2019 PLANADVISER National Conference

Greg is a Consultant at Fiduciary Investment Advisors, LLC (FIA). His focus is on defined contribution retirement plans, both corporate and tax-exempt. He is proficient in 401(k), 457(b), 401(a), 403(b) and non-qualified plan consulting. Greg has significant experience building, designing, and managing plans in the defined contribution markets. Before joining FIA, Greg worked in both institutional and individual wealth management helping to create positive retirement outcomes for plan sponsors and plan participants. Greg also has experience in insurance, tax, and estate planning. Greg has earned the Chartered Financial Consultant designation from the American College

David Anderson, a Partner with SHA Retirement Group, has more than 27 years’ experience in the retirement plan business. He advises 401(k), 403(b), and Defined Benefit plans for public and private corporations and higher education institutions. David entered the industry in 1992 with Cigna Retirement and Investment Services and later moved to Fidelity where he gained valuable experience and insight into the “provider” side of the business. He became an advisor in 2002 and later joined Raymond James where he served on their Retirement Advisory Council before joining SHA in 2007. David received his Bachelor of Science in Business Administration and Financial Management from Valparaiso University. He holds a Series 66 registration and Accredited Investment Fiduciary® (AIF®) and PLANSPONSOR Retirement Professional (PRP™) designations.

Grant S. Arends is one of two  Co-Founders and is the President of the organization. Specifically, he is charged with implementing and executing the intellicents business plan at all current and new intellicents locations. He is also the lead consultant for many of the firm’s large market retirement plan clients.  His passion is designing and implementing strategies that focus on helping plan participants succeed.  His definition of a successful retirement plan is one where at least 85% of tenured employees are on track to replace a minimum of 75% of their pre-retirement income.  Every client recommendation whether it be  focused on plan design, vendor selection, investment management, or participant services always has this goal top of mind. Grant is very involved in providing direction to the retirement plan industry. His reputation as a leader in this field has resulted in numerous advisory boards within the industry. He is sought out to speak at retirement plan events throughout the country providing insight and education on the attributes that make up a successful retirement plan; teaching professionals throughout the country on the services they need to be providing to their clients.

Bradford Bartels is a Special Counsel in the Office of Chief Counsel, Division of Trading and Markets, where he focuses on broker-dealer sales practice issues.  Prior to joining the SEC, Mr. Bartels worked at FINRA.  Mr. Bartels obtained his law degree from William & Mary School of Law and his undergraduate degree from The Ohio State University.

Larry Bohrer is Vice President of Corporate Brokerage Retirement Services and Retirement Business Services Client Experience at Charles Schwab & Co., Inc. With more than 25 years’ experience in retirement services, he is responsible for product development, product management and client experience for Retirement Business Services as well as product management and service delivery for broker/dealer custody, company retirement accounts, health savings brokerage accounts and personal choice retirement accounts. Prior to joining Schwab, Mr. Bohrer was a director at the Retirement Group at Merrill Lynch, where he held a number of leadership roles. He has a bachelor’s degree from the University of California, Santa Barbara, and a master of business administration degree from the University of Southern California.

Daniel Bryant is President of National Sales, Retirement and Private Wealth. He helps lead the Sheridan Road team and contributes to the firm’s marketing initiatives to attract new clients, advisors and team members. A dynamic individual, Daniel is a financial industry thought-leader who can help his advisors build their practices to help increase the positive impact on their clients, community and family. Daniel earned his MBA from Northwestern University’s Kellogg Graduate School of Management and his undergraduate degree from Dartmouth College. He began his career working in corporate finance for Sam Zell’s The Equity Group. He then transitioned into a successful investment banking career for leading firms, such as Donaldson, Lufkin & Jenrette and Robertson Stephens. He co-founded Sheridan Road in 2005, and acted as CEO and Managing Partner until they joined HUB International at the end of 2018. Daniel has two beautiful daughters, Ainsley and Lily. He enjoys exploring the diverse culture of the world through travel, food and meeting new people and learning about their lives. Daniel thrives on new experiences! An entrepreneur and philanthropist, Daniel understands the value of giving back to his community. He is an active member and supporter of a variety of volunteer, philanthropic and arts-related organizations that he regards both personally and professionally.

As one of the Founders and Managing Partners of Retirement Benefits Group, Sean works with a phenomenal team of professionals dedicated to retirement programs for companies and individuals. Sean’s expertise is working on education and communication programs, individual retirement management and has an interest in behavioral finance.Sean has been in the financial services industry for over 21 years and started his financial services career with Prudential Securities, which subsequently changed to Wachovia Securities. Previously, Sean enjoyed a career at the Anheuser-Busch Theme Parks in San Diego and Orlando managing promotional marketing programs.

Jason joined Chepenik Financial in 1999 as Managing Partner and Financial Adviser focused on providing fiduciary guidance to corporate retirement plans. For more than 20 years, Jason has been recognized as a thought-leader and outspoken advocate for the retirement industry, testifying in 2008 before Department of Labor’s ERISA Advisory Council on the spend-down issues of corporate retirement plans. He has received numerous industry accolades, having been named one of 401kWire’s 60 Most Influential DC Advisors, one of Financial Times Top 401k Retirement Advisers, and selected in 2019 as PLANADVISER Magazine’s Retirement Plan Adviser of the Year. Jason has earned a degree in Management with concentration in Finance from Tulane University.

For over 25 years, Managing Director Phillip L. Currie, Jr. has consulted in the employee and executive benefits field where he is recognized as an industry leader. His expertise includes designing executive benefit programs that align plan design features with corporate objectives and the implementation of various employee benefit cost take out strategies. Dedicated to the client relationship, Phil says, “I must listen first, not assuming I know your objectives, before I am able to make my recommendations.” Phil currently oversees the management of numerous employee and executive benefit programs for his Fortune 1000 clients, which are long-term client relationships that are built on trust and confidence in Phil’s experience and integrity. More than 15 years of experience as a top executive benefits producer for one of the nation’s leading service providers; recognized as a leader of various employee benefit cost take out strategies Began his career in the employee benefits division of Sedgwick James, which later merged with Marsh. At Sedgwick James, he developed the national “Standards of Practice” for the firm’s Executive Benefits Group City of Glendora Investment Advisory Committee Board of the Glendora Unified School District Endowment Junior Achievement Volunteer for Glendora, California Degrees, Certifications, and Registrations Series 7 and 63 registered Insurance licensed since 1989 University of Southern California, Bachelor of Science in Business Administration.

Corby leads a well-respected team and provides that all important grey hair for an air of confidence. He keeps his team happy as they focus solely on the success of retirement plans for the benefit of the employee and peace of mind of the employer. Starting in the financial services world in the 80’s, Corby quickly realized the need for honest advice and wanted to help as many people as possible. This passion led to a clear path; partnering with employers to help as many people as possible retire with confidence and dignity. Corby has helped countless companies stop thinking of “401k” as a four letter word while creating thousands of successful retirement outcomes. Corby was named 2017 Retirement Plan Advisor of the Year and has been recognized as one of the Top 100 Retirement Plan Advisors by PLANADVISER magazine 5 years running.  He is a founding member of the National Association of Plan Advisors, currently serving on the Leadership Council and Government Affairs committee. Corby serves on several industry advisory boards and works closely with lead policy makers, legislators and regulators to help shape future retirement policy. On a personal note, Corby has been married to his wife Karen for 34 years and was “blessed” with 3 boys, He enjoys spending time teaching financial awareness to local youth and volunteers with several youth groups. He dominates in “basement games” (don’t ask, you don’t want to know).He also loves boating, skiing, tennis and snowmobiling. 

