retirement plan services tpa advisory council meeting · 2016-08-11 · share your success stories...

RETIREMENT PLAN SERVICES

For TPA use only. Not for use with the general public.

Member Directory & Agenda

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TPA Advisory Council MeetingAugust 17–19, 2016 | San Diego Marriott Gaslamp Quarter | San Diego, CA

Welcome to San Diego, and thank you for attending our TPA Advisory Council Meeting. We’re excited to bring together our most valued partners at this exclusive event. We can all benefit from your participation and your insights.

This meeting provides the opportunity to learn from leading retirement industry experts and explore ideas presented by Lincoln thought leaders. As we consider their insights on our industry and their thoughts about its future, we can be confident in making more informed decisions going forward.

Connect with your peers during scheduled events, as well as informal gatherings. You’ll make new acquaintances and strengthen existing relationships. Share your success stories and exchange best practices. Let’s learn from each other as we work together to help participants retire via solutions that offer flexibility, protection, and support.

Lincoln is committed to our shared success. Make the most of this time we’ll have together as we celebrate our growing partnership.

Lincoln Retirement Plan Services TPA team

Welcome

Partnership, Commitment and Success | 1

2 | 2016 TPA Advisory Council Meeting - Member Directory & Agenda

Wednesday, August 17, 2016 — Presidio BallroomTime Event Speaker

2:00 p.m. – 2:15 p.m. Welcome Mitch Mass Director, Business Development and TPA StrategyLincoln Financial Distributors

2:15 p.m. – 2:45 p.m President’s UpdateJamie OhlPresident, Retirement Plan ServicesLincoln Financial Group

2:45 p.m. – 3:30 p.m. Big Things for the Small MarketTim SeifertVice President, National Sales Manager Intermediary Retirement Plan Services, Lincoln Financial Distributors

3:30 p.m. - 4:15 p.m. Lincoln Product UpdateMichael ConteVice President, Small Market Business Leader, Retirement Plan ServicesLincoln Financial Group

4:15 p.m. – 4:30 p.m. Wrap-up Mitch Mass

6:00 p.m. – 8:30 p.m.Opening reception and dinner with fund partners

Location: Soleil @k

Thursday, August 18, 2016 — Presidio BallroomTime Event Speaker

7:30 a.m. – 8:30 a.m. Breakfast Location: Presidio Ballroom Foyer

8:30 a.m. – 9:00 a.m.Committed to Our Shared Success

John KennedyHead of Retirement Solutions DistributionLincoln Financial Distributors

9:00 a.m. – 10:15 a.m.Washington Retirement Update: Ahead of Trends

John CarlPresidentRetirement Learning CenterSponsored by Columbia Threadneedle Investments

10:15 a.m. – 10:30 a.m. Break

10:30 a.m. – 11:00 a.m. The Client Experience

Michele BoothSenior Vice PresidentClient and Administrative Services, Retirement Plan Services

Dawn ColbyVice President, Head of ImplementationAccount Management and Plan ServicesRetirement Plan Services

Jaron HavensAssistant Vice PresidentImplementation Retirement Plan Services

11:00 a.m. – 11:15 a.m. Customer Experience StrategyKris GatesVice President, Customer Experience Strategy and DevelopmentRetirement Plan Services

11:15 a.m. – 12:00 p.m.The Pension Protection Act a Decade Later: What Current Trends Mean for DC Plans

John DoyleSenior Defined Contribution Specialist, American Funds

Agenda


Agenda12:00 p.m. – 1:15 p.m. Lunch Location: Soleil @k

1:15 p.m. – 2:00 p.m. The Art of WOWJohn EvansExecutive Director, Janus Labs

2:00 p.m. – 2:45 p.m. Boardroom PresentingJeff HemkerNational Sales Manager, Retirement Division, Invesco

2:45 p.m. – 3:00 p.m. Break

3:00 p.m. – 4:40 p.m.Unlocking Your Insight with Business DNA

Ami TullyPresident, Maximum Impact Partners, Inc.

4:40 p.m. Wrap-up Mitch Mass

6:30 p.m. – 9:30 p.m. Dinner Restaurant Crawl in the Gaslamp District

Friday, August 19, 2015 — Presidio BallroomTime Event Speaker

7:30 a.m. – 8:30 a.m. Breakfast Location: Presidio Ballroom Foyer

8:30 a.m. – 8:45 a.m. Welcome Mitch Mass

8:45 a.m. – 9:30 a.m.

Breakout sessions

Building your business: Presidio Ballroom

Ami TullyMaximum Impact PartnersBonnie NaveBusiness Development ManagerLincoln Financial Distributors

Theresa AyersBusiness Development ManagerLincoln Financial Distributors Cassie ChurchillBusiness Development ManagerLincoln Financial Distributors

Marketing & Sales: City Sights

Operations & Technology: Gaslamp

9:30 a.m. – 9:40 a.m. Break

9:40 a.m. – 10:25 a.m.

Breakout sessions






10:25 a.m. – 10:35 a.m. Break

10:35 a.m. – 11:20 a.m.

Breakout sessions






11:20 a.m. –12:00 p.m. Day 2 Wrap-up Mitch Mass

12:00 p.m. Lunch Boxed lunches available in Presidio Ballroom Foyer

Ongoing Airport departures as scheduled


Lincoln Leadership Team and Presenters

John KennedyHead of Retirement Solutions Distribution Lincoln Financial Distributors 484-583-6121 [email protected]

Theresa AyersBusiness Development Manager Retirement Solutions Distribution 260-455-0802 [email protected]

Christine BaronBusiness Manager Retirement Solutions Distribution 260-455-0373 [email protected]

Fred BloodgoodDirector of Advanced Markets & Industry Insights Retirement Plan Services 201-650-0529 [email protected]

Michele BoothSenior Vice President Client and Administrative Services 260-455-2219 [email protected]

Cassie ChurchillBusiness Development Manager Retirement Solutions Distribution 413-313-4596 [email protected]

Dawn ColbyVice President Head of Implementation, Account Management and Plan Services 563-213-7214 [email protected]

Michael ConteVice President Small Market Business Leader Product and Solutions Management 484-583-8525 [email protected]

Drew DisherAssistant Vice President Retirement Solutions Distribution 651-245-5357 [email protected]

Kris GatesVice President Customer Experience Strategy and Development 413-388-1626 [email protected]

Jaron HavensAssistant Vice President Implementation Retirement Plan Services 260-455-5343 [email protected]

Margaret JordanSales Support Associate Business Development Retirement Solutions Distribution 260-455-5687 [email protected]

Mitch MassDirector, Business Development and TPA Strategy Retirement Solutions Distribution 484-583-6116 [email protected]

Bonnie NaveSenior Business Development Manager Retirement Solutions Distribution 260-455-5499 [email protected]

Jamie OhlPresident Retirement Plan Services Lincoln Financial Group 484-583-1453 [email protected]

Sandy PieriManager, Account Management 260-455-4909 [email protected]

Kerri RudigerSenior Consultant Retirement Plan Services Marketing 484-583-6067 [email protected]

Tim SeifertVice President, National Sales Manager Intermediary Retirement Plan Services Lincoln Financial Distributors 484-583-6393 [email protected]

Lincoln Financial team


John Kennedy

Head of Retirement Solutions Distribution Lincoln Financial Distributors

John Kennedy is Head of Retirement Solutions Distribution sales for Lincoln Financial Distributors, Inc. (LFD), the wholesaling distribution organization for Lincoln Financial Group. John is responsible for overseeing growth strategies for the distribution of Lincoln’s annuities and intermediary 401(k) businesses.

