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Fi360 Conference

2014 Conference

Thanks to everyone who attended the 2014 Fi360 Conference in Nashville!

The below speakers appeared at the 2014 Fi360 Conference. A detailed agenda with slotted dates and times for all conference events can be downloaded here. Most of these sessions were recorded and are available for download by AIF and AIFA designees via the Designee Portal. If you have any questions, please email conference@fi360.com.

Keynotes


Tom Kelley

Tom is a best-selling author and partner at IDEO. In his keynote address, Tom discusses how to foster a culture of innovation and tap into the creative potential of your organization.

With his unique, innovative leadership skills, Tom has grown IDEO from a firm of 15 designers to a staff of more than 600. At the same time he also won more admiration and awards than any other design firm in the last decade. Tom credits his success to the Creative Confidence philosophy: everyone can contribute creatively to a project if innovation is part of an organization’s way of life. The more creativity you unlock across the board, the more likely you are to succeed. He practices innovation every day, and his ability to foster a culture of creativity in companies has made him a clear standout in the field.

Creative Confidence is also the title of Tom’s award winning book, which serves as a guide to help you recognize and unleash the creative potential in all of your employees. His earlier books include The Art of Innovation and The Ten Faces of Innovation


Anthony Williams

Anthony Williams is co-author of the groundbreaking bestseller Wikinomics: How Mass Collaboration Changes Everything. Wikinomics was the breakthrough introduction to the new economics transforming business and competition with the emergence of web 2.0 and provides the groundwork for Macrowikinomics: New Solutions for a Connected Planet. His latest book is a TED eBook, Radical Openness: Four Unexpected Principles for Success. 

Anthony discusses how the global economic crisis was a wakeup call to the world and why financial service professionals need a new operating model based on innovation, transparency, sharing of intellectual property, and global governance to survive.

Anthony shares his unique insights and bold proposals for how to transform your organization to meet and exceed challenges posted in the new century.


OPENING SESSION



Speaker: Blaine Aikin, Richard Lynch
Title: Opening Remarks

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Description: We open INSIGHTS 2014 with a look at the state of financial services, including the legal, regulatory, and competitive landscape, as well as an update on how Fi360 is working to help you with your investment and business decision-making.

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MASTER'S TRACK SESSIONS


Master's Track sessions have been developed for audience members who already have basic knowledge of fiduciary standards of care and how they apply to the specific topic being covered, and are looking for more advanced content. These sessions are open to all conference attendees. The sessions and speakers on the Master's Track were selected in consultation with a committee of practitioners from Fi360's membership who have attended previous Fi360 conferences.



Speaker: David Blanchett
Title: Liability Relative Optimization: Begin with the End in Mind

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Description: People invest to fund a goal, therefore, the risk factors associated with the goal, or liability, should be considered when building a portfolio. The concept of liability-driven investing has become increasingly popular in defined benefit plans, pensions, endowments, and foundations and is now increasingly used for target-date and retirement income funds. In this presentation, David Blanchett will touch on recent Morningstar research on liability-driven investing and explore the asset allocation differences that result from a traditional asset-only optimization framework to asset allocations built from the liability-relative optimization framework.

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Speaker: Norm Boone and Linda Lubitz Boone
Topic: Handling Difficult Investment Policy Issues

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Description: Different types of clients present unique challenges when creating the investment policy statement. For instance, each spouse in a client couple may have different investment goals, experience, or risk tolerances. Similarly, coordinating with a committee of trustees raises tough issues and helping them work through those issues has plenty of challenges and requires plenty of sensitivity.  Join the founders of IPS AdvisorPro for an interactive session where we will address the areas that advisors are struggling with. Audience members will be encouraged to participate by raising their own most pressing challenges for discussion and offering helpful feedback to their peers. Ultimately, this session will help advisors find useful solutions to the IPS problems they are facing each day. 

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Speaker: Richard Dunne
Topic: How 3 Minutes can be Worth $1 Billion

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Description: Selecting and monitoring all elements of a retirement plan, from service providers to individual investment options, is a complex process that requires plan fiduciaries to make difficult tradeoffs among multiple criteria.