Dick Darian CEO Wise Rhino Group Dick is the founder and CEO of Wise Rhino Group, which provides M&A Consulting and Advisory services to firms focused in the retirement plan consulting space. Prior Dick managed distribution and strategy for BlackRock’s Intermediary Retirement Business. He began his career as a retirement consultant with Williams Thacher and Rand (now AON) where he was a partner and retirement national practice leader. He also led retirement distribution at MFS Investment Management and ING. Prior to joining BlackRock, Dick was a co-founder at National Retirement Partners. Dick lives in Charleston SC with his wife Mary where they enjoy visits with their 3 Granddaughters

An innovative entrepreneur and respected business leader, Barbara Delaney has been navigating the financial world since 1981. After spending 20 years leading retirement planning divisions within successful companies, Barbara took that expertise and founded Fundamental Foundations of America (FFOA). Having identified challenges within the retirement planning industry, Barbara saw a great opportunity to reshape the market place and did so with her firm focusing on small to midsize company retirement plan needs. At the forefront of this industry, Barbara emerged as a leading advisor and her firm was named as the 2008 Advisor Team of the year. In 2008 Barbara formed StoneStreet Renaissance (SS/RBA) to shift focus to a holistic and innovative business model. This model not only provided the traditional plan advisor services, but added a new layer of value to the plan sponsor by implementing financial wellness tools to create active participant engagement at every step of the retirement plan participant’s careers. This positioned Barbara and her firm launch into the mid to large size retirement plan market. Having gained the distinction as a top plan advisor, Barbara and her team continue to receive top accolades and honors within the industry. In addition, Barbara is an active member of the Government Affairs Committee for NAPA in Washington, D.C. Barbara is a sought-after speaker who appears at numerous industry conferences and seminars. She also regularly authors articles for publications within the financial sector.

John Doyle is a senior vice president and a senior defined contribution strategist in the Retirement Strategy Group at American Funds, part of Capital Group. He has 31 years of investment industry experience and joined Capital Group in 2013. Prior to joining Capital, John was executive vice president and chief marketing officer for Hartford Investment Management Company. Before that, he worked as head of marketing and product at T. Rowe Price Retirement Plan Services and as a vice president of marketing at Fidelity Investments. John is a frequent speaker on issues and topics important to the success of the DC retirement system. He holds an MBA from the F.W. Olin Graduate School of Business at Babson College and a bachelor’s degree in economics from Georgetown University. John is based in New York.

Ralph Ferraro is Senior Vice President, Head of Product, for Lincoln Financial Group’s Retirement Plan Services (RPS) business. He is responsible for the strategic vision of the RPS business, and ensures the effective implementation, integration and execution of specific plan initiatives. He manages the RPS suite of products and provides thought leadership that both drives the development of new, and enhances existing, retirement products. Ferraro has more than 30 years of experience in the retirement industry, including extensive knowledge surrounding product development, risk management and stable value products. In 2016, he joined Lincoln Financial from Voya Financial, Inc. (previously ING U.S., Inc.), where he was responsible for the profitability and product management of small/mid corporate and institutional markets. Earlier in his career, Ferraro held executive positions with CitiStreet, LLC. He began his career with Prudential, where he spent 12 years in managerial roles for a variety of investment and insurance products. Ferraro earned a Master of Business Administration degree in finance from Seton Hall University and a Bachelor of Arts degree in history from Princeton University. He holds series 6, 7, 24 and 26 FINRA registrations.

Jamie Fleckner is a partner in Goodwin’s Financial Industry practice and Chair of its ERISA Litigation practice. Mr. Fleckner’s success in litigating cutting edge legal issues has been profiled in The American Lawyer’s Big Suits and Litigator of the Week features. According to Chambers USA: America’s Leading Lawyers for Business where Mr. Fleckner has been selected for inclusion since 2014, Mr. Fleckner is “at the top of his game,” and is “a rare thought leader” on ERISA litigation. Since 2015, he has been recognized as a leading lawyer in the list of Who’s Who Legal: Pensions and Benefits. Mr. Fleckner represents clients in a wide array of complex commercial litigation, with a focus on financial services and products, including investment management. He regularly litigates class and derivative actions under ERISA, the Investment Company Act of 1940, the Securities Exchange Act of 1934, and related federal and state laws. His practice also focuses on regulatory investigations and governmental proceedings, and has represented clients before the U.S. Department of Labor, Securities and Exchange Commission, Department of Justice, Pension Benefit Guaranty Corporation and state authorities.

Ken Forsythe is Vice President of Business Development for Empower Retirement. In his role, he is responsible for identifying and initiating development of the future products Empower will deploy to help individuals, employers and intermediaries meet their goals. This includes the evaluation of acquisition and strategic partnership opportunities. Additionally, he assists in the creation of the firm’s overall growth strategy.

Prior to his current role, Ken successfully led the design, development and launch of the Empower health savings account (Empower HSA) as well as the company’s financial wellness solutions. Prior to joining the organization in 2013, he held various leadership and consulting roles in relationship management and retirement education. He has 20 years of experience working directly with employers and intermediaries to help individuals meet their retirement goals. Ken holds a bachelor’s degree in business administration from Saint Leo University and an MBA from the Kellogg School of Management at Northwestern University. He currently maintains the FINRA Series 6 securities registration and the Series 63 state securities license and holds FINRA Series 7 credentials. Ken also holds the Qualified 401(k) Administrator (QKA) designation from the American Society for Pension Professionals & Actuaries (ASPPA) and the Chartered Retirement Planning Counselor (CRPC®) designation from the College of Financial Planning (CFP).

Mr. Fulford is an executive vice president in the Newport Beach office, an account manager and head of PIMCO’s U.S. retirement business. He previously served as the head of PIMCO’s public pension channel. He spent six years, from 2003-2009, in PIMCO’s London office servicing institutional clients. Prior to joining PIMCO in 2000, he worked on the municipal desk at Wells Capital Management and before that, as a civil engineer. He has 20 years of investment experience and holds an MBA from the University of California, Irvine and a bachelor’s degree in civil engineering from California Polytechnic State University, San Luis Obispo.

Steven and his team recently Joined Janney Montgomery Scott from Avondale Partners, where he was a founding member of the advisory business for the Nashville TN. investment banking boutique. He brings more than 25 years of experience working with institutional investors including defined contribution plans, defined benefit plans, endowments and foundations, as well as corporate cash mandates. Steven and his team at Janney are also members of the GRPAA (Global Retirement Partners Advisor Alliance) that collectively oversee more than $200 billion of plan assets. He has been recognized by PLANADVISER magazine as one of the nation’s “Top 100 Retirement Plan Advisors” for 2012, 2013, 2015, 2017 and 2018. He was named as one of the “Top 50 Defined Contribution Advisors” and “Top 10 in the Large Plan Market” for 2012 by 401k Wire and has been named to the Financial Times “Top 401” Retirement Plan Advisor List in 2015, 2016, 2017 and 2018. Steven received his bachelor’s degree in finance from Auburn University and his MBA from the Crummer School of Business at Rollins College.  He is a Chartered Financial Analyst (CFA) and Certified Investment Management Analyst (CIMA) designee. He holds the Accredited Investment fiduciary (AIF®) credential has also received the Certified Behavioral Finance Analyst (CBFA) designation from the Allianz Center for Behavioral Studies, and has also earned the CPFA (Certified Plan Fiduciary Advisor) designation through the National Association of Plan Advisors.