Prior to joining Lincoln Financial, John was national sales manager for MetLife Investors. His previous positions include senior vice president for AXA Distributors and various senior sales and marketing roles for PLANCO, a financial services subsidiary of The Hartford.

John received a bachelor’s degree in business administration from St. Joseph’s University in Philadelphia, PA.

Guest Speakers

6 2016 TPA Advisory Council Meeting — Member Directory & Agenda

Guest Speakers

Michele Booth

Senior Vice President, Head of Client and Administrative Services Lincoln Financial Group

Michele M. Booth is senior vice president, Client and Administrative Services, Retirement Plan Services Division at Lincoln Financial Group, and a member of the company’s Corporate Leadership Group. She has more than 28 years of experience in the Insurance and Financial Services industry.

Throughout her career with Lincoln, Booth has worked in many different business lines including Retirement Plan Services, Individual Annuities and Life Insurance. Over the years, she has worked closely with business controls and risk management, assisted with mergers and acquisitions, strategic and financial planning, as well as operations management. Most of her tenure and focus has been in the Retirement Plan Services business leading client servicing teams focused on process improvement and strategic initiatives.

Prior to joining Lincoln, she spent time in the public accounting field.

Michele received a bachelor’s degree from Western Michigan University. She holds a number of professional designations including CPA, Six Sigma Greenbelt certification and FINRA Series 6 and 26 certifications.

Guest Speakers

Partnership, Commitment and Success 7

Guest Speakers

Securities products offered through Columbia Management Investment Distributors, Inc., member FINRA. Advisory services provided by Columbia Management Investment Advisers, LLC.

Retirement Learning Center, LLC is a third-party industry consultant that is not affiliated with Columbia Management.

© 2013 Columbia Management Investment Advisers, LLC. All rights reserved. 225 Franklin Street, Boston, MA 02110-2804 columbiamanagement.com

John Carl is Founder and President of Retirement Learning Center, the nation’s preeminent thought leader on retirement issues, as well as founding lecturer for The Retirement Advisor University (TRAU) at UCLA Anderson School of Management Executive Education, and Executive Director of the PLANSPONSOR Institute, the education and training arm of PLANSPONSOR. The “advisor to the advisors,” Mr. Carl is a highly sought after industry insider who travels the country educating groups of financial professionals on the very latest in retirement legislation, forecasts and developments affecting the industry.

A 20-plus-year veteran of the retirement industry, Mr. Carl has been featured on CNBC, CNN, Forbes, ABC News, The Wall Street Journal, USAToday, and CBS MoneyWatch.com, among others. For 2012, The 401kWire identified Mr. Carl as one of the most influential individuals in the 401(k) industry for the sixth consecutive year. Mr. Carl released his first book in 2009, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, which has received APEX Awards for publishing excellence in 2010 and 2012. It is now in its fourth edition. In addition, Mr. Carl has been appointed to the Government Affairs Committee for the National Association of Plan Advisors, an affiliate of the American Society of Pension Professionals and Actuaries.

Mr. Carl’s extensive industry experience includes having run Alliance Capital’s Defined Contribution initiative as well as creating and running the Alliance 529 program. Later, Mr. Carl directed Global Product Management for the firm. He has also operated as a successful branch and regional sales manager for Prudential Securities, as well as an independent financial advisor. Mr. Carl is a graduate of Lehigh University, and has completed Executive Continuing Education coursework at Columbia University. Mr. Carl is based in Manhattan, and maintains the firm’s consulting and content operations in Brainerd, MN.

John Carl Founder and President of Retirement Learning Center

John Carl

Founder and President of Retirement Learning Center

John Carl is Founder and President of Retirement Learning Center, the nation’s preeminent thought leader on retirement issues, as well as founding lecturer for The Retirement Advisor University (TRAU) at UCLA Anderson School of Management Executive Education, and Executive Director of the PLANSPONSOR Institute, the education and training arm of PLANSPONSOR. The “advisor to the advisors,” Mr. Carl is a highly sought after industry insider who travels the country educating groups of financial professionals on the very latest in retirement legislation, forecasts and developments affecting the industry.

A 20-plus-year veteran of the retirement industry, Mr. Carl has been featured on CNBC, CNN, Forbes, ABC News, The Wall Street Journal, USA Today, and CBS MoneyWatch.com, among others. For 2012, The 401kWire identified Mr. Carl as one of the most influential individuals in the 401(k) industry for the sixth consecutive year. Mr. Carl released his first book in 2009, Retirement Resource Guide: Essential ERISA Education & Best Practices for Financial Advisors, which has received APEX Awards for publishing excellence in 2010 and 2012. It is now in its fourth edition. In addition, Mr. Carl has been appointed to the Government Affairs Committee for the National Association of Plan Advisors, an affiliate of the American Society of Pension Professionals and Actuaries.

Mr. Carl’s extensive industry experience includes having run Alliance Capital’s Defined Contribution initiative as well as creating and running the Alliance 529 program. Later, Mr. Carl directed Global Product Management for the firm. He has also operated as a successful branch and regional sales manager for Prudential Securities, as well as an independent financial advisor. Mr. Carl is a graduate of Lehigh University, and has completed Executive Continuing Education coursework at Columbia University. Mr. Carl is based in Manhattan, and maintains the firm’s consulting and content operations in Brainerd, MN.

Guest Speakers


Guest Speakers

Dawn Colby

Vice President, Head of Implementation, Account Management and Plan Services Lincoln Financial Group

Dawn M. Colby is Vice President, Head of Implementation, Account Management and Plan Services, Retirement Plan Services Division at Lincoln Financial Group. In this role, Dawn is accountable for the onboarding and ongoing service experience. Dawn and her management teams partner with intermediaries and plan sponsors in driving improved outcomes of the retirement plan offering.

Dawn has more than 25 years of industry experience holding positions in client facing, strategic merger and acquisition teams and leadership roles. Her tenure includes positions in the Retirement and Financial Services arena at CIGNA Retirement & Investments Services, Prudential Retirement, and most recently, joining Lincoln Financial Group. Throughout her career, Dawn inspires associates to deliver World Class Service by anticipating needs and create a WOW experience with every interaction.

