2023 Semi-Annual Meeting

January 9/10/11, 2023

THEME

THE PLURAL OF ANECDOTE IS NOT DATA SECURE 2.0
RETIREMENT PLAN ADVISORS CONVERGE TO THE VALLEY OF THE SUN

THEME & BACKGROUND - MEETING PLANNING COMMITTEE - VENUE - AGENDA - HOTEL

BACKGROUND

Conversations, Collaboration, Contributions, Compounding, and Consolidation are to the retirement plans business what Cotton, Cattle, Citrus, Climate, and Copper are to the city of Phoenix. At the 2023 Semi-annual Meeting, the Council discusses the implementation of SECURE Act 2.0 and its impact on all the things we do to drive participants to their financial wellness, documenting sponsor exercise of fiduciary responsibility, ro report investment adherence to stated mandates,

FIRSTS

Keynote session with J. Mark Iwry of The Brookings Institution to discuss implications of key provisions of SECURE Act 2.0 for participants, plan sponsors, their advisors and service providers
General session to discuss SECURE Act 2.0 implementation and plan of action
Discussion of a landmark financial wellness promotion initiative with the leadership of the Financial Literacy and Financial Wellness Promotion committee
General session on cybersecurity with Greg Chanski of T, Rowe Price
Continuing Education session with Ethics CFP® credits sponsored by Fidelity Investments.

FAVORITES

Two timeslots for peer discussions of advisor best practices
Q&A with outstanding retirement plan sponsors recognized for their contribution to the financial wellness of working Americans
Discussions of burning issues of the moment: SECURE Act 2.0

FUN

Pre-event bowling at 810 Billiards & BowlingBilliards & Bowling
Holistic Yoga class with certified yoga instructor Harumi MaejimaHarumi Maejima
Evening gathering at The Arrogant Butcher
Pre-event Golf

MEETING PLANNING COMMITTEE

Co-Chairs

Craig Rosenthal - Fiduciary Decisions
Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors

Members

Jason Bianchi – Mesirow Financial
Stephen J. Carew, AIF®, CPFA® - Sagepoint Financial
Colin M. Clark AIF® C(k)P®, CBFA, CPFA™ – Washington Financial Group
Nicole Corning, CFP®, CRPC®, AIF® - Buckman & Corning Financial Strategies Group
Melissa Cowan- Special Consultant
Glenn Dial – American Century Investments
Michael G. Doshier – T. Rowe Price
Kevin Eknaian, CIMA®, CRPC®, C(K)P® – American Century Investments
John Erickson – AIF® - Securian Financial Group
Derek Fiorenza C(k)P®, CPFA™, AIF®, PPC™, MSBA – Summit Group Retirement Planners
Tommy B. Ford C(k)P® – The Gibson Group at Morgan Stanley Wealth Management
Michael H. Gouldin CRPC®, AIF® – OneDigital
Keith Gredys JD, CTFA, AIF® – Kidder Benefits, LLC
Erin Hall MBA, AIF®, C(k)P®, CPFA – Strategic Retirement Partners
C. Andrew Harbour CFP® CIMA® – Morgan Stanley Graystone Consulting Atlanta
Thomas Harty - Charles Schwab & Co., Inc.
Paula A. Hendrickson CFP®, C(K)P®, CBFA® – NFP Retirement Division
Greg Hobson, CFP®, AIF® - Greenspring Wealth Management, Inc.
Paula Hendrickson, CFP®, C(k)P™- NFP Securities
Amber Kendrick, CPFA, CRPS® - Procyon
Matt Luksa, CRPS® - First Eagle Investments
Greg Marsh, AIF® - Bridgehaven Fiduciary Partners
Robert A. Massa, ChFC®, CEBS®, CPFA™, AIF®, CBC – Qualified Plan Advisors
Emily Minnich, CFP® - Gaertner Investment Consulting Group
Daniel J. Peluse AIF®, C(k)P®, CBFA®, CRPS® – Wintrust Wealth Management
Troy L. Redstone CFPA®, AIF®, CFEI®, CBFA® – PHD. Retirement Consulting
James D. Robison AIF®, CBFA – Strategic Retirement Partners
Diane Rzepecki, AIF® – Franklin Templeton
Peggy Santhouse – John Hancock
Timothy M. Schannep CFP® - Retirement Wealth Partners, LLC
Courtenay Shipley, CRPS®, AIF®, CPFA™ , CEPA – Retirement Planology, Inc
Adam Sokolic – HUB International
Vincent Vicidomini – Mesirow Financial

Venue

Sheraton Phoenix Downtown
340 North 3rd Street
Phoenix, AZ, 85004

(602) 262-2500

AGENDA

Monday, January 9

6:00 p.m.

Pre-event Dinner/Bowling/Billiards at 810 Billiards and Bowling

Tuesday, January 10

7:00 a.m.	Setup
9:00 a.m.	Board Meeting
10:00 a.m.	Yoga Class
	Location: Ahwatukee Room, 2nd Floor
12:00 p.m.	Lunch
12:30 p.m.	Opening & Welcome
	James D. Robison AIF®, CBFA – Strategic Retirement Partners - Council President Courtenay Shipley, CRPS®, AIF®, CPFA™ , CEPA – Retirement Planology, Inc.- Council President Elect Location: Encanto
12:45 p.m.	Goals & Objectives
	Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors Craig Rosenthal - Fiduciary Decisions Meeting Planning Committee Co-Chairs: Location: Encanto
1:00 p.m.	SECURE 2.0 Retirement Legislation – Highlights and Discussion
	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
2:00 p.m.	Catch-up Break

2:45 p.m.	Breakout Sessions – Advisor Best Practices
	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
3:45 p.m.	Transition Break
4:00 p.m.	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
4:45 p.m.	Closing for the Day
	Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors Craig Rosenthal - Fiduciary Decisions Meeting Planning Committee Co-Chairs Location: Encanto
5:00 p.m.	Adjourn
6:00 p.m.	Dinner / Reception
	The Arrogant Butcher 2 East Jefferson Street, #150 Phoenix, AZ 85004

Wednesday, January 11

7:30 a.m.	Continental Breakfast
8:00 a.m.	Opening Day 2
	Scott L. Schlappi CEBS®, CPFA™, AIFA® – Wealth Plan Advisors Craig Rosenthal - Fiduciary Decisions Meeting Planning Committee Co-Chairs Location: Encanto
8:15 a.m.	General Session 3: Financial Foundation$ Initiative
	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
9:00 a.m.	Transition Break

9:10 a.m.	Breakout Sessions – Advisor Best Practices Brainstorming Sessions in Small Groups (12 groups)
	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
10:10 a.m.	Transition Break

10:20 a.m.	Breakout Sessions – Investment Manager and Service Provider Strategic Issues
	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
11:20 a.m.	Transition Break

11:25 a.m.	General Session – Working in the Retirement Industry 2022: Illuminating the Gaps That Threaten Diversity
	Speaker: Theresa Conti QKA, APR, ERPA, CPFA \| The Cerrado Group \| WiPN Location: Encanto
12:00 p.m.	Lunch

1:00 p.m.	General Session 4 - Secure 2.0 Action Plan
	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
2:00 p.m.	General Session 5 - Doubling Down on Cybersecurity
	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
2:45 p.m.	Conference Close
	Conference co-chair Location: Encanto
3:00 p.m.	Adjourn

3:00 p.m.	CE Session - LIving up to the Code - Session sponsored by Fidelity Investments
	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
5:00 p.m.	CE Session Adjourn

HOTEL