Robert A. Goldstein, Principal, AIF Founded Stanwich Benefits, Avenir Equity, StoneStreet Equity President, Bank of New York Employee Investment Plans Over 40 Years Experience.

David is the Founder and Owner of Atlanta Retirement Partners, LLC. David is responsible for the oversight of the firm and works specifically with key clients in an advisory capacity. David founded National Retirement, LLC in 2008 to exclusively serve institutional retirement plans as an advisor. With 20 years of experience in this specialized market, David has served hundreds of employers and thousands of employees in various industries in the Southeast. Now, as Atlanta Retirement Partners, David’s advisory firm is recognized by clients for its experience, dedication, and expertise. David is also recognized for helping employers develop plan designs and employee engagement designs that improve plan participation and plan success rates. David earned his Bachelor of Business Administration degree in Marketing from the Terry College of Business at The University of Georgia. In addition, he earned the Accredited Investment Fiduciary® (AIF®) designation from the Center for Fiduciary Studies (Fi360), which signifies knowledge of fiduciary responsibility and the ability to implement policies and procedures that meet a defined standard of care and was part of the inaugural class to earn the designation of Certified 401(k) Professional by The Retirement Advisor University in collaboration with UCLA Anderson School of Management Executive Education. David holds the Series 6, 63, and 65 securities registrations with LPL Financial and is Georgia Life, Accident & Sickness, and Variable Products licensed.

Brian Hanna is a partner and the Senior Retirement Plan Consultant at Everhart Advisors. Brian leads the Everhart team of consultants, relationship managers, and educators in serving the unique needs of 401(k) plan sponsors and employees. There’s no wondering about Brian’s passion for giving his clients the best possible advice and consultation about their retirement plans. You can hear it in his warm, commanding voice, and you can feel it in the energy and confidence that comes naturally from his world-class industry expertise, dogged work ethic, and sharp attention to detail. Most recently, Brian co-authored and published his first book, The 401(k) Owner’s Manual: A Blueprint for Building and Maintaining an Elite 401(k) Plan for Your Employees. In addition, Everhart Advisors was selected as the PlanSponsor Retirement Plan Adviser Mega Team of the Year 2018. Brian has formal training in fiduciary responsibility and due diligence, along with extensive experience in plan design, ERISA compliance, investment selection, vendor benchmarking and fee negotiation. Brian has been a guest speaker with the U.S. Department of Labor, Center for Due Diligence, Ohio Society of CPAs, Columbus Bar Association, Ohio Bar Association, PlanAdviser National Conference, and Supplier Associate Relations Group (SARG) of Honda North America.

David Hinderstein leads Strategic Retirement Group’s consulting practice, which assists plan sponsors and participants in responding to the many challenges in managing their retirement programs. David has extensive background and significant knowledge in helping not-for-profit, corporate, healthcare, and higher education plan sponsors meet their fiduciary responsibilities and manage and optimize their investment provider relationships. As a retirement benefit veteran, David has been recognized by several industry organizations for his leading experience and expertise. He is also a frequent keynote speaker at industry conferences, and an instructor at UCLA’s Anderson School of Management Executive Education TRAU- The Retirement Advisor University, where he instructs on the not-for-profit retirement marketplace. Prior to starting Strategic Retirement Group, David spent almost 12 years in various management and consulting positions with Arthur J. Gallagher & Co. Most recently, he was President of GBS Retirement Services, Inc. (the retirement division of Arthur J. Gallagher & Co.), with responsibility for consulting and servicing large defined contribution and defined benefit plans and overseeing all facets of Gallagher’s regional retirement services practice. Previously, David held multiple positions with CitiStreet (formally the Copeland Companies), where his emphasis was consulting and servicing large defined contribution plans for healthcare and not-for-profit institutions. David earned his BS degree in Finance from The American University in Washington, D.C., and has achieved the Accredited Investment Fiduciary® (AIF®) designation. He also is an Investment Advisor Representative of Resources Investment Advisor, LLC, an SEC Registered Investment Advisors and a Registered Representative with Triad Advisors, LLC.

Russell Hooker is the Executive Vice President of Nova 401(k) Associates where he oversees sales and marketing for the firm, and works with financial advisors and their clients to design qualified plans that meet the objectives of the business owner. He personally handles Houston area marketing and sales for Nova 401(k) Associates and acts as a resource for our other marketing directors. With over 12 years of experience in the retirement plan industry, Russ fully understands the ins and outs of defined contribution plans, from design to implementation and administration. Russ is also extremely well-versed on defined benefit and cash balance plans. Russell serves on the TPA advisory council for several of our recordkeeping partners. He regularly conducts educational seminars for advisors wanting to better understand how to grow their qualified plan business. Russ regularly attends numerous professional conferences and seminars around the country to stay current on new laws, products and sales trends. Russ is a graduate of North Dakota State University where he double-majored in Spanish and International Studies and also captained the soccer team. He also attended graduate school at the University of Texas at Austin where he majored in Latin American Studies focusing on Anthropological Linguistics and Conflict Resolution. Prior to attending college, he served four years of active duty in the US Army’s Military Intelligence branch as a Spanish Linguist.

For more than 17 years, Stephanie has concentrated her career in the investment and retirement plan industries. Prior to joining Atlanta Retirement Partners in 2016, she was Vice President – Marketing with Stadion Money Management. Earlier in her career she worked in sales and marketing with Nations Funds, the proprietary mutual fund company of Bank of America, Broad Street Capital Advisors, and served as account director with The (k)larity Group and Greenspring Wealth Management. While working at The (k)larity Group, she was recognized for her accomplishments by being named as a finalist for the PLANSPONSOR 2011 Retirement Plan Adviser Team of the Year award. Stephanie assists the advisors who work with employers to build strong, effective retirement programs, through consultation on plan design, investment line-up development and monitoring, plan pricing, governance and fiduciary practices, administration and development, and execution of employee engagement programs. In addition, she assists with business development and firm best practices including service model, marketing, and content creation. Stephanie earned her Bachelor of Business Administration degree in Finance from Georgia Southern University. In addition, she has earned the Accredited Investment Fiduciary® (AIF®) designation from the Center for Fiduciary Studies (Fi360) which signifies knowledge of fiduciary responsibility and the ability to implement policies and procedures that meet a defined standard of care. Stephanie holds Series 6 and 63 securities registrations with LPL Financial and the Series 65 securities registration with IFG Advisory, LLC. *Nominated by industry professionals and selected based on quantitative evaluation of service levels and feedback from plan sponsor clients. Advisors who have attained the PLANSPONSOR Retirement Professional (PRP) designation receive an automatic nomination. Atlanta Retirement Partners, IFG Advisory and LPL Financial are not affiliated with The (k)larity Group.

Josh is a founder of Greenspring and leads the firm’s Institutional Client Group. He specializes in developing and managing corporate retirement plans by providing independent advice on fiduciary oversight, investment due diligence, fee-benchmarking, plan design and vendor management. He is also the author of one of the retirement industry’s most well-known books on fiduciary responsibility for defined contribution plans, Fixing the 401(k): What Fiduciaries Must Know (And Do) To Help Employees Retire Successfully and has been quoted extensively in publications such as The Wall Street Journal, SmartMoney Magazine, Kiplinger’s Retirement Report, InvestmentNews, and PLANSPONSOR Magazine. He also serves as a board member of River Valley Ranch and Dent Education.

