EE 2110 WEBBANNER FINAL LAYERS 1

2022 Semi-Annual Meeting

January 10/11/12, 2022

REGISTER HERE

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

THEME

REUNITING & EMBRACING CHANGE FACE to FACE IN TAMPA BAY

BACKGROUND

Retirement Plan Sponsors emerge from the Great Resignation facing pressure to attract and retain top talent across the board.  Pressure on the supply chain is leading employers to offer broader benefits menus and enhanced flexibility to support the customization of benefits to meet the personal needs of each and every contributor.  Niche benefits such as student debt remediation and assistant with dependent care are in high demand.  Demonstrating support for workforce inclusion and diversity is critical to maintain a growing and vibrant talent pool.

Benefits other than retirement plans, and corporate strategy are getting priority.  Competition for the time and attention of Benefits and HR professionals is becoming stiffer for retirement plan advisors and service providers.  Well-being, wellness, and financial wellness in particular are receiving increased attention; the contribution of retirement plans to the well-being of participants is getting more play than ever.

With the expansion of the scope of services to include all sorts of financial wellness benefits (e.g., student debt remediation, Health Savings Accounts, saving for emergencies and for retiree health, etc.), advisor teams need to acquire talent with new skillsets, new capabilities, and technology.  The size and composition of advisor teams is changing New talent is charged with functions now essential that few teams performed pre-pandemic: digital delivery of financial wellness counseling, support for wellness reward programs, HSA integration, data cyber security practices monitoring to name a few.

The generation of advisors entering the profession holds views on the essential functions of a retirement plan advisor at odds with the precepts taught by more traditional peers.  Competition is forcing service models to change.  Ubiquitous plan sponsor and participant reliance on handheld devices and apps for communication is forcing delivery systems to change.

In the era of personalized approaches, data drives the system. Much of the data enters retirement plan recordkeeping systems from payroll platforms, or from participants themselves, as they take ownership of their account.  Necessity during the pandemic has demonstrated the effectiveness of just-in-time targeted communications over campaigns; managed accounts considering the risk tolerance and personal circumstances of participants are becoming more commonplace, plan sponsors in some market segments now expect digital-only recordkeeping platforms.  In the digital era, fraud and cybercrime prevention are becoming key considerations, and state legislators start paying attention to privacy concerns.

Change is everywhere.  In the small employer market, state mandates and the possibility of a federal mandate spur start-up plan creation.  Among larger plans, audit costs (within budget or not) become an important factor in plan sponsor decisions to join a pooled plan or to maintain a single employer plan.  New options for enhanced fiduciary and outsourced services appear, with sometimes a lower overall cost of operating a plan.  Sponsors and participants are looking for new options in investment styles, management, and in-plan retirement income distribution.

In this context, the Retirement Advisor Council is getting together in-person once again in January 2022 to collaborate on an action plan to enhance plan and participant outcomes as we emerge from a long period of isolation.

MEETING PLANNING COMMITTEE

Co-Chairs

Michael H. Gouldin CRPC®, AIF® – Gouldin & McCarthy, LLC
Steve J. Smith - AIG Retirement Services

Members

Michael A. Coelho C(k)P® AIF® - SageView Advisory Group
Tom Conlon - Morgan Stanley
Colin M. Clark AIF® C(k)P®, CBFA, CPFA™ – Washington Financial Group
Melissa Cowan - Special Consultant 
Glenn Dial - American Century Investments
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
Jessica Fox - Prudential Retirement
Taylor S. Garlesky – Charles Schwab Retirement Services
Jeb Graham, CPFA™ ,CEBS® ,CIMA® - CAPTRUST Financial Advisors
Chris Graves - CUNA Mutual
Keith Gredys JD, CTFA, AIF® - Kidder Benefits, LLC
C. Andrew Harbour CFP® CIMA® – Morgan Stanley Graystone Consulting Atlanta
Paula A. Hendrickson CFP®, C(K)P®, CBFA® – NFP Retirement Division
Rob Jennings AIF® - Zions Bancorporation
Zak Koch, AIF®, CRPS®  –  Franklin Templeton Investments
Robert A. Massa, ChFC®, CEBS®, CPFA™ ,  AIF®, CBC – Qualified Plan Advisors
Josh Mott, PRP – The Mott Group at Graystone Consulting Morgan Stanley Wealth Management
Daniel J. Peluse AIF®, C(k)P®, CBFA®, CRPS® - Wintrust Wealth Management
Troy L. Redstone CFPA®, AIF®, CFEI® , CBFA® - PHD. Retirement Consulting
Craig Rosenthal - Fiduciary Decisions
Diane Rzepecki, AIF® - Franklin Templeton Investments
Peggy Santhouse - John Hancock
Timothy M. Schannep CFP® - Retirement Wealth Partners, LLC
Scott L. Schlappi CEBS®, CPFA™, AIFA® - Wealth Plan Advisors
Ryan Schutty – Principal Global Advisors
Adam Sokolic - HUB International
Alan Spierer – UBS Institutional Consulting Group
Chris Venuti, CIMA - Graystone Consulting
Vincent Vicidomini - Mesirow Financial