A proven solution exists that can help plan sponsors and their advisors meet this challenge. It has been used for decades around the world but is almost completely unknown within the retirement industry.

This session will:
a) introduce a market research method that is routinely used to allocate billions of dollars in capital expenditure;
b) explain how this method can be adopted to help plan fiduciaries better meet their fiduciary responsibilities and service providers to grow their business.
c) illustrate the power of this method by showing how it can be used to prudently select and monitor a plan’s QDIA target date funds.

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Speaker: Johann Klaassen, Kimberly Kiel
Topic: Mission-Driven SRI Investing Strategies for Small Institutions

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Description: Many smaller institutions (foundations, endowments, and the like) have a desire to invest their assets in a way that aligns with the core mission they were formed to serve and promote. But all too often the stewards of these institutions are worried that they can’t pursue SRI strategies in their investment portfolios. In this session, we will discuss how to allay the institutional stewards’ fears, and demonstrate to them that they can, in fact, pursue mission-driven investment strategies – and discuss how to invest the assets of a small institution for increased social and financial impact, offering some detail on some of the mission-driven SRI investment strategies that can be used to build prudent portfolios for smaller institutional clients.

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Speaker: Joan Neri
Topic: Using Asset Allocation Vehicles as Custom Target Date Funds - Navigating the ERISA Landscape

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Description: The DOL's recent guidance encourages plan fiduciaries to consider custom and non-proprietary target date funds (TDFs). This, coupled with the popularity of TDFs as a qualified default investment alternative (QDIA), has advisers increasingly interested in offering custom TDFs. There are a number of legal issues to consider in structuring a custom TDF. This session will focus on the ERISA rules that apply to asset allocation vehicles – model portfolios and managed accounts – used as custom TDFs. The session will explore the fiduciary responsibilities for selection and evaluation of these investments and the requirements for qualifying as a QDIA. There are different ways that advisers charge for their services and this session will also describe the prohibited transaction issues that need to be considered. In addition, advisers will learn about the 404a-5 participant disclosure rules and 408(b)(2) disclosure obligations that apply to these investment structures.

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Speaker: Michael Phillips, James Chong
Title: Tactical Asset Allocation with Macroeconomic Factors

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Description: This session explores tactical asset allocation using MacroEconomic factors. The talk explores these strategies in a multiple-asset class setting and implemented via exchange-traded funds (ETFs) instead of indexes. By combining a filtering and optimization approach, easily implementable portfolios can be constructed that meet fiduciary criteria and provide returns with superior characteristics.

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Speaker: Ann Schleck and Michael Muirhead
Title: Open and Close - Sales Ideas for Winning Retirement Plans

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Description: Orchestrate a successful sales strategy. We’ll go beyond theory to provide practical tips and strategies for identifying and evaluating factors that drive sales performance, differentiating your firm’s offerings from others, and cultivating a robust referral network. We’ll take a close look at sales, from lead generation to closing. You’ll depart with a focused game plan and a sales idea journal with scores of actionable strategies.


Speaker: Dr. Omid Shakernia
Title: A Framework for Examining Asset Allocation Alpha

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Description: Manager alpha within asset classes is widely understood. However, portfolio level asset allocation alpha is not clearly defined. This session will explain how to determine both the magnitude and the sources of asset allocation alpha by measuring the impact of tactical decisions on an investment policy portfolio.

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BREAKOUT SESSIONS


Speaker: Daniel Bernstein
Title: Trending Topics for Independent Investment Advisors

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Description: Separating the important and urgent from the noise is no small challenge in running your practice. MarketCounsel offers its thought leadership on a myriad of issues currently affecting and likely to impact independent registered investment advisers. Join attorney and industry expert, Daniel Bernstein, MarketCounsel's Director of Research & Development for a rapid-fire discussion of relevant issues that advisers should be tracking, acting upon, or even (gasp) ignoring.