Jason Johnson has more than 28 years of experience providing financial and wealth management advice and services. He is a graduate of Louisiana State University and joined UBS Financial Services in February 2009 after nearly 20 years with Merrill Lynch. His team specializes in financial and estate planning, money management, and corporate pools of money including 401(k) plans, 403b plans, defined benefit plans, non-qualified plans, foundations and endowments. Jason is a Certified Investment Management Analyst ProfessionalSM that is awarded by the Investment Management Consultants Association in conjunction with The Wharton School of Business. He also has earned his Accredited Investment Fiduciary from the Center for Fiduciary Studies and his Accredited Retirement Plan Consultant designation from the Society of Professional Administrators and Record Keepers. Most recently, he earned the Chartered Retirement Planning SpecialistSM Designation through the College for Financial Planning. Jason regularly attends industry conferences as a guest, panelist, or speaker to stay current with investment management, fiduciary practices, ERISA, and more. One of his clients was awarded Plan Sponsor of the Year for Corporate Retirement Plans under $50mm in 2015.

David Kaleda’s broad range of experience includes handling fiduciary matters impacting plan sponsors, investment and other fiduciary committees, investment managers/advisors, recordkeepers, broker-dealers, banks, and other financial services firms. He advises clients on the avoidance and resolution of prohibited transaction issues, the structuring of alternative investment funds (including plan asset funds, real estate operating companies, and venture capital operating companies), and day-to-day compliance issues arising under ERISA and the Internal Revenue Code in the conduct of their businesses. He advises a number of firms on compliance with Department of Labor regulation, helping them to get related guidance and exemptions from the Department. David is a frequent speaker and author on a range of employee benefits-related topics. He authors the bi-monthly “Compliance Consult” column for PlanAdviser magazine and is a regular contributor of articles to The Investment Lawyer. His articles have also appeared in Employee Benefit News, Employee Benefit Adviser, Plan Sponsor Magazine, Employee Benefits Law Journal, Plan Consultant, and others. He has presented on ERISA-related topics for a number of organizations and has been quoted in numerous publications including On Wall Street, PlanSponsor Magazine, PlanAdviser Magazine, and Financial Adviser. David joined Groom in February of 2013 while serving on the Department of Labor’s ERISA Advisory Council, after working as an ERISA partner of a large law firm and prior to that as an ERISA  compliance consultant and in-house ERISA attorney for a financial services firm.

From 1998 to Present, Mr. Kulchar has worked for The James B. Oswald Company (JBO). In 1999, Mr. Kulchar established Oswald Financial, Inc. (OFI), a subsidiary of JBO. He is the Executive Vice President and Director of Retirement Plan Services at OFI. Mr. Kulchar currently directs and manages OFI’s strategic operations. OFI’s primary focus is supporting plan sponsors through design, implementation, investment monitoring servicing and participant education. Mr. Kulchar has over 25 years of experience in the retirement plan industry and is nationally recognized in the area of qualified retirement plans. Mr. Kulchar has been selected as one of the top 20 advisors in the country by Plan Sponsor magazine for the past three years*, he was voted as a Top 10 Retirement Plan Advisors by DCP/Boston Research, nominated for ASPPA Leadership Award, and nominated by 401(k) Wire as one of the most influential people in the industry. Mr. Kulchar is an Accredited Investment Fiduciary designee, Investment Advisor Representative under LPL Financial, and is frequently sought after as a speaker for national events regarding the retirement plan industry. He serves on the advisory boards of select retirement plan providers, associations and nonprofit organizations. Previously, Mr. Kulchar worked for the Principal Financial Group as Regional Group and Pension Manager at the Principal Financial Group. Under his leadership, his regional office was one of the top producing and retention pension offices in the country, while maintaining a high level of customer satisfaction. As a Regional Group and Pension Manager at the Principal Financial Group, he was the first individual who implemented over 100 retirement plans in one year and delivered superior customer service that was reflected in 98% client retention ratio for his region. His region was recognized for top retirement plan sales and service in the country. Mr. Kulchar also worked for AG Edward and Dean Witter as a Financial Consultant. Mr. Kulchar started his career with General Electric and graduated from the GE Financial Management Program. Mr. Kulchar graduated from Ohio State University with a Bachelor of Science degree in Business Administration and Finance. He is also a graduate of the General Electric Financial Management Program and also served as President and Vice President of that association. Mr. Kulchar has received a Group Management degree and Employee Benefits degree from LIMRA International, Inc. He holds a Series 7, Series 63, and Series 65 registrations with LPL Financial and is Life, Health & Annuity licensed.

Ellen is the Principal and Founder of  Renaissance Benefit Advisors Group, LLC (RBA), an independently owned retirement plan consulting and institutional investment advisory firm.  RBA is a member firm of Global Retirement Partners. Following a career of working for actuarial consulting firms and national retirement plan recordkeeping/investment providers, Ellen made the decision to start her own consulting practice in 2008.  RBA was founded with a mission to provide retirement plan sponsors with the specialized expertise needed to help them make objective and fully-informed decisions which in turn, help them to meet their fiduciary obligations and help their employees become better prepared for more secure financial futures.  RBA has grown on a referral-only basis and today, advises to over $1.5 billion in plan assets; serving plan sponsors and participants of both U.S. and non-U.S. corporations and not-for-profit organizations.With her entire career having been devoted to the retirement plan industry, Ellen has gained specialized experience and expertise in working with all types of retirement plans and in numerous areas including ERISA compliance, fiduciary governance, plan design, investment analysis, contract negotiations, plan fees, analytic benchmarking and development of employee education and financial wellness programs. Ellen’s more than 25 years of experience and advocacy for the retirement plan industry has led to her involvement with several investment and retirement provider advisory boards.  Her credentials and designations demonstrate her attainment of the highest level of experience, expertise and commitment to the retirement plan business and investment fiduciary responsibility standards.Ellen is thrilled to have been named 2019 PLANSPONSOR’s 2019 Retirement Plan Adviser of the Year.

Paul LaPiana is the head of Product for MassMutual, responsible for the design, pricing and management of protection, accumulation, distribution and retirement solutions that meet the needs of the firm’s retail and institutional customers. As a member of the MassMutual U.S. senior leadership team, he works in close collaboration with MassMutual’s channel leads, brand and advertising, marketing, compliance, finance and other key partners across the company to build and deliver holistic financial solutions to our customers. Prior to his current role, Paul served as head of Field Management, overseeing MassMutual’s 8,500 financial advisors. Before joining MassMutual in 2016, Paul began his career in financial services as an agent with AXA/Equitable, focusing on small- to medium-sized businesses providing group benefits and retirement plans. He and his partner were then asked to start a third-party life insurance distribution organization focused on securities-based financial advisors in wirehouses, regional and independent broker dealers. In 2001, Paul joined MetLife to help start their third party life insurance distribution business, and was a key member of the team responsible for integrating General American’s life insurance distribution into MetLife and acquiring and integrating Travelers’ life insurance distribution business into MetLife. In 2008, Paul was tapped to lead all protection product (Life Insurance, Disability, Long Term Care) distribution for MetLife, including their career agency force, and in 2012 took on MetLife’s career agency channel (MetLife, New England Financial, MetLife Resources). Over the next four-and-a-half years, Paul and his team relocated their entire organization to Charlotte, NC, and successfully merged the three channels of distribution into the MetLife Premier Client Group (MPCG). Born and raised in southern California, Paul holds a Bachelor of Science in Finance from San Diego University and is a Certified Financial PlannerTM professional. He currently resides in Dallas, Texas, with his wife, two college-aged children and the family’s three English bulldogs.

