EVENT DETAILS

 
WHERE

Omni Star of Frisco Hotel, Frisco, Texas

WHEN

October 03, 2019

07:30 AM to 04:05 PM

 

AGENDA OVERVIEW

Topics:

  • The Memory Switch
  • Tales That Will Make You Laugh and Cry
  • Before You Crunch the Numbers
  • Investment strategies driven by algorithms that can take human emotions out of the investing process.
  • Industry Insight from JULY Leaders
  • How to avoid a crisis in the DC market
  • Why 58% of Plan Sponsors Offer Managed Accounts

Sponsors:

  • American Century Investments
  • American Funds
  • Beaumont Capital Management
  • Broadridge Matrix
  • Charles Schwab
  • Dimensional
  • Fidelity Investments
  • First Trust
  • GSM
  • J.P.Morgan
  • John Hancock
  • lnvesco
  • Manning & Napier
  • Mid Atlantic Capital Group
  • Penchecks
  • Pershing
  • Stadion
  • T. Rowe Price
  • Tandem Wealth Advisors
  • Vantagepoint Funds
 
 
 
 

Registration / Breakfast

07:30 AM - 08:00 AM

Welcome / Opening Remarks

08:00 AM - 08:15 AM Speaker : John Humphrey

JULY Panel Discussion

08:15 AM - 08:45 AM Speaker : Todd Lacey

Industry Insight from JULY Leaders

John Humphrey, Blake Willis and Sheri Baker share unique industry perspective and insights on the retirement plan business.
 

The Coming DC Storm?

08:50 AM - 09:20 AM Speaker : Jonathan Young

How to avoid a crisis in the DC market

Americans are under-saved, and equity return expectations are declining. Challenges lie ahead in the DC space. But how can you help investors weather the crisis?  Key takeaways from this session will be 1) The types of investments that can help participants in volatile markets, 2) The downside of the race to zero fees, and 3) Next-gen features to help participants build stronger balances.
 

Market Update

09:25 AM - 09:55 AM Speaker : Emily Roland

Networking Break (Sponsored by American Century)

09:55 AM - 10:15 AM

What's in Your Vault? (DOL Audit)

10:15 AM - 10:45 AM Speaker : Timothy Friday

Advisor Opportunities in the HSA Space

10:50 AM - 11:20 AM Speaker : Larry Bohrer

Embracing Innovation

11:25 AM - 11:55 AM Speaker : Todd Lacey

Why 58% of Plan Sponsors Offer Managed Accounts

Managed accounts are an investment service that makes personalized asset allocation a reality for participants. Technology can deliver personalized investment allocations in a scalable way to every plan participant – regardless of plan size or participant account balance. Given today’s fiduciary landscape, managed accounts are becoming broadly offered by plan sponsors and advisors.
 

Lunch (Sponsored by Pershing)

11:55 AM - 12:55 PM

Keynote Introduction (Broadridge Matrix)

12:55 PM - 01:05 PM Speaker : Robb Beall

Keynote Speaker, Matthew Goerke, The Memory Switch (Sponsored by Broadridge Matrix)

01:05 PM - 02:05 PM Speaker : Matthew Goerke

The Memory Switch

Matthew Goerke is regarded as one of America’s leading experts in the field of Memory Development. He has shared with thousands of business professionals from all walks of life the techniques for developing an instant recall memory with results that can only be described as amazing. Matthew has worked with such well know speakers as Zig Zigler, Ed Forman, Vic Conant and Tony Robbins. He has trained executives from corporations including AT&T, Prudential, Exxon, Wells Fargo, Merck Pharmaceutical and Coldwell Banker, and government agencies such as the United States Postal Service and the Defense Department.
 

Missing Participants & Uncashed Checks

02:10 PM - 02:40 PM Speaker : Scott Okrasinski

Tales That Will Make You Laugh and Cry

We’ll cover everything you ever wanted to know about missing participants and uncashed checks (and more)! You’ll learn about the problems they cause, what guidance exists to deal with them, and best practices you should employ. You’ll be regaled with missing participant tales – it will be an emotional whirlwind that will make you laugh and cry. Finally, we’ll even tell you how to grow your business with missing participants.
 

Networking Break (Sponsored by Stadion)

02:40 PM - 03:00 PM

Visualize Retirement

03:00 PM - 03:30 PM Speaker : Stuart Ritter

Before You Crunch the Numbers

Visualize Retirement addresses the one planning need that many preretirees don’t even know they have: preparing for the non-financial side of retirement.
 

Machine Learning/Artificial Intelligence in the Asset Management World

03:35 PM - 04:05 PM Speaker : Brendan Ryan

Investment strategies driven by algorithms that can take human emotions out of the investing process.