Dawn holds a Master of Business Administration from Excelsior College in Albany, New York and earned a Bachelor of Science-Business Administration degree at the University of Wisconsin, Platteville. She holds FINRA Series 6, 63 and 26 registrations.

On a personal note, Dawn enjoys spending time with her husband and three children, as well as, two German Shepherds. Her family is very active in year-round sporting events, including cheering on the Wisconsin Badgers & Green Bay Packers!


Guest Speakers

Michael Conte

Vice President, Small Market Business Leader Lincoln Financial Group

In his role, Mr. Conte is responsible for identifying applicable small market trends, along with supporting business development and sales strategy as they affect Lincoln’s Retirement business. Mr. Conte is responsible to create Lincoln’s Small Market Product and Solutions Management business strategy that will continue to enhance product offerings while supporting a stronger retirement for plan sponsors and their participants.

Prior to this role Conte previously worked with the defined contribution business lines with Delaware Investments, and ran sales strategy with Lincoln Financial Distributors. Conte has been with Lincoln since 1997 and is a graduate of Rider.


John Doyle

Senior Defined Contribution Specialist American Funds

John Doyle is a senior defined contribution specialist at American Funds, part of Capital Group. He has 29 years of investment industry experience and has been with Capital Group for two years. Prior to joining Capital, John was a senior consultant with The BridgePoint Group, where he developed retirement plan products and service strategies. He also 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. 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.

Guest Speakers


John Evans

Executive Director Janus Labs

John L. Evans Jr., Executive Director of Janus Labs, is a practice management expert and conducts extensive consulting and training with top financial intermediaries worldwide. John is a keynote speaker and has authored or co-authored three books on practice management for professional services companies.

John regularly contributes to the Orlando Sentinel on business and politics, and he also serves on the Board of Advisors for the James Madison Institute in Tallahassee, Florida and Elevate USA in Denver, Colorado. Prior to the financial services industry, John was Special Assistant to former U.S. Senator Connie Mack.

John is a Certified Facilitator from the Human Performance Institute and holds an MBA from the University of Miami. He is presently a doctoral candidate at Pepperdine University, where his dissertation focuses on the factors that drive deep client loyalty in the financial services industry. John resides in Winter Park, Florida, with his wife and four children.

Guest Speakers


Guest Speakers

Kris Gates

Vice President Customer Experience Strategy and Development Lincoln Financial Group

Kris Gates, Vice President of Customer Experience Strategy and Development. In this role he is responsible for will delivering customer experience strategies for retirement plan participants, sponsors and intermediaries that center on successful outcomes. Gates joins Lincoln from MassMutual Retirement Services and Worksite Insurance, where he most recently held the position of Vice President of Marketing Strategy and Customer Experience. In that role he led the marketing strategy and execution for the company’s retirement and group insurance product lines. He holds a Bachelor of Science degree in Business Administration from Western New England University.


Guest Speakers

Jeff Hemker

National Sales Manager Invesco

Jeffrey Hemker is a National Sales Manager for the Retirement Division of Invesco.

Mr. Hemker has been in the industry since 1980. Prior to joining Invesco in 2004, he was a managing director of retirement outsourcing services for WySTAR Global Retirement Solutions and a senior vice president at both CIGNA Retirement & Investment Services and Van Kampen American Capital Funds. He has been a featured speaker at advisor meetings, training and education seminars, and industry events throughout his career.

Mr. Hemker graduated from the University of Wisconsin-La Crosse and Roosevelt University. He holds the Series 6, 7, 24, 63, 66 and 79 registrations and is a Certified Investment Management AnalystSM (CIMA®) professional.


Guest Speakers

Jamie Ohl

President, Retirement Plan Services Lincoln Financial Group

Jamie Ohl is president of Retirement Plan Services for Lincoln Financial Group. She is responsible for the overall strategy, growth and profitability of Lincoln’s Retirement Plan Services business, which is committed to partnering with intermediaries and plan sponsors to provide solutions, services and education to help plan participants retire successfully.

Ohl has more than 25 years of financial services experience spanning a variety of areas in the retirement industry including consulting, plan administration, relationship management, product development, asset management and investments. In 2015, she joined Lincoln Financial from Edward Jones where she served as principal responsible for leading the broker-dealer’s strategic direction and product management for its retirement business, including retirement plans and individual retirement accounts.

During her career, Ohl’s held several senior leadership positions including president of Tax-Exempt Markets at VOYA Financial, Inc. (previously ING U.S., Inc.) and president of Wilshire Funds Management at Wilshire Associates Incorporated. She also served in leadership roles at The Hartford Financial Services Group, Inc. where she spearheaded the firm’s entry into the 403(b) market and led the growth of its 401(k) business, and spent numerous years at AIG VALIC as the senior vice president of Institutional Markets, in addition to retirement-related roles at Hewitt Associates.

Ohl has been recognized for her significant impact on the industry, including: 401kWire’s “Top100 Most Influential People in Defined Contribution” in 2008, 2009, 2011 and 2014; “Women in Insurance Leadership Award” from Insurance Networking News in 2009; Business Insurance magazine’s “Women to Watch” in 2009; Los Angeles Business Journal’s “Who’s Who” of Women in Finance in 2012; and Profiles in Diversity Journal’s “Women Worth Watching” in 2016.

Ohl is a Certified Employee Benefits Specialist with the International Foundation of Employee Benefit Plans and a Qualified Pension Administrator with the American Society of Pension Professionals and Actuaries. She holds Series 6, 7, 24, 26 and 63 FINRA licenses. She earned a master of business administration degree from the University of Nebraska and a bachelor of science degree in business management from LeTourneau University.


Guest Speakers

Tim Seifert

Vice President and National Sales Manager Intermediary Retirement Plan Services Lincoln Financial Distributors

Tim Seifert serves as Vice President and National Sales Manager for the Intermediary Retirement Plan Services division at Lincoln Financial Distributors, Inc. (LFD), the wholesaling distribution organization for Lincoln Financial Group.

In this role, Seifert is focused on the small market 401(k) segment and is responsible for developing and implementing strategies that increase awareness of Lincoln’s broad portfolio of retirement plan solutions.

Seifert has nearly 30 years of experience in the financial services industry. Prior to joining Lincoln, he held senior sales leadership roles at RS Investments and Prudential. Earlier in his career, Seifert spent 23 years at PLANCO Financial Services Group, a wholly owned subsidiary of The Hartford, where he served as a senior managing director and managed distribution of the company’s 401 (k), mutual fund, annuities and 529 businesses.

Seifert is a graduate of Elizabethtown College and holds FINRA Series 6, 26, 51 and 63, as well as his Pennsylvania Life Insurance license.


Guest Speakers

Ami Tully

President Maximum Impact Partners, Inc.