Christy Lausch is a vice president of T. Rowe Price Retirement Plan Services, Inc. As a senior manager in Workplace Investor Experience, she is responsible for evaluating, enhancing, and improving the participant experience, focused on deepening engagement, increasing participant action and improving retirement outcomes. Prior to this role, she worked on participant communications team and was responsible for communication strategy and execution for T. Rowe Price’s top tier clients. Prior to joining the firm in 2001, she was a senior account manager at J. Walter Thompson Worldwide. She graduated Cum Laude, Phi Beta Kappa, with a B.A. from the Philip Merrill College of Journalism, University of Maryland, College Park. Christy is Series 6 registered representative.

Anne Lester is Portfolio Manager and Head of Retirement Solutions for J.P. Morgan Asset Management, where she is responsible for advancing the firm’s market-leading retirement investment product offering and thought leadership agenda. Anne, who joined J.P. Morgan in 1992, worked as a fixed income and currency trader and portfolio manager in the Milan office prior to her move to the Solutions team in 2000. Before beginning her career with J.P. Morgan, she spent a year in Tokyo as a Fulbright Scholar working for a member of the Japanese Parliament. Previously, she worked for the U.S. Senate Governmental Affairs Committee. Anne earned an MA in international economics and Japan studies from the John’s Hopkins University’s School for Advanced International Studies, and received a BA in Politics from Princeton University. She resides in Princeton, NJ, with her husband and two sons.

David N. Levine is a principal at Groom Law Group, Chartered.  He advises plan sponsors, advisors, and other service providers on a wide range of employee benefits matters, from retirement and executive compensation to health and welfare plan matters. His experience includes advising service providers on product design; compliance with the final fiduciary regulation; day-to-day compliance; DOL and SEC regulatory investigations; fiduciary and contract-related litigation; IRA and non-ERISA plan compliance; advising on the balancing of ERISA and securities law compliance to advisors with both broker-dealer and registered investment arms; conducting ERISA reviews of disclosure documents, marketing materials, and services agreements for ERISA services agreements; and providing fiduciary training and advice to plan sponsors and advisors. Mr. Levine was previously the Chair of the IRS Advisory Committee on Tax Exempt and Government Entities (2011-2013) and is currently a member of the Executive Committee of the Defined Contribution Institutional Investment Association and serves in a number of leadership roles in the American Bar Association Tax Section’s Employee Benefits Committee.  Mr. Levine regularly speaks on plan design, fiduciary governance, and legislative issues and contributes a recurring column to NAPA Net — The Magazine.  He is recognized the Chambers USA guide for Employee Benefits & Executive Compensation.  Mr. Levine received his J.D., from the University of Pennsylvania Law School and his B.A., with general and departmental honors, from Johns Hopkins University.

Eric S. Levy serves as Executive Vice President in AIG Retirement Services a division of AIG Life & Retirement. In his role, Mr. Levy is responsible for the development and execution of broad-based, market-driven strategies, product management and development, market management, market research and government affairs strategy for AIG Retirement Services. In this, he leads efforts to develop and manage a strategic approach and economic framework for retirement plan acquisition and retention; customer-focused product design that provides retirement solutions for multiple market segments; investment platforms, portfolio analysis and selection; investment advisory services; comprehensive competitive and market analysis; ongoing liaison with Distribution, Institutional Plan Management, Marketing and Operations and Government Affairs on retirement related issues; and collaboration with the Life & Retirement team on broader, cross-market opportunities. Mr. Levy represents AIG on the ACLI Retirement Plans Committee and the boards of SPARK and DCIIA. Also in his capacity, Mr. Levy serves as a Director/Trustee of the VALIC Company funds, a $30+ Billion mutual fund complex. Mr. Levy previously served as Senior Vice President, Head of Product and Solutions Management for Lincoln Financial Group’s Retirement Plan Services business, where he was responsible for the development, management, market positioning and pricing of the entire suite of retirement products Lincoln offered across the small, mid-large and individual/IRA market spaces. Prior to joining Lincoln in 2010, he served as Worldwide Partner and Defined Contribution Business Leader for Mercer’s Outsourcing business in the U.S. From 1995-2004, he served as Managing Director of Strategic Relationship Development at Putnam Investments, promoting business growth by leading the development and expansion of the variable annuity, sub-advisory, private equity and retail 401(k) businesses. Mr. Levy began his career at Fidelity Investments and Allmerica Financial, serving in a variety of business development, marketing, product and finance roles. Mr. Levy graduated magna cum laude and Commonwealth Scholar from the University of Massachusetts at Amherst where he received a bachelor’s degree in finance, and earned a master’s of business administration from the Boston University School of Management. He holds Series 6, 7, 24 and 63 licenses with FINRA. Mr. Levy is active in the community by having served on the boards of a number of community non-profit organizations over the years including having served as Chairman of the Board of Aviv Centers for Living and is currently a board member of Rebuilding Together Houston. He is married and has two adult children.

Randall Long is founder and Managing Principal of SageView Advisory Group, and currently serves as the firm’s CEO. Randy founded SageView in 1989 by assembling a team of seasoned financial advisors and investment specialists across the country. The firm has since grown to one of the leading retirement advisory organizations in the United States with 24 locations and over $96 B in assets under management. Randall has over 30 years of industry experience in retirement plan administration, plan design analysis, investment consulting and risk management. He has extensive experience in the oversight and operations of retirement plans and assisting plan fiduciaries with their fiduciary responsibilities. Under Randall’s leadership, the firm currently serves over 1200 corporate and non-profit plan Sponsors throughout the United States. A frequent speaker, Randall addresses retirement industry conferences, serves as delegate to Capitol Hill Forums, and provides thought leadership to some of the largest retirement plan administrators in the country by serving on their financial advisory boards. He has consistently used his knowledge and experience to deliver best practices and innovative tools/resources to better serve the retirement plan industry. Throughout his career, Randall has been recognized as a leader by several organizations. In 2015, Randall was ranked #27 in 401kWire’s 2014 “100 Most Influential” list. In 2013, Randall received the Lifetime Achievement Award by PlanAdviser. Since 2007, SageView has been named as one of the Top 100 Retirement Plan Advisors by PlanAdviser Magazine. Randall’s professional memberships and affiliations include: American Society of Pension Professionals and Actuaries member (ASPPA) and the National Association of Plan Advisors (NAPA). He is also a Registered Principal of Cetera (Cetera Advisor Networks LLC.) with multiple securities registrations. Randall earned a Bachelor’s Degree in Business Administration from San Diego State University and has attained the Accredited Investment Fiduciary (AIF®) designation from the Center for Fiduciary Studies at the University of Pittsburgh. On the family side, Randall has been married for 33 years to his wife Mary and has three grown children.  In his downtime, he enjoys spending time exploring new places, snow skiing, spending time at the beach, and attending sporting events.

John is a registered representative of LPL Financial where he is recognized as a leader in retirement plan consulting through his position in the firm’s Retirement Partners Group.* John is also a member of the LPL Advisory Council. John entered the retirement planning business in 1984 as a consultant with a major insurance company. His expertise in retirement plan design, plan operations, investment monitoring, and employee education is the foundation for the customized strategies that LHD Retirement has become known for. John graduated from Iowa State University where he earned his Bachelor of Science degree in agriculture business finance. He is a Chartered Financial Consultant (ChFC®), Chartered Retirement Plan Specialist (CRPS®) designee, an Accredited Investment Fiduciary (AIF®), a member of the Global Leadership Council, and has earned the CEFEX** certification from the Centre for Fiduciary Excellence. *Retirement Partners Group is a network of advisors associated with LPL ** CEFEX certification for advisory services provided through the LPL Financial Retirement Plan Consulting Program. LHD Retirement and LPL Financial are not affiliated with CEFEX.

