General Inquires
Marlene Jung


9:00 Golf Tournament (sponsored by Enterprise Iron)
1:00 - 8:00 Registration
5:30 - 7:30 Cocktail Reception with Exhibitors


7:30 - 8:30 Registration & Continental Breakfast with Exhibitors
8:30 - 8:45 Welcome and Opening Remarks
Kevin Crain, Managing Director Plan Participant Solutions,
Institutional Retirement, Philanthropy & Investment, Bank of America Merrill Lynch
8:45 - 9:45 Marketplace Update
The Forum begins with Bob Wuelfing’s popular Marketplace Update. He will discuss data on the size and segmentation of various market segments and outline key trends affecting service providers and advisors. He will also provide commentary and projections on the “outsourcing” market. Bob will be joined by Ron Bush of Brightwork Partners, who will review key findings from the firm’s recent study of retirement plan TPAs. Ron will address such issues as firm consolidation, new fiduciary and investment advisory services, disclosure of revenue sharing from providers and how TPAs select the record keeping and investment partners they work with.
Bob Wuelfing, President, RG Wuelfing & Associates, Inc.
Ron Bush, Principal, Brightwork Partners
9:45 - 10:15 Break with Exhibitors
10:15 - 11:15 SESSION A - Administrative Challenges Surrounding 403(b) Loans and Distributions
This session will review the administration process for loans from 403(b) plan accounts. Among the questions that will be addressed are: Should there be a universal certification for approving all types of distributions and how do TPAs determine which ones need to be authorized or not?
Angela Hoteling, Chief Compliance Officer, The Omni Group
Ralph DelSesto, Head of TPA Sales & Support Strategy, 401(k) & 403(b)
Markets, ING

SESSION B - Maximizing the Value of Your Business
This is the ideal session for TPAs and other providers who are considering the sale of their business. In an interactive format, Donna Ross will cover such topics as determining when and why to sell, how to attract the right buyer, positioning the business to obtain the best offer and how to prepare the needed material to present to prospective buyers.
  Donna Ross, Senior Vice President, Vertical Management Systems

11:15 - 12:15 SESSION A - The Summary Prospectus is Here! What To Do, What To Know, When To Take Action
This session will explore the benefits and challenges posed by the SEC’s new Summary Prospectus rule, which is effective today and for which all investment options will have to comply in 2010. This new rule can potentially provide material savings for various product issuers in disclosure costs, but capturing these savings will require new thinking. This enlightening panel discussion will cover the choices that product issuers, their distributors, and fund companies have to make in order to yield the maximum benefit for their respective firms.
Byung CJ (BJ) Choi, Partner - Strategy / Business Development (Moderator)
Burton Keller, Senior Vice President, Delta Data Software
Christian Vance, Director E-Solutions Sales and Business Development,
DST Output

SESSION B - Fiduciary Responsibilities Surrounding ERISA and Non-ERISA 403(b) Plans
Two of the country’s foremost ERISA attorneys will discuss the fiduciary obligations surrounding ERISA and Non-ERISA 403(b) plans. The session will cover the compliance differences between ERISA and non-ERISA plans under the new IRS regulations, the issues raised by the combination of pre-2009 "grandfathered" contracts and new contracts, and the interaction of multiple 403(b) plans.
   Steve Saxon, Principal, Groom Law Group, Chartered
   David Levine, Principal, Groom Law Group, Chartered

12:30 - 1:30 Lunch
1:30 - 2:15 DOL's Abandoned Plan Program: Regulations and Class Exemption Review
Significant business events, such as bankruptcies, mergers, acquisitions, and other similar transactions, too often result in employers abandoning their 401(k) plans. When this happens, custodians such as banks, insurers, mutual fund companies, etc. are left holding the assets of the abandoned plans but do not have the authority to terminate the plans and make benefit distributions. As a result, the DOL has developed rules to facilitate a voluntary, safe and efficient process for handling abandoned plans. This session will review the Department’s Abandoned Plan Program, including who is eligible to participate and how the program works. Ms. Colon will discuss the role of the National Office and the Regional Office and answer questions from attendees.
Isabel Colon, District Supervisor - Miami District, U.S. Department of Labor,
2:15 - 2:45 Break with Exhibitors
2:45 - 3:30 SESSION A – TPA 403(b) Plan Data Sharing Roundtable
This session will be an open discussion with TPAs and other service providers on data sharing and file format issues related to the new IRS regulations affecting
403(b) plans. The panelists will review the latest version of The SPARK Institute's information sharing best practices and outline new best practices for sharing remittance and census data. The interactive format of the session will allow attendees to share their experiences and highlight approaches that have proven successful, as well as those that have been ineffective.
Larry Goldbrum, General Counsel, The SPARK Institute (Moderator)
James Racine, Assistant Vice President, Lincoln Financial Group