Maximum Impact Partners brings deep financial service industry and functional expertise to the marketing and distribution challenges our clients face. With more than 15 years of experience in making change happen, we have developed approaches to mobilizing and enabling financial service organizations that are unique, practical, and proven.

Since founding the company in 1998 with marketing expert, John Lotka, Ami has worked in collaboration with each client to develop new insights about their business strategy and mobilizes the organization to act knowing that even a small change can lead to a big impact on results.

Ami started in the financial services industry in 1982 on the inbound sales desk for Nuveen Investments, then spent years as a regional wholesaler, key account manager and went on to serve for 10 years as National Director of the Independent Dealer Division for Nuveen. Ami was also the first National Sales Manager for Fidelity’s Plymouth Funds, now the Fidelity Advisor Funds, building distribution and a sales team from scratch.

Ami has worked with over 90 financial services firms in the U.S and abroad, conducting sales and management training and distribution strategy consulting. Ami has helped shape distribution initiatives for leading financial services organizations in Canada, Japan, Korea, Hong Kong, Thailand, and India as well as the U.S. Clients have included AIG, Sun Life, Prudential U.K., Manulife, John Hancock Retirement Plan Services, MFS, AXA Japan, Transamerica, Cambiar Investors, Hotchkis & Wiley, and Columbia Management. Ami works to align the efforts and vision of the management team with all points of distribution for both retail and institutional product firms. Ami also speaks regularly to and with financial advisors at national conferences and regional meetings on topics ranging from target marketing to making better connections with clients to improve sales results. Her strong belief in human potential for success sets the tone and drives our enduring client relationships at Maximum Impact Partners.

Ami received a Bachelor of Science degree in Economics from Indiana University. She completed a Graduate Certificate in Business from Harvard Extension School in 1986. Ami is a Certified Financial Planner and is a founder and past President of the 1000 member Women in Pensions Network. She is a mentor to female business executives in the Menttium 100 program and is an avid community volunteer in Scottsdale, AZ. Ami is married to business partner John Lotka, and they have three children.


TPA Advisory Council Member Profiles

Name: Lee BachuJob title/position: Chief Executive Officer

Organization: URPC

Address: 545 Metro Place South Dublin, OH 43017

Phone #: 301-526-5135

Email address: [email protected]

Number of employees at your firm: 240

Year your firm was established: 2007

Number of plans serviced: 8,500

Professional biography

Mythili (Lee) Bachu is President and Chief Executive Officer. She provides leadership and strategic direction for the company’s operating markets, plan services and corporate operations. Prior to joining URPC, Ms. Bachu founded and operated MGA Consultants, Inc., a regional third-party qualified plan administrator, where she was responsible for the management and oversight of all corporate functions, including finance, strategy, business process optimization, vendor platforms, innovation and technology development and use. Under Ms. Bachu’s leadership, MGA Consultants experienced exponential growth by delivering best in class service and unparalleled client access to pension related resources tailored to specific needs.

Prior to founding MGA Consultants in 1997, Ms. Bachu devoted her career to working with defined benefit and defined contribution plan service providers. Her immersion in the qualified plan world was the foundation of her broad and widely respected TPA experience and explains why she is recognized as an influential and top-performing leader in the TPA field.

Ms. Bachu is a member of numerous industry associations. Among others, she is a member of the American Society of Pension Professionals and Actuaries and the National Institute for Pension Actuaries. She has spoken extensively in a variety of venues on pension and retirement-related matters.

Ms. Bachu received a Bachelor of Arts in Economics from the University of Madras, India where she graduated with honors. She also earned a Masters of Business Administration, Finance from the University of the District of Columbia. Ms. Bachu is a Registered Investment Advisor and the holder of a variety of industry-related regulatory licenses.

Unique perspectives

Provide an update on you/your firm in the last year.

Working with vendors and coming up with a package attractive to both clients and vendors.

What is the biggest challenge you face at your firm?

Price reduction

What are your interests and hobbies outside of work?

Politics

If you were to retire today, what would you do?

Community service



Name: Justin BellJob title/position: Director

Organization: ERISA Services, Inc.

Address: PO Box 24628 Knoxville, TN 37933

Phone #: 865-966-1225






Justin desires to serve financial advisors and employers in East Tennessee by using his experience in the retirement plan industry to help them accomplish their goals. Through ERISA Services, Justin serves over 900 employers in East TN and works with over 300 financial professionals to complement their services in helping East TN achieve their retirement goals.

Justin has worked with Dale and Tommy Horst at ERISA Services, Inc. for nine years. ERISA is a fee based Third Party Administration (TPA) firm for qualified retirement plans. As of October 1, 2015, ERISA Services celebrated its 34th year in business. Justin had been in the retirement plan business since September 1994. He has previously worked for Putnam Investments, New York Life Investment Management (NYLIM) and New York Life Insurance Company (NYL).

The team at ERISA Services is dedicated to the success and well-being of your retirement plan. Through your relationship with our consultants and relationships managers, we will work with you to understand your company, your employees and your employee benefit plan’s objectives. We will tailor fit a design for you to achieve these goals as each client has different objectives for their retirement plan.

• Justin grew up just outside of Boston, MA, and has been coming to East TN since 1979 to visit his dad in Crossville.

• Justin’s wife, Keli, is from Kingsport, TN and went to Dobins Bennett High School. Justin met his wife while on vacation in Nevada.

• Justin and Keli have a son named Logan (born in March 2005) and a daughter named Gracie (born in July 2008). Justin also has a son named Aaron (born in September 1994).

• Justin currently serves on the board for the KJA in Knoxville.

• Justin is a passionate Boston sports fan. He also enjoys spending time with his family, traveling, playing golf, and has become a fan of UT Sports

Unique perspectives


We have hired 10 employees, all seasoned in this business. It’s made a huge difference.


Uncertainty with broker-dealers. What FA’s can and cannot do.


Family, travel, golf


Name: Julie BerardiniJob title/position: Vice President of Sales

Organization: Qualified Pension Services

Address: 7851 South Elati Street, Suite 205 Littleton, CO 80134

Phone #: 303-730-3070, ext. 226




Number of plans serviced: 780


Julie Berardini joined Qualified Pension Services in 2003 and has more than 20 years of retirement plan experience. In her role as vice president of sales, she’s responsible for overseeing business development related to plan sales and marketing. Her career has evolved from a plan administrator position to her current role in sales, which has given her the ability to provide comprehensive, informed solutions to clients.

Julie graduated from Colorado State University with a degree in criminal justice. She lives in the Pinery/Parker area with her husband, Paul, and dog, Lucy, and she has two grown children. In her spare time, she enjoys camping, fishing and hiking.

Unique perspectives


We have sold 54 plans so far this year, 33% more than last year. We have a solid relationship with advisors who are concentrating on the retirement plan market.


Determining costs and remaining competitive


Hiking and gardening


Hike, camp, fish and garden. Also read a book!



