schedule of events

CENTER FOR DUE DILIGENCEP.O. Box 8 Western Springs, Illinois 60558

(630) 662-0284 Fax (630) 662-0286

E-mail: [email protected] Web: http://www.401kduediligence.com

CFDD ADVISOR CONFERENCE SCHEDULE OF EVENTS

(9/10/07)

“TRANSITIONING FROM SALESPERSON TO BUSINESSPERSON:Best Practices, Business Development & Marketing Skills”

October 1-3, 2007 (Monday -Wednesday)The Fairmont Scottsdale Princess

Scottsdale, Arizona

PRE-CONFERENCE ACTIVITIES

Sunday, September 30, 2007

Conference CenterSalon 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, PPC, AIF, 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

The complimentary pre-conference sessions above are hosted by Financial Service Standards, LLC - the sponsoring organization of the Professional Plan Consultant (PPC) Credential. These classes are designed to provide attendees with an introduction to their training program and satisfy the classroom training requirement for those that decide to complete the online training and exam to earn the PPC designation. For current PPC designees, these morning sessions will provide up to four hours of CE credits to satisfy the annual CE requirement. FSS is providing a special CFDD conference discount rate of 30% off the normal tuition rate to conference attendees that enroll in the 401k Service Training Program prior to the end of the conference. To register for these classes, go to: http://401kservicetraining.com/CFDDspecials.htm

Center for Due Diligence

mailto:[email protected]

Schedule of Events - CFDD’s 2007 Advisor Conference

Sunday, September 30, 2007 (Continued)

12:00 – 5:00 p.m.

Salon I Marketing Boot Camp For Advisors-Ward Harris, Founder & CEO, The McHenry Group/Plan Tools LLC

The pre-conference marketing session is designed for senior professionals that own and or manage investment advisory firms serving fiduciaries. The educational session will provide the skills, tools and support to grow the value of advisory practices. Attendance to this working session is by invitation only and requires a commitment to pre-session work and participation during the Boot Camp. Post-session follow-up support will also be provided. To register for this invitation only training session and take your business to the next level, contact Kris Klein at (800) 638 8121, ext 124 or [email protected].

12:00 p.m. –

Kierland Golf Club Charity Golf Event15636 North Clubgate DriveScottsdale, AZ 85254(480) 922 9283

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

Empower yourself by attending the CFDD sponsored pre-conference sessions on Fiduciary Education. These sessions are comprehensive college level type classes. The instructors are experts and they will discuss the topics with intensity and provide actionable takeaways.




Sunday, September 30, 2007 (Continued)

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

CONFERENCE ACTIVITIES

Monday, October 1, 2007

7:00 – 8:15 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



Monday, October 1, 2007 (Continued)

8:15 – 9:15 a.m.

Salon F&G INDIVIDUAL ADVICE & THE ADVISOR’S ROLE: Should Advisors Provide, Partner Or Compete With

Providers?-Trisha Brambley (Moderator), President, Resources For Retirement,

NRP Member Firm-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

Salon F&G CRM & NEWSLETTERS: Leveraging Best Practices, Technology & Efficiency

- Randy Long, (Moderator) Managing Principal, (CRM & Newsletter User) SageView Advisory 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

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




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,

NRP Member Firm

Salon I DESIGNATIONS FOR RETIREMENT PLAN ADVISORS: An Advisor’s Perspective

-Paul D’Aiutolo (Moderator), PRP, AIF, QPFC, VP, Investments Branch Manager, 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




1:15 – 2:15 p.m.

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, NRP Member Firm-Mark Gutrich, President & CEO, ePlan Services, Inc.-Lisa Smith, Sr VP, Retirement, Fidelity Investments Institutional

Services

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 Branch Manager, UBS Financial Services, Inc.


2:30 – 3:30 p.m.

Salon F&G SEARCHING FOR THE DISTINGUISHED: What Determines The RFP Winner

-Dorann Cafaro (Moderator), Executive VP, NRP Member Firm-John Mott (Moderator), AIF, PRP, Sr. VP, Corporate Client Group

Director, Smith Barney-Wayne Boenig, CFA, CFP, AIF, Chief Investment Consultant, PFE

Advisors, LLC-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 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

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

4:45 – 6:00 p.m.

Conference Center/Plaza Cocktail Party



Tuesday, October 2, 2007

7:00 – 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 Fund Selection & Asset Allocation Portfolios-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



Tuesday, October 2, 2007 (Continued)

9:30 – 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)


10:45 – 11:45 a.m.

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., EVP, Retirement Plan Consulting Group, Financial Architects Partners

-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.


1:15 – 2:15 p.m.

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, AIF, Director Corporate Services Group,

Oppenheimer & Co., Inc.-Vince Morris, AIF, PRP, VP, Bukaty Companies, NRP Member Firm

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 Investments, Sr. Investment

Management 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


2:30 – 3:30 p.m.

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, CPC, AIFA, 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 -Matthew Hammonds, AIF, PRP, Managing Director, Research &

Operations, SageView Advisory Group-Mark Metz, Managing Director, Business Development, PlanTools,

LLC-Al Otto, Co-Founder, White Horse Advisors, LLC

Salon H RETIREMENT INCOME GUARANTEES: Meeting The Challenge Of The Next Generation-Dan Campbell, Benefits Consultant, 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 – 6:00 p.m.



Conference Center/Plaza Cocktail Party

Wednesday October 3, 2007

7:00 – 8:00 a.m.

Conference Center/Plaza Breakfast

8:00 – 8:30 a.m. CFDD Introduction & Market Overview-Phil Chiricotti, President, Center for Due Diligence

8:30 – 9:30 a.m.

Salons F, G, H & I Keynote Session

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



Wednesday October 3, 2007

11:00 – 12:00 p.m.


SAFE HARBOR & THE PPA: Navigating The Fiduciary Advisor Waters Safely-Donald B Trone, AIFA, CEO, Fiduciary360

“The future belongs to those who adapt, become efficient & manage liability”

Conference Contact Information:Phillip ChiricottiPresidentCenter for Due Diligence P.O. Box 8Western Springs, IL 60558Phone: (630) 662-0284Fax: (630) 662-0286Email: [email protected] Conference Homepage: http://www.401kduediligence.com/CFDDconference2007.asp



schedule of events

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