PRE-CONFERENCE/WRAPAROUND AGENDA Sunday, September 30, 2007 Conference Center Salon H INTRODUCTION TO FSS: Fiduciary Compliance Training & Tools (Includes three sessions below: Hosted by FSS) 8:15 - 9:15 a.m. Maintaining A Prudent Process: Ongoing Fiduciary Compliance & Maximizing Marketing - Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) 9:30 - 10:30 a.m. Plan Management 101: What Sponsors Need To Document Fiduciary Compliance - Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC 10:45 - 11:45 a.m. Meeting Global Fiduciary Standards of Care: How To Prepare Your Practice For An ERISA Audit - Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) - Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC 12:00 - 5:00 p.m. Salon I Marketing Boot Camp For Advisors - Ward Harris, Founder & CEO, The McHenry Group/Plan Tools LLC - Steve Ferber, EVP, Collective Fund Services, AST Trust Company - Kent Fitzpatrick, AIFA, ARPC, EVP, Asset Strategy Retirement Consultants - Brian C. Hubbell, AIF, Principal, Hubbell Consulting, LLC - Al Otto, AIFA, EVP, White Horse Advisors, LLC - Eric Hughes, Managing Director, Simplexity, LLC - Pete Newkirk, President, Newkirk - Bob Padgette, CFA, CIMA, Founder &Managing Director, Klein Decisions, LLC - Janet Quarberg, Managing Director, Retirement Distribution Strategies, Voyageur Asset Management, Inc. - Charlie Russella, EVP & National Sales Manager, AST Trust Co - Perry Wilkes, Sr. Plan Advisor, White Horse Advisors, LLC 12:00 p.m. - Kierland Golf Club 15636 North Clubgate Drive Scottsdale, AZ 85254 (480) 922 9283 Charity Golf Event Conference Center Salon H FIDUCIARY EDUCATION PROGRAM: Managing Advisor Liability & Operational Compliance (Includes three sessions below: Hosted by CFDD) 12:30 - 2:15 p.m. Fiduciary Issues & Status In An Ever Changing Legal Landscape: Things You Need To Know - Marcia S. Wagner, Esq., President, The Wagner Law Group 2:30 - 3:30 p.m. Fiduciary Insurance, E&O Coverage, ERISA Bonding, Investment ERISA Bonds & Employee Dishonesty: Unwinding The Maze For Sponsors & Advisors - Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency 3:45 - 4:45 p.m. 404(c) Liability: Diving Into The Abyss Of True Compliance - David Witz, Managing Director, Fiduciary Risk Assessment, LLC ...-ERISA 404(c) Best Practices ...-Diving Into the Abyss 5:00 - Conference Center Cybercafé & Registration Desk Opens 6:00 - 9:00 p.m. Princess Plaza Courtyard Kick-Off Party & Golf Event Awards Presentation -Hosted by The McHenry Group & PlanTools, LLC -Special Honored Guests Monday, October 1, 2007 7:00 a.m.- 8:00 a.m. Conference Center/Plaza Registration & Breakfast 8:15 - 9:15 a.m.   Salon D&E WHAT’S UP ON CAPITOL HILL: Recent Pension Laws & Regulation - Kathryn Capage, Strategic Planning Director, Retirement & Tax Advantages Products Division, AIM Investments Salon H FALL OF THE MERRILL RULE: What’s Next For BDs & Retirement Advisors - Ward Harris, Founder & CEO, The McHenry Group/PlanTools LLC Salon I Advanced Plan Design For Family-Owned & Closely Held Corporations - Michael. H. Manning, National Director of Retirement Plans, Distribution Sales,  UNIFI Companies Salon F&G INDIVIDUAL ADVICE & THE ADVISOR’S ROLE: Should Advisors Provide, Partner Or Compete With Providers? - Trisha Brambley (Moderator), President, Resources For Retirement, Inc. - Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC - Edward A. Schwartz, President, Gregory J. Schwartz & Co., Inc. - Joan McDonagh, J.D., Manager, 401k Technical Resources, Great-West Retirement Services - David Finn, PRP, MBA, Director of Business Development, Northeast Employee Benefits Practice, Milliman, Inc 9:30 - 10:30 a.m.   