 

Closing Remarks

04:05 PM - 04:15 PM Speaker : John Humphrey
 

SPEAKERS & SPONSORING ATTENDEES

 
Matthew Goerke

Linkedin Matthew Goerke, Memory Expert and Professional Speaker

The Memory Switch Program

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Matthew Goerke is regarded as one of America’s leading experts in the field of Memory Development. He has shared with thousands of business professionals from all walks of life the techniques for developing an instant recall memory with results that can only be described as amazing.Matthew has worked with such well know speakers as Zig Zigler, Ed Forman, Vic Conant and Tony Robbins. He has trained executives from corporations including AT&T, Prudential, Exxon, Wells Fargo, Merck Pharmaceutical and Coldwell Banker,and government agencies such as the United States Postal Service and the Defense Department. Matthew has also had a tremendous impact in educational settings, having personally trained thousands of students and teachers at all academic levels.

Matthew is the developer of the “Memory Switch Program” the most utilized program of its kind ever developed and for that reason is a sought after guest and has appeared on hundreds of radio and television talk shows.

His live workshop entitled “The Memory Switch” will instruct people in the new advances in memory technology as well as help them gain insight into how these methods are in direct alignment with helping people achieve both business and personal goals.

“There is no such thing as a bad memory just an untrained one.”

Scott Okrasinski

Linkedin Scott Okrasinski, VP National Sales

Penchecks

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Scott is the Vice President, National Sales Director for PenChecks Trust Company of America.  At PenChecks Trust, he is responsible for leading the national sales team in educating TPAs, Advisors, and Plan Sponsors about the best practices to handle missing and non-responsive participants.  In addition, he is responsible for driving the company’s strategies and offerings around benefit distributions, uncashed checks resolution, abandoned plans, participant communications, and involuntary automatic rollover IRAs with the retirement industry.
Stuart Ritter

Linkedin Stuart Ritter, Retirement Insights Leader

T. Rowe Price

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Stuart is the retirement insights leader for T. Rowe Price U.S. Intermediaries. He helps develop the firm\'s expertise on major topics that impact the retirement industry. He has served in a variety of roles related to retirement thought leadership and product development, including his time as a senior vice president with PNC Financial Services Group, and is a frequent speaker at client and industry events as a retirement subject matter expert. He also serves as a company spokesperson to national media organizations.

Stuart earned an M.A. in political science from American University and a B.S. in electrical engineering from the University of Maryland College Park. He is a CERTIFIED FINANCIAL PLANNER™ professional; is a Series 6, 7, and 66 registered representative; and has taught personal finance as an adjunct faculty member at Johns Hopkins University. He is on the Boards of MakingChange and the Maryland Council on Economic Education, nonprofit community organizations that support financial education.

Brendan Ryan

Linkedin Brendan Ryan, Assistant Portfolio Manager

Beaumont Capital Management

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Brendan’s primary responsibilities include being an Assistant Portfolio Manager for BCM and serving on the BCM investment committee. Additionally, he is responsible for assisting with trading of the BCM strategies, operational support and special projects as needed. He currently holds the Series 65 securities license and is a CFA® Charterholder.

Prior to joining BCM full-time, Brendan also worked in the firm’s wealth management division, where he focused primarily on fundamental equity research. Prior to joining the firm, Brendan had spent time working for Brown Brothers Harriman & Co. after receiving his B.A. in Economics from Boston College.

John Humphrey

Linkedin John Humphrey, President and CEO

JULY

jhumphrey@julyservices.com

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John co-founded JULY in 1994. As CEO, he is responsible for setting the firm’s vision and providing top-level leadership of the organization. This includes developing and implementing JULY’s strategic plan, overseeing the company’s financial plan, developing key advisor and institutional relationships, and creating high-level staffing plans to serve clients and achieve goals. Prior to joining JULY, John practiced as a CPA with several national accounting firms, including Ernst & Young in Dallas. He is also involved in software development, product development, process improvement, team building, and providing strategic management support to JULY’s overseas outsourcing company. John’s passion for his work helps support JULY’s overall vision of Building Retirement Security and fosters a company culture of innovation, quality and caring. John graduated from Baylor University with a Master of Taxation. He is a member of ASPPA (the American Society of Pension Professionals & Actuaries), served as past President of the ASPPA Benefits Council of Central Texas, and is an Alumni of Leadership Waco. Away from work John enjoys spending time with family, traveling, kayaking, fishing, and watching Baylor sports.
Todd Lacey