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Speaker: Susan Bradley
Title: Transition Expertise Matters for Fiduciaries

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Description: Transitions drive your business. They are the primary reason why financial advisors are hired. But there is a big catch to the good news about transitions. The stress response to change, common in transitions, is the cause of a well-documented temporary drop in physical, emotional and cognitive functioning.
Significant financial change leads to life transitions, a time period between the way life use to be and the way life will work in the future. Change is stressful, stress causes a decline in memory, comprehension and decision making ability. Fiduciaries are challenged with understanding varying degrees of cognitive capacity during the months and years a client in transition is adapting to their new life and financial circumstances.

This session covers:
How to identify a drop in cognitive capacity Three ways to recover lost capacity Advisor biases that complicate the adherence to the Fiduciary’s Duty of Care Tips and Reminders for Fiduciaries working with clients in transition based on science and time tested

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Speaker: Richard Busillo, Jeff Weiand, Beth Davies
Title: Retirement Plans and Financial Planning – Under One Roof

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Description: We will share the opportunities and challenges of running two successful, yet distinctly different fiduciary operations as an RIA.

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Speaker: Brian Fechtel
Title: Genuine Financial Analysis of Life Insurance Made Readily Understandable

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Description: Life insurance can be truly understood only after one has both a thorough knowledge of fundamental concepts and essential financial facts. This presentation will begin by identifying and measuring the five annual component costs of every life insurance policy, and explaining the investment component of cash value policies. This straightforward but uncommon approach provides a genuinely enlightened perspective, enabling advisers to cut through the pervasive myths and misinformation that so routinely undermine sound life insurance decision-making. Attendees will learn how to conduct meaningful financial analysis of both individual policies and insurers’ financial statements, thereafter no long comparing policies by relying simply upon illustrations, premium-size, financial strength ratings or other problematic approaches. After all, almost all policies, aside from guaranteed cost level premium term policies, are “participating” products, their value ultimately dependent upon the insurer’s long-run financial performance. From this fact-packed and fast-paced presentation, attendees will quickly gain the knowledge necessary to answer the inevitable critical questions that surround this vital financial product: when to use it, how to use it, how to assess its tax privileges, and how to identify attractive from unattractive products.

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Speaker: Shelby George
Title: Plan Failure Risk is the New Fiduciary Risk: Opportunities for Advisors

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Description: Plan failure risk (PFR) is a newly-coined term that advisors should have familiarity with, as it has emerged within today’s rising health care cost environment. Simply defined, this is the risk that a health or retirement plan will ultimately fail to further a plan sponsor’s objectives of achieving participant outcomes. Today, plan failure risk is a significant threat to a plan sponsor client’s bottom line. As plan sponsors focus more on managing benefits costs, it is increasingly important for advisors to help them redefine a retirement plan’s success within the context of objectives-setting. This session will explore the main challenges and opportunities surrounding PFR, as well as tools and strategies to help manage against this risk.

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Speaker: Chip Hardy, Cathy Smith
Title: Best Behavioral Finance Practices

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Description: Cathy Smith of The Allianz Center for Behavioral Finance and Chip Hardy of PrimeTRUST Advisors will discuss how to implement best behavioral practices to help improve outcomes for retirement plan participants.

This presentation is based on the book Save More Tomorrow, written by UCLA professor and AGI Center for Behavioral Finance Chief Behavioral Economist, Shlomo Benartzi: Half of Americans do not have access to a retirement saving plan. Of those who do, about a third fail to join. And those who do join tend to save too little and often make unwise investment decisions. In short, the 401k world is in crisis, and employees need help. This talk, based on the groundbreaking book of the same name, provides that help by focusing on the behavioral challenges that led to this crisis – inertia, loss aversion, and myopia – and transforms them into behavioral solutions or tools to help people save, save more and save smarter. A prime example of behavioral finance in action!

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Speaker: John Hare, Charles Humphrey, Susan Mangiero, Michelle Sullivan
Title: Protecting Client and Adviser Interest When Hard-to-Value Assets are Part of the Portfolio

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Description: This panel discussion will focus on what investment advisers need to know about hard-to-value assets in order to protect themselves and their clients when considering these investments. Reliance on net asset values and recent court cases that have an impact on valuation of these investments will be discussed and as well as the ERISA compliance and reporting issues that are raised by these investments.

