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Agenda

401kWire's Thought Leadership Series
Summit 2012: Create 401k3.0

Top Advisor Summit: March 4-6, 2012
Influencers' Summit: March 6-7, 2012
Terranea Resort, Rancho Palos Verdes, CA

As of March 2, 2012. Agenda subject to change.


Top DC Advisor Summit: Create Opportunities
Sunday, March 4, 2012
12:00 noon
Top DC Advisor Arrival and Activities with Hosts
4:00p.m.to 6:00p.m.
Allianz Cocktail Reception (Advisors only)
Monday, March 5
6:30 a.m. - 4:30 p.m.
Conference Registration
6:30 a.m. - 8:00 a.m.
Breakfast with Hosts
8:00 a.m. - 8:10 a.m.
Opening Remarks
Sean Hanna
Editor & Publisher, 401kWire
8:10 a.m. - 8:55 a.m.
Create the Agenda
A discussion with 401kWire Editor Sean Hanna and The Retirement Advisor University founder Fred Barstein about the issues now being faced by advisors in the defined contribution market.
  • Sean Hanna, 401kWire
  • Fred Barstein, Founder, TRAU
9:00 a.m. - 9:45 a.m.
Create Responsibility (or Liability)
Five of the 500 Most Influential Advisors discuss how the evolving definition of "fiduciary" is opening -- and closing -- doors to business opportunities.
  • Brian Graff, Moderator
  • Michael Kozemchak, Institutional Investment Consulting
  • Jim Sampson, Cornerstone Retirement Advisors
  • Craig Dewey, 401(k) Advisors
  • Richard Schwamb, Merrill Lynch
9:45 a.m. - 10:15 a.m.
Refreshment Break
10:15 a.m. - 11:00 a.m.
Create Returns
A discussion around plan investments, including target dates, retirement income solutions, and other products.
  • Fred Reish, Moderator
  • Jason Chepenik, Chepenik Financial
  • Ellen Lander, White Oak Advisors
  • Bud Pernoll, Bay Mutual Financial
  • Erik Tappin, Morgan Stanley Smith Barney
11:00 a.m. - 11:45 a.m.
Create Outcomes
What are the benchmarks for judging a plan's success? Participation, deferrals, happy participants or happy plan sponsors. How to make all of the above happen.
  • Ann Schleck, Moderator
  • Mike Montgomery, Montgomery Retirement Plan Advisors
  • David Hinderstein, Strategic Retirement Group
  • Stephanie Gallegos, Thorbahn
  • Kevin Mahoney, Merrill Lynch
12:00 noon - 1:30 p.m.
Luncheon with Keynote
  • Shlomo Benartzi, UCLA

  • 1:30 p.m. - 2:15 p.m.
    Create Revenue
    How should a retirement specialist advisor be paid?
    • Neil Anderson, Moderator
    • Joe DeNoyior, Washington Financial Group
    • Kurt Jackson, Central Coast Wealth Management
    • Ken Ulrich, Complete Pension Services
    2:15 p.m. - 3:00 p.m.
    Create Profit
    How are successful advisors structuring their practice?
    • John Carl, Moderator
    • Fred Pieracci, 401(k) Advisors
    • Gerald Wernette, The Rehmann Group
    • Tony Franchimone, Retirement Benefits Group
    • Bruce Gsell, Merrill Lynch
    3:00 p.m. - 3:30 p.m.
    Refreshment Break
    3:30 p.m. - 4:15 p.m.
    Create Heaven
    A discussion of how to put everything together to build a successful practice.
    • Fred Barstein, Moderator
    • Michael Coelho, SageView Advisory Group
    • Philip Steele, Pension Architects
    • Mike Rennels, Merrill Lynch
    4:15 p.m. - 6:00 p.m.
    Time for yourself
    6:00 p.m. - 7:00 p.m.
    DC Advisor Influencers' Reception
    • Network with the 500 Most Influential DC Advisors of the Defined Contribution Industry.
    7:00 p.m. - 9:00 p.m.
    Gala Dinner with Advisor Influencers
    • Featured Speaker: Christopher Gardner, Advisor, Author (Book and Movie Pursuit of Happyness based off his life)
    9:00 p.m. & into the night
    Networking with hosts at Terranea
    Tuesday, March 6
    8:00 a.m. - 10:00 a.m.
    Breakfast Roundtables with Event Hosts
    Private group discussions around the five issues discussed earlier in the Advisor Summit.
    10:00 a.m. - 10:45 a.m.
    Fifty Finalists for the Top 401kWire Advisor Awards Named
    • Sean Hanna, Editor, 401kWire
    • Neil Anderson, Reporter, 401kWire
    11:00 a.m. - 11:45 a.m.
    Keynote Address
  • Mike Falcon, J.P. Morgan
  • 11:45 a.m. - 12:00 noon
    Top Five 401k Advisors Named
    The five 2012 advisors will represent the micro, small, mid, large and jumbo plan markets.
    12:00 p.m. - 1:00 p.m.
    Box Lunches Provided
    • Advisors are invited to enjoy Terranea activities with hosts for the remainder of the day.
    Top Advisor Summit Adjourns



