Capturing IRA Rollovers & Money in Motion

Transcription

1 FINANCIAL RESEARCH ASSOCIATES PROUDLY PRESENTS Save $200 by registering before August 16th Capturing IRA Rollovers & Money in Motion Achieving Aggressive Growth and Increased Retention through Plan Transfers and IRA Rollovers October 17-18, 2013 The Harvard Club, Boston Each year, more than $350 billion becomes available for rollovers as retirees and preretiree workers leave their employers. Are you poised to take advantage? Join top-level speakers for networking opportunities and in-depth sessions on these key topics: Develop your rollover value proposition and obtain new strategies for tapping the lucrative rollover market Learn how the GAO Report and subsequent Department of Labor guidance will affect your bottom line Discover how to add orphaned 401(k) plans to your AUM Determine the latest trends in technology personalization down to the plan participant level Uncover marketing strategies proven to engage the three main consumer groups Work with advisors to gather rollover assets Build relationships within the broker/dealer channel Succeed in the RIA channel Capture more money in motion Evaluate the pros and cons of rolling over target date funds

2 As more baby boomers approach retirement age, annual IRA rollover contributions are expected to surpass $450 billion by Make sure you are poised to take advantage by joining us in Boston for Capturing IRA Rollovers and Money in Motion. Not only will there be an industry Who s Who in attendance, but we ll delve deep into the key topics you need to know today. The first morning begins with a keynote panel of senior executives who will discuss the current state of the rollover market and help you develop your rollover value proposition. Subsequent session topics include how to: Interpret the impact of the GAO Report and the Department of Labor guidance on on your bottom-line - includes a questions-and-answer session with Director Charles A. Jeszeck of the Government Accountability Office Add orphaned 401(k) plans to your AUM Determine the latest trends in technology personalization down to the plan participant level Employ effective marketing strategies proven to engage the three main consumer groups On Day Two, we ll uncover the need-to-know specifics on: Effectively working with advisors to gather rollover assets Building relationships with the broker/dealer channel Succeeding in the RIA channel Capturing more money in motion Evaluating the pros and cons of rolling over target date funds Meet the key people and learn the specific strategies you ll need to boost success in the IRA Rollover and money in motion marketplace. Register today! Call or register online at www. frallc.com. Sincerely, Ryan Masters Ryan Masters, Conference Director FINANCIAL RESEARCH ASSOCIATES, LLC P.S. This conference is known for its depth of content and wealth of top-level industry speakers. Check out the rave reviews in this brochure and see for yourself! Our Renowned Speaking Faculty Alison Salka, Ph.D., Corporate Vice President & Director, Retirement Research Director, LIMRA Bart Kollen, Vice President, ING Individual Retirement Bridget Bearden, Senior Research Analyst, Strategic Insight Charles A. Jeszeck, Director of Education, Workforce, and Income Security, Government Accountability Office Chris Brown, Principal, Hearts & Wallets LLC David Brezik, Vice President, Retirement Product, E*TRADE Financial Daniel Zarcaro, Director, Fidelity Advisor Rollover Retention Program, Fidelity Investments Institutional Services Ellen Feinsand, Owner, D&G Consulting Francois Gadenne, Chairman and Executive Director, Retirement Income Industry Association Gregory Rivas, Executive Director- Retirement & Wealth Planning, Financial Advice & Solutions Group, USAA Kerry Pechter, Editor, Retirement Income Journal Laura Varas, Principal, Hearts & Wallets LLC Leah R. Sciabarrasi, Partner, Crestwood Advisors, LLC J. Lynette DeWitt, Manager, Deloitte Michael Doshier, VP Retirement, Global Client Marketing, Franklin Templeton Distributors, Inc. Peter Kooken, Director, Strategic Marketing, New York Life Retirement Plan Services Rick Nersesian, CEO, B&N Retirement Strategies Ron Rhoades, Assistant Professor of Business, Alfred State College Steven F. Dorval, Managing Director, Head of Retirement & Investment Strategy, New York Life Investments Sarah Walsh, Vice President, Retirement Solutions, Fidelity Personal Investing Scott Hanson, Financial Advisor, Hanson McClain