With 35 years of private equity experience, Kevin joined Pantheon as a partner in 2010. Kevin is a member of Pantheon's Partnership Board and is responsible for business development and client service activities globally at Pantheon.
Kevin previously worked at Elevation Partners where he was in charge of fundraising and investor relations. For the 24 years prior to joining Elevation, Kevin ran the Global Private Equity Placement Group at Merrill Lynch. He has a BA in economics and an MBA in finance from the University of California, Los Angeles. Kevin is based in New York.
Jon Anderson is the director of Retirement Plan Solutions at Cetera Financial Group, and a member of Cetera's Advisor Growth leadership team. In this role, Jon leads the strategic expansion of the group's qualified retirement plan offerings to support retirement-plan focused advisors.
Prior to joining Cetera, Jon was vice president for institutional sales at BrightScope, an innovative independent provider of software, analytics, and data to the financial services industry, headquartered in San Diego, California. There, he was responsible for expanding the firm's offering to leading broker-dealers, DCIO asset managers and record-keepers, while gaining invaluable knowledge specific to data unique to the retirement-plan industry. Previously, he served as west region manager of the Retirement Partners division for LPL Financial, where he worked closely with some of the leading financial advisors, service providers and other professionals in the retirement plan industry to help create LPL's comprehensive offering. Jon also brings to Cetera his extensive experience with strategic planning and unique perspective through his roles as wealth manager for Colorado Financial Partners (LPL Financial) and financial advisor for AIG Retirement.
Jon earned his B.A., cum laude, in economics from the Franciscan University of Steubenville. He is also co-founder and director of the Jeffrey J. Anderson Business Leader's Scholarship offered at Franciscan University. He holds the Accredited Investment Fiduciary(AIF) Designation, the Professional Plan Consultant (PPCTM)Designation, and the Certified 401(k) Professional (C(k)P)Designation at UCLA's Anderson School of Management Executive Education. He lives in San Diego with his wife and three sons.
William Beardsley is a Senior Vice President for LPL Retirement Partners. Bill leads LPL's retirement business development. His team helps advisors win more 401(k) clients with LPL's services and resources, including the Small Market Solution and Worksite Financial.
Marc Caras is a Director for Pershing, a BNY Mellon company. He is responsible for the overall strategy and management of Pershing's retirement plan business, including launch, market penetration and client adoption. He also ensures the business remains responsive to client needs and market developments.
Marc has over 20 years of experience focused on sales, client relationships and product and program management across the institutional retirement, investment advisory, broker-dealer and financial advisor marketplaces. As executive vice president and operating committee member at Sentinel Benefits & Financial Group, he led fiduciary governance services, institutional relationship management and investment management for Sentinel's retirement plan investment advisory and brokerage business. Before that, Marc was president of Sentinel Securities Inc., a vice president at LPL Financial and spent 11 years in various positions at Fidelity Investments. He is currently a board member of the SPARK Institute.
Marc earned a Bachelor of Science degree from Northeastern University and is an Accredited Investment Fiduciary (AIF).
Philip Chao founded Chao & Company, Ltd. in 1990 to provide individuals, families and institutions with the independent and thoughtful advice that would serve as a tailored alternative to the conflicted, one-size-fits all, prepackaged solutions. Philip wants to make available industry best practices to help fiduciaries and clients make prudent investment and portfolio decisions.
As the Chief investment Officer of the firm, Philip designs and manages individual and institutional assets in the best interest of the clients. By emphasizing risk as well as return, each portfolio is calibrated in an attempt to align the long term investment outcome with clients' criteria and expectations. Portfolio design is based on a core-satellite approach of recognizing the need for a portfolio core to have exposure to traditional market risks in order to realize market returns. Further, target certain segments of the portfolio to gain exposure to non-traditional assets and investment strategies in seeking downside protection and return enhancement.
Philip serves as an ERISA investment consultant in a co-fiduciary capacity - as an ERISA Sec 3(21) - so that clients can rely on his advice with full confidence. For retirement plan sponsors, he implements a prudent investment process to meet their fiduciary responsibilities. When managing defined benefit assets, he serves as a full fiduciary under ERISA 3(38).