As Managing Director, Jim consults on and helps manage retirement plans for corporations, not for profit organizations, individuals and trusts. Jim has extensive experience with over 27 years in the financial services industry. He brings a unique perspective as he has spent a majority of his career working for many of the largest retirement plan providers and on many of the largest retirement plans. As a result, his breadth and depth of knowledge includes all aspects of Defined Contribution, Defined Benefit, ESOP and Non-qualified plans. More specifically, recordkeeping platforms, institutional investments including the development and launch of a target date fund family, fiduciary oversight, stable value portfolios, liability driven investing of defined benefit plans, buy in/buy out strategies of defined benefit plans and comprehensive employee engagement and financial education strategies. Jim was a pioneer and was instrumental in the development of the Institutional Retirement Income market. He has a passion and expertise for helping plan sponsors address the participant’s pre and post retirement needs that is widely recognized. He has extensive experience in plan design optimization through the use of behavioral finance best practices as well as addressing and mitigating a plan sponsor’s fiduciary responsibility and liability. Jim is a popular and frequent speaker at many industry events and conferences and has been quoted and published in the Wall Street Journal, PlanSponsor Magazine, PlanAdviser Magazine and Pension & Investments Magazine. One of his clients was recognized as Plan Sponsor of the Year by PlanSponsor Magazine for their innovation in plan design and employee education, as well as their dedication to delivering optimal participant outcomes in retirement. Jim received the Behavioral Finance Innovator Award for 2016 from the Behavioral Finance Institute for his demonstrated leadership in applying behavioral finance strategies to work toward improving retirement outcomes for clients and employees. He was recognized by the Financial Times as one of the Top 401 Retirement Advisors Nationally for 2016, 2017 and 2018. He was also chosen as a finalist for 2019 Plan Adviser of the Year by PlanSponsor/PlanAdviser. Jim received his Bachelors of Science degree in Corporate Finance from Drake University. He also studied at the University of Delaware as part of the Honors Program. He received advanced education on the application of behavioral finance in retirement plans from the Behavioral Finance Institute and has received the Certified Behavioral Financial Analyst (CBFA) designation. Jim also holds the Accredited Investment Fiduciary (AIF) designation. Additionally, Jim serves on several advisory boards for investment management firms and retirement plan service providers. While growing up in Wyoming, he considers Nashville home. He enjoys playing golf and spending time with his three children Asher, Flannery and Hensley.

Jim is the founder and chairman of Spectrum Investment Advisors and has over 50 years of experience in the retirement plan industry.  He has built Spectrum Investment Advisors with the core idea of using colors to simplify investing and his firm received a patent on the color-coded process in 2010.  Spectrum was named to PLANADVISER’s 2018 Top 100 Retirement Plan Advisers List and was selected as a winner for both the Milwaukee Business Journal’s 2019 Best Places to Work and their 2019 Fastest Growing Firms.  In addition, Spectrum was named the Ozaukee Economic Development 2019 Medium Business of the Year.

My role as one of the partners here at Channel Financial includes treating our client relationships with a high degree of respect, maintaining a highly ethical & trustworthy staff of financial professionals, and guiding individuals in how to achieve their financial goals. Essentially, I take on a role similar to a Chief Retirement Officer (CRO) for the organizations I work for by creating & monitoring comprehensive retirement programs. Being a retirement plan specialist on their team, enables our client to focus on their primary operations. Our clients desire better outcomes for their employees with less effort, less risk, and at a fair cost. I began my financial career with Citicorp in 1984 which is the same year Purple Rain was released (movie & album) and, the first Apple MacIntosh computer was introduced. I worked with other large organizations including American Express, USBank, & RBC Wealth. My path with the retirement plan space began in 1989, the same year the ‘world wide web’ was invented and, the Berlin Wall was torn down. Specialized Education • Masters Business Administration in Marketing, University of St. Thomas • Bachelor of Science in Finance, University of South Dakota • Accredited Investment Fiduciary® • DALBAR Registered Fiduciary™ • Series 7, 63, 26 & 65 registrations and Insurance Licenses I had the privilege to grow up in the shadow of the Corn Palace in Mitchell, SD. From there I went on to attend the Univ of South Dakota, not only as ‘a’ Coyote but, as ‘the’ Charlie Coyote. Over the years, have spent considerable time on west & east coasts with my Midwest roots firmly planted. Minnesota is now definitely called home. Outside the office (with emphasis on outdoors), you might find me on a bicycle, a golf course, on a boat or in the water, or playing hockey with other old guys. Currently I’m living in the Twin Cities with my wonderful fiancé, Kristi.

Doug McIntosh holds the position of Vice President, Full Service Investments within Prudential Retirement, supporting the investment product function for the division, including guaranteed income products. His team sources best-in-class investment solutions for retirement investors, overseeing proprietary and third-party asset managers that deliver on the promise to help Americans retire with dignity. Prior to his current role, Doug held the position of Vice President, Investments within Prudential Annuities, in which he led all aspects of sales support and strategic direction for that division’s investment platform. Before that, Doug held the position of Vice President, Distribution for Prudential International Investments, creating custom income products for the world’s largest asset aggregators. Earlier work within the United States saw Doug in the role of Vice President, Distribution for Prudential IncomeFlex with Prudential Retirement division. Along with distribution and product development, he worked closely with the firm’s Regulatory and Legislative Affairs groups, testifying before Members of Congress and other relevant bodies in Washington, DC to promote understanding and use of guaranteed outcome vehicles within DC plans. Prior to working for Prudential Retirement, Doug was Director, International Sales for Mentor Ophthalmics, a specialty medical manufacturer, where he ran international distribution outside the USA. Doug received a B.A. in English & Communications from Fairfield University, and holds an MBA with Distinction in International Management & Finance from the Johnson Graduate School of Management at Cornell University. He is a board member of the Center for Latino Progress in Hartford CT, and was formerly the chairman of the Pension Board for the Town of West Hartford CT.

Vincent Morris, AIF, PRP, is the President of Resources Investment Advisors, bringing 25 years of industry experience and a passion for solving our country’s retirement crises. As a nationally recognized leader in wealth management and retirement plan advisory, Vince and his team have developed a unique affiliation model, allowing for independent advisors to share resources to the benefit of their clients. He also serves as the President of a successful wealth management and retirement consulting practice, Bukaty Companies Financial Services which was recognized as 2019 Mega Team Retirement Plan Advisor of the Year. Vince has served in several leadership roles, including several NAPA Committees, Retirement Advisor Council and The Retirement University for Advisors. He has been awarded accolades from industry organizations including NAPA, PlanAdviser, PlanSponsor, The 401kWire, The 401k Specialist, Pension & Investments, Institutional Investor, Financial Times and WealthManagement.com. 

Sean Murray is a Principal and Chief Revenue Officer for Retiree Income, where he helps Advisors and Individuals to extend the length of time their assets will last in retirement. Sean has over 25 years experience in the financial services industry serving in a multitude of executive roles for some of the top firms in the asset management space. Prior to joining Retiree Income Sean was a Managing Director with BlackRock and led their Retail Defined Contribution Investment group while also serving on a variety of executive committees across the firm. Before BlackRock Sean established and led the Retail Defined Contribution business for both PIMCO and Goldman Sachs. Sean has also spent time in various sales and marketing roles for Fidelity Investments, Delaware Investments, and Pilgrim Baxter. Sean is a Chartered Financial Analyst and a graduate of the University of Pennsylvania. Sean lives with his wife Jennifer and their 3 sons in Laguna Beach, CA.