    Influencers' Summit: Create Paradigms
    Tuesday, March 6, 2012
    11:00 a.m. - 11:45 a.m.
    Keynote Address
  • Mike Falcon, J.P. Morgan
  • 11:45 a.m. - 12:00 noon
    Top Five 401k Advisors Named
    The five 2012 advisors will represent the micro, small, mid, large and jumbo plan markets.
    12:00 p.m. - 2:00 p.m.
    Most Influential Welcome Lunch
    • Network with the 100 Most Influential People in Defined Contribution.
    2:00 p.m. - 2:45 p.m.
    Create the Agenda
    A discussion with 401kWire Editor Sean Hanna and The Retirement Advisor University founder Fred Barstein about the issues now being faced by providers in the defined contribution market.
    • Sean Hanna, 401kWire
    • Fred Barstein, Founder, TRAU
    2:45 p.m. - 3:30 p.m.
    Create Responsibility (or Liability)
    What does the new fiduciary environment mean to plan providers?
    • Moderator: Sean Hanna, 401kWire
    • Stig Nybo, Transamerica
    • Pat Oberlander, UBS
    • Jim Sampson, Cornerstone Retirement Advisors
    3:30 p.m. - 4:00 p.m.
    Refreshment Break
    4:00 p.m. - 4:45 p.m.
    Create Returns
    A discussion around investments inside of plans, including target dates, retirement income solutions, and other products.
    • Moderator: Sean Hanna, 401kWire
    • Toni Brown, Mercer
    • Kristi Mitchem, SSgA
    • Hugh O'Toole, MassMutual
    • Bud Pernoll, Bay Mutual Financial
    4:45 p.m. - 6:00 p.m.
    Time for yourself
    6:00 p.m. - 8:00 p.m.
    Fourth Annual Influencers Reception
    • Network with the 100 Most Influential People of the Defined Contribution Industry.
    8:00 p.m. - 10:00 p.m.
    Dinners Around Los Angeles
    Wednesday, March 7, 2012
    6:30 a.m. - 8:00 a.m.
    Breakfast with Hosts
    8:00 a.m. - 8:45 a.m.
    Create Outcomes
    What are the benchmarks for judging a plan's success? Participation, deferrals, happy participants or happy plan sponsors. How to make all of the above happen.
    • Moderator: Lew Minsky, DCIIA
    • Judy Mares, ATK
    • Peter Gordon, John Hancock
    • Stephanie Gallegos, Thorbahn
    8:45 a.m. - 9:30 a.m.
    Create Revenue
    Changes in revenue sharing rules and disclosures are upending the buiness models of recordkeepers and asset managers. What is next?
    • Moderator: Sean Hanna, 401kWire
    • Bill Yoerger, OneAmerica
    • Cynthia Hayes, Oculus Partners
    • Mike Alfred, BrightScope
    • Ken Ulrich, Complete Pension Services
    9:30 a.m. - 10:00 a.m.
    Refreshment Break
    10:00 a.m. - 10:45 a.m.
    Create Profit
    How are plan providers surviving the current market?
    • Moderator: Fred Barstein, TRAU
    • Bob Guillocheau, Ascensus
    • Donna Ross, Retirement Revolution
    • Glenn Dial, Allianz Global Investors
    • Chris Venuti, UBS
    10:45 a.m. - 11:30 a.m.
    Create Heaven
    Which recordkeepers and investment firms are thriving and what makes them special.
    • Moderator: David Musto, J.P. Morgan
    • Gary Kleinschmidt, Legg Mason
    • Jerry Bramlett, Dimensional Retirement
    • Paul Mahan, Commonwealth Financial Network
    • Michael Coelho, SageView Advisory Group
    11:30 a.m. - 1:30 p.m.
    Luncheon with Keynote
  • Charlie Nelson, Great-West Retirement Services
  • Conference Adjourns

    Agenda is subject to change

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