Name: Kerry BoyceJob title/position: President

Organization: Boyce & Associates, Inc.

Address: 21021 North 7th Street Phoenix, AZ 85024

Phone #: 480-212-8200






Kerry Boyce is founder and CEO of Boyce & Associates, Inc., leading innovators of retirement plan design, consulting and administration. With more than 35 years of experience, Kerry is acknowledged as an industry leader for his application of tax and pension law to the design of customized qualified retirement plans for medical, legal and other high-income professional practices. Kerry also has pioneered, designed and maintained proprietary software for TPA practice management, defined benefit valuations and advanced general testing applications.

Kerry has earned the Certified Pension Consultant (CPC) and Qualified Pension Administrator (QPA) designations from the American Society of Pension Professionals & Actuaries (ASPPA), as well as the Enrolled Retirement Plan Agent (ERPA) from the IRS. Kerry served six years on the national board of directors of ASPPA and has served as past chairman of ASPPA’s technology and membership committees. He also has been a featured speaker for numerous organizations.

Unique perspectives


2015 provided an opportunity to fully review and document processes and procedures throughout the firm. Consistency of deliverables and client service standards are the keys to our sustained growth and profitability.


Educating advisors about the value our firm provides to their clients


Hiking the desert, golf, live music, dancing and motorcycle rides


I can retire today. I choose to enjoy the challenge of continuing to build a business that can continue without me in the future.


Name: Konny BrestJob title/position: Director of Business Development

Organization: Pension Planning Consultants

Address: 6201 Uptown Blvd NE Ste 100 Albuquerque, NM 87110

Phone #: 817-798-1646




Number of plans serviced: 1500+


Since 2002 Konny has used her expertise to help many business owners, financial advisors and CPAs across the state of Texas to design and implement retirement plans customized for their personal business success. She is passionate about helping owners and their employees to prepare for the future years ahead in retirement.

Konny earned her Bachelor’s Degree in Business Administration from Northwood University and has a background in public relations and community development. As the Director of Business Development for Pension Planning Consultants, Konny works closely with financial advisors, employers, CPAs and investment companies in designing the best type of retirement plan for each situation. She listens to the needs of the employer and helps each to establish a retirement plan that meets their goals not only in today’s business world but in tomorrow’s as well. In the ever changing world of 401(k) and Cash Balance plans, Konny helps employers to understand the changes in regulations which affect their fiduciary responsibilities. She partners with and provides education to the financial advisor and employer on all aspects of the retirement plan. She also looks for opportunities to help the owner reduce their corporate taxes while maximizing their retirement benefit. Konny and the staff at Pension Planning work with the employer on a continuing basis to make sure the plan is operating smoothly and effectively.

As a native of west Texas, Konny grew up on a farm and ranch that has been owned for six generations by her family. She loves a wide array of outdoor activities which include everything from horseback riding to fishing. For a brief time she even wrote her own weekly fishing and hunting column in one of the area newspapers called “Konny’s Corner”. Today, Konny and her husband, Robert, enjoy living in the DFW area with their three children and extended family.

Unique perspectives


We have expanded our book of business and territories. Since we can work on any qualified plan, including cash balance plans we can effectively help our clients to strategize for future goals, including helping with business ownership transfer. We become more than just a TPA. We are business consultants that provide a way to save on taxes, add or enhance employee incentives, and help owners/employees have a successful retirement.


Governmental regulations


Travel, outdoor activities like horseback riding and fishing


Travel and volunteer at nonprofits and ministries



Name: Eric BrustJob title/position: CEO

Organization: Matthews Benefit Group

Address: 701 94th Ave North Suite 200 St. Petersburg, FL 33702

Phone #: 727-577-7000





Unique perspectives


We have experienced steady growth over the past six years. Our primary area of growth has been in the defined benefit or cash balance plans.

We have learned who to successfully hire and to train entry level individuals and interns.


Downward fee pressure and wholesaling to advisors


Running, learning new things, cooking


Start an ice cream shop


Name: Derren BurrellJob title/position: COO

Organization: TAG Resources, LLC

Address: 6322 Deane Hill Dr. Ste 201 Knoxville, TN 37919

Phone #: 865-670-1844






Derren is a recently-retired Air Force Lieutenant Colonel, with over 21 years of leadership, finance, and operational experience. He is a Certified Defense Financial Manager and recipient of numerous awards, to include the Defense Meritorious Service Medal, Air Force Budget Officer of the Year, and Air Force Financial Management Officer of the Year.

Previous assignments include stateside and overseas tours at various leadership levels, from the England, Italy, and the Pentagon all the way to the White House. Deployed throughout his career on the front lines in places like Iraq and Afghanistan, he has been in charge of organizations consisting of 175 people and budgets up to $15 billion.

Derren holds an undergraduate degree from The Citadel in Charleston, South Carolina, and two Master’s degrees from Central Michigan University and the Air Force Institute of Technology respectively.

Derren is married to the former Gloria Frey and they have 5 children.

Unique perspectives


Have tripled our distribution channels, year-to-date new sales have more than doubled previous years' numbers. Continuing to build out infrastructure to handled increased workload and double assets under management within 12 months.


Controlling rapid expansion


Running, soccer, family time


Spend more time with my family



Name: Bob ChinJob title/position: President

Organization: Abacus Benefit Consultants, Inc.

Address: 55 Stamp Farm Road Cranston, RI 02921

Phone #: 401-942-4900




Number of plans serviced: 1,450+


Bob Chin has 35 years of experience in the qualified plan arena. He is president of Abacus Benefit Consultants, Inc., which specializes in qualified retirement plan design and related services for business owners and their employees. He started Abacus in 1991 in Cranston, Rhode Island, and the firm now has a second location in Rockville, Maryland. Abacus has a total of 37 employees and administers more than 1,550 plans. The average plan size is 40 to 60 employees, and the largest client has 1,200 employees. Currently, Abacus maintains relationships with 15 mutual fund/insurance company investment platforms.

Bob serves on several advisory boards, including the Executive Committee and the Educational Task Force of the National Institute of Pension Administrators (NIPA), and he was chairman of the Business Management Conference in 2007. Bob is a graduate of Saint John’s University and is frequently invited to speak to various professional organizations in the Rhode Island area.

Unique perspectives


Hiring new employees with experience due to growth and employee turnover


Finding good Senior Talent. Competition among the low cost providers.



No


Name: Jill DennisJob title/position: Consultant/Shareholder

Organization: Dunbar, Bender & Zapf, Inc.

Address: 437 Grant Street Suite 1100 Pittsburgh, PA 15219

Phone #: 412-263-0102






Jill, a consultant and shareholder, has been with Dunbar, Bender & Zapf since 1999. With over 20 years of experience in the retirement plan industry, Jill specializes in all aspects of marketing, new business plan implementation, plan conversion and plan design consulting.