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Speaker: Greg Kasten
Title: Breaking Down the Many "Fiduciary" Roles, Obligations and Service Models Today

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Description: Plan sponsors are often presented with a menu of fiduciary options available to them by potential advisors (e.g., 403(a) discretionary trustee, ERISA 3(38) investment manager, ERISA 3(21), named fiduciary) which can be confusing when trying to understand the risk, liability, costs and protections available among the options. This session will explore the various types of fiduciaries and what is required to satisfy each type and level of fiduciary responsibility. This session will also examine the risks to plan sponsors of taking on fiduciary status and how to minimize those risks and potential liability. It will also highlight court cases whereby vendors often distance themselves from fiduciary "sale materials".

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Speaker: Steven Kaye, Aldo Vultaggio
Title: Evaluating & Recommending Bond and Stable Value Funds for 401k plans Ahead of a Rising Interest Rate Environment

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Description: This session provides an (investment fiduciary) Advisor’s perspective on what to consider when conducting due diligence on, and recommending bond and stable value funds to a plan sponsor – in the context of an impending rising rate environment.

It will include tips and information Advisors can use to improve their bond and Stable Value fund investment due diligence process, and to identify and address the needs, concerns, and objectives of their plan sponsor client when recommending bond funds to include in a 401k core investment option lineup going forward.

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Speaker: Brian Laible
Topic: Tax Efficient Investing

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Description: Advisors need to focus not on what a client earns, but instead on what a client keeps…after tax.  The tax component is often overlooked by advisors and clients when looking at portfolio allocation and results for the year.  As part of the fiduciary process it’s important to understand and consider tax efficient investment strategies for clients.  Taxes can cost clients 1% to 2% of the portfolio value each year.  For high net worth investors, taxes can reduce earnings by nearly 50%!  Portfolio management strategies can result in significant tax savings over time.  Specifically, strategies include: asset location (investing certain assets in taxable account vs. nontaxable accounts), tax loss harvesting (taking losses during down market years), and specific lot identification (setting the client’s cost basis method to their tax advantage). The presentation will show specific examples where the client has doubled their after‐tax returns through the utilization of simple portfolio strategies.

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Speaker: Roger Levy
Topics: Outsourced CIO – What's Good for the Client?

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Description: The session will cover the origins of OCIO, market growth, what makes a good candidate for outsourcing, what investment functions should be outsourced, who provides OCIO services, the OCIO selection process, what capabilities a provider must offer, fiduciary considerations, how clients should monitor the OCIO, OCIO costs and is OCIO here to stay.

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Speaker: Gene Maloney
Topics: The Intergenerational Transfer of Wealth and Divided Trusteeship

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Description: The U.S. is well into the macroeconomic event where affluent families will bequeath billions, if not trillions, of dollars to their offspring who are either going to invest it or consume it. Mr. Maloney will explain the results of a study he commissioned to identify the recipients of this wealth and what steps they are taking, if any, to seek out individuals or institutions to help in its management. He will also present a DVD showing how focus groups were used to respond to the present competitive environment that is unique to trustees acting in a fiduciary capacity. The concept of “divided trusteeship” and the role of investment advisors will also be discussed.

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Speaker: Steven Medina
Topics: Using Liquid Alternatives Effectively in DC & DB Plans

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Description: Alternatives are on the mind of many retirement plan advisors. Some have noted that the market for alternatives will exceed $1 trillion by the end of the decade, but how do you define alternatives? Regardless of the definition, advisors must determine which alternatives to use, in what quantities and how they will impact the client’s portfolio. Understanding the asset allocation dynamics and the triggering methodology are also important. This session will illuminate all these issues and more, including the pros and cons of using individual strategies vs. packaged products.

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Speaker: Tyler Nunnally
Topics: Your Duty to Care: Risk Tolerance and What you Need to Know as a Fiduciary

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Description: Risk tolerance is a critical component in determining investment suitability and yet is often misunderstood, misinterpreted and misrepresented. These distortions hamper the ability of fiduciary investment advisors to deliver prudent and competent advice. The purpose of this presentation is to separate fact from fiction so that you can adhere to a fiduciary standard of excellence while avoiding pitfalls that undermine your duty of care obligations.