Joan M. Neri has been representing plan sponsors and plan service providers on matters involving benefits, compensation and all aspects of ERISA compliance since 1988. Joan counsels employers, management and plan fiduciary committees of publicly held corporations, closely held corporations, U.S. affiliates of foreign corporations, and tax-exempt organizations on their fiduciary compliance responsibilities. She advises on the design of qualified retirement plans (including ESOPs), nonqualified executive compensation plans and welfare benefit plans, day-to-day plan administrative issues, and transaction planning involving benefit plan acquisitions, plan mergers and plan terminations. Joan represents plan service providers (including registered investment advisers, broker-dealers, third party administrators, and recordkeepers) in fulfilling their obligations under ERISA, including fiduciary status and the considerations associated with structuring, developing and offering investment products and services to ERISA plans. She is a frequent speaker throughout the country on legislative and regulatory developments impacting service providers to ERISA plans, ERISA fiduciaries and employee benefit plans and has authored numerous articles on these topics. Joan is a contributor to Drinker Biddle’s Broker-Dealer Law Blog, which provides practical insights on litigation, regulatory, compliance and fiduciary issues impacting broker-dealers.

Based in Boston, Massachusetts, Kelley Palmer, Marketing Director in Retirement Optimization, is responsible for developing new participant solution strategies and improving the retirement readiness of all John Hancock Retirement Plan Services participants. John Hancock Retirement Plan Services is a major retirement plan provider serving businesses of all sizes, from entrepreneurial companies just starting a plan for the first time to some of the largest organizations in the country that require total retirement outsourcing services. Kelley has acquired more than 20 years’ experience in marketing and over 10 years’ experience in the financial services industry. Prior to joining John Hancock, Kelley was with Commonwealth Financial Network and Financial Engines from 2011 to 2015 as Senior Communications Manager. Kelley earned an MBA from Simmons School of Management as well as a BA in Psychology from Wheaton College.

Ty is a Partner and Practice Leader of Cerity Partners’ Retirement Plan Services Group where he specializes in helping public, private and nonprofit organizations design “blue ribbon” retirement plans. His areas of expertise include plan design, fiduciary governance, vendor management and Fiduciary Based Investment Consulting™. As a twenty-four year veteran of the retirement plan industry, Ty was instrumental in the design of Cerity Partners proprietary Plan Health Smartcard™ scoring system that helps plan sponsors  quickly quantify the overall health of their retirement plans relative to peers. In addition, he created the Blue Ribbon Retirement Plan Award™ that recognizes plan sponsors who have embraced industry best practices and given their employees a clear path to achieving retirement readiness. Prior to joining Cerity Partners, Ty was a Managing Partner and Senior ERISA Consultant with Blue Prairie Group, where he led the Institutional Retirement Practice Group and worked with their largest retirement plan clients. Earlier in his career, he honed his investment knowledge as a Key Account Executive with RidgeWorth Investments and built the firm’s defined contribution investment-only business. Ty was also the Institutional Business Development Officer at SunTrust Bank, focusing solely on helping Fortune 1000 companies with their retirement plans. He began his career at Great-West Life as an employee benefits specialist. Ty earned his Bachelor of Science in Business Administration from the University of Florida – Warrington College of Business with a concentration in finance. He holds the Certified Investment Management Analyst® (CIMA®) certification and the Certified 401(k) Professional – C(k)P™ designation from UCLA Anderson Executive Education. He is a member of the Retirement Advisor Council and a frequent speaker at industry conferences. Ty has been recognized as one of the top retirement plan advisors in the country by 401(k) Specialist Magazine.

Sean is a Founding Partner of Westminster Consulting, where he currently works with corporate, non-profit and foundation clients. Sean is involved in the local community through his memberships in Rochester Rotary. He is also the Past-President of the Board of Directors for Camp Haccamo, a Rotary Camp for individuals with disabilities. In addition, over the last 15 years Sean has served as the Chair of the Breast Cancer Coalition of Rochester’s ‘Tee’d Off at Breast Cancer Golf Tournament. Before founding Westminster Consulting, Sean helped develop the Private Client Group and Qualified Plan Consulting Group practices at Prudential Securities, Inc. Sean began his career in the financial services industry at Dean Witter in Rochester, NY, where he focused on the analysis of mutual funds and the impact on returns. Sean received his bachelor’s degree from the University of Dayton and earned his designation of Accredited Investment Fiduciary (AIFâ), from the Center for Fiduciary Studies, in association with the University of Pittsburgh. As a former hockey player, Sean has applied his love for the sport to coaching a travel team for more than 20 years. Sean resides in Penfield, NY with his wife Donna and their three children.

Daniel J. Peluse joined Wintrust in 2013 as Director of Retirement Benefits and has been working in the financial services industry since 2001. He began his career at Morgan Stanley Smith Barney, where he specialized in retirement plans—specifically in the areas of Defined Contribution and Defined Benefit plans. Dan has been recognized for multiple honors by PLANSPONSOR Magazine, including being named a finalist for ‘Retirement Plan Adviser of the Year’ (2014, 2015, 2016, 2017 & 2019), one of five finalists for ‘Retirement Plan Adviser Team of the Year’ (2011), as well as one of their ‘Top 100 Advisers’ from 2010-2019. Dan graduated from Elmhurst College with a degree in Finance and has earned the designation of Certified 401(k) Professional (C(k)P) from The Retirement Advisor University and the Anderson School of Management at UCLA, Chartered Retirement Plan Specialist (CRPS) from the College of Financial Planning, Certified Plan Fiduciary Advisor (CPFA) from the National Association of Plan Advisors, Accredited Investment Fiduciary (AIF) from the Center for Fiduciary Studies, and Certified Behavioral Finance (CBFA) Analyst through Allianz Investments and Professor Shlomo Benartzi of the Anderson School of Management at UCLA. Dan most recently has attained the Certified Health Savings Advisor (CHSA) designation as well.  Dan holds FINRA Series 7, 63, and 65 Licenses, as well as Life and Health Insurance Licenses. Dan resides in New Buffalo, MI with his wife Ashley.

Jeffrey Petrone is the Managing Director for SageView Advisory Group’s Florida office. His primary focus is helping clients navigate the challenges of managing qualified and nonqualified retirement plans including 401(k) plans, 403(b) plans and various other defined contribution and defined benefit plans. His responsibilities include advising clients on plan design, compliance, and in-depth investment consulting issues. Jeff has dedicated over 18 years to improving retirement plans and provides thought leadership to some of the largest retirement plan administrators in the country by serving on their financial advisory boards. Throughout his career, Jeff has been recognized as a leader by several organizations. In 2014 and 2018, Jeff was recognized in NAPA’s “Top 50 under 40.” In 2010, Jeff was recognized by 401k Wire as one of the “300 Most Influential Advisors in Defined Contribution” and named as one of the Top 100 Retirement Plan Advisors by PlanAdviser Magazine. The South Florida Business Journal named Jeff as one of the Top 40 Business Professionals in south Florida for 2012.