Greta Cowart is known for fixing complex employee benefit plan issues, including many issues under the Patient Protection and Affordable Care Act (health reform), and has secured significant results in Internal Revenue Service employee plans team audits and in U.S. Department of Labor audits of employee benefit plans and service providers to employee benefit plans. Greta has resolved significant employee benefit plan compliance issues.
Practicing for over 30 years, Greta has partnered with clients to strategically resolve employee benefits and employee relations issues considering business goals and providing alternative approaches. Through her work on the Employee Benefits Committee of the American Bar Association, Section of Taxation, she has worked with the technical provisions and the significant legislative and regulatory changes governing retirement plans, executive compensation, and various health reform initiatives.
Greta has also worked extensively with Code section 409A and its application to nonqualified deferred compensation and the variety of agreements it impacts, such as employment agreements and corporate transactions and provided recommendations to the government for its use in rule making under such section. As a former Chair of the Employee Benefits Committee of the American Bar Association's Section of Taxation, Greta's extensive knowledge of employee benefits and executive compensation, and the variety of federal government regulators involved in such arrangements provides her with the background to assist corporations quickly and strategically with design, fiduciary, and administration issues, including litigation of benefit disputes.
Mr. DiCenso is a "thought leader" in the Financial Services, Investment Management, Asset Management, Wealth Management arena in the Institutional and individual Markets, both USA and International. Focused in the areas of fiduciary process management, fee transparency, innovation, technology, vision, strategy, sales growth, marketing, client service, operations, practice management, M&A, and capitalizing on industry trends. He has been quoted in numerous retirement and financial publications and media sites including PLANSPONSOR, PLANADVISOR, 401kwire.com, the Chicago Sun Times, Defined Contribution and Savings Plan Alert, theStreet.com and the highly acclaimed book "Transform Tomorrow."
Mr. DiCenso has more than 28 years of experience in the Institutional and Retirement Plan Arena including 401(k), 403(b), defined benefit, 457, and non-qualified plans, investment advisory services, wealth management, worksite, HSA's, MEP's, annuities and IRA's. He is nationally recognized for his "critical thinking", innovation, knowledge and insight regarding ERISA, DOL, IRS, SEC, FINRA and fiduciary issues facing advisors and plan sponsors today.
Mr. DiCenso is a nationally recognized speaker and expert in the retirement services and wealth management industry. He has presented at national retirement industry conferences including PLANSPONSOR's 403(b) Summit and Plan Designs Conference, The Center for Due Diligence (CFDD) Advisor Conference, American Society of Pension Professionals & Actuaries (ASPPA) 401(k) Summit, the 401(k) Wire Summit, the FI360 Conference, the International Society of Certified Employee Benefit Specialists (ISCEBS) Symposium, the PLANADVISOR National Conference, the American Society for Healthcare Human Resources Administration (ASHHRA) Conference, NASDAQ OMX Conference.
Chris Gaston is Senior Policy Director of Davis & Harman LLP. Chris has more than a dozen years of Capitol Hill experience and he represents clients on a wide range of issues before Congress, particularly retirement and savings policy.
Prior to joining Davis & Harman LLP, Chris served as Chief of Staff for U.S. Representative Rush Holt (D-NJ) who was a senior member of the House Committee on Education and the Workforce.
After growing up in Central New Jersey, Chris initially started with Rep. Holt as an intern and over the next twelve years, worked for Rep. Holt in a number of congressional and political positions. For more than five years Chris served as Rep. Holt's Legislative Director where he helped establish an ambitious legislative agenda and advised him on a diverse range of legislative issues. In that capacity, Chris was responsible for all of Rep. Holt's work on the Education and the Workforce Committee, including his legislative initiatives to promote retirement savings. Chris also led Rep. Holt's efforts to raise concerns about the Department of Labor's fiduciary proposal.
Chris graduated with a B.A. in Political Science with a Public Policy Focus from The George Washington University and received a M.A. in International Law and Politics from Georgetown University. He and his wife, Molly, have two active kids, Max and Clare, and one hyper active Border collie, Ace.
