Monday, October 2, 2006 6:00 p.m. - ? CONFERENCE KICK-OFF PARTY - Hosted by McHenry Group/PlanTools™ Tuesday, October 3, 2006 7:00 a.m.- 8:00 a.m. Exhibitor Area/Imperial Ballroom 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 MAJOR CHALLENGES FACING RETIREMENT PLANS & SPONSORS Keynote Session Speaker - David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by MassMutual) 9:45 a.m. – 10:45 a.m.   International Ballroom HOW SERVICE PROVIDERS DISCLOSE COSTS & REVENUE SHARING: Uniformity, Ambiguity & Accountability - Al Otto (Moderator), Co-Founder, White Horse Advisors, LLC - Brent Glading, Managing Director, Glading Group, LLC - Randy Bachman, Director, Retirement & Investor Services, Principal Financial Group - Russell Odenbeck, VP National Distribution, Retirement Plan Services, M&I Trust Company N.A. Gold Room SHOULD/CAN ADVISORS PROVIDE ADVICE AT THE PLAN & PARTICIPANT LEVEL: The Do’s, Don’ts & Risks - Ian S. Kopelman, Partner & Chair, U.S. Employee Benefits & Executive Compensation Practice Group, DLA Piper Rudnick Gray Cary LLP Crystal Room INVESTMENT OUTLOOK - Mario DiVito, Investment Relationship Manager, American Funds Institutional Group Regent Room SELF-DIRECTED BROKERAGE OPTIONS: Are They All The Same - Frank Bruno, Sr. VP, TruSource - Jim Huennekens, VP, TruSource - Thomas FitzPatrick, Consultant, Stanton Group 11:15 a.m. -12:15 p.m.   International Ballroom BEYOND THE MORNINGSTAR GRID: Selecting & Monitoring Funds Panel - Kelly Higgins, VP Sales & Marketing, Zephyr Associates, Inc. - Bob Atkinson, Sales Manager, Zephyr Associates, Inc. Gold Room HOW PROVIDERS ADD VALUE & HELP ADVISORS GROW THEIR BUSINESS: Partnerships Are The Key To Distribution - Marcela Curry (Moderator), Director Business Development US Retirement, Lipper – A Reuters Company - Terry Kelly, National Sales Manager, AIM Investments - Rocco DiBruno, Director, Retirement Group, Thornburg Investment Management - Chuck LaCascia, Managing Director, DC Business Development, Putnam Retail Management - George van Hook, Program Manager, Advisor Initiatives, ADP Retirement Services Crystal Room ASSET RETENTION: How An IRA Rollover Program Can Differentiate Your Retirement Plans Service - Reginald Bowser, President & CEO, RolloverSystems Regent Room TAX EXEMPT OPPORTUNITIES - David Hinderstein (Moderator), David Hinderstein, National Retirement Partners - David Ray, VP, Not-For Profit- Business Leader, Diversified Investment Advisors - Peter Margiotta, Director, National Marketing, Great-West Retirement Services - Vince Rainforth, VP, Business Development/Tax-Exempt Market, Principal Financial Group 12:30 p.m. -1:30 p.m. Exhibitor Area/Imperial Ballroom Lunch 2:00 p.m. - 3:00 p.m.   International Ballroom BEYOND CORE MUTUAL FUNDS: When & How To Use Alternative Investment Vehicles Like Collective Trusts & ETFs - Steve Ferber, Executive VP, Collective Fund Services, AST Trust Company - Pamela Hess, Sr. Investment Consultant, Hewitt Associates Gold Room OPEN ARCHITECTURE PROVIDER BUSINESS MODELS: Strengths, Weaknesses & Differentiation - Brian Lampsa (Moderator), VP, Howe Barnes Investments, Inc - Frank Bruno, Sr. VP, TruSource - Henry Schwarzberg, National Sales Director, DailyAccess Corporation - Mike Narkoff, Sr. VP, Distribution Support Services, BISYS Retirement Services - Gerald Erickson, Principal, Milliman, Inc. Crystal Room DEVELOPING ADVISOR WEBSITES, BROCHURES & NEWSLETTERS: How Advisors Market, Sell & Service In The 21st Century - Rhonda Evans, PhD. (Moderator), Director Of Research, The McHenry Group/Plan Tools™ - Eric Hughes, Managing Director, Simplexity, LLC - Brian C. Hubbell, Principal, Hubbell Consulting, LLC - Al Otto, Co-Founder, White Horse Advisors, LLC - Randy Long, Managing Principal, SageView Advisory Group (?) Regent Room HOW TO EVALUATE TRUSTEES & CUSTODIANS - Larry Johnson (Moderator), Principal, Lawrence Johnson & Associates - David Semmler, VP Sales, Matrix/MG Trust Company - Sharon H. Ennis, SVP, Reliance Trust Company - Michael W. Hlavin, VP, Corporate Client Services, Wilmington Trust Company 3:15 p.m. - 4:15 p.m.   