Prior to becoming a retirement plan professional, Jill attended the University of Pittsburgh majoring Sociology. Beginning her career with defined benefit plan administration and then later becoming an expert in defined contribution plans, has given Jill a varied and extensive background in all types of Qualified Plans. She has also been exposed to both the small and large plan markets and understands the complexity inherent in both. Knowing the client and the client’s needs have also allowed Jill to become well versed in all types of retirement plans, qualified and non-qualified.

Jill’s education and experience have allowed her to effectively transition a career in administration to a successful consulting, sales and marketing role at DBZ. Jill works in conjunction with financial advisors and investment platforms to find the very best plan solution for our future clients.

Jill has been an active member of the American Society of Pension Professionals for over ten years, attaining both the Certified Pension Consultant (CPC) and Qualified Pension Administrator (QPA) designations.

Jill was offered an ownership share in Dunbar, Bender & Zapf, Inc. in January of 2012.

Unique perspectives


We had net growth of over 200 plans in 2015


Low touch, “cheap” providers and payroll companies.


Traveling, binge watching cable TV shows, spending time and laughing with friends and family.


Travel



Name: Todd HarlowJob title/position: VP Sales and Marketing

Organization: MyBenefits

Address: 5352 Peachtree Road Atlanta, GA 30341

Phone #: 800-487-2040





Unique perspectives


Rapid growth


Internal logistics – not industry


Sports, my kids’ sports


Work with boys and girls club


Name: Earle GarvinJob title/position: President

Organization: Pension Financial Services, Inc.

Address: 3700 Crestwood Parkway, Suite 550 Duluth, GA 30096

Phone #: 678-924-8888






Earle Garvin is president of Pension Financial Services, Inc. and has served in this capacity since the firm’s beginning in 1982. He’s often a featured speaker at regional seminars throughout the Southeast and has served as a panel member at various national pension conferences.

Earle is an Enrolled Actuary, certified by the Joint Board for the Enrollment of Actuaries, a member of the American Academy of Actuaries, a member of the American Society of Pension Professionals & Actuaries (ASPPA), and a former chairman of the American Society of Pension Professionals & Actuaries Benefits Council of Atlanta. Earle received a master’s degree in actuarial science and a master’s degree in insurance from Georgia State University. He’s a native of Atlanta, Georgia.

Unique perspectives


We had a very successful 12 months. We purchased a small, local TPA firm which had about 175 clients. With the acquisition, we retained one employee, who had been with that firm for over 20 years. We also were successful from a marketing perspective and had over 90 new clients in addition to the acquisition.


Low cost and low service providers


Antiques


Absolutely not



Name: Dina HamadJob title/position: President and Founder

Organization: RPSI

Address: 535 Keisler Drive, Suite 102 Cary, NC 27518

Phone #: 919-816-0221




Number of plans serviced: 500-550


Ms. Hamad graduated from North Carolina State University in 1985 with a Degree in Accounting and Business Management.

She began her career in qualified retirement plan administration with Hutchison & Associates in Raleigh, NC. She worked in the retirement plan industry for Wachovia Bank and for the local office of Dun & Bradstreet Pension Services prior to co-founding Retirement Plan Solutions, Inc. in 1992. Retirement Plan Solutions, Inc. provides full service retirement plan administration and consulting services for over 500 clients. Ms. Hamad, with 30 years of experience in the retirement plan industry, offers numerous client, financial advisor, CPA and attorney presentations on retirement plan topics.

She is active in the Raleigh and Cary Chambers, American Society of Pension Actuaries and the Triangle Benefits Forum. She also enjoys helping raise money for the MS society and Susan G. Komen Foundation as well as reading, boating and vacationing on the North Carolina Coast.

Unique perspectives


RPSI has increased customer satisfaction and retained a higher percentage of clients.


Keeping up with changing times. Plan conversions.


Beach, sun, boating and reading


Take a year to boat the entire ICW


Name: Bev HaslauerJob title/position: President

Organization: The Haslauer Group, Inc.

Address: 700 Hickory Avenue New Orleans, LA 70123

Phone #: 504-737-6565






Beverly Haslauer is president of The Haslauer Group, Inc., in New Orleans, Louisiana. She has many years of experience in the retirement field and is well-known in the industry both locally and nationally. Beverly is a Certified Pension Consultant (CPC), a Qualified Pension Administrator (QPA), and a Qualified 401(k) Administrator (QKA). She also has earned the Enrolled Retirement Plan Agent (ERPA) designation from the Internal Revenue Service.

Beverly has served as a member of the Board of Directors of the American Society of Pension Professionals & Actuaries (ASPPA) and has served on ASPPA’s Government Affairs, Education & Examination, and Conference committees.

Unique perspectives


My son, Jonathan, has taken over as managing partner of our firm this year. He has also proven to be an excellent salesman. We have increased our workforce to 14 and our number of ERPAs to 4. We have grown to 650 plans and are continuing to grow. Hopefully, in the next two years, we will be opening a second office in Baton Rouge, LA.


Keeping ahead of the technology changes


Babysitting my grandbabies, reading


Travel



Name: Russ HookerJob title/position: Executive Vice President

Organization: Nova 401(k) Associates

Address: 20445 State Highway 249, Suite 110 Houston, TX 77092

Phone #: 713-881-9313






Russ Hooker is executive vice president for Nova 401(k) Associates. He has over fifteen years of retirement plan industry experience and is in charge of sales and marketing for the firm. His professional background includes the design, implementation and administration of defined contribution plans, and his current responsibilities include managing the national sales force, as well as working with benefits advisors and their clients to design qualified plans that meet the objectives of the business owner and their employees in a way that everyone understands.

As a member of the American Society of Pension Professionals & Actuaries (ASPPA), Russ holds the Qualified 401(k) Administrator (QKA) designation and has completed four out of five exams toward obtaining the Qualified Pension Administrator (QPA) designation. He serves on the TPA Advisory Council of four major partner 401(k) plan providers and holds the Texas Group 1 insurance license. Russ is a graduate of North Dakota State University and attended graduate school at the University of Texas at Austin. Prior to attending college, he served four years of active duty in the Military Intelligence branch of the U.S. Army as a Spanish linguist.

Unique perspectives


In the last year we have seen continued strong growth as well as a significant investment in our systems infrastructure.


Bringing people into the future


Travel, water sports, boating


A lot of what I already do, just more of it. Enjoy good food and visit new places.


Name: David JockischJob title/position: Vice President of Sales and Marketing

Organization: The Ryding Company

Address: 2659 Townsgate Rd, Suite 101 Westlake Village, CA 91361

Phone #: 805-267-2921


Number of employees at your firm: 35-40




David Jockisch has a passion for helping retirement-focused financial professionals provide business owners with uniquely designed retirement plan solutions.