Venue

Marriott Tampa Water Street
505 Water Street
Tampa, FL 33602

AGENDA


Monday, January 10

3 - 5 p.m.

PRE-EVENT COMMUNITY BUILDING ACTIVITY
6:00 p.m. PRE-EVENT DINNER at American Social

Tuesday, January 11

8:30 - 9:00 a.m.

WELCOME GOALS AND OBJECTIVES

9:00 - 10:00 a.m. OPENING SESSION - FROM THE BOARD – FUTURE OF THE BUSINESS AND ORGANIZATIONAL DIRECTION
  Board members: James D. Robison, AIF® , Troy Redstone, CFPA®, AIF®, CFEI® , CBFA® , Courtenay Shipley, CRPS®, AIF®, CPFA™ , Sharon L. Schmid, QPFC,  Jason Key, Yaqub Ahmed

10:00 - 10:15 a.m.

Refreshment Break

10:15 - 11:15 a.m. ROUNDTABLE DISCUSSIONS
 

Breakout 1 - Scaling the Practice and recruiting new talent for advisor team positions
Moderator:     Scott L. Schlappi CEBS®, CPFA™, AIFA® | Wealth Plan Advisors

 

Breakout 2 – Financial Wellness scores and Metrics (Session lead by Service providers)
Moderator:     Josh Mott, PRP | The Mott Group at Graystone Consulting Morgan Stanley Wealth Management

 

Breakout 3 – What partnerships will drive success for YOU?

What are you good at and passionate about? Your strength and area of focus (Fiduciary issues, financial wellness, or plan design/compliance) will lead you to lean more heavily on certain types of partnerships (attorneys, CPAs, HR associations, trade groups, TPAs, payroll providers, recordkeepers, current clients). Hear new ideas, discuss your ideas with practitioners with a successful history of nurturing and harnessing partnerships to develop retirement plans business.

Moderator: Keith J. Gredys JD, CTFA, AIF®  | Kidder Advisers, Inc.
Panelists: Kelly Famiglietta C(k)P®, AIF®, CFP® | Charles Stephen
                  Adam M. Sokolic  | HUB International
                  Other Advisors and Practice Leaders TBA

11:20 - 12:15 p.m.

PROJECT WORKSHOPS – VIEWPOINT EDITORIAL BOARDS

  SESSION EB1: VIEWPOINT on MANAGED ACCOUNTS
Editorial Board Chair: Noel J. Wolfe, CRPS®, PRP®, AIF® | Morgan Stanley

  SESSION EB2: VIEWPOINT on MEP, PEP, GOPs
Editorial Board Chair TBA

  SESSION EB3: VIEWPOINT on RETIREMENT INCOME
Editorial Board Chair: Robert A. Massa, ChFC®, CEBS®, CPFA™, AIF® , CBC  | Qualified Plan Advisors

  SESSION EB4: VIEWPOINT on FINANCIAL WELLNESS FOR MATURE WORKERS
Editorial Board Chair TBA

12:15 p.m.

LUNCH BREAK

1:00 - 1:30 p.m.

FINANCIAL WELLNESS AWARDS (Broadcasted live on LinkedIn)

1:35 - 2:35 p.m. BREAKOUT SESSIONS – INVESTMENT MANAGER AND SERVICE PROVIDER STRATEGIC ISSUES ROUNDTABLES
  Breakout 4 –Rapid Fire Session on Investment Policies, Investment classes, and styles – INVESTMENT MANAGER
ESG, SRI, Thematic, Sustainable, Custom Allocations, active vs. passive

  Breakout 5 – Payroll integration, participant data gathering, and analytics - SERVICE PROVIDER TOPIC

  Breakout 6 – Rapid Fire Session on Product (INVESTMENT MANAGER)
CIT, Retirement Income, Menu construction, QDIA selection, Stable Value and principal protection

2:35 p.m.