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Speaker: Robert Patterson,  Steve Lydenberg
Title: Integrating New Approaches in Socially Responsible Investing with Fiduciary Global Best Practices

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Description: With over 1 million nonprofits in the US alone, donors have become increasingly selective in their choices. Trustees of retirement plans are being encouraged to include socially responsible investing alternatives in their portfolios. The Global Fiduciary Standard of Excellence goes a long way to help differentiate the better-run nonprofits and portfolios; however, in a rush to rationalize the investment process, much of the original concept of prudence that included wisdom, discretion and intelligence has been lost.

Using his most recent paper, “Reason, Rationality and Fiduciary Duty”, Steve Lydenberg, the Director of the Initiative for Responsible Investment at Harvard, will outline how new thinking in socially responsible investment can benefit the trustee, the participant and the society as a whole.

Mr. Patterson will show how socially responsible investing complements the GFSE based on his 25+ years as a member of the Investment Committee of one of the largest religious congregations in the US.

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Speaker: Scott Reed, Ken Mathis
Topics: Building a Fiduciary Services Practice

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Description: Now that you have your fiduciary designation, or have had it for a while, you may be asking yourself how can I add or improve fiduciary services in my RIA practice. What are the financial implications? Which fiduciary services should I provide? To which prospects or clients? How much do I charge? What are the margins? Is this scalable? Is this a one-off part of my business? Does it have residual benefits to my RIA? Is this one-time revenue or recurring revenue? Can I make this a significant part of my RIA business? What are the benefits to my clients? Does it increase client costs? What are some ideas to grow fiduciary services part of my RIA?

We can all agree that fiduciary best practices are important to clients. We can all agree that we want to provide fiduciary services in our RIA practice. If you have asked yourself some of the questions above and want to explore these topics in greater detail, this session will attempt to provide some ideas.

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Speaker: Fred Reish
Topics: ERISA Update and the Impact on Advisers

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Description: Following a relatively stable decade in the ERISA world from 2000 to 2010, we are now in a period of great change. While there is little legislative activity, the pace of regulatory and judicial change is staggering. This program discusses last year’s developments and anticipates this year’s changes, and then considers their impact on advisers.

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Speaker: Fred Reish
Topics: The Increasingly Regulated World of IRA Rollovers, and What to Do About it

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Description: The Boomers are aging, and becoming entitled to distributions from their 401(k) plans. Over the next decade, hundreds of billions of dollars of plan assets will be "in play." The DOL, SEC and FINRA are aware of this change and are concerned that current practices could seriously erode the sustainability of those assets. This program will discuss government regulatory and examination efforts and outline procedures and disclosures for "capturing" IRA rollovers.

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Speaker: Carl Richards
Topics: The Behavior Gap

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Description: Despite their best efforts to behave, people still make crazy decisions around money. As financial professionals, it can be particularly frustrating to watch clients do things we know aren't in their best inerest. In this session, Carl Richards will use a combinations of the latest research, best practices, and the sketches he's known for to help you better understand how to counter the worst client behavior around money.

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Speaker: Jason Roberts, Jon Blaze, Gerald Wernette
Title: Beyond Benchmarking: Tips for Helping Plan Sponsors Navigate Fee Allocation Policies

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Description: Understanding fees and fee allocation can be a complex and complicated issue for plan sponsors. At the same time, the combination of new regulations, increased enforcement and litigation have raised the bar with respect to demonstrating compliance with ERISA. These developments can prove to be costly for plan fiduciaries that fail to follow a prudent process for classifying and allocating plan expenses. Consequently, plan sponsors are increasingly looking to experienced advisors for assistance.

Learn how to differentiate your services by helping plan sponsors develop and maintain a Fee Policy Statement. Our panel of industry experts, representing legal, investment management and plan advisory perspectives, will discuss how fee disclosure regulations and recent court cases have the potential to highlight gaps in a plan’s current policies that could lead to enforcement and/or litigation for the plan sponsor or fiduciaries.