Advisors Sean Cunniff, Research Leader, Deloitte Steven F. Dorval, Managing Director, Head of Retirement & Investment Strategy, New York Life Investments Teresa Epperson, Managing Director, Financial Services Practice, AlixPartners Tess J. Ferrera, Partner, Schiff Hardin Who Should Attend? Rollover Specialists Retirement Income Planning Developers 401k and 403b Product Management Bank Product Management Financial Product Management Institutional Marketing IRA Product Marketing Retail Marketing Retirement Services or Planners Strategic Planners This conference will also appeal to Registered Investment Advisors (RIAs). Top Reasons to Attend Learn how to acquire more rollover assets through better marketing and service to intermediary distributors Find the best techniques for establishing and managing relationships with the ever-important advisor channels Learn about major changes to regulations affecting the retirement industry directly from the responsible government agencies Hear from the experts on the current state of the market: Understand how the industry is evolving and what you should know to capitalize on that evolution Learn how the industry leaders are differentiating themselves the key to success in this inundated market Bring home new and useful methodologies to maximize success Expand your network of industry contacts Sponsorship and Exhibit Opportunities Enhance your marketing efforts through sponsoring a special event or exhibiting your product at this event. We can design custom sponsorship packages tailored to your marketing needs, such as a cocktail reception or a custom-designed networking event. To learn more about sponsorship opportunities, please contact Menna Lloyd-White at (704) or mlloydwhite@frallc.com.

3 The Conference Organizer Media Partners Financial Research Associates provides the financial community with access to business information and networking opportunities. Offering highly targeted conferences, FRA is a preferred resource for executives and managers seeking cuttingedge information on the next wave of business opportunities. Please visit for more information on upcoming events. Important Information To Register: Fax: Mail: Financial Research Associates NE Cedar Drive Battle Ground, WA Phone: Online: Capturing IRA Rollovers and Money In Motion October 17-18, 2013 The Harvard Club 374 Commonwealth Avenue Boston, MA Area Hotels: Hilton Boston Back Bay (866) Sheraton Boston Hotel (866) Newbury Guest House (866) Hotel Commonwealth (866) The Lenox Hotel Boston (866) The Colonnade Hotel Back Bay (866) Fees and Payments: The fee for attendance at Capturing IRA Rollovers and Money in Motion is: $1995 Upcoming Related Events The 11th Annual Managed Accounts & UMA Summit September 16-17, New York, NY Early bird discount - $1795 until 8/16/13 Please make checks payable to Financial Research Associates, and write code B889 on your check. You may also pay by Visa, MasterCard, Discover, or American Express. Purchase orders are also accepted. Payments must be received no later than October 10, The 16th Annual Sub-Advised Funds Form October 15-16, New York, NY Team Discounts: Three people will receive 10% off. Four people will receive 15% off. Five people or more will receive 20% off. CPE CREDITS Financial Research Associates is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: Sponsored learning activities are measured by program length, with one 50-minute period equal to one CPE credit. One-half CPE credit increments (equal to 25 minutes) are permitted after the first credit has been earned in a given learning activity. Please note that not all state boards adopted this rule. Some participants may not be able to use one-half credit increments. This course is offered as a group-live course and does not require prerequisites or advance preparation. It is an intermediate-level course. The recommended CPE credit for this advanced level course is 15.5 credits: 13.5 credits for Finance and 2 credits for Regulatory Ethics. For more information regarding administrative policies such as complaint and refund, please contact our offices at Financial Research Associates offers programs at an advanced level of continuing education. Although no prerequisite courses, experience, or advance preparation is required to participate in this program, working knowledge of Finance is required, as well as, prior knowledge of the program topic. In order to secure a group discount, all delegates must place their registrations