Josh Gotbaum, now a guest scholar affiliated with the Retirement Security Project at the Brookings Institution, is an advocate for reforming pension law and regulation and expanding retirement options. He has helped bring about changes in DOL's stance on multiple employer plans and on state-sponsored programs for private workers. He currently chairs Maryland's Small Business Retirement Savings Board, setting up an automatic savings program for those working in private firms that do not offer retirement savings.
Gotbaum has also been an advocate for elimination of the regulatory prohibition on economically-targeted investing and on taking environmental, social, and governance factors into account by ERISA plans. Institutional Investor twice cited him as one of the 40 most influential players in the battle to decide the future of U.S. Pensions. At Brookings, Gotbaum has also written about federal fiscal policy and infrastructure.
Josh came to Brookings after four years as Director (CEO) of PBGC. PBGC insures pension plans covering more than 40 million. Josh focused PBGC on preserving pensions, not just waiting until they fail. One of his most visible successes was at American Airlines, where the pensions of 130,000 people were preserved. Another was the bipartisan Multiemployer Pension Reform Act of 2014 that could preserve the pensions of more than 1,000,000 people. Josh also worked to improve PBGC's customer service: today PBGC's customer satisfaction scores rank higher than other federal agencies -- higher, in fact, than Amazon and the best private sector companies.
Gotbaum's career has spanned work in business, government and non-profits. He was the CEO of The September 11th Fund, a $500+ million charity. Thereafter, he led the successful reorganization of Hawaiian Airlines (including the preservation of its remaining DB plan). Prior to joining PBGC, he was a partner in Blue Wolf Capital, a private equity firm noted for its work with both government and unions. Before that, he was a managing director of Lazard advising on finance, acquisitions, and restructuring. He was a director of TD Bank and also consulted for other investment firms. He is currently a director of PulteGroup, a major homebuilder.
During the Clinton administration, Josh was confirmed on a bipartisan basis to presidential appointments in the Office of Management and Budget, Treasury, and Defense. During the Carter Administration he worked in the Department of Energy and on the White House staff.
Josh has degrees from Stanford, Harvard Law School, and Harvard's Kennedy School of Government. He is married and the father of three. In his spare time, he sings.
Mike Hadley is a partner in the law firm Davis & Harman LLP. He practices in the area of employee benefits, advising clients on the full range of tax, ERISA, and other laws affecting benefit plans. He has a particular focus on helping financial institutions that sell products to defined contribution and defined benefit plans, IRAs and similar plans navigate the special rules that govern those plans. He also provides clients with strategic advice, plan design, counseling, and compliance assistance for qualified plans, 403(b) and 457 plans, non-qualified executive compensation, employment agreements, and health and other welfare plans.
Mike is a frequent speaker on the latest retirement savings policy developments coming out of Congress and the regulatory agencies and has testified before Treasury, IRS, and Department of Labor. A sampling of articles he has authored or co-authored: ERISA Compliance for Investment Advisers: A Q&A Guide To DOL's 408(b)(2) Disclosure Regulation, Investment Lawyer, Vol. 20, No. 7 (July 2013); The Economics of Providing 401(k) Plans: Services, Fees, and Expenses, 2010 ICI Research Perspective, Vol. 17, No. 4 (June 2011); and 401 (k) Plans: A 25-Year Retrospective, ICI Research Perspective, Vol. 12, No. 2 (Nov. 2006).
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.
Mr. Levine's areas of service include: the redesign of complex retirement, executive, and health and welfare plans; ongoing, day-to-day counseling of plan sponsors; in-depth compliance reviews of corporate and governmental benefit programs; and representation of tax-exempt organizations with respect to issues involving corporate governance, executive compensation, and unrelated business income tax liability.
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 in The Legal 500 and USA Chambers 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.
Ed is a Managing Director at Morgan Stanley Wealth Management. His current role is overseeing strategic initiatives including the firm's response to the evolving regulatory landscape. Previously he was the head of the Retirement and Insured Solutions group. He joined Morgan Stanley in 2010.