International Ballroom IS OPEN ARCHITECTURE OVER MARKETED, LARGELY IRRELEVANT, NOT PARTICULARYLY DESIRABLE & DOES IT REALLY EXIST? - David Hinderstein (Moderator), President, GBS Retirement Services, Inc. - David L. Liebrock, EVP, Retirement, Fidelity Investments Institutional Services Company, Inc - Dave Thompson, Field VP, Sales & Business Development, Charles Schwab & Co., Inc - Mark Kordonsky, Principal, SageView Advisory Group - A. W. “Bud” Green, Principal, Fortress Wealth Management Gold Room HOW ADVISORS CAN PARTNER WITH THE NEXT GENERATION OF NON-PRODUCING TPAS & NEUTRAL TRUST PLATFORMS - Joseph P. Finn (Moderator), Regional VP, Fidelity Investments Retirement Plan Administrator Svcs - Kent Fitzpatrick, EVP, Charles River Retirement Consultants, Inc. - Matt Gulseth, Qualified Plan Team Leader, Virchow Krause Wealth Management, LLC - Ross Brown, SVP, Sales and Relationship Management, ExpertPlan, Inc. - Thomas B. Pittman, Chief Marketing Officer, The Newport Group Crystal Room TAX REFORM & 401(K) PLANS - Rick Lawson, VP, Federal Government Relations, Principal Financial Group Regent Room 2006 RETIREMENT CONSULTANT STUDY: Strategies To Grow Your Business - Ann Schleck, Principal, Ann Schleck & Company - Don Salama, Sr Managing Director, Sales & Marketing, NYLIM Retirement Plan Services - Mike Hudson, VP, Financial Advisor, CapTrust Financial Advisors - Mark Paone, Financial Advisor, Corporate Client Group Director, Citigroup Global Markets, Inc. 4:30 p.m. - 6:00 p.m.   Exhibitor Area / Imperial Ballroom Cocktail Party   Wednesday, October 4, 2006 7:00 a.m.- 8:00 a.m. Exhibitor Area / Imperial Ballroom Breakfast 8:30 a.m. - 9:30 a.m.   International Ballroom YOUR BUSINESS HAS VALUE TO YOU, BUT WILL IT HAVE VALUE TO SOMEONE ELSE: Business Valuation, Health & Succession/Transition Keynote Session Speakers Click on the presenter's name to download their presentation. - Ray Henderson, Business Health, PTY., Ltd. (Sponsored by John Hancock Retirement Plan Services) - Tom Bruns, Divisional VP, John Hancock Retirement Plan Services 9:45 a.m. – 10:45 a.m.   International Ballroom HOW TO ADD VALUE WHEN SPONSOR CLIENTS ARE SUBJECT TO A DOL OR IRS AUDIT - Mark S. Weisberg, Partner, Winston & Strawn LLP Gold Room TPA/RECORDKEEPER PROGRAMS vs. BUNDLED PROGRAMS - Tommy Thomasson (Moderator), President & CEO, DailyAccess Corporation - Christine Danko, Sr. Planner, Corporate Retirement Plans, Plante Moran Financial Advisors - Gerald Wernette, Principal/Director, Retirement Plan Services, The Rehmann Group   W. Scott Parry, VP Institutional Sales, Invesmart Advisors, Inc. - Dan Dodillet, VP Sales, NYLIM Retirement Plan Services Crystal Room GOLD: An Alternative Asset Class Click on the presenter's name to download their presentation. - George Milling-Stanley, Manager, Investment & Market Intelligence, World Gold Council - Jill Iacono, Principal, Advisor Strategies Group, State Street Global Advisors Regent Room COMPANY STOCK & RETIREMENT PLANS: Mitigating Risk, Committee Structure, & Due Diligence Issues - Daniel M. Reser, President, Fiduciary Services, Inc. - Laurence A. Goldberg, Partner, Kirkpatrick & Lockhart Nicholson Graham LLP 11:15 a.m. – 12:15 a.m.   