Rhonda Prussack is Senior Vice President and Head of Fiduciary and Employment Practices Liability at Berkshire Hathaway Specialty Insurance.  Ms. Prussack has been with BHSI for the last five of her twenty-nine years in the insurance industry.  In her extensive career, Ms. Prussack has developed and brought to market state-of-the-art policy forms and innovative coverages for corporations, organized labor, municipalities, and not-for-profits.  She also oversees pricing, profitability, and underwriting of fiduciary and employment practices liability insurance products.  Early in her career Ms. Prussack had roles at Dean Witter, Johnson & Higgins, and the New York City Employees’ Retirement System.  She has written articles for and been quoted in many publications and is a frequent speaker at ERISA, employment practices, and executive liability seminars around the U.S. and Canada. Ms. Prussack is originally from Brooklyn and is based in New York.

Robert J. Rafter is the head of RJR Consulting and affiliated with the Retirement Learning Center, a firm that specializes in offering retirement and rollover business-building solutions to large financial institutions. In addition, Mr. Rafter is a founding lecturer at UCLA Anderson School of Management — The Retirement Advisor University, where he taught a fiduciary standard of care course. Previously, Mr. Rafter served as senior vice president and director of Institutional Corporate Retirement Services at Smith Barney. In his 23-year tenure with the firm, he developed and taught the fiduciary standard of care course for the Wharton School’s Certified Investment Management Analyst (CIMA) designation program for Consulting Group Directors at Smith Barney. Mr. Rafter has also developed numerous fiduciary standard of care continuing education courses for lawyers and accountants, including a course for Citigroup’s Private Bank Law Firm Division. In addition, he has developed and taught an online version of the ERISA fiduciary standard of care course for lawyers nationwide. Mr. Rafter is a lawyer with deep experience and expertise in fiduciary matters. He is an author and frequent public speaker on fiduciary standards, risk management, investment advice and related subjects. He has chaired numerous industry conferences on the corporate retirement plan challenges currently facing employer sponsors, plan fiduciaries and financial institutions. He was a standing member of the Investment Company Institute’s Pension Committee. A graduate of the University of California at Berkeley and the Fordham University School of Law, Mr. Rafter is a member of the New York State Bar and Federal Bar. 

Jeff Roberts serves as the national new business manager for ADP’s Executive Deferred Compensation practice which administers over 140 non-qualified plans with $8.5 billion in plan liabilities across 21,000 executive accounts. Jeff works with clients and prospects to develop, review and refine executive total rewards strategies which drive recruitment, retention and performance of the key employees who are responsible for business success

Jim Sampson is Director, Retirement Advisory Services of Hilb Group Retirement Services (formerly Cornerstone Retirement Advisors), and has served the retirement plan industry for more than 20 years. Prior to joining Cornerstone in 2009, Jim served as the Director of Retirement Services at Telamon Insurance & Financial Network for six years. He also spent five years as a Pension Sales Consultant with Transamerica Retirement Services and two years as a Benefits Analyst with a local third-party administrator, George Beram & Company.

Kelli leads the Firm’s MoneyAdvice@Work^® Team, a company-sponsored financial wellness benefit that connects employees with down-to-earth financial advisors who educate, advise, and coach on any money matter…without the sales pitch. Kelli brings over thirty years of financial services experience to the team including over twenty-six with the Francis team.  She holds a Bachelor of Arts Degree in Business Administration – Marketing from Michigan State University and a Master of Education from Carroll University specializing in Adult Education.  She is responsible for all aspects of financial wellness programming, including curriculum development, design of education programs, and delivery of face-to-face and remote personal money advice.  She has extensive experience in training and public speaking engagements and has authored research on the impact of workplace financial education programs on 401(k) participant rates of return.  She holds a Certified Financial Planner (CFP^®) designation.

Brett is an Accredited Investment Fiduciary working at American Portfolios and is currently enrolled in the TRAU Retirement Advisor University program, the first retirement planning certification program associated with a nationally recognized institution of higher learning, offered through UCLA’s Anderson School of Management. He has been on several National Advisory Boards of top 401k providers such as Prudential, ING and Alliance Bernstein. He is a frequent speaker at client and industry events and conferences. Before joining American Portfolios in 2001, Brett was Vice President of Retirement Consulting for 401k Exchange, an industry research firm.  He assisted employers with the implementation of Qualified Plans in the State of Florida. Prior to 401k Exchange, Brett was with Ivy Funds, an investment management firm specializing in global money management. Brett began there as a Regional Vice–President advising RIA channels and Broker-Dealers such as Merrill Lynch and Morgan Stanley within a multi-state region. His duties evolved into a Senior Institutional Analyst position where he began working with large defined benefit clients such as Walmart and Auto Nation. Brett helped develop the infrastructure of the Institutional Marketing Department, working closely with the Chief Investment Officer to offer institutional money management services. Brett began his financial services career at A.G. Edwards & Sons, an investment banking and brokerage firm in Santa Barbara, California, as a college student. Brett had undergraduate studies at both UCLA and UC-Santa Barbara, culminating with a Bachelor’s Degree in English from UC-Santa Barbara. Brett has a passion for sports and has extended his interest in golf into serving as a Board Member for 6 Degrees Golf –www.6degreesgolf.com.

Katie Taylor is vice president of Thought Leadership for Fidelity Investments, a diversified financial services firm that makes retirement planning accessible to 23 million customers – from people investing their life savings, to businesses managing their employee benefits, to advisors investing their clients’ money.  As vice president of Thought Leadership, Katie is responsible for helping to shape and define Fidelity’s point of view on workplace retirement and benefit trends. This work is used by, employers, employees, advisors, policymakers and the media to drive better outcomes for American workers. Katie joined Fidelity in 2000 and has held several leadership positions within Fidelity’s Workplace Investing business. Prior to her current role, she managed the strategy and execution of client and prospect campaigns designed to engage retirement plan sponsors.  Katie received her bachelor and master of business degrees from University of Massachusetts at Amherst. 

Roberta Ufford is a Senior Special Counsel in the Analytics Office of the SEC’s Division of Investment Management. The Analytics Office monitors trends in the investment management industry and carries out the Division’s outreach and examination program. Ms. Ufford also contributes to the work of the Division’s Rulemaking Office.  Before joining the SEC in 2015, Ms. Ufford was a principal of the Groom Law Group, Chartered, located in Washington, D.C., where she advised retirement plan sponsors and service providers about fiduciary and other issues arising under ERISA, federal securities laws and other laws. She earned her law degree from the George Washington University National Law Center, in Washington, D.C., graduating with High Honors, and her undergraduate degree from Goucher College, in Towson, Maryland.  Before attending law school, she served as an active duty military intelligence officer in the U.S. Army, attaining the rank of Captain

Mick is responsible for new business development in the major and national account markets for retirement recordkeeping solutions. As a Retirement Services Major Accounts Sales Executive, Mick is focused on defined contribution plans for plan sponsors, with a primary focus on plans with assets from $1 to $100 million. He also works closely with retirement plan advisors and consultants supporting their needs for obtaining successful retirement plans for their clients. Mick has over 15 years of financial services experience and has held positions with ADP’s Retirement Services business since 2016. Mick has a BS in Finance from the University of Phoenix, Baltimore, MD, and a Master of Human Resource Management and Development from the University of Denver, Denver CO. He holds FINRA Series 7 and 63 licenses. He also maintains registration for Chartered Retirement Plan Counselor (CRPC®) and Accredited Retirement Plan Consultant (ARPC®) designations. From plan design and implementation to driving participation, improving plan health and beyond, ADP provides the support, tools, and access needed to help plan sponsors, their employees and advisors navigate the journey to retirement success. ADP’s retirement plan solutions are aimed at providing plan sponsors with a solution that is easy to manage, aligned with their interest, and focused on the retirement readiness of their participants.