Salon H PPA ONE YEAR LATER: What Happened? - Michael Taricani, VP, Compliance/Product & Advisory Services, Prudential Financial - Chad J. Larsen, PRP, AIF, Sr VP, Retirement Plan Services, Moreton Financial Solutions, LLC, NRP Member Firm Salon D&E Benchmarking Advisor Fees & Disclosure Best Practices - Don Salama, Sr Managing Director, New York Life Retirement Plan Services - Ann Schleck, Principal, Ann Schleck & Company - TBD Advisor - TBD Advisor Salon I Advice For Advisors of 401k Plans With Company Stock - Daniel Reser, JD, CCTS, MPF, President, Fiduciary Services, In - Laurence Goldberg, Partner, Sheppard, Mullin, Richter & Hampton Salon F&G CRM & NEWSLETTERS: Leveraging Best Practices, Technology & Efficiency - Randy Long (Moderator), Managing Principal, (CRM & Newsletter User) SageViewAdvisory Group - Rhonda Evans, Ph.D., AIF, Managing Director (Research & Newsletters), The McHenry Group - Jeff Yoshimura, Director, Appexchange Financial Services, Salesforce.com - Jon Manlove, Client Service Director (CRM Consultant), The McHenry Group 10:45 - 11:45 a.m.   Salon H Risk Management Techniques For DB Plans - Mark Kordonsky (Moderator), Founder & CEO, Sortino Investment Management, LLC - Patrick Kendall, VP, DB Practice Leader, Diversified Investment Advisors - Gary Burczek, FSA, EA, MAAA, Actuary, Principal Financial Group Salon D&E Designations For Retirement Plan Advisors - Pat Oberlander (Moderator), Executive Director, Retirement Consulting        Services, UBS Financial Services - Blaine Aikin, AIFA, CFA, CFP, Managing Partner, CKO, Fiduciary360 (AIF & AIFA) - Susan Hajek, QKA, Chief Sales & Marketing Officer, ASPPA (QPFC - Donald Settina, CFP, AIFA, PPC, President & CEO, Financial Service Standards, LLC (PPC) Salon I MANAGING RETIREMENT INCOME: The Shift From Managing Accumulations To Managing Distributions - Lisa Shidler (Moderator), Reporter, InvestmentNews - Joseph Masterson, Sr VP & Chief Sales Officer, Diversified Investment Advisors - Douglas McIntosh, Jr, VP Retirement Income, Prudential Financial - David Longfritz, Sr VP & GM, Retirement Income & Rollover Solutions, John Hancock - Tere D’Amato, CFP, CLU, ChFc, MSFS, Director Of Advanced Planning, Commonwealth Financial Network Salon F&G FIDUCIARY LIABILITY INSURANCE, BONDING & SERVICE AGREEMENTS FOR SPONSORS: How Sponsors & Advisors Share & Manage Liability - Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting, LLC - Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency - Marcia S. Wagner, Esq., President, The Wagner Law Group 12:00 - 1:00 p.m. Conference Center/Plaza Lunch 1:15 - 2:15 p.m.   Salon D&E ERISA LITIGATION: What Is The Nature Of Recent Lawsuits, Who Are The Named Defendants & What Safeguards Minimize Your Exposure? - Bruce Ashton, Esq., Partner, Reish Luftman Reicher & Cohen - Joe Faucher, Esq., Partner, Reish Luftman Reicher & Cohen Salon H THE ROLE OF THE RETIREMENT PLAN COMMITTEE: Challenges & Opportunities For Advisors In Today’s Regulatory Environment - Rocco DiBruno (Moderator), AIFA, Managing Director, Retirement Group, Thornburg Investment Management - Joe McLaughlin, CRPS, AIF, PRP, VP, Wealth Advisor, Kelliher Group at Morgan Stanley - Gary Josephs, Managing Partner, Castner Josephs Retirement Group, NRP Member Firm - Jim Pierce, RPA, Executive Managing Director, Holmes Murphy Financial Services - Jim O’Shaughnessy, AIF, PRP, Principal, Sheridan Road Financial Salon I DESIGNATIONS FOR RETIREMENT PLAN ADVISORS: An Advisor’s