Having joined The Ryding Company in 2006, David is responsible for retirement sales and client support throughout the western United States. As an experienced plan administrator and plan design specialist, David offers a comprehensive support system to both plan sponsors and advisors. He builds client trust and confidence by ensuring his clients meet their employee benefit and tax preferred retirement plan objectives.

Over the years David has consulted with businesses of all sizes and industries that required a special eye and touch, thus giving him a valuable resource that has proven itself in the design process.

Business Building Services

• Retirement Plan Design and Analysis • Insights into Building a Compelling Retirement Plan • Product Implementation • Client Appreciation Events & Educational Seminars • Perspective on Best Practices of Elite Producers Professional

Development • Applied Mathematics (California State University, Northridge)

• Finisher in Los Angeles Marathon and Wild West Marathon• 38+ Years’ Experience in Prestidigitation (Magic) • Performed as Magician for Make-A-Wish Foundation and American

Heart Association • Award-winning Magician in Strolling Olympics

(Magic Castle - Hollywood, CA)

Together with his wife, Joli, David devotes most of his personal time to raising their daughter, Jaiden, as well as pursuing his lifelong passion of Prestidigitation (Magic). Active in the art since the age of 7, he has been a regular performing member of the Magic Castle in Hollywood, CA since 1990 and can be found entertaining audiences in one of the many showrooms on any given Friday night.

Unique perspectives


Our firm recorded our largest number of sales in 2015 and is looking to exceed that number in 2016.


Finding the time to manage the business that I have and to cultivate new relationships and business


Spending time with my wife and daughter, performing at the Magic Castle, studying magic, HAM radio, developing my property in Washington


Snowbird between my house in California and my ranch in Washington, as well as perform and study magic.



Name: Paul LovellJob title/position: President & CEO

Organization: National Benefit Services (NBS)

Address: 8523 S. Redwood Road West Jordan, UT 84088

Phone #: 801-879-4400





Unique perspectives


Continued focus on automating workflows


Managing growth, maintaining profitability, managing people, managing change


Family, especially grandchildren. Genealogy, skiing, golf, reading


I can, but I choose not to.


Name: Michelle MarshJob title/position: Consultant

Organization: Retirement Plan Concepts & Services

Address: 10319 Dawsons Creek Blvd. Suite A Fort Wayne, IN 46825

Phone #: 260-433-6539






Michelle is the President of Retirement Plan Concepts & Services, Inc. She has over 25 years of extensive experience in the Administration and Qualified Plans arena. She was instrumental in establishing and becoming president of Retirement Plan Concepts & Services, Inc. effective January 1, 2000. She provides clients with on-going consulting services in addition to providing plan design and implementation for new clients. She designs plans to meet the client’s needs which may include advanced Cross Tested or DB/DC Combo Plan designs.

She is a member of the American Society of Pension Professionals and Actuaries (ASPPA) and is on the board of the local ASPPA Benefits Council. She is also a member of the National Institute of Pension Administrators (NIPA). She is a member of the Board of Directors for NIPA. She serves on two independent TPA Advisory Boards and is on the Education and Exams Committee for ASPPA and the Annual Conference Committee for NIPA.

Michelle received a degree in Accounting in 1986 from International Business College. She has furthered her education by successfully earning the professional designation of QKA (Qualified 401(k) Administrator) by passing five ASPPA exams. She attends and speaks at Advanced Pension Conferences annually.

Michelle enjoys working with and meeting new people. She is dedicated to providing outstanding service to all of her clients. She is also committed to furthering her knowledge in the Qualified Retirement Plans area. She enjoys speaking at industry events and is very active in every aspect of running a successful ERISA consulting firm.

Unique perspectives


We have brought on approximately 100 new clients. We have added four new people to our team and we have two individuals who are dedicated to business development and growing our firm.


Hiring qualified talent


Golf, fun in the sun (dessert, island, coast)


Become an industry speaker



Name: Bob MillerJob title/position: Vice President and National Sales Director

Organization: Goldleaf Partners

Address: 11402 West 164th Terrace Overland Park, KS 66221

Phone #: 515-306-9468






Bob Miller is vice president and national sales director of Goldleaf Partners in Overland Park, Kansas. In that capacity, he specializes in helping prospects and clients realize their goals and objectives for retirement by creating design-based solutions geared toward enhanced tax efficiency and increased retirement savings. Bob has more than 15 years of industry experience working in qualified plan sales, plan and document design, administration, and development of client relationships. He works with financial advisors, CPAs, and other centers of influence to help them meet the needs of their clients. Bob is also known in the industry as a valuable resource for continuing education, informative seminars, and technical expertise in the qualified plan space.

Bob has earned the Qualified Plan Financial Consultant (QPFC) designation from the American Society of Pension Professionals & Actuaries (ASPPA) and the Accredited Investment Fiduciary® (AIF®) designation from the Center for Fiduciary Studies. Bob received a Bachelor of Arts from the University of Northern Iowa.

Unique perspectives


Increased revenue by 27% each of last four years and plan count by 20% per year same time frame. Opened three new markets in last year.


Managing the growth


Family travel, cooking, gardening, hunting, entertaining


Open a beachside bar and continue to network


Name: Matthew ReimerJob title/position: Owner

Organization: Benefit Administration

Address: 400 Ahnap Street Ste 200 Menasha, WI 54952

Phone #: 608-347-5557





Unique perspectives


High growth of client and employee base, upgraded several technologies


Hiring qualified employees


Raising children, guitar, running


Own a TPA



Name: Al RossettiJob title/position: President

Organization: The Rose Financial Group, LLC

Address: 6602 East 75th Street Indianapolis, IN 46256

Phone #: 317-558-8000





Company profile

Rose Financial is one of the Midwest’s most respected 401(k) plan administrators. Established in 1999, Rose Financial is one of the fastest growing pension administrators in the Midwest. The firm has partnered with hundreds of employers across eight states, helping provide employees with retirement plan benefits unsurpassed in the market today. Their value proposition is bold, yet simple: They’ll provide a superior level of service for your plan at a competitive price. Rose Financial believes their company provides a higher level of service, which includes being more hands-on. Examples of their hands-on administration include acting as a plan contact throughout the year and staying involved with their clients’ plan activities.

Unique perspectives


Rose has continued to grow at a nearly 40% pace. We continue to see Lincoln as a primary partner in our success.


Commoditization of services


Family and travel


Sell fish tacos on Imperial Beach


Name: Anthony ScialabbaJob title/position: President and CEO

Organization: Retirewell Administrators

Address: 1002 Lincoln Drive West Suite H Marlton, NJ 08053

Phone #: 856-396-0499






Anthony L. Scialabba, Esq., is the Managing Member at The Law Firm of Anthony L. Scialabba, LLC, and he serves as the President and the Chief Executive Officer of RetireWell Administrators, LLC, a retirement/executive compensation TPA firm.

