plan design and how to incorporate
it into your value proposition

Format: In-person and Virtual

We increasingly see defined contribution becoming a tale of two retirement
plans: one focused on savings vs one focused on lifetime income.  Join us to
discuss our proprietary research showing the immediate and long terms forces
propelling in-plan income, key considerations for you as both an
advisor/fiduciary to plans and a practice leader, as well as the tools available
to support implementation today.

CE for this session is pending. Check back soon for more information!

Christine Stokes
Head of Institutional and Retirement Learning and Development
Nuveen

3:30 PM - 4:00 PM

Break | Meet with Exhibitors | Tech Talk
Format: In-person and Virtual




Broadridge Tech Talk: How to Drive Revenue with Scroll-Stopping Advisor
Marketing
Format: In-person and Virtual

Looking to get more from your marketing? Join AdvisorStream and Broadridge
Advisor Solutions for an interactive discussion on how advisors can find new
clients and drive growth with powerful marketing tools.

You will learn how to:

 * Adapt to the changing needs of investors
 * Attract new clients without adding to your workload
 * Spark meaningful conversations with engaging content
 * Save time by automating your digital marketing efforts

This session is not eligible for CE credit

Dave Briggs
Manager, Sales Support
Broadridge

Bryan Muir
Enterprise Sales/SME
Broadridge

4:00 PM - 5:00 PM 

Concurrent Breakout Sessions

Demystifying 3(16) Services – What it Means and How it Impacts Other Fiduciary
Roles (3(21) & 3(38).
Format: In-person and Virtual

This session is designed to outline what the role and responsibilities of a
3(16) fiduciary actually are. What misconceptions of a 3(16) Fiduciary are in
the marketplace and what advisors need to know. Finally. How does the 3(16) role
relate to other plan fiduciary roles and if hiring one for your plan is
necessary.

CE for this session is pending. Check back soon for more information!

David Hilton
Vice President
Kaye Capital Management

Kevin Mahoney
Business Development Officer
FinDec

Ken Jackson
Regional Director
Pentegra


 

Fiduciary Role in Selecting Investments
Format: In-person and Virtual

Not all index funds are created equal - A closer look at the fiduciary process
in selecting index mutual funds.

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Ramesh Poola, Ph.D., CFA
Chief Investment Officer, Fiduciary Services
IRON Fiduciary

6:30 PM - 9:00 PM 

Networking Dinner Event at ACL Live at the Moody Theater
Format: In-person ONLY




Tuesday, May 17, 2022 

8:00 AM - 9:15 AM 

General Session

Top Four Fiduciary Trends in 2022 and Beyond
Format: In-person and Virtual

In this conversation between fiduciary experts Blaine Aikin and Duane Thompson,
they will cover the four fiduciary trends that most interest them in 2022.
Together they will look at ESG investing, where they see regulators going next
with the definition of “fiduciary,” trends in ERISA litigation, and where we are
today with suitability vs. fiduciary standards . They will discuss both what
each of these trends means for fiduciaries now and what these trends
collectively mean for the fiduciary standard going forward. 

This session is eligible for 1 hour of CE credit for Fi360, CFP and IWI

Blaine Aikin, AIFA, CFP, CFA
Founder & Principal
Fiduciary Insights

Duane Thompson
Senior Policy Analyst
Broadridge, Fi360 Solutions

9:15 AM - 9:45 AM 

Break | Meet with Exhibitors
Format: In-person and Virtual




9:45 AM - 10:45 AM 

Concurrent Breakout Sessions

CEFEX Audit is your Friend;  Embrace the Experience
Format: In-person and Virtual

I will discuss my experience as the lead on a CEFEX audit of my firm;  I stepped
into this role for the first time as our 4th year in the process ( review of
OFIs from year 3 - not statistical sample year).  It was an eye opening
experience.  I hope to encourage others to get CEFEX certified and not shy away
from the process due to the audits and review;  learn from them!

This session is eligible for 1 hour of CE credit for Fi360 and IWI

Monica Garver
Director of Retirement Plan Services
McKinley Carter Wealth Services

Upping Your Question Game: 25 Questions for Better Client Connections Throughout
The Financial Planning Engagement
Format: In-person and Virtual

Asking great questions is an essential part of the job of the financial advisor.
Great questions help us to gather important information, and great questions can
help motivate clients to take action. Many advisors are aware of the difference
between a closed-ended question and an open-ended question, but questions can
take additional forms as well. Join us this month and learn not only about the
different types of questions that are available to advisors, but also about how
and when to use these questions throughout the financial planning relationship.

CE for this session is pending. Check back soon for more information!

Meghaan Lurtz, Ph.D., FBS
Professor of Practice
Kansas State University

AI Communications That Connect — Getting Through to Participants
Format: In-person and Virtual

Since the beginning of time, plan sponsors and fiduciaries have struggled with
how to get participants to invest in their retirement and how to communicate
effectively. We’ll talk about AI solutions that will help do just that. Not only
that, but all provide you with drill-down stats of what communications are
working.

CE for this session is pending. Check back soon for more information!

Pete McNellis
Co-Founder and Director of Business Development and Client Engagement
dailyVest

Jerry Yen
CEO
Advice Analytics, Inc.

Lee Regan
Director of Product Management
Financial Fitness Group

 

You Won The 401(k) Plan,  Now What Do You Do?
Format: In-person and Virtual

After landing a new plan, do you sometimes wonder what services you should be
providing? Join this interactive session to discuss the services that Retirement
Plan Advisors can provide. This session will allow you to deepen and strengthen
your retirement plan relationships. In addition,  you’ll learn how to establish
trust by asking the right questions to improve efficiency; drive loyalty; and to
increase client retention by providing services that matter the most to your
retirement plan clients.

CE for this session is pending. Check back soon for more information!

Taylor Hammons
Head of Retirement Plans
Kestra Financial

10:45 AM - 11:00 AM 

Break




11:00 AM - 12:00 PM 

Concurrent Breakout Sessions

Wait, I'm not the Advisor, I'm on the Committee!
Format: In-person and Virtual

How does a no nonsense advisor navigate the political, personal and operational
vagaries serving as a 401(k) committee member of their non-profit/club/business?

CE for this session is pending. Check back soon for more information!

Joe Sweeney
Managing Partner
Cornerstone

 

 

Structured Installment Sales
Format: In-person and Virtual

The Biden tax proposal seeks to increased capital gains tax rates, which may
impact individuals selling appreciated assets, real estate or businesses. The
Structured Installment Sale provides guaranteed income for qualifying property
or business sales that are eligible for the installment method under Internal
Revenue Code Section 453.

CE for this session is pending. Check back soon for more information!

Phillip Krause
Principal
Krause Capital


 

How Secure Act Affects Plan Sponsors and Advisors
Format: In-person and Virtual

Retirement planning is complex.  Retirement income solutions for qualified plans
has become even more interesting.  Academics, practitioners, and product
providers have for years played well in the sandbox together.  Now that
annuities are acceptable investments for plans, how are fiduciaries expected to
apply prudent practices for the benefit of the plan?  Fiduciaries’ ultimate
objective is to ensure each individual participant is retirement ready.  To that
end, plan sponsors and advisors will need more tools to satisfy fiduciary best
practices.  This course may have more questions than answers, but it will help
fiduciaries apply prudential principles to portfolio strategy, implementation,
and monitoring of all new and old products.

CE for this session is pending. Check back soon for more information!

Mary Kathryn Campion
Founder and President
Champion Capital Research

12:00 PM 

Conference Concludes










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