Linkedin Todd Lacey, Chief Business Development Officer

Stadion Money Management

Todd.Lacey@stadionmoney.com

706.583.5208

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Todd Lacey is the Chief Business Development Officer (CBDO) of Stadion’s retirement business. Todd is responsible for overseeing the relationships with current retirement recordkeeping partners as well as identifying and developing new channels of distribution and product development within the retirement business. Prior to joining Stadion, he held various roles at AEGON/Transamerica including EVP of Strategy & Corporate Development for Investments & Retirement, EVP of Business Development for the US retirement business and Senior Managing Director of Latin America. Prior to Transamerica, Todd was Founder & President of The (k)larity Group, a retirement plan advisory firm that was one of three finalists for the 2010 Plan Sponsor Retirement Plan Adviser Team of the Year Award. 
Jonathan Young

Linkedin Jonathan Young, Senior Vice President, Senior National Accounts Manager

American Funds

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Jonathan Young is a senior national accounts manager at American Funds, part of Capital Group. He has 28 years of investment industry experience and has been with Capital Group for 25 years. Prior to joining Capital, Jonathan was an investment representative with Paine Webber. He holds a bachelor’s degree in speech communication from Old Dominion University. He also holds the Accredited Investment Fiduciary® and Professional Plan Consultant™designations. Jonathan is based in Chesapeake, Virginia.

Emily Roland

Linkedin Emily Roland, Head of Capital Markets Research

John Hancock

617-663-2161

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Emily leads the capital markets research function for John Hancock Investments. She is responsible for developing and delivering timely market and economic insight to financial advisors and institutional investors across the country. Emily has been featured on Bloomberg radio and is quoted regularly in the financial press, including the Wall Street Journal, Reuters, and Institutional Investor.

In developing the firm’s view, Emily works closely with John Hancock Investments\' world class network of portfolio managers, economists, and independent strategists to obtain real time investment insights. She directs the division’s internal research process, leading the group’s effort to consolidate and analyze macroeconomic, fundamental, and technical research across the network. She and her team leverage this work to develop the John Hancock Investments’ quarterly outlook piece, Market Intelligence.

Emily joined the company’s investments division in 2004 and has held several positions in product management, competitive intelligence, and market & industry research over the past 14 years. Prior to joining John Hancock, she held roles at GMO and the Boston Stock Exchange. Emily holds an MBA from Boston College and a BBA from James Madison University. She is a Certified Investment Management Analyst designee.
Timothy Friday

Linkedin Timothy Friday, Group CEO

Mid Atlantic Capital Group

tfriday@macg.com

1.800.693.7800 x374

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Tim has been in the financial services industry since he was graduated by the John Carroll University, Cleveland, OH in 1984.

His career began with Federated Investors, Inc. where he worked with banks, savings and loans, and trust departments representing asset management and trust investment services. From there, he spent time with Mellon Bank in the global cash management division where he consulted for Fortune 500 companies in New York and Connecticut.

Tim also held various management positions with the Federal Home Loan Bank and Bisys Fund Services where he concentrated on raising bank capital and lending services as well as product management and delivery of investment products to the institutional buy-side of the street.

In 1995, he co-founded Mid Atlantic Institutional Shares, Inc. ("MAIS") where he was president and CEO. MAIS quickly became one of the most prominent trading platforms in the nation that focused on the TPA, corporate, and trust department marketplace. It grew to over $30 billion in client assets under administration. In November 2002, Mid Atlantic Institutional Shares, Inc. was sold to SunGard and combined its product and services with SunGard’s STN Funds where Tim then served as president.

In 2004 Tim, along with several other key industry figures, developed what is known today as Mid Atlantic Financial Platforms, Inc. ("MAFP") – the institutional trust arm of Mid Atlantic Trust Company. This company was designed to complement the services MAIS had offered to its TPA and trust clientele. It currently offers directed trustee, custody, sub-custody, paying agent, and reporting services for the retirement and trust space. Today, this custody platform serves over 40,000 institutional retirement plans.

On March 1, 2008, MAFP was fully merged into the Mid Atlantic group of companies.

Tim now serves on the executive committee of the Mid Atlantic Capital Group of companies and as president of Mid Atlantic Trust Company.

Larry Bohrer

Larry Bohrer, VP Corporate Brokerage Retirement Services

Charles Schwab

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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.
Robb Beall

Linkedin Robb Beall, Vice President, MSCS Sales, Retirement

Matrix Financial Solutions

Robb.Beall@broadridge.com

720-956-5404

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Robert Beall is a Vice President for Matrix Financial Solutions, a Broadridge Financial Solutions company (NYSE: BR). Matrix is a leading provider of TrueOpen™ retirement products and services for third party administrators, financial advisors, banks and other financial professionals. Matrix serves more than 400 financial institutions with over $425 billion in customer assets processed through its trading platform.