Attendees will be provided with a list of action items and model procedures to use for eliciting information to help plan fiduciaries think more critically about allocating plan expenses. By introducing proactive solutions and taking the conversation beyond benchmarking, you can enhance client prospecting and retention by ensuring you are an ongoing part of a sound plan governance strategy.

Follow this link to view their prezi presentation.

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Speaker: Jessica Searcy-Maldonado
Title: Leveraging Technology to Improve Retirement Plan Participation and Participant Outcomes

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Description: Often despite best efforts, participants "shut down and turn off" when it comes to making participation and investment decisions. They might fare better, making better decisions for the long term, if they got more personalized attention, but most advisors have a large participant to advisor ratio and personalized attention requires a lot of time… or does it? Learn how to leverage technology to help participants make better choices when it comes to saving and investment decisions.

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Speaker: Kimberly Shaw-Elliott, Keith Gredys
Title: 3(16) and the Fiduciary Plan Administrator: The Next Number to Decode

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Description: In this increasingly high risk environment, plan sponsors are seeking new ways in which they can delegate to others some of their ERISA fiduciary responsibilities. This program examines the administrative tasks with which plan sponsors may be struggling and identifies which duties might be better handled by experts such as yourself or outsourced to other providers. The presenters, one a practicing ERISA attorney and the other the founder of a successful TPA, will detail methods authorized under ERISA that can reduce employers’ potential liability arising from fiduciary decisions about the administration of their retirement plans. Discover how to market and price 3(16) services while learning what the excitement surrounding 3(16) fiduciary plan administrator services is all about.

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Speaker: Craig Wantanabe
Title: The Tao of Participant Services

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Description: In Chinese philosophy, Tao is the absolute principle underlying the universe, combining within itself the principles of Yin and Yang and signifying the code of behavior that is in harmony with the natural order. The Tao of participant services is flexibility. This session will address group education, one-on-one advice, online services and executive planning.

Two critical questions will be addressed: 1. How well does it work? 2. Is it cost effective? The session will cite recent surveys conducted by Schwab and Doyle to document the effectiveness of participant education and advice. This session will discuss how to scale services to match the average account balance which is the key to achieving cost effectiveness.

Offering robust participant services can differentiate a firm and represent a strong value proposition. However, participant services are not a commodity. There is a level of skill necessary to produce results and the session will borrow from lessons learned from years of wealth management experience on how to work with participants.

Finally, the Tao of Participant Services will discuss how to incorporate executive planning into your practice. This is a high value service that can be extremely profitable.

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Speaker: Matthew Wright
Title: What's in Your Portfolio? Risk Management and Monitoring of Multi-Asset Class and Multi-Manager Investment Portfolios

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Description: Manager alpha within asset classes is widely understood. However, portfolio level asset allocation alpha is not clearly defined. This session will explain how to determine both the magnitude and the sources of asset allocation alpha by measuring the impact of tactical decisions on an investment policy portfolio.

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INSIGHTS XCHANGE SESSIONS


The INSIGHTS Xchange sessions focus on helping you discover even more ways Fi360 can help you gather, grow, and protect assets through better investment and business decision-making. 


Fi360 Team

Speakers: Robert DiMaggio and Dave Palascak
Title: Looking Ahead at the New Fi360 Software Application
Description: Join us for a unique chance to speak directly with senior product management on their vision for the new application. It will not only replace, redesign and rethink the existing Fi360 Toolkit, Training LMS and Designee Portal, but will also combine features from Fi360’s recent acquisitions of IPS AdvisorPro®, Ann Schleck & Co. and Financial Service Standards. 

Speakers: Tools Team
Title: Using the Fi360 Toolkit in My Practice
Description: Learn directly from a panel of actual Fi360 Toolkit users how they have implemented the Toolkit in their practice. Discover what features they use, how they use it, and how it is has impacted their firm and clientele.