Previous to joining Morgan Stanley Wealth Management he led the retirement and institutional consulting businesses at UBS in the Americas. Ed also held leadership roles within the respective wealth management divisions of JPMorgan Chase and Merrill Lynch.
He has a Masters in Business Administration, is a Certified Public Accountant and holds the series 7, 24, 65 & 66 securities licenses. In addition Ed is an adjunct professor at New Jersey City University and is on the Foundation Board of the university.
Matthew O'Hara, PhD, CFA, Managing Director, is BlackRock's Global Head of Investments for LifePath and is Co-Chair of the U.S., Canadian and UK LifePath Investment Committees.
Jake O'Shaughnessy is a Managing Director in SageView's Portland, Oregon location. As an advisor for the institutional practice, Jake services more than $5 billion in assets across public, private, and not-for-profit defined contribution retirement plan relationships. A frequent speaker at defined contribution events such as NAGDCA, P&I DC West, and Western Pensions and Benefits, Mr. O'Shaughnessy is a well know figure in the retirement consulting industry.
Prior to joining SageView, Jake worked in a consulting capacity at Arnerich Massena and RVK, bringing more than 13 years of experience in the financial industry. He has also worked with Shinsei Bank Investment Banking Group in Tokyo, Japan and Willamette Securities.
Jake graduated cum laude with a Master of Business from Thunderbird, the American Graduate School of International Management, and he holds a Bachelor of Science in business administration from the University of Oregon. Mr. O'Shaughnessy is a member of the NAGDCA Industry Committee, the Beta Gamma Sigma International Honors Society, and has also earned his Chartered Financial Analyst (CFA) designation. He is a former FINRA Series 6 and 63 holder.
Roberta Rafaloff is vice president, Institutional Income Annuities for MetLife. Institutional Income Annuities (IIA) enables defined contribution plan sponsors to provide guaranteed retirement income to their plan participants to help them achieve successful retirement outcomes. The business also offers specialty annuity products including charitable gift annuity reinsurance and lottery annuities.The division is part of Retirement & Income Solutions, the company's institutional retirement business, which historically has been responsible for over 20 percent of MetLife's operating earnings.
As head of the IIA division, Rafaloff, who joined MetLife in 1988, has overall profit center and management responsibility, including product oversight and development, underwriting and pricing, and client management. The division is well-known for its leading market position, innovation and history of firsts, such as being the first to introduce longevity insurance, including an institutional qualifying longevity annuity contract (QLAC), into the marketplace. Prior to assuming her current role in 2003, Rafaloff, who has spent her entire career at MetLife, held a variety of sales, client service and management positions in MetLife's U.S. retirement businesses.
Rafaloff earned a Bachelor of Arts in English and Sociology from Kenyon College in Gambler, Ohio. She is a FINRA Series 6 and 63 registered representative.
Tim has over thirty years of experience in the financial services industry mainly within retirement services of large mutual fund companies. For the past twenty-five years Tim has worked with major plan sponsors in state and local governments, corporations, Taft-Hartley plans, nonprofit hospitals, colleges and universities. Over his career Tim has worked with Voya Financial, Fidelity Investments, ICMA Retirement Corporation and The Vanguard Group.
Tim is a former President of the National Association of Government Defined Contribution Administrators' Industry Board and a graduate of Villanova University.
Ted joined Ascensus in May 2012 and is now responsible for broker dealer relationships and the products that they may offer. Prior to joining Ascensus, Ted worked for a regional recordkeeper, national trust company, and international benefits consulting firm and as a plan sponsor. He has over 25 years of DC and DB business experience with retirement plans including design, regulatory compliance, strategy, and administration.
His varied professional experience allows him to relate closely to Ascensus' clients, distribution partners, and DCIOs. Ted has also been active in various industry associations and is a frequent speaker on the retirement industry. Ted graduated from Concordia University and lives in Brainerd, MN with his wife.
Michael Shafer is currently Director of Relationship Management for DST Retirement Solutions, responsible for a team who ensures the best possible client experience for several of DSTRS's larger and more complex relationships. Previously, Michael led Relationship Management and Business Development for the technology & servicing platforms of Wealth Management Systems Inc. (WMSI), a firm which was acquired by DST in August 2015.