at the same time. Group discounts cannot be issued retroactively. For more information, please call Kathie Eberhard at SOFT DOLLAR YOUR CONFERENCE REGISTRATION! This FRA conference may be eligible under section 28(e) of the Securities Exchange Act of 1934 for payment via soft dollars. For further information or a Soft Dollar Application form, please visit our website softdollars.aspx. Cancellations: If we receive your request to cancel 30 days or more prior to the conference start date, your registration fee will be refunded minus a $ administrative fee. Cancellations occurring between 29 days and the first day of the conference receive either a 1) $200 refund; or 2) a credit voucher for the amount of the original registration fee, less a $ administrative fee. No refunds or credits will be granted for cancellations received after a conference begins or for noshows. Credit vouchers are valid for 12 months from the date of issue and can be used by either the person named on the voucher or a colleague from the same company. Please Note: For reasons beyond our control it is occasionally necessary to alter the content and timing of the program or to substitute speakers. Thus, the speakers and agenda are subject to change without notice. In the event of a speaker cancellation, every effort to find a replacement speaker will be made. Contact Menna Lloyd-White at (704) to learn about sponsorship opportunities

4 DAY ONE: Thursday, October 17, :00 8:45 Exhibits Set-Up, Registration, & Continental Breakfast 8:45 9:00 Chair s Welcome 9:00 10:00 Executive Roundtable: The Current State of the Rollover Market Each year, more than $350 billion becomes available for rollovers as retirees and pre-retiree workers leave their employers. Are you poised to take advantage? A panel of industry experts explores the current state of the rollover market while helping you develop your rollover value proposition. Cultivate the tools and resources necessary to assess clients retirement readiness and identify areas where they need additional support. Don t miss this opportunity to take advantage of the lucrative rollover market. Daniel Zarcaro, Director, Fidelity Advisor Rollover Retention Program Fidelity Investments Institutional Services Bart Kollen, Vice President ING Individual Retirement Steven F. Dorval, Managing Director, Head of Retirement & Investment Strategy New York Life Investments 10:00 11:00 Ramifications of the GAO Report The GAO recently issued a report titled 401(k) PLANS: Labor and IRS Could Improve the Rollover Process for Participants. The report has made headlines for calling out the industry s inefficient rollover processes, biased information and overly aggressive marketing campaigns. Charles Jeszeck of the GAO joins attendees to answer questions about the report s findings and how they affect your advisory practice. Other topics of concern include: Waiting periods to roll into a new employer plan Complex verification procedures Big divergences in paperwork Inefficient processing Misleading clients during the rollover process Charles A. Jeszeck, Director of Education, Workforce, and Income Security Government Accountability Office 11:00 11:15 Break 11:15 12:15 Game Changer: Retirement Plan Professionals as Fiduciaries The GAO has strongly recommended that The Labor Department finalize a rule expanding the scope of retirement plan professionals defined as fiduciaries. The rule, which was first proposed in 2010 but then withdrawn amid fierce industry backlash, is expected to be re-proposed this summer. If finalized, the ruling would be a game changer that profoundly affects the way retirement plan professionals do business. Ron Rhoades of Alfred State College interviews a panel of experts to reveal what you need to know. Don t miss this session! Moderator: Ron Rhoades, Assistant Professor of Business Alfred State College Speakers: Tess J. Ferrera, Partner Schiff Hardin Sean Cunniff, Research Leader Deloitte 12:15 1:15 Networking Luncheon 1:15 2:15 Orphaned 401(k) Plan = Opportunity Ten percent of mass affluent investors moved their money last year, to the tune of $750 billion, while 27% of mass affluent investors admitted to holding anywhere from $100,000 to $500,000 in dormant 401(k) assets. Learn how to tap that $750 billion of money in motion by developing an effective clienteducation program. Industry experts teach you how to take advantage of this often-overlooked opportunity to add to your AUM. Teresa Epperson, Managing