Speakers: David Bromelkamp
Title: How Allodium Leverages the AIF Designation as an Independent, Fee-Only RIA
Description: Join us for an interactive session with David Bromelkamp, AIF® as he provides insights gained from his more than ten year relationship with Fi360.  Dave will provide a brief history of Allodium Investment Consultants (an independent and fee-only registered investment advisor) and share how he initially got involved with Fi360 and integrated the Prudent Practices into their business model.  He will also discuss the strong network of local AIF® and AIFA® designees he has helped foster in his local community. 

The discussion will be informal and largely anecdotal, as Dave describes the ways that Allodium has gained new business by leveraging the AIF® Designation and other Fi360 resources to stand out as a “go to advisor” when investors are seeking out fiduciary investment management.

Speakers: Designations Team
Title: Cross Your T’s and Dot Your I’s: Get Your Designation Out There
Description: Join your Designations Team for a presentation about the available resources to help promote your designation, and the recommended timeline for implementing these resources.  We will also discuss the continued growth of acceptance of the designations in the industry. At the conclusion of the presentation, we will open up the floor for a discussion, as we want to know the successes and challenges you have experienced in promoting your designation.

Speakers: Linda Groden and Mike Limbacher
Title: Product Enhancement Round Table for IPS AdvisorPro®
Description: An invitation only event. Help the Fi360 product development team to review existing product ideas under consideration and stimulate new ideas for consideration.

Speakers: Dave Palascak and Mike Limbacher
Title: Product Enhancement Round Table for Toolkit Users
Description: An invitation-only event. Help the Fi360 product development team to review existing product ideas under consideration and stimulate new ideas for consideration.


Ann Schleck & Co.

Speakers: Sue Kelley & Matt Burt
Title: Competing in the New World of Fee Disclosure
Description: Learn about advisor fee and service trends from our database of retirement specialist advisors. Attendees receive a customized Fee Benchmarker™ report for a plan size of your choice to show plan sponsors how fees and services compare to industry averages. Fee Benchmarker™ is a proprietary database that tracks retirement advisor fees and services. The database is the industry’s most comprehensive source for benchmarking advisor fees and services.


CEFEX

Speakers: Carlos Panksep
Title: Bringing Fiduciary Certification to Your Steward Clients 
Description: Hear how a CEFEX-certified advisor can bring Investment Steward certification to clients and help them achieve recognition within their own organization. We’ll use case studies in the US, a comparable system in the UK and brand new marketing material to show you how it’s done. 


Financial Service Standards

Speakers: Sharon Pivirotto and Don Settina
Title: The Professional Plan Consultant Designation: Practical application of the Practices to a retirement plan practice
Description: This Q&A session will provide information on the PPC designation, led by advisors that hold both the AIFA and PPC.  Learn about the benefits and  program objectives of the 401k Service Training Program, as well as the main differences between the various credentials to help you identify which to pursue first, and/or next.  Bring your questions.

Speakers: Sharon Pivirotto 
Title: The 401k Service Solution: Learn about this complete, turn-key service process 
Description: Learn about the new documents available for 401k advisors to leverage from Fi360. Walk through prospecting, sales, new client, service and business management resources in this interactive segment that takes you through a step-by-step case study, highlighting the resources available along each point of the prospect-to-client process.


IPS AdvisorPro

Speakers: Linda Lubitz Boone and Linda Groden
Title: Investment policy statements – is a WORD file good enough?
Description: If you don’t care about your time!!! Please join us for a highlight tour of how IPS AdvisorPro® can help you save time and money, enhance client satisfaction, standardize your investment policy and meet compliance concerns.


MacroRisk Analytics

Speakers: Mike Phillips, Bill Jennings and Dave Palascak
Title: Fi360 Fiduciary Score Academic Study
Description: The Fi360 Fiduciary Score has long been helping advisors perform their due diligence obligations using an objective, repeatable process for evaluating investments. Now we know that it is a probably effective way to help investors achieve greater success. A new study from the professors at MacroRisk Analytics has found that on average, those investments scoring in the top, or “Green”, quartile are better performers, providing higher future investment returns and reduced risk than those scoring worse. Attend this session and learn more about the study and its results.

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