Prior to joining WMSI, Michael served as a Corporate Vice President of New York Life Insurance Company and was the head of the Retirement Market unit for New York Life's Agency Department. In this role, Michael was responsible for the sales and marketing of IRA rollover and retirement income products, as well as life insurance and long term care insurance products for pre-retirees and retirees for New York Life's career agency channel. Prior to joining New York Life, Michael was with Prudential Retirement Services, where he was instrumental in creating their asset retention strategy for their DB and DC plans in addition to leading their IRA rollover sales desk.
Michael currently holds the Accredited Investment Fiduciary (AIF) designation, and had previously earned the Chartered Financial Consultant (ChFC) and Chartered Life Underwriter (CLU) designations from the American College.
Mike Shamburger is a vice president of T. Rowe Price Group, Inc., and T. Rowe Price Retirement Plan Services, Inc. He is the head of territory sales for the Retirement Plan Services division.
Prior to that, he was head of Retirement Plan Sales and Distribution at The Hartford. Mike earned a B.S. in business management from the University of Oklahoma and is a Series 6 and 7 registered representative.
Mike started his career in the financial services industry as a Financial Consultant with Foresters Insurance and Investments in Cincinnati, OH. While helping individuals, families and businesses obtain financial freedom, Mike attended law school at night at Salmon P. Chase School of Law (Norther Kentucky University). Towards the end of law school, while providing financial consulting, Mike joined The Union Central Life Insurance Company as a Law Clerk and a year later as an Attorney.
After 4 years working as an Attorney, Mike moved to Lincoln, NE to accept the Chief Compliance Officer position for Union Central's parent company Ameritas Life Insurance Corp. In June of 2014, Mike relocated back to Cincinnati to become the Vice President of Business Risk, Compliance and Controls in the Retirement Plans Division of Ameritas. Mike currently holds various licenses and designations, including life/health insurance, FINRA Series 6, 7, 24, 63 & 66, CLU and ChFC. In Mike's spare time, he enjoys traveling with his family, sports (Kentucky basketball!) and outdoor activities.
M. Corey Whitehead
M. Corey Whitehead, AIF, is Principal & Chief Operating Officer of MRP. Corey is a registered investment advisor with more than 20 year's experience in retirement services. Corey graduated from the University of Kansas in 1996 with a Business Administration degree in Finance. He also studied International Economics and General Studies Abroad in Scotland at The University of Stirling.
MRP has received many national awards and recognition over the years, including PlanAdviser Top 100 Advisor Team of the Year, Inducted into the Retirement Hall of Fame, 401kWire 300 most influential DC Advisors and most Influential People in Defined Contributions, PlanSponsor Plan Adviser of the Year and Best of the Best and ASPPA/NAPA Top 3 Finalist Advisor Team Leadership Award.
Corey has conducted thousands of committee meetings, investment reviews and employee seminars. He has been a sought after key-note speaker at national conferences and many local industry seminars over the years. He is known for his natural ability to energetically engage his audience and truly educate in a well understood and often humorous way. He has sat on various advisory councils and quoted in various publications. The last several years, he sat in as one of the elite advisor delegates in Washington DC at the NAPA D.C. Fly-in Forum, engaging with key federal policy makers and advocating for legislative and regulatory policy that affects the industry.
He is a husband, father of three incredible kids, workaholic, Jayhawk and outdoor enthusiast.
Ms. Carter is a Vice President and Defined Contribution Director in the firm's Washington, D.C. office and has over 30 years of retirement plan consulting and financial services experience with special expertise in public sector defined contribution plans.
Ms. Carter received a BA in Political Science from the College of William and Mary. She is a Certified Retirement Administrator and a Certified Retirement Counselor, as well as a member of the International Foundation for Retirement Education. Ms. Carter is a member of the National Association of Government Defined Contribution Administrators (NAGDCA) and a member of its Best Practices Task Force. She has also published numerous articles on defined contribution plan topics in professional journals and speaks regularly at professional and industry conferences.
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