Perspective - Paul D’Aiutolo (Moderator), PRP, AIF, QPFC, VP Investments, PRIME Asset Consulting Group, UBS Financial Services, Inc. - Doug Prince AIFA, CPA, Managing Director, Stifel Nicolaus & Co - Michael Morris, AIF, CRPS, Director Institutional Consulting, Ross, Sinclaire & Assoc, NRP Member Firm - Monica Garver, CPA, CFP, AIF, Managing Director, PrimeSOLUTIONS Advisors, LLC Salon F&G E&O INSURANCE & BONDING FOR RETIREMENT ADVISORS: Requirements, Exclusions & Traps For The Unwary - Brian C. Hubbell (Moderator), AIF, Principal, Hubbell Consulting, LLC - Gary B. Sutherland, CIC, CEO, North American Professional Liability Insurance Agency - David Benfield, Attorney, Claims Counsel Financial Services D&O Division, Hartford Financial Products, The Hartford 2:30 - 3:30 p.m.   Salon H THE AUTOMATION OF 401(k) PLANS: Evolving Changes Post PPA - Steve Glasgow (Moderator) CFA, CIMA, AIF, PRP, Sr. Institutional Consultant, 1st VP, Wachovia Securities - Barb Delaney, PRP, AIF, President, FFoA, Member Firm of NRP - Mark Gutrich, President & CEO, ePlan Services, Inc. - Lisa Smith, Sr VP, Retirement, Fidelity Investments Institutional Salon D&E WHAT’S A ROLLUP? Acquisitions, Franchises & Licensing - Ward Harris (Moderator), Founder & CEO, The McHenry Group/Plan Tools LLC - Vince Giovinazzo, CEO, 401(k) Producer Services (NFP acquisition) - Clark Frese, CPC, AIFA, Principal, Asset Strategy Retirement Consultants (Former Invesmart affiliate)   Robert Francis, Chief Operating Officer, NRP - TBD Advisor (Prospective acquisition or affiliate) Salon I BUILDING A TEAM APPROACH TO RETIREMENT PLAN ADVISORY PRACTICES: - James D. Stoker, (Moderator) CIMA, Chief Executive Officer, Water Street Investment Consultants, LLC - Chris Lakumb, CFA, CRSP, VP, Managing Director, Retirement Services, InterOcean Wealth Management - Henry Tebben, CFA, Nat’l Director Business Development, DB, Principal Financial Group - Paul D’Aiutolo , PRP, AIF, QPFC, VP Investments, PRIME   Asset Consulting Group, UBS Financial Services, Inc. Salon F&G SEARCHING FOR THE DISTINGUISHED: What Determines The RFP Winner - Dorann Cafaro (Moderator), Executive VP, 401kAdvisorsUSA/NRP - John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group Director, Smith Barney - Wayne Boenig, CFA, CFP, AIF, Chief Investment Consultant, PFE Advisors, LLCce Agency - Randy Long, Managing Principal, SageView Advisory Group 3:45 - 4:45 p.m.   Salon D&E How Providers Can Work With RIAs - Cheri Moeder, Director Corporate Communications, CPI Qualified Plan Consultants, Inc Salon I NEGOTIATING ON BEHALF OF CLIENTS DURING THE RFP PROCESS: How To Demonstrate Value & Differentiate From Other Advisors - Nick Della Vedova, RIA, President, 401(k) Advisors - Chip Hardy, AIF, PPC, PrimeTRUST Advisors Salon F&G A REQUIREMENT FOR CREDIBILITY & MARKETING, BUT NOT SUCCESS: Polling Reveals How Advisors View Retirement Plan Designations & How To Improve Them - Sharon Pivirotto, AIF, PPC, VP, Financial Service Standards, LLC - Donald Settina, CFP, AIFA, PPC, President, Financial Service Standards, LLC Salon H CASH BALANCE PLANS: A Post PPA Opportunity - Tom Bruns, Divisional VP, John Hancock Retirement Plan Services 4:45 p.m. - 6:00 p.m.   Conference Center/Plaza Cocktail Party   Tuesday, October 2, 2006 7:00 a.m.- 8:00 a.m. Conference Center/Plaza Breakfast 8:15 - 9:15 a.m.   