Mr. Scialabba has 30 years of experience in retirement/executive compensation plan law, has owned and operated TPA companies for over 20 years, and has published over 60 articles on retirement/executive compensation plan topics.

Unique perspectives


My firm added 113 plans and numerous consulting projects over the last year.


Finding employees with experience


Speaking Italian, traveling and working out


Live in Italy



Name: Pat SheltonJob title/position: Managing Member

Organization: Benefit Plans Plus (BPP)

Address: 6 Cityplace Drive Suite 700 St. Louis, MO 63141

Phone #: 314-824-5252






Patrick is the firm’s Managing Member and has more than 25 years of retirement plan industry experience in banking/trust, insurance, and third party administrative environments. He is responsible for innovating and executing the firm’s business plan. Additionally, he specializes in financial advisor relations, including 401k sales prospecting presentations, vendor searches, and fiduciary consulting.

Patrick’s reputation as a nationally recognized industry thought leader has allowed him to give back through various platforms in the media, speaking at industry events, and participating on various panelist presentations.

Most recently Patrick was selected to serve on the American Funds TPA Leaders Roundtable. He also serves as the President of the National Institute of Pension Administrators (NIPA).

Patrick was the first recipient of Brown Smith Wallace’s prestigious Founder’s Award, which recognizes top employees for excellence in leadership and contribution to firm growth since 2003.

A graduate of Westminster College in Fulton, Missouri, Patrick holds a Bachelor of Arts degree in Business/Committee Plan. He has also earned the Group Benefits Associate (GBA) designation from the International Foundation of Employee Benefits Plans Certified Employee Benefit Specialist (CEBS) program. Patrick also holds a Life and Health Insurance License in the state of Missouri and is a member of the Financial Planning Association.

As a youth, Patrick had two separate basketball coaches that were former NBA players, and he also played college basketball. Patrick is also a fan of fantasy/ SIFI.

Unique perspectives


2015 record revenue and profit


Government regulation and fee compression


Reading, exercise and fishing


Work out and do charity


Name: Matt SlyterJob title/position: VP, Operations

Organization: Tax Sheltered Compensation

Address: 7300 Metro Blvd, Ste 450 Edina, MN 55439

Phone #: 952-806-4329






In my role as Vice President of Operations at TSC, I am directly responsible for overseeing all aspects of plan administration, consulting, client service, sales, and information technology at the firm. In addition to my primary focus of improving operational efficiency and effectiveness, I work with members of the management team to develop new services and forge strategic partnerships. I constantly strive to make meaningful improvements to the services that TSC provides to clients and referral sources.

I began my career with TSC in the fall of 1995 and have held the positions of Pension Administrator, Team Leader, and Director of Retirement Plan Administration before assuming my current role. A Minnesota native, I received my bachelor’s degree in International Business from Moorhead State University in 1994. I am a member of ASPPA and hold the Qualified 401(k) Administrator (QKA) designation.

About TSC:

TSC provides plan design and compliance services for all types of qualified retirement plans and 403(b) plans. Our Twin Cities-based team of compliance specialists and plan consultants at TSC provides both regional and national clients with retirement plan consulting and administration solutions. Founded in 1966, has grown to 45 employees serving over 1,500 clients. TSC became an employee-owned company in 1997. TSC’s staff includes ERISA attorneys and several ASPPA-credentialed members.

Unique perspectives


Our fiscal year ending 4/30/2016 was a record year for TSC. Strong sales and retention coupled with document restatements resulted in great financial success.


Political, legislative and regulatory uncertainty


Coaching and attending my daughter’s sporting interests, golf, travel, enjoying our lake cabin, spending time with family and friends


Play golf, travel, relax



Name: Peter StephanJob title/position: Executive Vice President

Organization: QBI, LLC

Address: 114 Pacifica, Suite 150 Irvine, CA 92677

Phone #: 949-373-7803






Peter Stephan joined QBI, LLC as executive vice president in 2014. He leads QBI’s expert business development team that consults with advisors, CPAs, and other industry professionals to design and implement successful retirement plan strategies for their clients. Peter’s knowledge and experience comes from more than 30 years of consulting, plan design and administration service. He began his career in qualified plan consulting and administration with CPI Pension Services (now CNA Trust) and also worked as a pension administration consultant with PCC Financial Services Company (now Pacific Life). He was director of marketing and a principal of the Santa Ana-based Coordinated Pension Services, Inc. before forming The Pension Group, Inc. He served as a senior vice president of sales and consulting at United Retirement Plan Consultants before joining QBI.

Peter was president of the National Institute of Pension Administrators (NIPA) from 1996 to 1997 and is an associate member of the American Society of Pension Professionals & Actuaries (ASPPA). He holds the Accredited Investment Fiduciary® (AIF®) designation and earned a Bachelor of Science in finance from the California State University at Fullerton.

Unique perspectives


Growing our Orange County operation, generating additional sales to the overall firm’s sales


“Drive To The Bottom In Fees,” educating and training employees for the future


Skiing and travel


Take six to seven months to travel around the world, then return home to get involved in youth sports coaching, etc.


Name: Ron ThurberJob title/position: Vice President

Organization: Carnow and Associates, Ltd.

Address: 778 Frontage Road, Suite 101 Northfield, IL 60093

Phone #: 847-501-4622






Ron Thurber is vice president of Carnow and Associates, Ltd. He is an Enrolled Agent, admitted to practice and represent taxpayers before the Internal Revenue Service. Since joining the firm in 2001, Ron’s practice has focused on the pension consulting side of the business and designing, implementing, administering, consulting and representing clients and advisors in all aspects of qualified retirement plans to maintain operational compliance. Additionally, he has consulted clients regarding the implementation of ERISA Section 404(c) participant-directed investment programs.

Ron is an affiliate member of the American Society of Pension Professionals & Actuaries (ASPPA) and an active member of The National Association of Enrolled Agents (NAEA). Ron received a Bachelor of Science in architecture and engineering technology (magna cum laude) from Wentworth Institute of Technology in 1993.

Unique perspectives



Finding talented people to hire


Sports


Volunteer, golf, travel with family

Notes


Not a deposit

Not FDIC-insured

Not insured by any federal government agency

Not guaranteed by any bank or savings association

May go down in value

©2016 Lincoln National Corporation

LincolnFinancial.com/Retirement

Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.

Affiliates are separately responsible for their own financial and contractual obligations.

LCN-1561351-080216 TGI 8/16 Z04 Order code: DC-TPAAC-BRC001 Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates. Affiliates are

separately responsible for their own financial and contractual obligations.

The Lincoln Alliance® program includes certain services provided by Lincoln Financial Advisors Corp. (LFA), a broker-dealer (member FINRA) and an affiliate of Lincoln Financial Group, 1300 S. Clinton St., Fort Wayne, IN 46802. Unaffiliated broker-dealers also may provide services to customers.

For TPA use only. Not for use with the general public.

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