SESSION B - Advisor Roundtable
Hear from a panel of Advisors who are experts in retirement plans discuss the hot topics on their minds today in terms of building and servicing their retirement plan business. Discussion topics will include target clients and opportunities, fees and services, fiduciary practices, selection of recordkeepers and asset managers, the latest in investment choices and tools, and their outlook for 2010. The Advisors will discuss opportunities where they see provider’s ability to add value to their business model, and what they see as best and worst practices by service and investment providers in the Advisor market.
  Cynthia Hayes, CFA, CEBS, President, Oculus Partners (Moderator)
  Tami Wihlen, Principal, Excel Securities & Associates, Inc.
  Rick Shoff, Managing Director, Captrust Financial Advisors

3:30 - 4:30 Keynote Speaker: 2020 Outlook: A Long Term Investment Perspective
Dr. Kelly will examine recent trends in the economy and financial markets and explain what they mean for long-term investing. He will discuss the pace of recovery from last year’s collapse in the financial markets, the current state of the economy and provide insight into how these trends can shape retirement savings strategies.
Dr. David Kelly, Chief Market Strategist, JPMorgan Funds
4:30 - 5:45 Reception with Exhibitors
7:00 - 10:00 Poolside Dinner & Entertainment


7:30 - 8:00 Continental Breakfast
8:00 - 8:45 SESSION A - The Role of Non-Qualified/409A Plans in a Retirement Business Strategy
This panel session will explore such strategic and operational issues as the use of a non-qualified plan as a vehicle to increase retirement savings, developing a seamless participant experience when integrating a non-qualified plan with a qualified plan offering, and the difference between traded versus non-traded plans.
Richard Magner, Principal, McCamish Systems, LCC(Moderator)
Laurie Nordquist, Executive Vice President, Business Director,
Wells Fargo Institutional Retirement and Trust
John Furlong, Managing Director, Bank of America Merrill Lynch
Fred Teufel, Principal, The Vanguard Group


SESSION B - Economics of the Small and Middle Markets
This session will cover the revenue models of the various defined contribution service providers who are actively engaged in the micro, small and middle markets. The panel will examine the service delivery and pricing models employed by insurance and mutual fund companies as well as third party outsourcers. In addition, the panel will discuss the prospective impact of the new fee disclosure and transparency regulations on these various pricing and revenue models, as well as their prospective impact on the financial advisors who utilize these solutions.
Mark M. Gutrich, Co-Founder & CMO, ePlan Services, Inc.
Thomas B. Pittman, Chief Marketing Officer, The Newport Group
9:00 - 10:00 Keynote Speaker: Wirehouses in the Retirement Market
From the perspective of a wealth management firm with 18,000 financial advisors, Jim McCarthy will address such critical questions as:  Going forward, what will be the role of wirehouses in the qualified plan market?  Can focused producers have long and successful careers with wirehouses in the qualified plan market?  And, what are the products, processes and tools necessary for success in the qualified plan market? 
Jim McCarthy, Head of Client Advisory and Retirement Services,
Morgan Stanley Smith Barney
10:00 - 10:15 Break
10:15 - 11:00 SESSION A - 403(b) Regulatory Update
Industry experts will provide an update on the 403(b) regulatory environment nearly a year after the implementation of sweeping changes in IRS rules affecting plan sponsors and providers. Find out about the latest DOL guidance on fiduciary and other issues, the IRS 403(b) prototype plan program, and more. The session will include ample time for interaction to allow attendees to share issues and concerns.
  Larry Goldbrum, General Counsel, The SPARK Institute (Moderator)
  Marilyn Collister, Senior Director, Legislative & Regulatory Affairs,
     Great-West Retirement Services

  Evan Giller, Partner, Giller & Calhoun

SESSION B - Point/Counterpoint: ETFs vs. Index Funds in 401(k) Plans
While index funds have been a staple in 401(k) plans for years, ETFs have recently been making a strong push for space on investment option menus. This session will explore the pros and cons of using index tracking ETFs vs. index funds in a 401(k) plan. In a lively moderated debate, experts from the industry’s product leaders will present their cases and respond to questions from the audience.

Bob Wuelfing, President, RG Wuelfing & Associates, Inc. (Moderator)
Robert Nestor, Director of Product Management and Principal,
Barclays Global Investors
Michael Lucci, Principal, The Vanguard Group
11:00 - 11:15 Break/Check-Out
11:15 - 12:15 Washington Update
In this wide ranging session, Steve Saxon will discuss the latest legislative and regulatory developments in Washington, including the President's initiative on auto IRAs, the DB funding crisis, the effect of healthcare reform on the pension system, 401k Fee Proposals, target date funds and the status of proposals affecting investment advice.. He will also cover enforcement priorities during this session.
Steve Saxon, Principal, Groom Law Group, Chartered
12:15 - 12:30 Closing Remarks


Platinum Sponsors

Enterprise Iron

Gold Sponsors

Lincoln Financial Group

Silver Sponsors

Paradigm Capital Management, Inc.



ePlan Services


Wealth Management Systems Inc.


Media Sponsors

Employee Benefits Jobs

Fund Action