Director, Financial Services Practice AlixPartners Sarah Walsh, Vice President, Retirement Solutions Fidelity Personal Investing Leah R. Sciabarrasi, Partner Crestwood Advisors, LLC 2:15 3:15 Technology and the Rollover/Retention Challenge Survey the latest trends in technology personalization down to the plan participant level; receive new insight into the Web browser component in rollover strategy; and find out how to create new stages of empowerment, convenience and education for plan participants. Bart Kollen, Vice President ING Individual Retirement 3:15 3:30 Break 3:30 5:00 Marketing 101(k): Engaging the Three Main Consumer Groups Many retirement plan record keepers have failed to capture their fair share of the IRA rollover market and this oversight creates a massive opportunity for advisors. The key, according to recent research, is engaging the consumer at the right time while presenting the process as simply as possible. Each of the following age groups have different priorities concerning IRA management and rolling over assets. Do you know what they are? Job changers: Young professionals with 10 years of job experience Pre-retirees: Individuals with 5 to 10 years remaining until retirement Retirees: Individuals who may work part time or consult, but they have left their primary career Scott Hanson, Financial Advisor Hanson McClain Advisors Steven F. Dorval, Managing Director, Head of Retirement & Investment Strategy New York Life Investments Chris Brown, Principal Hearts & Wallets LLC 5:00 Day One Sessions Adjourn To Sponsor the Cocktail Reception, Please Call Menna Lloyd-White at Contact Menna Lloyd-White for more information at mlloydwhite@frallc.com about our sponsorship opportunities About the Venue The Harvard Club, Boston Welcomes you to a place where you can form and maintain lasting friendships; happily nurture your mind, body, and spirit; and create a wide range of wonderful memories that will last a lifetime.

5 DAY TWO: Friday, October 18, :00 9:00 Continental Breakfast 8:45 9:00 Chair s Welcome & Recap of Day One 9:00 10:00 Keynote: What Do You Do With IRA Rollovers Once You Have Them? Retirement planning is not same-old investment management. Learn about the three key disruptions, the new market segments and how to work with them. Francois Gadenne, Chairman and Executive Director Retirement Income Industry Association 10:00 11:00 Working with Advisors to Gather Rollover Assets In recent years, rollovers have driven between 40% and 50% of net new money for wealth managers and will total $7 trillion in assets or between 12% and 14% of all household assets by Are you leveraging your relationship with advisors sufficiently to maximize your potential returns? Examine the myriad issues surrounding the advisor role in the rollover and retirement market. This session will cover: Investor usage of advisors in the rollover decision Role of the advisor Advisor product usage and preferences How advisors use the rollover as a gateway to retirement income planning Scott Hanson, Financial Advisor Hanson McClain Advisors Alison Salka, Ph.D., Corporate Vice President & Director, Retirement Research LIMRA Daniel Zarcaro, Director, Fidelity Advisor Rollover Retention Program Fidelity Investments Institutional Services Ellen Feinsand, Owner D&G Consulting 11:00 11:15 Break 11:15 12:15 Succeeding with the Registered Investment Advisor Channel Hear from advisors about the challenges they face with their clients and how they get new business. Think about how you can develop your services to better meet the real needs of your channel and position yourself as a group with whom advisors prefer to work. Discussion topics include: Practices advisors employ to find rollover business Strategies for developing relationships to get new prospects Advisors perspectives on investors interests and concerns Top item advisors want most from you to help build their business Leah R. Sciabarrasi, Partner Crestwood Advisors, LLC 12:15 1:15 Networking Luncheon 1:15 2:00 Who Owns the Client? When an advisor sells a corporate retirement plan, it is clear that he/she owns the account, not the record keeper or money managers. But do the record keeper and money manager have the right to market to a participant when he/ she rolls out the corporate plan? Learn proper protocol on IRA rollover marketing from industry experts. Peter Kooken, Director, Strategic Marketing New York Life Retirement Plan Services Additional Speakers TBD 2:00 2:45 Capturing More