Salon D&E How Sponsors Should Evaluate Retirement Plan Advisors - Jon Upham (Moderator), Managing Director, Advisory Services, SageView Advisory Group - Robert Pruim, VP, Human Resources, FinishMaster (Plan Sponsor) - TBD Plan Sponsor - Marcia S. Wagner, Esq., President, The Wagner Law Group - David Wray, President, Profit Sharing/401(k) Council of America Salon H The Modern Investment Management Process: Asset Allocation to Fund Selection - Thomas Idzorek, CFA, VP, Director of Research & Product Development, Ibbotson Associates Salon F&G Managing & Motivating Your Staff - Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business Specialist, Principal, Epstein Financial Group, Co-Founder, The 401k Coach Program - Lynne Peluso, Executive Office Manager, Epstein Financial Group & Benefits Consulting Group, LLC Salon I The ERISA Budget - Tom Pittman (Moderator), Chief Marketing Officer, The Newport Group - Jason Chepenik, CFP, RFC, AIF, Managing Director, Partner, Chepenik Financial - Andrew DeGroat, AIF, Principal, Wharton Advisors - Samuel T. Brkich, JD, VP & Chief Counsel, The Newport Group 9:30 a.m. – 10:30 a.m.   Salon D&E PAYOFF FOR THE FIRM: Compensation Planning - Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) Salon H INVESTMENT RESULTS DON’T COME IN A BOX: A Fund Company’s Perspective - Steve Caruthers, VP, Capital Research & Management Company (American Funds Institutional Group) Salon I REPORTING SERVICES: What Services Advisors Are Using & How They Integrate The Process - Doug Prince (Moderator), AIFA, CPA, Managing Director, Stifel Nicolaus & Co - Mark Metz, Managing Director, Business Development, PlanTools, LLC - Andy Frommeyer, AIF, Director, Product Development & Management Fiduciary Analytics - John Faustino, VP, Desktop Software, Morningstar, Inc. Salon F&G GROW YOUR BUSINESS: A View From The Trenches - Vince Giovinazzo, CEO, 401(k) Producer Services 10:45 - 11:45 a.m.   Salon F&G Evaluating & Benchmarking Target Date Funds - Steve Ferber (Moderator), EVP, Collective Fund Services, AST Trust Company - Dan Esch, Managing Director, Defined Contribution Advisors, Inc. - Matt Smith, Managing Director, Retirement Services, Russell Investment Group - John Sturiale, CFP, AIF, Field VP, Retirement Investment Services, Portfolio Manager, Schwab Managed Retirement Trust Funds, Schwab Corporate & Retirement Services, Inc - Joseph C. Nagengast, CEBS, Founder, Turnstone Advisory Group, LLC Salon D&E Building A Business With Transferable Equity - Rebecca H. Pomering, Principal, Moss Adams LLP (Sponsored by The McHenry Group) Salon H Developing Strategic Alliances & Partnerships With Other Professionals - Charles Epstein, CLU, ChFc, AIF, RIA, Certified Family Business Specialist, Principal, Epstein Financial Group, Co-Founder, The 401k Coach Program Salon I THE ETHICS OF REVENUE SHARING & DISCLOSURE: A Model For Professionals - Pete Swisher, CFP, QPA, VP Of Advisor Services, Unified Trust Company, NA - Al Otto, AIFA, EVP, White Horse Advisors, LLC 12:00 - 1:00 p.m. Conference Center/Plaza Lunch 1:15 - 2:15 p.m.   Salon D&E FROM THE TRENCHES TO THE BOARDROOM: A Seismic Shift In The Advisor’s Role - Jamie Worrell (Moderator), AIF, PRP, J.D., President, GPS Investment Advisors - Thomas Scalici, CFP, CEBS, AIF, Managing Director, Cornerstone Advisors Asset Management, Inc - Lisa Kottler, QKA, AIF, VP, Retirement Services, NFP Salon H MANAGED ACCOUNTS & THE NEW TARGET 401k) PLAN: Helping People Retire With Economic Security - Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group - Dr. Frank Sortino, Founder & Chairman, Sortino Investment Management, LLC. - Mark Kordonsky, Founder & CEO, Sortino Investment Management, LLC Salon F&G VALUE ADDED SPONSOR SERVICES: Will Your BD Support The Delivery Of More Complex Services