As a Vice President of Sales, Robb has helped establish Matrix as one of the leaders in providing back-office products and services to the financial services industry, including its award-winning mutual fund and ETF trading platform and custodial services. Since becoming one of the lead sales and relationship managers, Matrix has consistently achieved year-over-year growth and outstanding customer satisfaction.

Robb has worked in the Financial Services industry for over 27 years.  Mr. Beall received B.A. in Marketing from the Metropolitan State University of Denver and holds the following designations: FINRA Series 7, 66.


 

SPONSORING COMPANIES

American Century Investments

American Century Investments is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, American Century Investments’ 1,300 employees serve investment professionals, institutions, corporations and individual investors from offices in New York; London; Hong Kong; Mountain View, Calif.; and Kansas City, Mo. Jonathan S. Thomas is president and chief executive officer, and Victor Zhang and David MacEwen serve as co-chief investment officers. Delivering investment results to clients enables American Century Investments to distribute over 40 percent of its dividends to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization. The Institute owns more than 40 percent of American Century Investments and has received dividend payments totaling nearly $1.3 billion since 2000. For more information about American Century Investments, visit americancentury.com.

American Funds

The Capital Group values the important role that the investment consultant community plays in the institutional marketplace. Our consultant relationship team is dedicated to cultivating these long lasting partnerships.

Beaumont Capital Management

Beaumont Capital Management delivers rules-based growth strategies to financial professionals, institutions and retirement plans; as well as individual investors through specific referral programs. We offer a range of strategies composed of simple, low-cost ETF portfolios that seek to meet investors’ varying needs and risk tolerances. We focus our business activities and the execution of our strategies on providing both financial and emotional sustainability to clients.
We are all human. We all have emotions. Emotions do not belong in the investment decision process. So we created rules-based processes to power our buy and sell decisions so our clients don’t have to.

Broadridge Matrix

In today’s highly competitive and ever-changing financial services climate, professionals face significant challenges including client retention, transparency, operational efficiency, and keeping pace with regulatory change. Clear data combined with effective processes and procedures enable firms to turn these challenges into opportunities – and enable quick, informed and accurate decisions which translate into client loyalty and new business growth.
Matrix Financial Solutions, a Broadridge company, is the leading independent provider of TrueOpen™ products and services for financial professionals, including third party administrators, recordkeepers, financial advisors, broker/dealers, mutual fund providers, insurance providers, and banks, among others. Our expertise and experience is in working with our clients to turn today’s challenges into opportunities, by first understanding your needs and then delivering the right solution set to help you grow your business and help stay ahead of the compliance curve.
With more than 350 financial institutions processing more than $300 billion through our funds trading platform – combined with Broadridge’s (NYSE:BR) more than 50 years experience processing securities and industry role in executing more than 75% of all US fixed income trades – we are well-positioned to deliver efficient, objective trading and support services to promote the growth of your business.

Charles Schwab

For more than 25 years, Charles Schwab Investment Management has been driven by a single goal: give investors what they want and need?—?without confusion. We offer clear and focused objectives, a commitment to transparency, and a consistent approach to investing. Our mission is to provide investment professionals and their clients with quality and value in an ever?-?changing market and industry.

Dimensional

Dimensional is a global investment manager dedicated to implementing the great ideas in finance. Founded in 1981, we have a long history of applying academic research to practical investing. Today, we offer a full range of equity and fixed income strategies designed to target higher expected returns. We regard the assets we manage as more than just shares in a portfolio. The money represents the savings, sacrifice, and dreams that investors have entrusted to us. We take this responsibility seriously.

Fidelity Investments

Fidelity’s specialized Defined Contribution Investment Only (DCIO) sales team is committed to delivering the resources that drive your success. Consider the full range of Fidelity products and services, as well as our consultative and collaborative approach, as you build your retirement business.

First Trust

First Trust Portfolios L.P. and its affiliate First Trust Advisors L.P. (collectively "First Trust") were established in 1991 with a mission to offer investors a better way to invest. At First Trust, we are single-minded about providing trusted investment products and advisory services. We\'re inspired every day by how financial advisors and their customers use our products and services to define goals, solve problems and develop long-term strategies.

GSM

Your website, collateral, video, email, social and event presence say a lot about your personality, quality, and capabilities, but do they promote what differentiates you? Do they give prospects reasons to connect with you? Most importantly, do they help you achieve your goals? GSM Marketing helps investment and retirement plan professionals stand out through content and campaigns that help them earn relationships. We’re also proud to host “Committed To Outcomes,”  an industry-wide workgroup promoting messages about saving for retirement.