International Ballroom HOW PROVIDERS CAN HELP ADVISORS CONVERT TO THE RIA MODEL - Greg Munson, VP, Sales & Relationship Management, Charles Schwab & Co., Inc - Robert Oros, VP & Sr Divisional Sales Manager, Eastern Division, Charles Schwab Institutional - John Villegas, Senior Manager, Schwab Retirement Advisor Services Gold Room HOW ADVISORS ADD VALUE & DIFFERENTIATE THEMSELVES - Rocco DiBruno (Moderator), Director Retirement Group, Thornburg Investment Management - John Kellar, VP Investments, Retirement Plans Consultant, Wachovia Securities - Greg Poplarski, Sr. VP National Channel Sales, Prudential Financial - Steven E Benson, SVP Business Development, ExpertPlan Crystal Room EDUCATING THE PARTICIPANT: Whose Job Is It & What Is Effective - Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP - Lisa Smith, Sr. VP, Retirement, Fidelity Investments Institutional Services Company, Inc. - Ralph Vizl, VP Strategy & Research, John Hancock Retirement Services - Ian Sheridan, VP, Marketing & Business Development, MassMutual Regent Room CAPITALIZING ON THE TREND TO FREEZE/TERMINATE DB PLANS: Issues & Opportunities - Patrick J. Kendall, VP, DB Practice Leader, Diversified Investment Advisors - Matt Gnabasik, Managing Director, Blue Prairie Group 12:30 p.m. - 1:30 p.m. Exhibitor Area / Imperial Ballroom Lunch 2:00 p.m. - 3:00 p.m.   International Ballroom DEVELOPING HIGH NET WORTH BUSINESS: Strategy & Efficiency - Ward Harris, (Moderator), Founder & CEO, The McHenry Group/Plan Tools™ - Dennis Clark, CEO, Advisor Partners - Linda Lubitz, President, The Lubitz Financial Group - Gerry O’Connor, Director, Spectrem Group Gold Room THE INVESTMENT FIDUCIARY: Defining a Global Standard of Excellence - Don Trone, Co-Director, Center for Fiduciary Studies Crystal Room WHAT ADVISORS WANT FROM PROVIDERS - Mark Kordonsky (Moderator), Principal, SageView Advisory Group - Doug Prince, Managing Director, Stifel Nicolaus & Company - Trisha Brambley, President, Resources For Retirement, Inc. Regent Room DEVELOPING A MANAGED ACCOUNT SOLUTION AT THE ADVISOR LEVEL - John Newman, VP, Fiserv Investment Support Services - David Krasnow, President, Pension Advisors 3:15 p.m. - 4:15 p.m.   International Ballroom TARGET MATURITY FUNDS: Advantages/Disadvantages, Differences In Management Style & How To Measure Performance - Donald Stone (Moderator), President, Plan Sponsor Advisors, LLC - John Sturiale, Director Of Retirement Investment Services, Schwab Corporate Services - Doug Prince, Managing Director, Stifel Nicolaus & Company - Eric Rubin, President, American Independence Financial Services - Daniel Wallick, Principal, Investment Counseling & Research Division, The Vanguard Group Gold Room HOW TO BUILD A BUSINESS INSTEAD OF A PRACTICE - Bryan Schneider (Moderator), Sr. VP, SMITH HAYES Financial Services - Joseph M. McLaughlin, VP Wealth Management, Senior Retirement Plan Consultant, Kelliher Group at Smith Barney - Paul D’Aiutolo, Institutional Sales Director, McDonald Investments, Inc. Crystal Room HOW ADVISORS CAN PARTNER WITH TPA/RECORDKEEPERS TO MAXIMIZE VALUE - Tommy Thomasson (Moderator), President & CEO, DailyAccess Corporation - Scott Everhart, President, Everhart Financial Group - Jane Hagen, VP & Trust Officer, Tri-Start Trust Bank - Erik Gauger, Retirement Plans Consultant, UBS Financial Services, Inc Regent Room RETIREMENT PLAN LEGISLATIVE & REGULATORY UPDATE - Kathryn Capage, Strategic Planning Director, Retirement & Tax Advantages Products Division, AIM Investments 4:30 p.m. - 6:00 p.m.   