Refreshment Break

2:50 - 3:55 p.m. COMMITTEE MEETINGS
 

ADVISOR TOOLS – Advisor Search RFP Template

 

GOVERNMENT AFFAIRS – LEGISLATIVE AND REGULATORY
Chair: Tim Black | Hays Financial Group

 

FINANCIAL LITERACY AND FINANCIAL WELLNESS PROMOTION
Derek Fiorenza C(k)P®, CPFA™, AIF®, PPC™, MSBA | Summit Group Retirement Planners

 

RESEARCH AND STRATEGIC ISSUES – Employer poll on plan advisor services (scope and team composition)
Acting Chair: Josh Ulmer  CFA®, CIMA®, CRPS® | Graystone Consulting

4:00 - 5:00 p.m.

GENERAL SESSION – ERISA LITIGATION CASE-IN-POINT

  Moderator:   Jeb Graham,  CPFA™, CEBS, CIMA® | CAPTRUST Financial Advisors
Panelists:     Kim Shaw-Elliott | The Wagner Law Group
                     Lowell Walters | Carlton Fields
5:00 p.m.

ADJOURN

6:00 p.m. DINNER RECEPTION at Malio's Prime Steakhouse

Wednesday, January 12

7:30 a.m.

Continental Breakfast

8:00 - 9:00 a.m. GENERAL SESSION – NUMBER INSPECTORS TELL ALL: #WINYOURPLANAUDIT
 

Retirement plan audits have been described as a necessary evil and have received an overhaul starting with the 2021 plan year. If you have clients with audited plans, join us to hear about upcoming changes to audits, how to help your plan sponsors best prepare, MEPs, PEPs and 3(16) (oh my!) from the auditors' perspective, how to help your clients get applicable information out of an audit, and how advisors and auditors can work together. We'll save time for your burning questions, too.

Moderator: Courtenay V. Shipley CRPS®, AIF®, CPFATM, CEPA, CHSA® | Retirement Planology 

Panelists: Jillian Orr CPA | Warren Averett
                 Jenny M. Matasic CPA | CBIZ

9:05 - 10:05 a.m. BEST PRACTICE – ADVISOR BEST PRACTICE DISCUSSION SESSIONS
  Breakout 7 – Addressing Social Responsibility and Sustainability in Investment Policies and Menus

  Breakout 8 – Managed Account options available to plan sponsors and their advisors

  Breakout 9 – Creative benefits solutions to meet the needs of a diverse talent pool
Moderator: Paula A. Hendrickson CFP®, C(K)P®, CBFA® | NFP Retirement Division
10:05 a.m.

Refreshment Break

10:15 - 11:15 a.m. GENERAL SESSION – FIDUCIARY RISK TRANSFER STRATEGIES
  Hear from a panel of in-house and outside legal counsels on the nuances of 3(16) and 3(38) Fiduciary Services

Moderator: Troy L. Redstone CFPA®, AIF®, CFEI® , CBFA®  | PHD. Retirement Consulting

                   Rich Rausser, CPC, QPA, QKA | Pentegra
                   Troy Tisue | TAG Resources
                   Bret Hamlin | Hill Ward Henderson

11:15 - 11:30 a.m.

KEY TAKE-AWAYS AND NEXT STEPS

11:30 a.m.

MEETING ADJOURNS

11:45 - 1:45 p.m. WORKING LUNCH MEETINGS
 
National Accounts / National Retirement Practice Leader Forum
  • This session is for the National Practice Leader College
  • Is your firm prepared to address the demand for new products, enhanced services and  changing technology while also ensuring compliance with new DOL changes?  Does your firm have sufficient policies and infrastructure for offering services such as manged accounts, retirement income, financial wellness and wealth management participants?  What is your firm's role and responsibilities with respect to engagement with participants?  We will have an interactive discussion on these topics.
Co-Moderators:
Melissa Cowan - Special Consultant
Sharon L. Schmid QPFC® | Robert W. Baird & Co.
 
Advisor Membership Committee
Continuing Education Session
 

HOTEL

Marriott Tampa Water Street
505 Water Street
Tampa, FL 33602

Make your hotel reservation HERE

Or call (888) 789-3090

Reference the Retirement Advisor Council Semi-Annual Meeting to receive the special block rate of $269 per night not including taxes/incidentals. Reservations must be made by December 10, 2021 to receive the special room block rate.

REGISTRATION

REGISTER HERE