Money in Motion Many people think that the retiring baby boomers are the main story behind money in motion. But the real drivers of movement stem from a dissatisfaction with a provider or advisor. The root of this dissatisfaction usually isn t poor returns or service but a lack of understanding about services and fees. What s more, according to recent research by Hearts & Wallets, the IRA rollover accounts for only one-third of 401k money moves. That s a lot of money left on the table. A panel of experts discusses alternatives to the IRA rollover and how you can leverage them to increase your AUM. Laura Varas, Principal Hearts & Wallets LLC Kerry Pechter, Editor Retirement Income Journal Gregory Rivas, Executive Director- Retirement & Wealth Planning, Financial Advice & Solutions Group USAA 2:45 3:00 Break 3:00 4:00 Rolling Over Target Date Funds: Keep or Discard? Target date mutual funds are projected to exceed $1 trillion in assets over the next five years. With defined contribution representing the bulk of these funds, what will happen as more target date investors reach retirement will they stay in their plan or rollover to an IRA? Are target-date to products more likely to experience redemptions than through products? Will rollover investors retain their target date investments, will they convert to target risk, or, will they move away from packaged solutions altogether? Which lifecycle providers stand to lose or gain during the retirement transition phase? What can firms do to prevent leakage from their target date funds during the transition to retirement? J. Lynette DeWitt, Manager Deloitte Bridget Bearden, Senior Research Analyst Strategic Insight 4:00 5:00 The Winning Strategy to Capture IRA Rollovers Many firms are spending enormous resources trying to win in the IRA rollover asset acquisition and retention arena. But are they spending wisely and effectively and are they winning? Understand the difference between thinking about success in this space and being a success. Often to succeed in the rollover arena, an advisor must have the right knowledge foundation combined with a repeatable and easily implementable process. And the process to transfer that knowledge into successful action must be implementable and repeatable and integrated into the natural way advisors do business. Whether for your own in-house personnel or as a real relationship building value add to other firms and advisors, this training approach and client identification process will help you win in the rollover space. Rick Nersesian, CEO B&N Retirement Strategies 5:00 Conference adjourns Rave Reviews Substantive treatment across the spectrum of this topic. Good overview of where the industry is going. Good content and rollover stats. Excellent ideas, strategies and approaches to capturing the rollover market. I really appreciated how willing the panel speakers were to share so much of their business model. Contact Menna Lloyd-White at (704) to learn about sponsorship opportunities

6 Capturing IRA Rollovers and Money in Motion Achieving Aggressive Growth and Increased Retention through Plan Transfers and IRA Rollovers To Register: Fax: (704) Call: (800) Online: Mail: Financial Research Associates NE Cedar Drive Battle Ground, WA Financial Research Associates 200 Washington St. Ste 201 Santa Cruz, CA Attention Mailroom: If undeliverable, please forward to the IRA Rollover Product or Product Marketing Manager. Please Mention This Priority Code When Registering Name Yes! Register me for the early bird registration (Through August 16): $1795 Yes! Register me for the standard rate (standard fee after August 16): $1995 Please call me; I m interested in a group discount for my team. Please call me; I m interested in exhibition or sponsorship opportunities at this event. I wish to receive updates on FRA s upcoming events via fax, and phone. Signature: Company Address Title Dept. Please bill my: MasterCard Visa Amex Discover Card number: Exp. Date: Name on Card: Signature: Check enclosed Please bill me later Make checks payable to Financial Research Associates, and write B889 on your check. Please mention your priority code when registering: City Telephone State Fax: Zip Conference Code: B889 FINANCIAL RESEARCH ASSOCIATES PROUDLY PRESENTS Save $200 by registering before August 16th Capturing IRA Rollovers & Money in Motion Achieving Aggressive Growth and Increased Retention through Plan Transfers and IRA Rollovers October 17-18, 2013 The Harvard Club, Boston