J.P.Morgan

J.P. Morgan is a global leader in financial services, offering solutions to the world\'s most important corporations, governments and institutions in more than 100 countries. The Firm and its Foundation give approximately US$200 million annually to nonprofit organizations around the world. We also lead volunteer service activities for employees in local communities by utilizing our many resources, including those that stem from access to capital, economies of scale, global reach and expertise.

John Hancock

John Hancock, the man, was a revolutionary, but the company that bears his name is a bit less fiery. John Hancock Financial Services offers life insurance, wealth management, and other services. Its insurance products include variable, universal, and term life insurance, along with long-term care insurance. John Hancock's wealth management products include annuities, mutual funds, and 401(k)s. One of the US's largest investors, John Hancock offers institutional asset management services, providing clients with specialty funds in such industries as timber and agriculture. It has more than $185 billion in funds under its management. First established in 1862, John Hancock is owned by Canada's Manulife.

lnvesco

Invesco is an independent investment management firm dedicated to delivering an investment experience that helps people get more out of life. We are privileged to manage more than $972.6 billion in assets on behalf of clients worldwide (as of January 31, 2018 ). We have specialized investment teams managing investments across a comprehensive range of asset classes, investment styles and geographies.

Manning & Napier

As a committed partner for more than 20 years, we strive to provide ongoing resources and expertise to advisors. Our priority, above all, is helping advisors manage real-world risks and meet the needs of their clients. Through our broad array of thought leadership, practice management tools, and ultimately, our investment products, we are able to find solutions that best fit your practice.

Mid Atlantic Capital Group

For more than 25 years, Mid Atlantic Capital Group, Inc. (Mid Atlantic) has supported investment professionals and financial organizations with tools to help attract, grow, and retain assets. Mid Atlantic companies provide a broad array of sophisticated financial products, technology and support services to, registered representatives, investment advisors, and other financial intermediaries including retirement plan TPAs, bank trust departments, other independent broker-dealers, and insurance companies.

Penchecks

PenChecks Trust is the largest independent provider of outsourced benefit distribution services and auto rollover IRAs. With 20+ years in business, PenChecks helps TPAs, Advisors, Providers, and Plan Sponsors with a variety of issues they face in managing retirement plans.  Services include solutions for Benefit Payment Processing and Tax Remittance, Auto Rollover IRAs for Non-Responsive &Missing Participant, Uncashed Check Resolution, 1099-R Only, Abandoned Plan Administration (QTA), Participant Search, and Participant Notifications.

Pershing

Pershing provides global financial solutions to advisors, asset managers, broker-dealers, family offices, fund managers, registered investment advisor firms and wealth managers. You can read more about the Pershing family of companies here.
As a business-to-business provider, we help our clients power their business and maximize opportunities. Our clients are leaders in their fields and they choose Pershing because we are a leader in ours.

Stadion

Our goal has always been the same: help investors, through their financial advisors, invest with confidence and ease. Explore our retirement plan solutions, mutual funds, separately managed accounts, and more.

T. Rowe Price

T. Rowe Price Group, Inc. has been managing money since 1937 and, today, stands as a leading provider of investment management services. We offer providers a broad array of active U.S. and non-U.S. equity and fixed-income strategies, through both retail and institutional mutual funds. We emphasize proprietary, fundamental research; close attention to risk management; and consistency of style. We believe that by doing so, we can continue to provide the solid, long-term risk-adjusted performance investors have the right to expect.  A financially sound, independent organization with strong employee ownership, T. Rowe Price Group, Inc. has $1.125 Trillion in assets under management as of June 30, 2019.

Tandem Wealth Advisors

We are ETF strategists. We offer a simple yet powerful alternative to mutual funds and packaged 401(k) investment products: four professionally managed, risk-based exchanged-traded fund portfolios.
Tandem's structured, disciplined approach leads to better performance through lower fees and less portfolio turnover. Combined with proven strategies and risk management techniques, Tandem ETF Portfolios allow advisors to grow their business and deepen client conversations. Partnering with Tandem means advisors can help participants understand their risk comfort levels and personal performance to reach their goals.

Vantagepoint Funds

We believe that in addition to traditional investment approaches such as diversification, asset allocation, and a long-term perspective, a multi-manager approach and investment style serve investors who are working to build retirement security.
In a multi-managed approach, managers with different but complementary investing approaches are selected and integrated within a single fund in proportions that are expected to optimize return relative to risk. We believe this not only increases diversification but also may improve the consistency of returns over time by eliminating reliance on the results of a single manager.

 
 

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