In Today’s Changing Environment - Mitch Haber (Moderator), Managing Director, MassMutual Retirement Services - Pat Oberlander, Executive Director, Retirement Consulting Services, UBS Financial Services, Inc. - Mary Claire Voss, AIF, 1st VP, Manager Qualified Plans Services, Stifel, Nicolaus & Company - Brant J. Griffin, QKA, PRP, AIFA, Director Corporate Services Group, Oppenheimer & Co., Inc. - Vince Morris, AIF, PRP, VP, Bukaty Companies Salon I HOW YOUR CLIENTS REALLY FEEL: Soliciting Feedback & Improving Satisfaction - Gene Huxhold, CFP, Investment Only Specialist, John Hancock Financial Services - Ray Henderson, Director, Business Health, PTY., Ltd. (Sponsored by John Hancock Retirement Plan Services 2:30 - 3:30 p.m.   Salon H AUTOMATING COMPLIANCE FUNCTIONS: SEC Books & Records Requirements - Cherie Jolly, B/D & IA Consultant, ComplianceMAX Financial Corporation Salon D&E EMPLOYEE EDUCATION: What Role Should Advisors Play? - John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group Director, Smith Barney - Brian Ward, Managing Director-Investment Officer, Sr. Institutional Consultant Ward Financial Advisory of Wachovia Securities - Ron Sanders, AIF, Sanders Booze Capital Advisors - George Fraser, Sr. VP, Wealth Management, Smith Barney - Tom Bruns, Divisional VP, John Hancock Retirement Plan Services Salon I Holistic Fiduciary Oversight - Doug Conkel, Principal, Milliman, Inc Salon F&G BUYING SIGNS: A New Look At Selling - Rick Cortellessa, CRPS, Legg Mason Retirement Services - Bill Acheson, University Of Pittsburgh 3:45 - 4:45 p.m.   Salon D&E The Value Of An Independent Retirement Advisor - Chip Hunt (Moderator), AIF, PPC, Principal, PrimeTRUST Advisors - Clark Frese, Principal, Asset Strategy Retirement Consultants Salon F&G Technology Business Solutions That Build Value - Rhonda Evans (Moderator), Ph.D., AIF, Managing Director, The McHenry Group - Jeff Schwartz, VP, Markov Processes International (MPI) - Randy Long, Managing Principal, SageView Advisory Group (MPI user/client) - Terry Zirkle, Managing Director, PlanTools, LLC - Al Otto, Co-Founder, White Horse Advisors, LLC (PlanTools user/client) Salon H RETIREMENT INCOME GUARANTEES: Meeting The Challenge Of The Next Generation - Dan Campbell, Managing Director, Retirement Guarantee Network, Milliman, Inc - Ken Mungan, FSA, MAAA, Principal, Milliman, Inc Salon I Fiduciary Myths & How To Correct Them To Your Advantage - Pete Swisher, CFP, QPA, CPC, VP Of Advisor Services, Unified Trust Company, NA 4:45 p.m. - 6:00 p.m.   Conference Center/Plaza Cocktail Party   Wednesday, October 3, 2007 7:00 a.m.- 8:00 a.m. Conference Center/Plaza Breakfast 8:00 a.m. - 8:30 a.m.   Salons F, G, H & I CFDD Introduction & Market Overview - Phil Chiricotti, President, Center for Due Diligence Salons F, G, H & I KEYNOTE SESSIONS: (Includes three sessions by Fred Reish, David Wray & Don Trone) 8:30 - 9:30 a.m. THE DIRECTION OF 401(k) PLANS: Present, Future & Beyond - -Fred Reish, Managing Director, Reish Luftman Reicher & Cohen (Sponsored by ING Retirement Services) 9:45 - 10:45 a.m. FEES, EXPENSES & REVENUE SHARING: Are Fees Too High, Do Fiduciaries Understand Them, Disclosure & Government Requirements - David Wray, President, Profit Sharing/401(k) Council of America (Sponsored by Diversified Investment Advisors) - Joseph Masterson, Sr VP, Chief Sales & Marketing Officer, Diversified Investment Advisors 11:00 a.m. - 12:00 p.m. SAFE HARBOR & THE PPA: Navigating The Fiduciary Advisor Waters Safely -Donald B Trone, AIFA, CEO, Fiduciary360 Back to 2007 Conference Page