Exhibitor Area / Imperial Ballroom Cocktail Party   Thursday, October 5, 2006 7:00 a.m.- 8:00 a.m. Exhibitor Area / Imperial Ballroom Breakfast 8:15 a.m. - 9:15 a.m.   International Ballroom STRENGTHS & WEAKNESSES OF VARIOUS SMALL PLAN PROVIDERS - Vincent Morris (Moderator), VP, Bukaty Companies Retirement Services - Tom Herbruck, Retirement Specialist & Shareholder, Herbruck Alder - Richard A. Robb, Partner, Capital Management Partners, LLC Gold Room HOW TO CONVERT FROM A COMMISSION-BASED BUSINESS TO A FEE-BASED BUSINESS WITHIN A WIREHOUSE ENVIRONMENT - Stephen D. Wilt, VP, Sr Financial Advisor, The STAR Group with Merrill Lynch - Susan M. Clausen, Financial Advisor, The STAR Group with Merrill Lynch - Brian Ward, Managing Director - Investment Officer, Ward Financial Advisory of Wachovia Securities Crystal Room COMPLIANCE: Emerging Trends Affecting Providers, Asset Managers & Advisors - Rhonda Evans, PhD., Director Of Research, The McHenry Group/Plan Tools™ - Lois Towers, US Compliance Officer, Barclays Global Investors Regent Room USING PLAN DESIGN AS A SALES TOOL - Tom Foster, National Spokesperson, The Hartford Retirement Plans Group 9:30 a.m. – 10:30 a.m.   International Ballroom STRENGTHS & WEAKNESSES OF VARIOUS MID-MARKET PLAN PROVIDERS - Jim Scheinberg (Moderator), Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. - Trisha Brambley, President, Resources For Retirement, Inc. - Steven Glasgow, First VP, Ward Financial Advisory of Wachovia Securities Gold Room HELPING ADVISORS BUILD AN EFFICIENT, SCALEABLE & PROFITABLE BUSINESS - Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP - Denise Diana, VP Channel Management, Prudential Retirement - J. Fielding Miller, CEO & Managing Partner, CapTrust Financial Advisors - Robert L. Francis, EVP, Corporate Development, 401kAdvisorsUSA/NRP Crystal Room AUTOMATIC 401(k): How To Help Participants, Increase Plan Assets & Avoid The Traps Of Negative Election - Pete Swisher, VP Of Advisor Services, Unified Trust Company, NA Regent Room ASP RECORDKEEPING: Next Generation Daily Valuation Open Architecture Solution - John Blossom (Moderator), President, Alliance Benefit Group - Ross Brown, SVP, Sales and Relationship Management, ExpertPlan, Inc. - Chad Parks, President & CEO, The Online 401(k)/Decimal, Inc. - Raj Pillai, EVP, 401k DIRECT 10:45 a.m. - 11:45 a.m.   International Ballroom STRENGTHS & WEAKNESSES OF VARIOUS LARGE PLAN PROVIDERS - Randy Long (Moderator), Managing Principal, SageView Advisory Group - Dan Esch, Managing Director, Defined Contribution Advisors, Inc. - Todd Jones, VP, Financial Advisor, CAPTRUST Financial Advisors - Jennifer Marconi Flodin, Chief Operating Officer, Plan Sponsor Advisors, LLC Gold Room RETIREMENT: Evolution Or Revolution? A Call To Action - Richard Malconian, Global Head of Retirement Services, Lipper, Inc., A Reuters Company Crystal Room PRACTICE MANAGEMENT: Maximizing The Team Effort In Prospecting, Closing & Servicing - Bryan Schneider (Moderator), Sr. VP, SMITH HAYES Financial Services - Vincent Morris, VP, Bukaty Companies Retirement Services - Jim Scheinberg, Director-Corporate Services Group, VP, Oppenheimer & Co., Inc. Regent Room DISTINGUISHING TPAs/PROVIDERS BY QUALITY CONTROL PROCEDURES: The SAS 70, Quality Controls & Third Party Audits - Brian C. Hubbell, Principal, Hubbell Consulting, LLC - Donald Stone, President, Plan Sponsor Advisors, LLC 12:00 p.m. - 1:00 p.m.   International Ballroom AN OVERVIEW OF FIDUCIARY ISSUES: Marketplace Models & The Future Of 401(k) Plans Keynote Session Speaker - Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING) Back to 2006 Conference Page Back to CFDD Homepage